Monday, May 10, 2010

HISTORY: 'K-Z'

John Keegan, History of Warfare --

This book got a good deal of attention when it was first published, leaving me anxious to read it. Unfortunately I now know why it got the attention -- it is less a work of "history," as it promises in its title, and far more a work of anthropology tinctured with dashes of other social science -- sociology, psychology, etc. I do not mean to say it is unreadable or even ludicrous as many such books tend to be. Obviously there is a huge market for books which tell "history" by beginning with the ritual genuflections to Freud, Marx, and Darwin, as this one does. But what makes this book worthwhile is Keegan's willingness eventually to transcend the handwringing of why oh why do we make war and to get back to the far more interesting question promised by the title, viz. how have we made war. (I try hard not to be a cynic, but I truly wonder if one could get published these days without the foregoing rites of disgust.)

Detracting from the book's appeal to the general reader is its deliberate lack of a narrative format. It is instead organized topically as a textbook might be. But the pleasures of reading from cover to cover are not entirely gone. In his discussion of how the horse became vital to the conduct of warfare, for example, Keegan reflects on the historic connection between horses and kings and concludes with satisfaction that as potentates now (and always) display their wealth in horses, so it was the horse which was the ancient avenue to their riches in the first place. There is a poem in that thought.

A.J. Langguth, Patriots --

This is the best book I have read on the Revolution, though I must say that it was probably because of the author's ability to round out the personalities of the chief actors. Another reason may be that Langguth is, I believe, a newspaper journalist and his style had the easy readability that academic historians often lack. As I think about it, I would not be nearly so enamored of this book had it been the first I had read on the American Revolution; but as a companion to the more detailed and thoughtful books of my college days, it was superb.

A.J. Langguth, A Noise of War --

I enjoyed Langguth's history of the American Revolution, Patriots, because it was popular history all the way. For that matter, although I was obviously familiar with the actors, Langguth humanized them in ways that had previously eluded me. He does much the same thing here, though his technique is somewhat different.

In Patriots, each chapter was devoted to one famous man; in A Noise of War the chapters rotate chronologically among the three Romans whose history is intertwined in this book: Caesar, Pompey, and Cicero. My chief surprise is how familiar I was with the material Langguth relies upon, at least as regards Caesar. Looking back over my book reviews, I see that I have had many encounters with Caesar's biography. And since all biographies will generally deal with the other great men of the time, the roles of Cicero and Pompey were also not unfamiliar. But it is perhaps a flaw of mine that I am as interested in the personal qualities of a famous man as I am in what he did exactly.

And though I have come to some tentative conclusions about Caesar in this respect -- and even some opinions about Cicero -- to me Pompey has always been something of a cartoon. This is not an accident. Caesar and Cicero in their own ways were accomplished self-publicists. As far as I know, Pompey wrote nothing, and so he is destined to be seen through the eyes of others, particularly his more literary contemporaries Caesar and Cicero. Generally he is off stage, threatening to bring on his army. "If I stamp my foot anywhere in Italy," he is said to have commented, "armies and cavalry will rise up in support of me." And at another time, when he sought a triumph as a young man, "More people worship the rising than the setting sun."

Langguth quotes these and several other anecdotes about Pompey -- including the comic conclusion to his first triumph when his elephants couldn't get through the gate to the city and he had to dismount and take a horse. But Langguth also reminds us that Pompey was incurably uxorious and actually quite an effective general in his younger days. Otherwise, there appears to be nothing unique in Pompey's story. He was a successful (and cruel) general who did not have the knack for politics and was eventually shown to have feet of clay. Like both Cicero and Caesar, his death was a betrayal, but unlike Caesar's, it was also anticlimactic.

Erik Larson, The Devil in the White City –

This book could be called a “true crime” story about a serial killer in Chicago at the time of the 1892 World’s Fair. But it isn't really a book at all. It is more likea duplex, two side-by-side stories in the same neighborhood otherwise having nothing to do with each other. Neither story would be able to stand as a book on its own. Since it is a purported “history” with something of a plot line, the writer’s speculations are minimal and inoffensive, but overall the writing is padded and formulaic. Why did I read this? Duty. It was a gift.

John Lucaks, The End of the 20th Century And the End of the Modern Age –

“History does not repeat itself,” grouches Mr. Lucaks, and then goes on with a deterministic view of history that appears to put most of the evidence on the other side. This is not to say that this historian-emigre is uninformed. But he does have that invincible European view that, after all, Americans are just on the J.V. when it comes to understanding the bigger things and people like him are anointed to bring us all the details.

Much of the book is delivered with an exasperated sigh over the naivete of American views coupled with the author’s unprovable recollections of what he predicted just in advance of an historical event that proved him right. The historical events in question for the most part are the events leading up to and just following the collapse of communism in 1989, as a predicate for which Lucaks assembles certain historical data (and anecdotes). Again, I don’t mean to challenge the wisdom of most of what he says, but he has a way of announcing his observations that make them sound more like insights than the commonplaces that they are. (At times his style is so sententious that I felt as though there was going to be a final examination on the last page of the book.) And it does seem contradictory to me that he should give Gorbachev so much credit for the Russian retreat from its untenable hold over eastern Europe while at the same time arguing both that it was untenable anyway and that the American determination to force the issue was irrelevant.

Lucaks shares with many other intellectuals an impatience with those whose views might eclipse his own. In particular, he more than once he takes a swipe at Arthur Koestler whose name will probably be remembered long beyond his. And if this book is any indication, that would be for good reason. Because this is not really a book at all, although it begins deceptively enough as though it might be one. But soon enough it is clear that it is just a lengthy and repetitive patchwork of thoughts put together in the early 1990's with the title providing a theme of sorts. It is not long before we have fragmentary thoughts – “in the form of a diary” – presumably occasioned by the author’s trips back home to Hungary, his service on the Schuylkill Township Planning Board (he is an American Green), occasional reminiscences on his past triumphs, etc., etc.

Of all the recurring arguments in the book, the one that seems to make the most sense is Lucaks’s notion that the age of “states” is waning and that the world will see its future struggles couched more in terms of nationalism (which he makes clear is the opposite of patriotism). The examples that he uses are virtually all European, and in particular central European. For any American reader like me, this is likely to be a novel perspective, but it is completely defensible given Europe’s historical influence on what the world is doing at any particular time.

And Lucaks makes it clear that for him it is really central or eastern Europe which is the bellweather. Among many other things, it is the basis of his argument that the age of seapower is over and the age of land power is returning in a way that we haven’t seen since pre-Columbian times. Apart from the merit of this point of view, which I have my doubts about, it is the occasion for Lucaks to give some thumbnail histories of areas that Americans pay little attention to, such as the recent political history of Czechoslovakia (or rather of the Slovaks and the Czechs).




             A.T. Mahan, The Influence of Sea Power Upon History, 1660-1783 — 
In the fullness of life, anyone who hopes to think of himself as an educated person will eventually read this book, which is a sound and erudite brief in favor of decisive naval superiority in a giddy world. From its original publication in 1890, The Influence of Sea Power was widely read and admired, became internationally influential in the run-up to World War I[1], and is still consulted today.

Although its full title sounds as though it had been a term paper assignment, Captain (later Admiral) Mahan primarily confined his analysis to the maritime history of Europe and the Americas. And so if things have changed in the 125 years since its publication, a reader is advised not to view it as a prediction of the future — except perhaps insofar as the lessons of the past are latent but potent.

            Yet nothing about this work makes it particularly congenial to the modern reader either. It is not a "popular history" as we understand that phrase in the 21st Century. In its organization it often resembles a textbook: fourteen tightly organized (and often lengthy) chapters, marching more or less chronologically forward from the Anglo-Dutch wars of the 17th Century to the strategic situation following the culmination of the American Revolution. Furthermore, lay readers who find themselves deeply engaged, from time to time may be unfamiliar with some of the nomenclature. We struggle, for example, to keep in mind references to such things as the "weather gage" (a good thing, apparently) and the "lee gage."


At the outset I should emphasize that by "sea power" Mahan refers to both its military and commercial aspects[2]. By itself, the 90-page first chapter could almost be a book of its own. It is entitled "The Elements of Sea Power" and gives serious attention not only to six "General Conditions" (● geographical conditions, ● physical conformation, ● extent of territory, ● population, ● national character, and ● government character and policy), but also to some quite specific reflections on the dangers of American weakness vis-à-vis sea power (e.g. inadequate contemporary defenses of the Chesapeake, Delaware Bay, and the southern sounds).


            As for sea power, it is a "quiet, steady pressure" and hence it is "the more likely to be unnoticed and must be somewhat carefully pointed out." It requires the foresight of governments at home as much as it does the brilliance of any given sea admiral. So Mahan begins in 1660, a year of no major maritime significance, but heavy with events carrying profound implications for the next half-century and fraught with European conflict and American consequences. Politically, this was the year of the English Restoration when its reinstituted monarchy was still untested and its trade and economy had fallen into decline. The Dutch, meanwhile, newly free of Spanish dominion, were enthusiastically improving their sea trade into a position of superiority. And in France, Louis XIV was now to become "sun king" — which he would remain for more than a half-century of wars.


This starting point from which those wars would eventually be fought, won, or lost, requires Mahan to sketch the background of those three powers, including their different geography, history, and not least national character[3]. England and Holland both suffered from relative poverty of natural conditions, though the English were "drawn" to the sea, unlike the Dutch who were "driven" there. Holland, favored by the numerous rivers running through it from Germany, would die without the sea and turned to it chiefly because the poverty of the Dutch soil itself could not support its population without commerce. But with its new freedom and genius for trade, Holland had suddenly become a major European state with formidable merchant and military sea power. Meanwhile, England too was getting a fresh start after her civil war. Her rising manufactures encouraged many attendant wants, which, combined with her "restless activity," favored maritime enterprise.


France, by contrast, was and remains "a pleasant land with a delightful climate producing within itself more than its people needed." Though her geography is congenial to maritime adventure, her attention is rarely turned in that direction. She is predominantly a European land power such that in a sense all European coalitions in the 17th century were either enforced by or made in relation to French ambitions on land and little affected by France's idiosyncratic and normally superficial relationship with the sea.


1. The Anglo-Dutch War. Unless fought close to the shore, naval engagements will lack stationary landmarks (a hill, a river). That can hardly be a criticism of this book, of course, but inevitably a ship's or a fleet's most vital maneuvers during battle become somewhat abstract on paper, detracting not only from the verbal account, but also from the attempted mapping as well. For laymen, therefore, even Mahan's most detailed descriptions necessarily lack a third dimension — notwithstanding his copious supply of black and white triangles (ships) portrayed on a blank field, with an arrow or two to indicate the wind direction on the fatal day.


In compensation, throughout the book, the author has also liberally included numerous first-hand accounts of vivid recollections of the chaotic activity on deck (and which also frequently reveal the profound influence of good or mediocre leadership in times of crisis). This is the case from the beginning, meaning the Anglo-Dutch War of 1665-67, the first conflict to draw Mahan's attention. The so-called the Four Days' Battle of 1666 was "the most remarkable, in some of its aspects, that has ever been fought upon the ocean." On balance the Dutch are said to have been the victors in this early conflict. (Indeed, in 1667 the Dutch fleet even arrogantly sailed up the Thames as far as Gravesend and did a good deal of unanswered damage.)


In the sequel, however, the English were the true beneficiaries of the conflict, meaning the Treaty of Breda's transfer of both New York and New Jersey to England, thus knitting together the northern and southern American colonies. By then, France had also entered the picture and was looming menacingly over the Dutch provinces by developing its own naval powers. From this Mahan concludes that because of the fierce (but ambiguous) naval warfare of the two decades from 1660 to 1680, the Dutch "drove the carrying trade into the ships of England; allowed her [England] to settle peacefully Pennsylvania and Carolina, and to seize New York and New Jersey; and [Louis XIV] sacrificed to gain [England's] neutrality toward the growing commerce of France." All this principally because of France's failure to anticipate and exploit the future rewards of supremacy at sea.


2. French Naval Power. France's traditional attention to continental dominance on land compounded the drawbacks of its accompanying instinct toward taking the defense in maritime matters[4]. Mahan makes this point repeatedly. Toward the end of the 17th Century, for example, the administration of the English Navy had itself become conspicuously deplorable. But rather than seize the advantage, Louis degraded his own fleet, relying on little more than on a task force of cruisers acting — albeit quite successfully — as privateers preying on English trade. And yet overall the French had made a serious mistake by turning inward and going on the defensive. By 1697, the War of the League of Augsburg concluded to France's great disadvantage.


"France had made a gigantic struggle; to stand alone as she did then [] against all Europe is a great feat. Yet it may be said that as the United Provinces taught the lesson that a nation, however active and enterprising, cannot rest upon external resources alone, if intrinsically weak in numbers and territory, so France in its measure shows that a nation cannot subsist indefinitely off itself, however powerful in numbers and strong in internal resources. . . . France wasted away because of the want of that . . . constant exchange with other people which is known as commerce . . . ."


            3. Fifty Years of Sparring. French "commerce-destroying" strategy extended to — and beyond — the War of the Spanish Succession. It "characterize[d] nearly the whole of the 18th Century, with the exception of the American Revolutionary struggle." Between 1700 and 1788 there was no decisive encounter between equal forces at sea[5], and "[t]he noiseless, steady, exhausting pressure with which sea power acts, cutting off the resources of the enemy while maintaining its own, supporting war in scenes where it does not appear itself, or appears only in the background, and striking open blows at rare intervals, though lost to most is emphasized to the careful reader by the events of this war and of the half-century that followed. The overwhelming sea power of England was the determining factor in European history during the period mentioned, maintaining war abroad while keeping its own people in prosperity at home, and building up the great empire which is now seen; but from its very greatness its action, by escaping opposition, escapes attention."


This passage encapsulates more than 50 years of history and the essence of the Mahan doctrine. Although his summation of that half-century also has a certain dutiful aspect to it (because the players were essentially engaged in a land war), he draws two lessons. First, that the inevitable decline of Holland as a major power was owing to its geographical weakness and limited population, and second that every gain that he can assign to each of the other combatants in the War of the Spanish Succession — the overall significance of which he says was the greatest since the Crusades[6] — was inconsequential compared to "the gain of England of that unequalled sea power" by which she "controlled the great commerce of the open sea with a military shipping which had no rival."


Mahan does not deplore that comparative peace in the mid-18th Century, but he certainly draws out the consequences of repose. Large numbers of English seamen having been obliged to find civilian employment in commerce, the fleet was left so short-handed that it was diluted in skill by impressment of unqualified substitutes. "It is not possible, after a long peace, at once to pick out from among the fairest-seeming men who will best stand the tests of time and exposure to the responsibilities of war." Hence it was laxity that was most prominent at the dubious 1743 Battle of Toulon, an encounter which "tried men's reputation as by fire" and a lesson that a nation's men of arms must always have their minds


"prepared and stocked by study of the conditions of war in their own day, if they would not be found unready and perhaps disgraced in the hour of battle. It is not to be supposed that so many English seamen misbehaved through so vulgar and rare a defect as mere cowardice; it was an unpreparedness of mind and lack of military efficiency in the captains, combined with bad leadership on the part of the admiral  . . .  that caused this fiasco."


4. The American Revolution. The American Revolution, Mahan makes absolutely clear, was Britain's to lose. And yet given the author's general and recurring bemusement at French maritime calculations and maneuvers, it also seems fair for me to include his evaluation of Admiral De Grasse who ensured the American victory at Yorktown in 1781. Overlooking his earlier failures[7], De Grasse, he says, must be credited with "energy, foresight, and determination," listing


"[t]he decision to take every ship with him [thus making him independent of his colleague De Barras]; the passage through the Bahamas Channel to conceal his movements; the address with which he obtained the money and troops required, from the Spanish and French military authorities; the pre-vision which led him, . . . shortly after leaving Brest, to write to Rochambeau that American coast pilots should be sent to Cap Francais; [and] the coolness with which he kept [British Admiral] Graves amused until De Barras's squadron had slipped in . . . ."


Hard upon this generous account of De Grasse, Mahan also ventures a wider criticism of British sea power and strategy in the late 18th Century. It was, he says, clearly overextended around the world. He surveys the Channel, the East Indies, the Mediterranean, the West Indies, and of course North America. England in these times failed to assess the relative value of these various points and thus was obliged to squander its greatest asset, the navy, on defense instead of offense — particularly losing, as Mahan sees it, an offensive opportunity against the French in Newport Harbor. Putting it more strategically (since England in this period was actually in a wider war with the Bourbon dynasty), "as regards the objects of the war, the allies [France and Spain] were on the offensive, as England was thrown on the defensive."


5. India and the Caribbean. Coming 120 years after England's early, dubious struggles with Holland, the victory that the colonial Americans eked out over what had now become the world's naval superpower would for me have been the place to stop writing and to begin recapping. But Mahan is the historian of naval sea power and he was undoubtedly right in not seeing it that way. Yes, the Nile, Trafalgar, and the Napoleonic Wars in general really demand their own separate attention — a subject, however,  that does not go utterly unmentioned by him — but England's superior dominance at sea had no more ended at Yorktown than France's willingness to challenge it had been satisfied.


Chapter 12 therefore, is a very extensive account of the several French-English maritime battles (1781 – 1783) near India and Ceylon between Admirals Hughes and Suffern, to the latter of whom Mahan accords the highest regard. Suffren was so persistently intrepid and bold that his achievements eclipsed the superior British seamanship[8] in what eventually still became a losing French cause. But Suffren, just when he needed support, was inevitably betrayed by French pusillanimity at home, leaving only "his tenacity and fertility in resources . . . among the undying lessons of history." Likewise, Chapter XIII recounts the undermanned Rodney's unaccountable humiliation of DeGrasse in the Battle of the Saints in the Caribbean at a date more or less simultaneous with the culmination of the English maritime victory in India.


6. Summation. The Influence of Seapower is not a simple history of naval battles (though like any professional military man Mahan loves them with an unmatched fondness for their details), but is instead a broader and at the same time more modest scrutiny as promised in his introduction. It is written in unencumbered and straightforward English, which, if it leads to any longueurs, are less those passages describing the half-century of relative calm which I have referred to than the difficulty I have also mentioned in those recounting even the fiercest actions on a featureless sea. The most climactic battles are of much greater interest when given in context of the wiles and motivations of men such as Richelieu and Colbert, Duplaix, and William Pitt, the short-sightedness of land-based bureaucrats, and the follies of European princes.


Finally it has to be asked if Mahan has sustained his thesis. The fact that the book was of such influence around the world in its time argues that he did — and to repeat, he makes it clear that it is essentially a work of history[9]. And yet it is difficult in the early 21st Century at a time of instantaneous communications, intercontinental missiles, nuclear powered vessels,  and ubiquitous air travel, both military and commercial, to apply the lessons mechanically to current conditions. These are considerations of both tactics and strategy. As I write, China is building artificial islands in the South China Sea and North Korea is alarmingly close to launching nuclear weapons.


So I conclude by giving the author the last word.


"The harassment and stress caused to a country by serious interference with its commerce will be conceded by all. It is doubtless a most important secondary operation of naval war and is not likely to be abandoned till war itself shall cease; but regarded as a primary and fundamental measure, sufficient in itself to crush an enemy, it is probably a delusion, and a most dangerous delusion, when presented in the fascinating garb of cheapness to the representatives of a people." 


What is to be done?


           


[1] It is said that the Kaiser actually ordered all of his officers to read it.
[2] But in the end, Mahan is utterly emphatic that trying to maintain an inadequate thin line over an immense frontier simply to satisfy the importunities of trade is a flagrant violation of the principles of war.
[3] More than once Mahan talks about the qualities of a "sea-faring" people and how the absence of that quality foreshadows weakness. He gives one example close to home: the evident indifference of the Confederacy compared to that of the Union toward naval power — particularly noteworthy given the South's lengthy sea coast.
[4] A good defense, of course, is essential from time to time, but Mahan clearly leans in favor of offense (and, of course, speed). And here, amid his description of the tumultuous wars of Louis XIV,  Mahan is obliged to stop and reflect on the near, but unconsummated, greatness of the French admiral Trouville, the victor of Beachy Head (the day before the Boyne), and "the only great historical name among the seamen of this war." Trouville was a man of unrivaled courage, decades of experience, and a scientific knowledge of naval tactics. Mahan has obvious and genuine admiration for him and readily agrees with a contemporary commentator that Beachy Head "was the most complete naval victory ever gained." It was a complete victory Mahan repeats, but it also could have been the most decisive victory had Tourville pursued the allied fleet before it found cover in the Thames. "An enemy beaten and in flight should be pursued with ardor, and with only so much regard to order as will prevent the chasing vessels from losing mutual support . . . . " And so here is the rub — pursuit and decisive victory had not been Trouville's orders:
 
"[W]ith all these high qualities [Trouville] seems to have failed, where many warriors fail, in the ability to assume a great responsibility. . . . . He was brave enough to do anything, but not strong enough to bear the heaviest burdens. . . . He doubtless felt, after Beachy Head, that he had done very well and could be satisfied."
 
As I have seen it put elsewhere, Trouville was the consummate lieutenant but failed as a captain. Who of us would claim superior merit? Without making the point explicit, a few pages later Mahan compares Admiral Rooke's more or less unauthorized capture of Gibraltar in 1704, adding that "the same reasons would doubtlessly lead any nation intending serious operations against our [American] seaboard, to seize points remote from the great centres and susceptible of defence, like Gardiner's Bay or Port Royal . . . ." The point recurs a third time in reference to Admiral D'Estaing, whose "heart failed him" at the bar at Sandy Hook in 1778.
[5] An exception was the "grandeur" of the 1759 Battle of Quiberon Bay, which Mahan says was the "Trafalgar" of the Seven Years War.
[6] I would need another book to persuade me of this. 
[7] And not mentioning his blunders a year later in the Caribbean.
[8] Seamanship is the entire culture of a vessel put under the pressure of a battle or storm: "It is not only a question of actual damage received, which logbooks may record, but also of the means for repair, the energy and aptitude of the officers and seamen, which differ from ship to ship."
[9] But see his final pages of chapter 8, where his passion breaks out as he assesses the state of the world at the end of the Seven Years War – in particular the catastrophe of France and overwhelming ascendency of maritime England.
[10] But I also remember the admonition of Augustus: "Make haste slowly."




Alan Moorehead, The Blue Nile --

Had I not heard the title somewhere, it isn't likely that I'd have chosen to read this book. It turned out that I loved it and the book became an unexpected introduction for me to the fascinating history of North Africa from the time of Napoleon forward. In fact, as I write this, it amazes me how stupid I was about the subject and how eager I become to return to books on the area. The book also led me to other Moorehead titles, but so far, this one remains the best.

Alan Moorehead, Darwin and the Beagle --

My first (and best) Moorehead experience was The Blue Nile, which was so good that I decided to read whatever else was available. I eventually came to this book which is, as its title indicates, a fairly straightforward account of Darwin's trip which in time took him to the Galapagos Islands. To me, however, the most vivid passages describe a great earthquake which occurred while Darwin was passing through Chile.

Alan Moorehead, Cooper's Creek --

This book reminded me how new our world still is. At the time of the American Civil War, civilization was completely ignorant of what lay in the interior of Australia. (It was only a half-century earlier that Jefferson had felt compelled to send Lewis and Clark to see if there was a northwest passage; and the source of the Nile was to remain unknown for another few decades.) Moorehead's account is of the expedition of men who set out from Melbourne straight north to cross the continent. The ensuing story of hardship and mischance is depressingly familiar to anyone who has read of Mungo Park, the Donner party, Livingston and Stanley, etc., etc.

Tim Newark, The Barbarians, --

Mr. Newark is not an ungrammatical writer, but neither is he a very inspired one either. He has an irritating technique of using sentence fragments to underline a point. Rather like this. His book also gives off an occasional aroma of an editor with scissors and paste trying to make some logical narrative line out of unorganized material. The book itself is a popularized retelling of material which is largely available in Gibbon and more detailed scholarly works. The first chapter, which concerns the problems confronted by the early Roman Empire on the German frontier, obviously comes preponderantly from Tacitus. Elsewhere Newark calls attention to the Barbarians’ routine refusal to fight on horseback with bow and arrow (close in fighting was the hallmark of a valorous fighter) — a practice which carried forward for hundreds of years into the Middle Ages, frequently to the woe of the mounted European nobility during the Crusades. But for me, the book’s chief interest is the lurid 19th Century French etchings and drawings (and not a few cartoons) used as illustrations of imagined long-ago battles.

Freya Stark, Rome on the Euphrates –

Stark was a renowned travel writer of the 20th Century whose curiosity and years of travel led her to write this book on the historical implications of Rome’s many centuries of domination (or attempted domination) of Asia from the Mediterranean to the Euphrates valley.

She essentially begins with the Battle of Magnesia in 190 BC, presenting the historical facts in a strongly textbook-like fashion, lending verisimilitude, but lacking the warmth of a popular history. Then she will intersperse her own contemporary observations of the landscape or people of the region she has just written about, often including personal anecdotes. This approach, flawed because it interrupts what narrative flow there is, is nevertheless wonderfully idiosyncratic. Her descriptions of a river gorge or the unusual color of the Uxine fortified by her own personal remarks (Ernle Bradford does this in his own idiom), mitigate the forbidding recitation of unfamiliar potentates and battles which are the reason for much of the book.

This is not to say that the book is without a larger purpose. As I understand her, Stark views Rome’s presence in the area as anti-Hellenic and therefore destructive of the cultural institutions which flourished in the epoch following Alexander. As she sees it – although to my mind her argument is only feebly supported – the Hellenistic legacy was conducive of trade which opened an east-west conversation; Rome’s presence, by contrast, was military and tended to arrest that predisposition. (I am dubious about this. Alexander was nothing if not a soldier, and the immediate aftermath of his sudden death suggested less an imperium of trade than a free-for-all for power.)

Furthermore, although I have no doubt about the reliability of Stark’s research, the fact is that to the extent she tells a story at all, it is somewhat thin and is constantly fleshed out with extensive digressions – some of them quite diverting and insightful – about Rome itself, its emperors and local power struggles. From time to time there is a similar eastern anecdote as well, but even if these segments were of the same number as those concerning Rome and rigidly Plutarchian, the book falls down in the one area where the Dewey decimal system puts it: popular history. It is overwhelmed by subheadings, and not because it would qualify as a doctoral thesis. There was no time during my reading when I felt I was being propelled by an unfolding story (the chronology is non-existent). Indeed, the reader of this travel/history is no more than one more paying member of the party on the bus, signed on to an idiosyncratic sightseeing trip.

Suetonius, The Twelve Caesars --

I read the English translation by Philemon Holland dating from the 17th Century. It was like reading Milton, meaning that with effort you could understand everything that appeared on the page, but the effort sorely detracted from the simple pleasure of reading.

When I told Justice Fleming that I was reading Suetonius, he dismissed it as "tittle-tattle," which it surely is in various particulars. You cannot come away from this book without a strong sense of the depravity of Tiberius and Caligula, not to mention amazement at the indescribable personality of Nero. But in another sense, this is the chief value of Suetonius. He obviously had access to the imperial records and, though he may have had a political axe to grind, he at least gives some contemporary sense of the personalities he was describing.

Cornelius Tacitus, The Anals of Tacitus --

Reading can bring such wonderful surprises. In the middle of this history of the early empire from Tiberius through Nero, I found Tacitus sounding like Rousseau:

“Primitive man had no evil desires. Being blameless and innocent, his life was free of compulsions or penalties. He also needed no rewards; for he was naturally good.” [1] Not that this realist historian thereupon embarks on further speculation on the nature of man. His mission is truly reflected in his title: each year in Rome there were two new consuls (though some men were notable for multiple consulships) and close records were maintained of their administration. Since Tacitus himself was a consul about the turn of the century, he would have had access to the surviving anals of his predecessors.

I am aware that much of what I have described, and shall describe, may seem unimportant and trivial. But my chronicle is quite a different matter from histories of early Rome. Their subjects were great wars, cities stormed, kings routed and captured. Or, if home affairs were their choice, they could turn freely to conflicts of consuls with tribunes, to land — and corn laws, feuds of conservatives and commons. Mine, on the other hand, is a circumscribed, inglorious field.

By this he means that his duty is to describe the debauched regimes which he routinely characterizes as tragically debased from the earlier golden age of Rome.
It seems to me a historian’s foremost duty is to ensure that merit is recorded, and to confront evil deeds and words with the fear of posterity’s denunciations. But this was a tainted, meanly obsequious age.

Perhaps “golden ages” are more fictitious than real, but they provide a useful stimulus for commentators to give a critical view of more recent times. Tacitus, for example, does not hesitate to attack Tiberius at every turn. (He dwells repeatedly on his treatment of Germanicus’s family but gives minimal attention to the excesses that diverted Suetonius). And yet it is hard to escape a nagging feeling that even based on the internal evidence of Tacitus’s account, Tiberius was actually quite astute. On the other hand, nothing of credit is discernible in Sejanus, Tiberius’s ambitious subaltern. He evidently had an Iago-type quality (though Tacitus concedes that Tiberius was more cunning):
Of audacious character and untiring physique, secretive about himself and ever ready to incriminate others, a blend of arrogance and servility, he concealed behind a carefully modest exterior an unbounded lust for power.


Although Tacitus uses the consular anals as a framework, they never shackle him in delivering his story. He furnishes a completely modern and riveting account of the discovery of an assassination conspiracy against Nero. He tells of the catastrophic collapse of a privately constructed theater which appears to have killed over 50,000 people (perhaps the Romans weren’t such great engineers after all). He deplores Nero's Christian persecution (though he obviously had contempt for the “notoriously depraved” victims) and I believe the account of Nero's murder of his mother Agrippina does not appear in such detail in The Twelve Caesars. Equally vivid is the description of the fire that consumed so much of Rome during Nero's reign - including the obvious point that I had not previously reflected on, viz. that the fire must have destroyed irreplaceable works of literature and government records. Tacitus must have been a boy at this time, though I have no idea whether he was in the city when the fire occurred.

ENDNOTES

1. Actually, I believe that Lucretius, the Epicurean, expanded on man in a state of nature far more widely in On the Nature of Things.

Cornelius Tacitus, The Histories —

In Boswell’s Life of Samuel Johnson, the author says that for all of his merit, Tactius “was too compact, too much broken into hints, as it were, and therefore too difficult to be understood,” an opinion that Johnson seconded: “Tactius, Sir, seems to me rather to have made notes for an historical work, than to have written a history.” But the two of them read Tacitus in Latin, an avenue not open to me.

 

Alexis de Tocqueville, Democracy in America

(Vol 1, Arthur Goldhammer tr. Library of America)

(Vol 2., Henry Reeve, tr.)

 

Given how much has changed in the world – not least in France and America – since Alexis de Tocqueville published his first volume of Democracy in America about 190 years ago, it is remarkable how fascinating, relevant, and instructive it remains. Volume One is his description of what he saw in America, the character of its laws and citizens, their unique history, and their way of thinking. Volume Two uses America as an occasional example, but it is of broader application and noticeably more judgmental.

 

When Tocqueville wrote, both emancipation and the 4th amendment were 30 years in the future of the United States. The national government’s authority over interstate commerce had been proclaimed, but its effects had not yet begun to be felt. Women did not vote and the Senate was elected by state legislatures. In Europe, the Napoleonic wars were still alive in the memory of living adults. States which had been reconstituted at the Congress of Vienna were struggling for coherence. Although the ancient regime was gone forever, France had just lost its first republic and was again under a monarchy. Empires were ascendant (Britain) or in decline (Tukey). Freedom for Greece had recently seized many imaginations.

For the young Tocqueville, though, America was the cynosure for the future. As a young – very young – French aristocrat, he had secured permission to travel in this country which he did for a year and a half in the 1820s. He traveled in every section and made lasting friendships with many Americans, prominent and otherwise. He collected copies of statutes, ordinances, and state constitutions and then returned home to publish a profoundly detailed meditation on democracy. It’s hard to believe that he published Volume One when he was no more than 30 or 31 years old.

In scholarship, energy, and intellect, Tocqueville resembles James Madison, another precocious young man of wide reading and understanding about history and uses of government. But Tocqueville’s purposes, if not his occasionally ardent tone, are different. Democracy in America –- which not incidentally is expressly directed to a European audience – has a twofold objective.

First, Tocqueville says he will forecast to his reader the future of democracy in general, based on the short experiment furnished by the new United States. It is not a prediction of what will be, but what can be, if the lures of equality are avoided. More of this in a moment. His second purpose is much more far reaching. He harbors, he says, “a kind of religious dread” of this gradual development of social equality in the Christian world. But since it is inevitable and comes by “Divine decree,” to attempt to check it would be “to resist the will of God.” This is “the great political problem of the time.” And so with a tincture of regret he concludes that the first duty of all contemporary leaders  

“is to educate the democracy; to warm its faith, if that be possible; to purify its morals; to direct its energies; to substitute a knowledge of business for its inexperience, and an acquaintance with its true interests for its blind propensities; to adapt its government to time and place, ad to modify it in compliance with the occurrences and the actors of the age.” 

Because we can conclude that Tocqueville has actually fulfilled his mission, we can see why Russell Kirk wrote that he was “the best friend democracy ever has had, and democracy’s most candid and judicious critic.” Note that Kirk does not say that Tocqueville was America’s best friend; his emphasis is on the Frenchman’s role as critic.

Weakness of Democracy.

Reviewing the weaknesses of democracy, Tocqueville is not hesitant. Democracy is more inevitable than wonderful. It is often an ineffective instrument, for example in the conduct of foreign policy and in its enactment of transient legislation. It is subject to the very real dangers of majoritarianism. (Tocqueville’s examples of the latter are uncomfortably like what can be seen in the contemporary American academy.) But democracy’s virtue is really what Tocqueville calls its “secret tendency” to turn even the private vices of elected officials to the common prosperity – because they have an idea of re-election. The “true” advantages of democracy are not the arts and the elevation of the human mind (which can be expected to suffer) but rather the production of comfort and the private benefits which are the by-product of American democracy’s energy and restless activity.

Nor does he blink the disadvantages. The boundlessness of the land presses men on and on, seeking a greater fortune, “but happiness they cannot attain.” It is no more than a game which is only pursued for the excitement of chance.

Exceptionalism.

America, he says, simply has to be seen to be believed. Everyone is involved in a stunning tumult of public affairs; political agitation is only an episode of a much wider universal activity fortified by unbounded economic optimism. Obviously there were several other democratic examples (Switzerland, etc.), but America displays countless novelties, including the “momentous” difference that the United States alone permits the federal government to execute its own enactment and that “the subjects of the Union are not states but private citizens

Lay of the Land; Culture.

The Land and Its Natives. Tocqueville’s awe at North America’s physical immensity is always present and a regular backdrop to many of his most acute observations. As he sees it, it is the broad American territory, bestowed by God, which is the key to remaining free and equal. He marvels at the landscape, embraces it lovingly, and yet betrays a sense of indecision as well. On one page he tells of finding an abandoned cabin on a wooded isle on an upstate New York lake, once again overtaken by the forest. “[A]nd when I was obliged to leave that enchanting solitude, I exclaimed with melancholy, “Are ruins, then, already here?’

“In what part of our human condition can be found anything at all similar to that which is occurring under our eyes in North America? . . . . Everything is extraordinary . . . . , the social condition of the inhabitants, as well as the laws; but the soil upon which these institutions are founded is more extraordinary than all the rest. . . . [When] North America was discovered, [it was] as if it had been kept in reserve by the Deity, and had just risen from beneath the waters of the deluge. [¶] That continent still presents, as it did in primeval times, rivers which rise from never-failing sources, green and moist solitudes, and fields which the ploughshare of the husbandman has never turned. In this state, it is offered to man, not in the barbarous and isolated condition of the early ages, but to a being who is already in possession of the most potent secrets of the natural world, who is united to his fellow-men, and instructed by the experience of fifty centuries. At this very time thirteen millions of civilized Europeans are peaceably spreading over those fertile plains . . . . Three or four thousand soldiers drive the wandering races of the aborigines before them; these are followed by the pioneers, who pierce the woods, scare off the beasts of prey, explore the courses of inland streams, and make ready the triumphant procession of civilization across the waste. . . . .[¶] . . . . [T]he European leaves his cottage of the transatlantic shores; and the American, who is born on that very coast, plunges in his turn into the wilds of central America. . . . Millions of men are marching at once towards the same horizon; their language, their religion, their manners differ, their object is the same. The gifts of fortune are promised in the West, and to the West they bend their course.”[1]

In his opening chapters, Tocqueville comments briefly, but trenchantly, on the American Indians who inhabited the land before European settlement. He calls them “children of the woods.” “There was nothing coarse in their demeanor; they practiced an habitual reserve, and a kind of aristocratic politeness.” And yet, he says in sadness,

“[t]heir implacable prejudices, their uncontrolled passions, their vices, and still more perhaps their savage virtues, consigned them to inevitable destruction. The ruin of these nations began from the day when Europeans landed on their shores . . . . They seem to have been placed by Providence amidst the riches of the New World to enjoy them for a season, and then surrender them.”

Civilization will not come easily to nomadic men who live by the hunt, particularly when they regard labor as disgraceful.

But he is equally scornful of the comforting and ultimately elusive English legalisms by which the Indian was repeatedly victimized. In fact, although the tone of Democracy in America is uniformly measured and thoughtful, Tocqueville permits himself one sarcastic note when he deals with the intractable Indian/European confrontation. He says that once even one or two settlers’ cabins have been established in the wilderness, even miles apart, the game will soon leave and the Indians begin to starve.

“Properly speaking, therefore, it is not the Europeans who drive away the native inhabitants of America; it is famine which compels them to recede; a happy distinction which had escaped the casuists of former times, and for which we are indebted to modern discovery!” 

Anglo-Americans. This is but a prelude to Tocqueville’s point that America’s customs and laws are the direct result of what he calls the original “angle-Americans” whose experience is central to his analysis. The earnest New England community, composed chiefly of educated middle class emigrants, was from the beginning a democracy “more perfect than any which antiquity had dreamt of.” The mother country was not displeased with the success of the venture, but in the case of the New England states, it did not even legally recognize them as colonies until 30-40 years after their founding.

To Tocqueville, this was of the utmost significance. For a generation, these more or less socially-equal New Englanders were on their own in the wilderness during which they enacted laws and exercised their rights of sovereignty based almost exclusively on Biblical references. In short, the laws of a “rude and half-civilized people [were] thus applied to an enlightened and moral community.” And thenceforth in America religion became the road to knowledge; “the observance of the divine laws leads man to civil freedom.”

            Laws, Etc. It is of surpassing importance to Tocqueville that the rigorous American community standards were originally enacted by the township, which had been organized before the county, “the county before the State, the State before the Union.” He is struck by the pervasiveness of local independence in all parts of the Union and how such local administration is enforceable by the local judiciary.

From the beginning, America was possessed of “two of the main causes of internal peace; it was a new country but it was inhabited by a people grown old in the exercise of freedom.” We are, he says, at the same time both “uninstructed” and “learned,” a condition which he calls the product of “easy circumstances.” Even the isolated pioneer in his log cabin is “a highly civilized being who consents, for a time, to inhabit the backwoods, and who penetrates into the wilds of the New World with the Bible, an axe, and a file of newspapers.” Everyone has a profession, rich men were formerly poor, and science is but another branch of business. The taste for intellectual pleasure does not pass from one generation to the next.

These are the sounds of what is now called American “exceptionalism” for which on virtually every page Tocqueville states the reasons and the facts.

                        Civic Institutions. Against this background the author methodically reports on the Americans’ civic institutions. From first describing the colonial governments he leaps immediately to the Constitution (skipping both the Declaration and the Revolution), observing in passing however that the decision to jettison the Articles of Confederation was a “lofty pinnacle of glory,” an unprecedented moment in which the central government

“abdicated, as it were, the empire of the land [and instead turned] a calm and scrutinizing eye upon itself . . . and patiently wait[ed] for two years until a remedy was discovered which it voluntarily adopted without having wrung a tear or a drop of blood from mankind.”

As for the Constitution, Tocqueville describes each branch of the federal government, bestowing plenty of frank praise and, where he feels it called for, some sober misgivings as well. (An example of the latter is his view that the president should have been limited to a single term in office since the prospect of re-election necessarily introduces a popular and transient distraction to what should be loftier objectives.)

The Courts. Although Tocqueville repeatedly remarks on America’s “eminently democratic” social manners and laws (e.g. the abolition of primogeniture), he does allow that from beneath the surface “the old aristocratic colors sometimes peep.” As an example, he refers to the legal profession and its Anglo-Saxon love of precedent, which he likens to an “occult science.” The conservative impulse is only extended by judges and in a footnote the author warns against there being too many judges: 

“When judges are very numerous, many of them must necessarily be incapable of performing their important duties; for a great magistrate is a man of no common powers; and I am inclined to believe that a half-enlightened tribunal is the worst of all instruments for attaining those objects which it is the purpose of courts of justice to accomplish.”

As with several other respects, Tocqueville overlooks the significance of the third federal branch, particularly in decisions like Gibbons v Ogden which led to a very strong central government, as opposed to the one he predicted, “constantly losing strength.”

I remember well from my undergraduate days the attention which was called to Tocqueville’s remark that sooner or later any public question in the United States ends up in a court of law. He is genuinely struck by this aspect of our society, particularly the right of courts to judge the transgressions of the agents of the executive branch on even the most petty matters. But he also remarks upon the conservative impulse which is served by the notions of precedent (“American lawyers investigate what has been done; the French advocate inquires what should have been done”) and particularly the enormous impact of the civil jury system. A jury, he says, is charged with execution of the laws, in effect almost an ad hoc branch of the government. In civil cases, it communicates

“the spirit of the judges to the minds of all the citizens . . . . It imbues all classes with a respect for the thing judged, and with the notion of right. It teaches men to practice equity; every man learns to judge his neighbor as he would himself be judged. The jury . . . invests each citizen with a kind of magistracy; it makes them all feel the duties which they are bound to discharge towards society . . . . By obliging men to turn their attention to affairs which are not exclusively their own, it rubs off that individual egoism which is the rust of society.”

            Contemporary Politics. There was no reason for Tocqueville to take sides between Hamilton and Jefferson. His first trip to America was when Andrew Jackson was president, a fact which he uses to record his sour view of Old Hickory. With the founding now past, he remarks, it can be seen that the best men are less often placed in the top ranks of American government. The electorate has become impatient with minor irritations and willing to succumb to a “mountebank who knows the secret of stimulating its tastes.”

In retrospect, however, he says that the Federalists’ custody of the national administration in the beginning of the republic was exceedingly fortunate. “[T]hey resisted the inevitable propensities of their age . . . [and] gave the new republic time to acquire a certain stability . . . .” Beyond that, he also acknowledges the tension between aristocratic and democratic passions which are at the bottom of all parties.

In general, he was an admirer of the implications of the federal system. Comparing the United States to the diffuse pre-Bismarck states of Germany, he says that no nation can be secure and prosperous without a powerful central government. In this he mitigates somewhat his admiration of  the robust local government he witnessed in the United States insofar as it gives rise to a danger which in “its vigor, and not its impotence,” will probably be the cause of its ultimate destruction” because such a diffuse government “gradually relaxes the sinews of strength.” If the “directing power” of the Americans (i.e. the people)

“after having established the general principles of government . . . descended to the details of public business; and if, having regulated the great interest of the country, it could penetrate into the privacy of the individual interests, freedom would soon be banished from the New Word.”

And yet the diffusion of administration (as opposed to centralized government, which perpetuates “a drowsy precision”) is a strength which also mitigates against tyranny.[2]

            But he was quick to see the errors of John C. Calhoun and the possible structural weaknesses which Calhoun sought to exploit. Hence, he criticizes the aloofness of the New England states at the time of the War of 1812[3] and when he explicitly considers Calhoun’s nullification doctrine, he goes right to the point: if followed to its natural conclusion, it would “destroy the very basis of the Federal Constitution.” He also made the following plausible remark about the Constitution, which had to be corrected by a later Civil War and the wisdom of Abraham Lincoln.

“The Union was formed by the voluntary agreement of the States; and, in uniting together, they have not forfeited their nationality . . . . If one of the states chose to withdraw its name from the contract, it would be difficult to disprove its right off doing so; and the Federal Government would have no means of maintaining its claims directly, either by force or by right.”

Here is a critical reason why he should have paid greater attention to the inherent meaning of the Declaration of Independence, written when a people (“our fathers”) were creating a nation and before there were states.

            The Future. Whatever greatness is to be in America’s future, Tocqueville would say is most dependent on first its laws[4] and second its “manners,” both of which he rates of much greater significance than the exceptionalism mentioned above, manners being chief among the three. (Since Democracy in America was published only 15 years after the Missouri Compromise and 25 years before the Civil War, Tocqueville could obviously not anticipate and comment on this most decisive moment of American history apart from the founding itself. But he certainly makes some pregnant comments:

“If all the citizens of the State were aggrieved at the same time and in the same manner by the authority of the Union, the Federal Government would vainly attempt to subdue them individually; they would inevitably unite in a common defense . . . and an organized portion of the territory might then contest the central authority.”

Eventually this happened, of course, but to Tocqueville it was no more than hypothetical.

Slavery. No one can get everything right. Tocqueville’s views on slavery are not particularly prophetic or insightful. Inaccurately he foresaw a successful servile rebellion and although he doesn’t completely ignore the immorality, injustice, and human pain of slavery, his chief criticism is that the servile system is a drag on the country’s natural prosperity. He views the entire system as based on faulty economics.

                        Politics. Tocqueville’s observations about factionalism can be compared to Madison’s. He distinguishes between “great” political parties, which “cling to principles more than to their consequences,” and parties which are “minor.” The latter, he says, “glow with a factitious zeal; their language is vehement, but their conduct is timid and irresolute. . . . Society is convulsed by great parties, by minor ones it is agitated.”

Factions depend on freedom of association, an American right which is “almost as inalienable as the right of personal liberty.”[5] But when the faction is a minority, he says its first mission is to demonstrate numerical strength, “and so to diminish the moral authority of the majority[6]; its second mission is “to stimulate competition, and to discover those arguments which are most fitted to act upon the majority.” This is all to the good he thinks, and (with America’s native prosperity) it mitigates against the potential of violence, which is the direction taken in Europe.

                        Religion. Tocqueville was among the first of foreign observers to call attention to America’s peculiar interweaving of what he calls the spirit of religion and the spirit of liberty. He knows that elsewhere, in his native country, for instance, they are often at swords’ points. But in America he finds them “admirably incorporated and combined with one another.” And yet, when he later expands on the religious spirit – which he does at length – he ventures one of his periodic warnings, viz. that without such a spirit in a democracy, society would not escape destruction since moral ties must be strengthened “in proportion as the political tie is relaxed.”

            Similarly, Tocqueville is also struck by the unique civic piety in the America of that time. “[P]atriotism is a kind of devotion which is strengthened by ritual observance.” Whatever the denominational religion of any given citizen, it is essentially “republican, since it submits the truths of the other world to private judgment” (definitely a Protestant notion). Indeed, within a few pages he acknowledges that more than liberty, it is equality which is the “idol” of Americans.

                        Equality. The religious implication of the word “idol” is neither accidental nor complimentary. Tocqueville is extremely dubious about equality and approaches it almost as a genetic blemish destined to doom the entire young republic. Although it is the feature which “most sharply distinguishes the American people from all others today,” he says in sadness that it allows everyone to entertain avaricious hopes of material success while simultaneously limiting their individual strength by leading to universal competition. “Freedom” people can enjoy in varying degrees, but to their woe they also insist on perfect equality.

Equality is a “depraved taste . . . which impels the weak to attempt to lower the powerful to their own level, and reduces men to prefer equality in slavery to inequality with freedom.” By contrast, he sees the American Revolution, as “the result of a mature and dignified taste for freedom,” which is a different matter. He aims to show that democracy can be managed in such a way as to allow people to continue free.[7] And yet it is startling that the author gives no consideration to the Declaration of Independence, the American nation’s first and most perfect expression of equality.

                        The Press. In America, it is a principle of the republic that the press, though often in the hands of scoundrels and prevaricators, must remain free. Tocqueville himself betrays a certain Gallic scorn towards its practitioners. He approves press freedom “more from a recollection of the evils it prevents than from a consideration of the advantages it ensures.” But it is “an instrument of liberty.” He does not express the press’s most maddening feature, the unmerited condescension it shows towards its readers, but he does notice the obvious fact, still true today, that three-quarters of what is printed is “filled with advertisements, and the remainder . . . frequently occupied by political intelligence or trivial anecdotes.”

            And now Volume Two.

Alexis de Tocqueville, Democracy in America

(Vol 2., Henry Reeve, tr.)

If there are still thinkers who are disposed and able to write a treatise in two or more volumes and still find a publisher, they are few in number. Surely the demands of commerce (not to mention the modern attention-span) dictate otherwise. This is probably to the advantage of readers like me who, although we know there is no possibility of reading everything worthwhile, still harbor some vague hope. But meantime we have lost the personal idiosyncrasy and leisurely sagacity found in writers like Montaigne or Gibbon. Tocqueville is of that tribe – though somewhat more disciplined (and less lively) than Montaigne.

Five years after Volume One, Tocqueville published this second, complementary volume, of Democracy in America. This effort is somewhat more didactic and occasionally more critical than Volume One, but his style remains amiable and thoughtful. Where it lacks the intimacy and enthusiasm of the personal experiences which defined Volume One, Volume Two benefits from a more mature consideration of the many subjects that cross the author’s mind.

                        Equality Revisited. Of those subjects, Tocqueville’s chief concern is again the concept of equality in a democracy, this time particularly in respect to contemporary Europe. He is looking, he says, for “lessons from which we might profit.” Hence the attention which he periodically gives to the United States in Volume Two is interesting, but now America is chiefly mentioned in counterpoint. For unlike America, Tocqueville says, equality (though not democracy) had been a fact of European life long before the recent eruption of political liberty.  The United States, by contrast, was a land in which freedom had been the unmistakable, undoubted first condition. The manners of its citizens, to borrow Lincoln’s phrase, had been “conceived” in liberty and Americans therefore primed to confront as much as embrace the dangerous passions of equality.

            Tocqueville never needs to say outright that he is scornful of equality and centralized government, but as a born aristocrat, he is. (I should add here that his book is necessarily also a sturdy description of aristocracy, including what the author sees as its imminent decline.) Equality, in his view, is like slavery unnatural to civil society. Its chief benefit, as he sees it, is that it places and “obscure notion of . . . political independence in every man’s heart,” but with the perverse effect of diverting men’s’ attention.

“[When] the barriers that once separated citizens are finally knocked down[,] . . . men swoop down upon equality as upon conquered spoils and cling to it. . . . [¶]. . . [Democratic peoples] want equality in liberty, and if they cannot have it, they want it still in slavery. They will suffer poverty, servitude, and barbarity, but they will not suffer aristocracy.”

Any central government which, as long as it has emanated directly from the people – the situation which Europe was only now confronting – is consequently seen to have a utopian duty and right “to take each citizen by the hand and guide him.” Thus, as people defer to state charity and state education, diversity and liberty slowly vanish. Men slowly lose sight of the fact that nations have a variety of interests to conserve and that it is not always best to insist on uniform application of the law to every city, family, and individual.[8

            Moreover, equality brings with it a negative effect on religion. It may enlarge men’s general view of both themselves and God’s comprehensive design for them, but otherwise equality “dries up most of poetry’s former sources” and over-simplifies religion – if it does not undermine it altogether – by “distract[ing] attention from secondary agents and focus[ing] it primarily on the sovereign master.” In times of equality  is likely to be spurned by them.”  In times of equality, any centralized religious authority is likely to be spurned and men will gravitate toward skepticism and even pantheism. Without the morality of religion (aristocracy’s most precious legacy) there can be no freedom 

“the only effective way for governments to honor the dogma of the immortality of the soul is to act every day as though they believed in it themselves. And I believe that it is only by conforming scrupulously to religious morality in great affairs that they can boast of teaching citizens to know it, love it, and respect it in small ones

Otherwise, “[e]quality places men side by side without a common bond to hold them together.” As a result, he concludes, a step toward equality is a step toward despotism. A society which succumbs to equality’s allures will be degraded unless it is simultaneously fortified by both religion and a rigorous freedom. It would merely be an equality of ignorance.

            I have said in respect to Volume One that Tocqueville gives scant attention to the Declaration of Independence and at one point appears to see the American founding in terms more reminiscent of Calhoun – i.e. as an action by the individual states – than as by free and equal individuals. Tocqueville did not live long enough to consider Lincoln’s insistence that equality of creation was the founding “proposition” of America. When Tocqueville dilates on equality, he simply does not understand it on the level that Lincoln did (which Tocqueville might have called at most “a poetic idea”). In his view of America, mixed with the abolition of primogeniture and the subdivision of great estates, mere equality would produce a “low, dark, and airless place.”

            And yet this did not happen in America, Tocqueville says, because Americans are already “enlightened” (a word he uses repeatedly). But it is a Lockean enlightenment of self-interest. Americans are never content with their present fortune and constantly work to improve it.[9] Unlike an aristocracy, in a democracy over time there will eventually be fewer wealthy families, but more wealthy individuals. “Natural inequality will soon declare itself, and wealth will shift on its own to the most highly skilled.” The more wealthy, he predicts, will eventually be led to indulge in more refined natural pleasures. This taste will even ultimately filter down to others. This is the voice of a converted aristocrat talking

                        Another Look at Central Government and Courts. Centralized government in a democracy is the other subject which dominates Volume Two. On this topic, Tocqueville becomes particularly ardent and ultimately despondent – not least because the sovereign in such circumstances can be expected to spread out such a “fine mesh of uniform, minute and complex rules through which not even the most original minds and most vigorous souls can poke their heads above the crowd.” It will be a mild, peaceful servitude.

            For a reviewer, there are too many observations on this subject of centralized government to take note of. But one or two remarks about the value of courts are worth enlarging on. As arbiters, courts adjudicate disputes in two general areas: first, between private citizens, and second between citizens and their government. It is the second area in which an independent judiciary is essential, even in matters of petty disputes. For example, when a government sets up a special tribunal to decide what it calls “administrative” disputes between itself and its citizens, without being accompanied by an effective appeal process to an independent tribunal, all that has occurred is the placing of “an image of justice” between itself and the individual citizen. Now the reasons for establishing such inferior bodies are all too plain. The subjects which they deal with are, in a word, boring, and the stakes are often de minimis. Judges are not eager to make a career in, say, evaluating the procedural fairness of licensing bodies.[10]

            Next, there is a strongly salutary element in the formality of courts as a counterbalance to the effects of equality:

“Men who live in democratic centuries do not readily comprehend the utility of forms. They harbor an instinctive distain for them. .  . . Since they ordinarily aspire only to facile and immediate pleasures, they hasten impetuously after the object of each of their desires. The slightest delay plunges them into despair. . . .

“Yet the very inconvenience of forms about which men in democracies complain is what makes them so useful for liberty, their principal merit being to serve as a barrier between the strong and the weak, the governing and the governed, showing the former while allowing the latter time to take his bearings. The more active and powerful the sovereign is and the more indolent and debilitated private individuals become, the more necessary forms are. Thus democratic peoples by their very nature have greater need of forms than other peoples, and by their very nature they respect them less.”

Meanwhile, the American tendency to innovate, as Tocqueville sees it, grows directly from the democratic impulse for profit and fame. The advantages are obvious, but the practice leads away from theory, and theory must always be at the center of a great people.

“If the sources of our enlightenment were ever to die out, they would dwindle gradually, like a flame left unattended. If we were to limit ourselves to applications, we might lose sight of principles, and when we had forgotten principles entirely, we would make poor use of the methods derived from them. .  . [¶] Hence we must not reassure ourselves with the thought that the barbarians are still far from our gates . . . .”

                        Women. Toward the end of Volume Two, Tocqueville offers a chapter on the equality of man and woman in America. It is not without interest, but he ends it with a flourish, that the primary responsibility for America’s prosperity and growing power is “the superiority of their women.” There is a certain Gallic charm in the gesture, but in light of what has gone before, no American feminist today would take it as more than lame.

                        Letters. Of particular interest to me are Tocqueville’s remarks on America’s literary arts. When he wrote and published, the only American writers of note were Fennimore Cooper and Washington Irving, neither of whom he mentions. America was still in thrall to writers from the old country, e.g. Walter Scott. But given time, Tocqueville says, America will develop its own character of “industrial” literature.  The American reader will require “surprise and novelty, . . . intense and rapid emotions, sudden illuminations and glaring truths.” Their appetite for such productions will make rich men of mediocre authors.

“Form will usually be neglected and occasionally scorned. Style will frequently seem bizarre, incorrect, exaggerated, or flaccid and almost always seem brazen and vehement. . . . An uncultivated, almost savage vigor will dominate thought, whose products will frequently exhibit a very great variety and singular fecundity. Authors will seek to astonish rather than to please and to engage the passions rather than beguile taste.”[11]

On the way to this destination, however, there will be a splendid but fleeting moment when “the literary genius of democracy [will] encounter[] that of aristocracy and the two seem to want to reign in harmony over the human spirit.” (Although we read Tocqueville to learn about democracy, he has much to tell us about aristocracy as well.)

And here the author takes a sharply serious turn. The literature of a democracy is almost the antithesis of the writings of classical times in which a writer’s aspiration was for “ideal beauty.” But the study and understanding of such serious writings – he is not specific about who he means – is entirely too volatile for “a people’s literature.” Thence follows this Platonic passage:

“To insist on teaching only belle-lettres in a society where everyone was habitually driven to increase or maintain his wealth by the most vigorous of means would be to produce very polite and very dangerous citizens. On account of their political and social state they would daily experience needs that their education never taught them how to satisfy, and they would therefore invoke the Greeks and Romans to sow trouble through their industry. ¶ It is obvious that in democratic societies individual interest as well as the security of the state requires that the education of the majority be scientific, commercial, and industrial rather than literary.”[12]

            This passage, by the way is given differently in Reeve’s translation[13], and I must say that the two also differ in translation of the neighboring chapter titled “How Democracy Has Changed the Language.” Goldhammer translates a passage thus: “A democratic writer will speak easily of ‘capacities’ in the abstract . . . .”; while Reeve translates it “A French democratic writer will be apt to say capacities in the abstract.” So are we talking about Frenchmen or not? Reeve was evidently sensitive to the choice he made, because he drops a lengthy footnote a moment later to explain that he felt compelled to retain “the phrase of the original” because of a difference in the national characteristics of France and England. I do not have access to the original French, and so I can only suspect that it was Goldhammer who followed Allan Bloom’s caution not to improvise. Meantime, it is at about this point that Tocqueville begins to leave off making remarks about America and to broaden his observations to cover democracies in general. He continues in this vein more or less to the end of the book.

A Lament.

There was a time not long ago when it could reasonably be expected that nearly every college educated American in the humanities had read or at least knew about Tocqueville. I would venture to say that today that is not so.

Today there are places in America (academia, the media) where it would be hard to find anyone who “take[s] pride in the glory of his nation.” Books and novels no longer “assume that women are chaste.” Can it generally be said today of the average college educated American that by and large he or she “boast of [their country’s] success, to which [they] conceive[] [themselves] to have contributed”? Is it true that Americans of both sexes are “persistent” in their insistence that men and women be equal although they proceed on “two permanently different paths.” When Tocqueville wrote, he could assert that Americans were individualists and none would dare to advance the “impious agenda” that “everything is permissible with a view to advance the interests of society.” No longer is it the case in America that on Sunday the nation’s commercial life “seems suspended.” Tocqueville today could not say that he has scarcely met “a plain American citizen who . . . could not point out the exact limit of the several jurisdictions of the Federal Courts and the tribunals of the State.” And is it still true that “[t]he citizen of the United States . . . only claims [the assistance of the social authority] when he is quite unable to shift without it”?

Conclusion.

To call Democracy in America sociology or even anthropology would be terribly misleading. Those are the artificial disciplines of the 20th century. It is easier to view Tocqueville as an historian, journalist, taxonomist, and thinker. He does occasionally take on the risky role of soothsayer with mixed but sober results. Mainly he is thoughtful and fluent, not abstruse or speculative. He brings refinement and a pleasantly open mind to his observations and never ventures anything so hypothetical as a “state of nature.” At most he says that at an earlier period society had been “debilitated,” that its image was “obscure” and that it was constantly “getting lost among all the various powers that ruled over citizens.”

Today, it is hard for me to believe that anyone could read this work without profit. And yet it is equally hard to envision that large numbers of our contemporaries even with the patience to do so would participate in my astonishment at what Tocqueville did at such a young age, my delight in discovering that I was sharing his own enchantment at the novelties he came across, and my amazement at the depth and wisdom of his observations. He never claimed that he had discovered Utopia or that America would ever become so. But he obviously sensed something new, unpolished, but remarkably exciting. He did not live long enough to read Mark Twain. I wonder if Mark Twain ever read Democracy in America.



[1] I should note here that I read Volume Two of Democracy in America as earlier translated by Henty Reeve, as opposed to Arthur Goldhammer’s later translation of Volume One. In his translator’s note, Goldhammer points out that he translates “manners” as “mores,” which he says more exactly captures the French word used by Tocqueville. By this he says that the author means the practical, experience, habits, an opinions carried forward by each generation. In this he echoes Burke more than Plato.

[2] It is not clear to me what Tocqueville means by “Administration.” Apparently he is making reference to federalism, i.e. state governments – “Congress regulates the principal measures of the national Government and all the details of the administration are reserved to the provincial legislatures.” But the states, of course, do not administer federal laws. See the 10th amendment.

[3] In 1831 that may still have loomed large. In the fullness of time it is insignificant.

[4] Except for Americans’ abiding respect for the Constitution, he sees the mutability of their statutory laws as a threat to future stability.

[5] A chapter in Volume Two elaborates in fascinating detail on Tocqueville’s views about freedom of association: “through the enjoyment of a dangerous freedom . . . Americans learn the art of reducing freedom’s perils.”

[6] It is the majority which is of interest, not the whole community; when parties lose an election, he says, “they assert that the true majority abstained from voting.”

[7] He also records a view which remains popular with academics even to this date: that American Protestantism tends toward independence as opposed to Catholicism, which engenders obedience notwithstanding its recognition of inequality.

[8] “A political, industrial, commercial, or even scientific or literary association is an enlightened and powerful citizen that cannot be made to bow down at will or subjected to oppression in the shadows, and by defining its rights against the exigencies of power, it saves common liberties.”

[9] A distinctive characteristic of democratic times “is a taste for easy success and instant gratification.” The phrase “instant gratification” is Goldhammer’s; Reeve has translated it as “present enjoyment.”

[10]  But I must say that on more than one occasion, my experience in taking writ appeals from such bodies is that I am given little more than a simulacrum of a record. The appeal process can therefore be completely unsatisfying and I cannot ever be sure that the government has not unfairly prevailed.

[11] If proof is needed, I recommend “Gravity’s Rainbow.”

[12] Dare I say that this strikes close to home.

[13] Tocqueville, who himself spoke English, chose Henry Reeve as his translator for both Volumes One and Two. One assumes that Reeve’s efforts were at all times acceptable to him and that it is not accidental that the Reeve translation has remained the standard version in English.



Thucydides, History of the Peloponnesian War [Tr. Richard Crawley, revised R. Feetham] –

[I]f [this history] be judged useful by those inquirers who desire an exact knowledge of the past as an aid to the interpretation of the future, which in the course of human things must resemble if it does not reflect it, I shall be content. In fine I have written my work, not as an essay . . . but as a possession for all time.”
Thucydides

This book is an astonishing accomplishment. It is virtually a day by day account of every campaign, battle, and even skirmish over 21 years of ancient warfare conductedon island and mainland throughout the Mediterranean, Aegean, and Ionian seas. The comings and goings of armies and navies is constant, the actors too many to catalog, and the battlesites countless. Presumably there were contemporary written records of some description, but the book is apparently in large part the result of painstaking oral interviews and numerous on-site observations by the author. The broader themes, of course, are latent and instructive, but what astonishes me is the intensity – and objectivity – which this man Thucydides brought to the job year after year until his time ran out.

1. Casus Belli. Over a period of centuries, he tells us, Athens had become prominent in Hellas ironically because of its own poor agricultural circumstances: a safe redoubt for those who had escaped from more fertile regions when invaded by barbarians, it was the most conspicuous place in the land where men could put aside their arms and concentrate instead on commerce. The city thus established colonies (mostly islands[1]) which augmented its wealth[2], and in the process became a formidable seapower, exceeding both of its two closest maritime rivals, Corinth and Corcyra. Athens gradually became the cosmopolitan center of the eastern Mediterranean, steadily attracting resentment on the part of both its allies and its rivals.
Across the Corinthian Gulf, by contrast, the force of arms on land had become peculiarly associated with the strange Lacedaemonians of Sparta. Like Athens, Sparta had had its own glorious part in the Medean war, raising it in reputation of arms to the level of the other. Both of the two cities had excelled in the conflict, Athens by sea, Sparta by land, and they shared in an improbable but exhilarating overall victory. But though fierce and formidable, Sparta was the opposite of Athens – inward-looking, lethargic, and unambitious. When the Persians were finally expelled, these two Greek cities then warily entered a non-aggression pact with each other. Each had its own league of Hellenic cities and for roughly 50 years each regarded the other with respect but watchful suspicion.

This was the environment when in 435 B.C. a small city called Epidamnus on the northwestern coast of Greece came under siege to barbarians. In the emergency, it first sent out for help from Corcyra, an Ionian island on the sea road to Italy, of which it was a colony. But Corcyra temporized in the crisis. The Epidamnians having no time for this and lacking help from their nominal sponsor, they went farther back in their history and asked Corinth, the founder of Corcyra itself, for aid. Unlike Corcyra, the Corinthians did offer assistance and actually occupied Epidamnus to the former’s bitter dissatisfaction. Feeding on its wounded pride and not content to let the matter drop, Corcyra applied to Athens for a treaty of assistance. This caused Corinth to send its own deputation for similar purposes. Thus Athens was in the unusual position of being asked to ally with one or the other of its two major naval competitors. In the event, it selected Corcyra and this, to Thucydides, was evidence that Athens, already influential, would now no longer remain passive in the Greek world. There would be a war.

2. Approaching the History. In my head there is a vague catalogue of prominent books that I will never get to. Until recently, Thucydides’s History was among them and I can’t really say how it fell off the shelf. Mentally, I had it stacked next to Herodotus and Plutarch, in a darker recess even than Proust and that Joycean Wake. But there it was in front of me and I read it.
It was a chore. All military history is a chore. The volume I had access to was devoid of maps. The ancient place names required frequent excursions to Wikipedia. There were some famous actors – Themistocles, Pericles, Alcibiades, and a few others – but the scores of anonymous generals, ambassadors, kings, etc. passed by like the “begats” in the Bible.

The effort, however, was redeemed by authenticity. The history of war is unlike the social histories popular among academic historians. If it occasionally reports how the actors feel – the psychological – or even if it extrapolates from their pay records – the empirical – it must always report what they did. Military history is a grim chronology of land taken and lost, sea battles engaged, strategies validated, hostages slain, valor rewarded, and tactics gone awry. Its central fact is violence, contests won by domination and killing. As the author says, war “proves a rough master that brings most men’s character to a level with their fortunes.” Furthermore, it has a logic that invites the merciless second-guessing which no historian of war, including Thucydides, can refrain from. Had the battle been joined immediately – or later – or had the reserves been brought up – or re-deployed – the outcome must have been different. Military history without such conjecture would be insipid.

3. His Mission. For his part, Thucydides mostly writes in the third person and states that he has sacrificed “romance” to accuracy. This is so even when it comes to his own role in the war (he was a general who got sacked after a loss at Amphipolis). And yet there are also times when he departs from this regimen – when he confides, for instance, that he was himself a victim of the plague in Athens in the early years of the first war[3], and many years later when he betrays a sadness at the plight of the Athenian general in the Syracuse campaign.

Furthermore, he acknowledges that he is an Athenian, a citizen of what was then a democracy (although its colonies were not). Without making an explicit linkage, the History obviously goes on to recount Athens’s many mistakes and failures of leadership which led, after more than 20 years, to a defeat which even the author did not live to recount. It was not just Athens, however, but the leadership of all of the various cities which became embroiled in and corrupted by the conflict – those with and without “good laws” – which had an impact on how they conducted themselves. For example,

“[W]herever there were tyrants, their habit of providing simply for themselves, of looking solely to their personal comfort and family aggrandizement, made safety the great aim of their policy, and prevented anything great proceeding from them.”

And then,

“Later on, one may say, the whole Hellenic world was convulsed; struggles being everywhere made by the popular chiefs to bring in the Athenians, and by the oligarchs to introduce the Lacedemonians.”

Each Hellenic city had a very vivid sense of its own history – and, like Thucydides, they appear to have been unencumbered by myth. Thucydides reports numberless harangues, speeches, apologias, etc. wherein the speakers justify their current position by recalling the founding of their city, their service in the Medean war, their previous alliances, and their general legacies as victims or heroes. All men, it seems, look back. And yet the war corrupted all, the “ancient simplicity . . . was laughed down . . . and society became divided into camps in which no man trusted his fellow.”

4. Telling the Story. In his opening pages, the historian sets down his reasons and methods. He began work immediately as the war broke out, he says, on the conviction that “it would be a great war, and more worthy of relation than any that had preceded it.” Italics supplied[4]. He remarks on the Trojan War[5], the quality of the various leaders in his time, the unsurpassed fierceness of the Scythians[6], and a myriad of other considerations which played a role during the struggle.

Within the broader narrative he includes many details of ancient battle. Heavy infantry, for example, tends to crowd to the right since each man will seek the protection of his neighbor’s shield.This eventually makes the left flank vulnerable. The building of walls was vital to every city as was their destruction in combat and their rebuilding in victory. How to calculate the height of a wall to determine the length of the assault ladders? Have every soldier count the courses of stone and take the number most frequently reported. How to strengthen our walls? Build two, with an outer and inner ring. Make the intervening space virtually impassable. Does the enemy fleet impede you from relieving a garrison on a waterless island? Pay slaves to swim there in the night dragging supplies behind them. What to do when you invade a city that is hilly? Race to the top of the hill and take the town from top to bottom.

The book tells the story of the war in chapters, chronologically delivered more or less one per year, and apparently written (in first draft, at least[7]) in the winter season following the previous summer’s battles. Little is lost in this approach since seasonal warfare was the norm and the individual engagements (even sieges) were normally concluded in a matter of weeks. The general result is somewhat like reading reports as they come in, the detail frequently down to the level of how a single company of men, sometimes identified by name, maneuvered for a period of hours. There are no embellishments.

But chronology also implies simultaneity and so attention also shifts episodically among various wider theaters (particularly Hellas and Sicily) during each campaign season. Not that such abrupt changes of scenery do anything more than underscore the unpredictable rhythms of warfare. There are good seasons and bad, acts of incredible endurance, unreliable allies, intermural enmity[8], and political fatuity. Fortune will be fickle and the wind will decide to blow at the wrong moment. Some accounts are unforgettable. For example, the ultimate Athenian triumph at Pylos – where the combatants’ roles as land or sea powers were reversed – lodges in the memory for many reasons, one of which is the unlikely generalship of an Athenian politician, Cleon, who pulled a rabbit out of his hat at the last minute and who Thucydides obviously thought of as an untalented braggart, even after he returned victorious.

5. The Speeches. The political speeches and pre-battle harangues are often the most interesting and valuable parts of the History[9]. Thucydides says that he has reported them as authentically as possible and by that I mean he quotes them at length, as I have said. In the way of ancient Greece, the speakers’ words are inevitably persuasive, considered, and intelligent even though the stakes are at the utmost extreme of life and death[10].

But how was Thucydides able to report these speeches in such detail? Are they reliable? Some of them, he says, he heard himself[11].

“[O]thers I got from various quarters; it was in all cases difficult to carry them word for word in one’s memory, so my habit has been to make the speakers say what was in my opinion demanded of them by the various occasions, of course adhering as closely as possible to the general sense of what they really said.”

Here is an example of one such speech made on the eve of the declared war. The Athenians had undertaken a siege of Potidea[12], a Corinthian colony near Thrace in northern Greece. The Corinthians thereupon sought assistance from Lacedemon. It is high time, they argue in the speech, for the Lacedemonians to rouse themselves, throw off their well-known lassitude, and join the war against an Athenian enemy whom the Corinthian ambassadors then set out to describe:

“The Athenians are addicted to innovation and their designs are characterized by swiftness alike in conception and execution. . . .[T]hey are adventurous beyond their power and daring beyond their judgment, and in danger they are sanguine . . . . [T]here is promptitude on their side . . .; they are never at home . . . for they hope by their absence to extend their acquisitions . . . . They are swift to follow up a success, and slow to recoil from a reverse.Their bodies they spend ungrudgingly in their country’s cause; their intellect they jealously husband to be employed in her service. A scheme unexecuted with them is a positive loss, a successful enterprise a comparative failure. The deficiency created by the miscarriage of an undertaking is soon filled up by fresh hopes; for they alone are able to call a thing hoped for a thing got, by the speed with which they act upon their resolutions. Thus they toil on in trouble and danger all the days of their life, with little opportunity of enjoying, being ever engaged in getting; their only idea of a holiday is to do what the occasion demands, and to them laborious occupation is less of a misfortune than the peace of a quiet life. To describe their character in a word, one might truly say that they were borne into the world to take no rest themselves and to give none to others.”

(If I were writing in 1907 and not a hundred years later, this would be a fair description of my own country. But today it sounds antique to think of this as praise, as I do, and indeed the Corinthians intended every syllable – as would every editorial writer across my country today – as condemnation.)

6. Potidea; Platea. Be that as it is, Sparta responded with an ultimatum to Athens, demanding its withdrawal from Potidea and abjuration of a commercial decree closing Athenian markets to a Spartan ally. Pericles, the Athenian leader, replied by persuading the city to do no more than recommend arbitration and failing that to be prepared to confine the issue to one of naval war, prophesying victory to his fellow citizens “if you can consent not to combine schemes of fresh conquest with the conduct of war, and will abstain from wilfully involving yourselves in other dangers.”[13]

Then came the affair at Platea, an unsuccessful Theban initiative in a small city[14] resulting in Athenian intervention and its establishment of a garrison, a direct violation of the treaty with Sparta[15]. By now the losses on both sides had begun to be felt and it fell to Pericles to deliver the funeral oration for the first of the Athenian soldiers who had fallen there. Of the countless speeches that Thucydides recounts, this is the most famous, the second being the so-called “Melian dialogue” later in the war[16]. As a eulogium, this funeral oration is the most famous in history, rivaled only by Gettysburg which touched on similar themes. Pericles’s speech, Thucydides says, was successful in encouraging renewed support for the war adding that the wisdom of Pericles’s leadership for the few years that he led the city until his death was exemplary. “[W]hat was nominally a democracy became in his hands government by the first citizen.” But when Pericles died, the Athenians then allowed private ambitions and private interests “to lead them into projects unjust to both themselves and to their allies – projects whose success would only conduce to the honor and advantage of private persons and whose failure entailed certain disaster on the country in the war.”

7. Alcibiades. It is not only Pericles whom Thucydides pauses to sketch. Several times he remarks on the characteristics of other principal actors. The Lacedemonian general Brasidas, for instance, earns high praise from this Athenian historian. “He was the first who went out and showed himself so good a man at all points as to leave behind him the conviction that the rest were like him.” (A few lines later, another compliment: Brasidas was not a bad speaker “for a Lacedemonian.”) By contrast, there was the Athenian, Alcibiades, “a man yet young in years . . . but distinguished by the splendor of his ancestry.” By Thudydides’ lights, Alcibiades was both ambitious and greedy, qualities which in the sequel led to “the ruin of the Athenian estate.” It is obvious that he was detested by some prominent Athenians.

It was at this time that the affair of the stone hermae occurred in Athens – so famous, in fact, that I heard of it in high school where we, of course, sniggered at it. The defacement was widely attributed to Alcibiades. Although Thucydides was evidently prepared to exonerate Alcibiades from the incident[17], he makes it clear that it was nevertheless taken quite seriously, not only because it had the marks of this dissolute, though talented young man, but also because it was said to be a negative omen for the Sicilian expedition “and part of a conspiracy to bring about a revolution and to upset the democracy.” In the event, Alcibiades slipped the noose and sailed, a sight “passing all belief,” in charge of the Sicilian expedition. But the matter of the hermae just wouldn’t go away and while Alcibiades was in the field in Sicily he was ordered home to stand trial. At this, he escaped to Lacedemon[18] (but not before betraying an Athenian plan against Catana) and the Athenians were left to turn to Nicias as their general.

8. Sicily. The Peloponnesian War almost lasted longer than Thucydides himself. The first segment took 10 years and ended with a treaty (which he quotes) requiring many mutual acts of accommodation by the two main combatants. The most controversial of these was the Lacedemonian surrender of Amphipolis back to Athens which was to ensure compliance by its very refractory allies. It could not last. The peace (little more than an armistice actually), was deliberately undermined by the Corinthians and officially broken off six years later. Combat resumed and the historian was back at work in his familiar fashion, recording his history “as a possession for all time.”

The focus of the second war was the Sicilian campaign, encouraged by Alcibiades, and ill-conceived from the outset. A Sicilian faction, the Egesteans, sent a deputation to Athens and stoked the Athenian lust for control of the entire island. The Athenians, entirely too willing to take counsel of their hopes, were seduced by “a report, as attractive as it was untrue,” about their ability to finance an Athenian intervention in the area. Nicias, however, the general who was to have the command, is quoted in a speech counseling prudence, scorning the “barbarian” Egesteans in Sicily, “the oligarchical machinations of Lacedaemon,” and any proponent of the expedition “still too young to command . . . [and] who seeks to be admired for his stud of horses.” This, of course, was Alcibiades “whose habits gave offense to everyone.”

The Sicilian segment of the war seems like a separate conflict, little related to the struggle on the Greek mainland. In any event, it was the doom of Nicias. He did his duty, even when obviously ill, but as Thucydides reports, he was “somewhat over-addicted to divination” which worked to his disadvantage when quick-thinking was required. Meanwhile, as soon as the Syracusans came to the realization that they could match Athens both on land and at sea, the psychological tide turned. The Athenians in the field began to regret the expedition.

“These were the only cities that they had yet encountered, similar to their own in character, under democracies like themselves, which had ships and horses, and were of considerable magnitude.They had been unable to divide and bring them over by holding out the prospect of changes in their governments . . . .”

Thucydides then takes several pages to describe the devastating Athenian defeat in the harbor of Syracuse, including the harangues by the contending generals, and the horrible slaughter and Athenian degradation suffered in the ensuing retreat by land, “by far the greatest reverse that ever befell an Hellenic army.” Nicias and Demosthenes were both taken prisoner and butchered, the former “a man who, of all the Hellenes in my time, least deserved such a fate, seeing that the whole course of his life had been regulated with strict attention to virtue.”

9. Thesaphernes and Athens. In his closing chapters, Thucydides is back to detailing the efforts of Alcibiades to re-win the confidence of the Athenians – which he did chiefly by holding out the prospect of the favor of the Persian satrap Thesaphernes with whom he had formed an accommodation. This was primarily a blandishment to the Athenian oligarchy. It had previously fallen to the democracy which had ousted Alcibiades in the first place, but was now again ascendant.

Alcibiades, like Tallyrand, seems almost Machiaveliian – and at such a great distance, he almost transcends the mistrust which he must have engendered in person. Tissaphernes, he advised, should not be

“in too great a hurry to end the war, or to let himself be persuaded to bring up the Phoenician fleet which he was equipping, or to provide pay for any more Hellenes, and thus put the power by land and sea into the same hands; but to leave each of the contending parties in possession of one element, thus enabling the king, when he found one troublesome to call in the other. For if the command of the sea and land were united in one hand, he would not know where to turn for help to overthrow the dominant power unless he at last chose to stand up himself, and go through with the struggle at great expense and hazard.”

And now the Athenian democracy was superseded, with a strong push from its forces struggling in Ionia. They established oligarchies where they could. By the time they reached Athens, most of the work had been done, the democratic leaders already having been intimidated by the conspirators. Thucydides is typically judgmental. He gives names of several of the latter – including Antiphon, “one of the best men of his day in Athens.” He says that they were “staunch,” “able,” and “sagacious,” but that by their careful planning they brought forth a catastrophic coup d’etat. The events of the change are given in just a page or two and appear to have been largely bloodless. But it is hard to read the account without sensing the menace to anyone who betrayed a lack of cooperation.

Meanwhile, Fortune’s wheel having so swiftly turned at Athens, its 400 new oligarchic leaders were confronted with the awkward fact that the city they had taken still had an army (navy) in the field, ignorant of the change and inclined to democracy. Indeed the camp, now located at Samos, had more assets than the city and when they learned of the revolution, the troops ousted such leaders as they suspected of collaborating with the 400 and began to make plans to restore their former rights. This led them to Alcibiades, whom they elected general, and who thereupon “for the first time did the state a service, and one of the most signal kind”: he prevented the Athenian fleet from sailing on Athens and essentially destroying it to the advantage of Lacedaemon[19].

In fact, events at Athens had been so badly handled by the 400 that they very nearly handed themselves to the enemy who was in the neighborhood with a fleet having just taken Euboea.
“But here, as on so many other occasions, the Lacedaemonians proved the most convenient people in the world for the Athenians to be at war with. The wide difference between the two characters, the slowness and want of energy of the Lacedaemonians as contrasted with the dash and enterprise of their opponents, proved of the greatest service, especially to a maritime empire like Athens.”

Every Athenian man became a hero, a fleet was cobbled together, the 400 were overthrown, a democratic government of merit and necessity was thrown up, Alcibiades was recalled from Samos, and the crisis was averted.

And yet the war went on. It was now in its 21st year (411B.C.), which would be the last in Thucydides’s account. Since he is said to have lived another 10 years, and the war finally ended cataclysmically to Athens in 404 B.C., the historian was alive to see it. I have no doubt that he was writing to the end. The absence of these years is painful to the reader, but the detail contained in those that are reported is so great that it is clear he might have required another decade to make up the lag. Sometimes it seems as though he must have interviewed every participant still alive.

Xenophon, I believe, finished the tale.
ENDNOTES
1. Throughout this war it was never lost on the Greeks that islands were inherencly weaker than the cities on the continent. Consider, e.g. the Melian dialogue, infra.
2. He chielfy attributes this to the foresight of Themistocles.
3. He offers several pages of gruesome and sobering descriptions with ethical as well as physical implications: The victims "resolved to spend quickly and enjoy themselves, regarding their lives and riches as alike things of a day. Perseverence in what men called honor was popular with none, it was so uncertain whether they would be spared . . . . Fear of gods or law of man there was none to restrain them. . . [N]o one expected to live to be brought to trial . . . ."
4. I take this as a direct confrontation with Herodotus, who was still alive when the Peloponnesian War erupted, who was not Athenian, and who came to rest in Italy. Yet when I mentioned this conclusion to Justice Aronson, he asked reasonably enough if there were any evidence that Thucydides was even aware of Herodotus. Actually, I don't know (but a remark by Socrates in the Phaedo suggests that books were readily available). Thucydides was aware of Homer and the Trojan War, however. Perhaps this was at least a challenge to The Iliad?
5. Agamemnon, Thycydides says, was as much feared for the power of his fleet as he was loved or owed duty, but the 10 years of stalemate at Troy after his initial victorious landing was obviously attributable to faulty generalship: a lack of supplies and lack of perseverance.
6. With them, he says, "no people in Europe can bear comparison, there not being even in Asia any nation singly a match for them if unanimous, though of course they are not on a level with other races in general intelligence and the arts of civilized life."
7. There is periodic evidence of later editing and the book ends several years before the war does.
8. Thucydides relates a horrible incident of purely local slaughter of one party of Corcyreans by another, facilitatied by the passing Athenians who apparently didn't much care.
9. On several occasions the author also quotes verbatim the treates entered into by the combatants.
10. See, for example, the debate between the angry Cleon and the pragmatic Diodotus about whether or not to put to the sword the entire Mitylenian population for rebelling against Athens.
11. He lived for a time among the Lacedemonians during his lengthy exile.
12. Plutarch says that this is where Socrates and Alcibiades served together.
13. Pericles was dead by the time of the Sicilian campaign and this advice had evidently been forgotten.
14. Though small, it was nevertheless symbolic. Platea had been the site of one of the last battles of the Medean War.
15. Even with such protection the city was obliged to surrender to Lacedemon a few years later. Thucydides then reports the Platean speech in justification of their Athenian alliance which gives a different -- and longer -- history. It was to no effect. Platea was utterly destroyed.
16. In the second war, the Athenians sailed to Melos, a Lacedemonian island colony near Crete, and after plundering their territory, commenced negotiating a capitulation with their magistrates. Thucydides reports the exchange. The Melians bravely declined but, "some treachery taking place inside, . . . [eventually] surrendered at discretion to the Athenians, who put to death all the grown men whom they took, and sold the women and children for slaves, . . . and inhabited the place themselves."
17. To modern sensibilities it does sound like nothing more than a fraternity prank (knocking the phalluses off ritualistic garden statues.) But although Thucydides was even-handed about the evidence, his distaste for Alcibiades is evident -- unlike Plutarch, an Alcibiades partisan who, however, lived several centuries later.
18. Where, according to Plutarch, the queen bore his child.
19. Had Alcibiades done otherwise, Plutarch says, the enemy would have taken both Ionia and the Hellespont without a struggle while Athens would have been thrown into civil war.


H.G. Wells, The Outline of History --
Novelists can often enliven history (see, e.g., The Conquistatores and Costain's 4-volume history of the Plantagenets). But Wells, I believe, thought of himself as an historian as well as a novelist and so would probably disdain this sentiment. In any event, there is little of the novelist in this effort.

I am not aware of what the contemporary reaction was to this work -- written in 1919 and first published a year later -- but I can imagine that it was much like the snide derision bestowed upon the "Histories" of Will and Ariel Durant. It has been centuries since a person could be an expert in everything, and by purporting to give us everything Wells, like the Durants, risks contempt. He seems to sense this, for in his introduction to the third edition (the one I read) he takes pains to point out that it is but "an outline" and that much work remains to be done.

But it is not the absence of work that is the chief flaw of The Outline of History. The pervasive problem is Wells's obnoxious, smug relativism combined with his worship of science and emetic certainty of human perfectionism. (It took the atom bomb 25 years later to bring historians to a more sober evaluation of science.) But no one of intelligence can cover the entire history of the world without an insight or two. For me, the interesting areas in which Wells digresses include his wonder (almost consternation) that moveable type was not invented in ancient times -- since after all, they did have coinage, signet rings, etc. He also comments that in his opinion history contains nothing like the futility and wanton destructiveness of the first Punic War; and this was written in 1919! He is far more dismissive of Caesar (and of Caesar's biographers, including Plutarch) than I expected him to be, and this leads him into a retrospective of Alexander, as to whom he then takes a similar attitude. Alexander does get some later credit, however. For while Wells is consistently contemptuous of what he sees as the overrated western Roman Empire, giving it little credit for innovation or science, the eastern Empire, he says, was entirely Hellenic and can be seen as the culmination of Alexander's accomplishments.

Toward the end of the book Wells's contrarianism again gets the better of him and he spends too much time explaining how the Terror of the French Revolution must be seen "in context" and how much the world owes, in the long run, to Danton and Marat, if not Robespierre. He actually brings Condorcet on stage for a brief approving moment. And then there are the concluding chapters, which are an embarrassment by virtually any measurement. I remember Clinton Rossiter once remarking that it is almost impossible to end a book on anything but an up note. It is easy to see the temptation. But for one who has striven to lay out the entire troubling history of mankind to conclude by engaging in the sort of preposterous utopianism that Wells gets into is to invite the most disrespectful ridicule. After portraying an endless cataract of wars, tyrants, fiascos, and stupidities, Wells pompously assures us that now there will be World Federalism and a New Religion unanchored by doxologies, divinities, or theologies. Men will be well-educated and consequently more wise in their affairs, living in environmentally safe communities and using public affairs for the good of all. Given Rossiter's observation and the many excellent passages offered by Wells when he was doing a historian's work, I suppose it would be charitable to forgive this absurd ending.

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