Heritage of World Civilizations, The, Combined Volume, 10th edition Albert M. Craig Solution Manual

Type:

Solution Manual

Resource:

Heritage of World Civilizations

Edition:

10th Edition

Author(s):

Albert M. Craig William A. Graham Donald M. Kagan Steven Ozment Frank M. Turner

James P. Brennan Ph.D University of California, Riverside

INSTRUCTOR’S RESOURCE MANUAL

THE HERITAGE OF WORLD CIVILIZATIONS TENTH EDITION Albert M. Craig Harvard University

William A. Graham Harvard University

Donald Kagan Yale University

Steven Ozment Harvard University

Frank M. Turner Yale University

CONTENTS Introduction to REVEL 1. The Birth of Civilization

1

2. Four Great Revolutions in Thought and Religion

15

3. Greek and Hellenistic Civilization

23

4. West Asia, Inner Asia, and South Asia to 1000 C.E.

35

5. Africa: Early History to 1000 C.E.

46

6. Republican and Imperial Rome

55

7. China’s First Empire and its Aftermath 221 B.C.E.- 589 C.E.

70

8. Imperial China 589–1368

78

9. Early Japanese History

86

10. The Formation of Islamic Civilization, 622–1000

95

11. The Byzantine Empire and Western Europe until 1000

103

12. The Islamic World, 1000–1500

113

13. Ancient Civilizations of the Americas

121

14. Africa ca. 1000–1700

132

15. Europe to the Early 1500s: Revival, Decline, and Renaissance

140

16. Europe 1500–1650: Expansion, Reformation, and Religious Wars

153

17. Conquest and Exploitation: The Development of the Transatlantic Economy

165

18. East Asia in the Late Traditional Era

176

19. State Building and Society in Early Modern Europe

186

20. The Last Great Islamic Empires 1500–1800

198

21. The Age of European Enlightenment

207 iii

22. Revolutions in the Transatlantic World

217

23. Political Consolidation in Nineteenth-Century Europe and North America

228

24. Northern Transatlantic Economy and Society, 1815–1914

239

25. Latin America: From Independence to the 1940s

251

26. India, the Islamic Heartlands, and Africa, 1800–1945

259

27. Modern East Asia

271

28. Imperialism and World War I

282

29. Depression, European Dictators, and the American New Deal

291

30. World War II

302

31. The West Since World War II

313

32. East Asia in Recent Decades

327

33. Postcolonialism and Beyond: Latin America, Africa, Asia, and the Middle East

338

iv

Introduction to REVEL

REVEL can be a critical component in helping to increase students’ chances of success. Its resources provide methods you can use to assess and enhance your teaching while at the same time offering tools students can use to improve research, critical thinking, and comprehension skills.

Description After listening to faculty and students, we at Pearson leveraged the best thinking in instructional design and applied advanced learning and assessment technologies to create REVEL. REVEL offers a new approach to digital learning that gives you and your students precisely what they need.

Over the course of several years, we have worked with more than 23,000 educators and students to develop REVEL. All of its key aspects were guided by interactions with our customers. Each REVEL prototype has been tested with educators and students from across the country to make sure it accurately reflects their preferences and facilitates the achievement of their goals. In addition, REVEL is a living, breathing learning solution that we will continue to develop based on your feedback.

Dynamic Content REVEL’s unique presentation of media as an intrinsic part of course content brings the hallmark features of Pearson’s bestselling titles to life.

REVEL’s dynamic content matches the way today’s students read, think, and learn. Integrated within the narrative of the textbook, REVEL’s interactive features (“interactives”) and videos empower students to engage with concepts and take an active role in learning.

REVEL’s media interactives have been designed to be completed quickly, and its videos are brief, so students stay focused and on task.

Quizzes located throughout REVEL afford students opportunities to check their understanding at regular intervals before moving on.

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REVEL provides a fully mobile learning experience: it enables students to read and interact with course material on the devices they use, anywhere and anytime.

Responsive design allows students to access REVEL on their tablet devices, with content displayed clearly in both portrait and landscape view.

Familiar Learning and Study Tools Although REVEL is innovative in its interactivity and its mobility, it offers you and your students familiar learning and study tools: highlighting, note taking, and a glossary personalize the learning experience. You can add notes for students, too, including reminders or study tips.

Tracking Tools REVEL’s assignability and tracking tools help you make sure students are completing their reading and understanding core concepts.

REVEL’s Assignment Calendar allows you to indicate precisely which readings must be completed on which dates. This clear, detailed schedule helps students stay on task by eliminating any ambiguity as to which material will be covered during each class. And when students know what is expected of them, they’re better motivated to keep up.

The Performance Dashboard lets you monitor class assignment completion as well as individual student achievement. It offers actionable information that helps you interact with students in meaningful ways, such as points earned on quizzes and tests and time on task. Of particular note, the trending column reveals whether students’ grades are improving or declining—which helps you identify students who might need help to stay on track.

Special Features for History Students REVEL offers a learning experience that immerses students in history while giving them the flexibility to learn in their own way. Instead of students simply reading about the past, REVEL empowers students to participate in exploring history. Media interactives including maps and videos integrated directly within the authors’ narrative enable students to delve further into key events and invite students to take an active role in learning.

Students are able to immediately practice course material through REVEL’s embedded assignments and quizzing; these features provide opportunities for students to check their understanding at regular intervals before moving on. This immersive experience boosts student engagement, which leads to better understanding of concepts and improved performance throughout the course.

From there, REVEL aims to encourage students to explore and engage in the written material and not gloss over pictures and maps that often contain critical information.

Interactive maps and media are embedded within the narrative, giving students an interactive experience with history. They can process the information in a different, more proactive way and therefore encounter more lightbulb moments that reading alone does not offer.

Instructors have often asked for a way to assess students’ critical thinking at points that are advantageous without taking students outside of the reading experience. Students also don’t participate in enough short writing exercises that are immediately relevant to their reading— often glossing over questions littered throughout traditional texts.

So with journaling/shared writing, students can both exercise their critical thinking skills and display their retention of material they have just read throughout the text. With this capability, you can assess students’ understanding on a more substantive level. Students enjoy seeing the progress they’re making, and, with shared writing, they can see how their classmates are processing the information, too. vi ..

History is a topic about telling stories, but it’s not as effective without compelling storytellers and visuals that launch students into and augment the text. With the videos feature, students have context for a range of topics and events in a visually captivating way within the actual text.

Dynamic individuals and imagery, rather than static pictures and text that drily explain events and topics, help provide richer context to key topics and invite students to explore and read the material more critically. Students will see how historians think about key events and, therefore, they can start to make critical, historical connections on their own.

To show students how to make connections with historical periods and pivotal events through the materials that defined those periods and events, REVEL provides primary source documents.

Documents with audio appear within the authors’ narrative so students have direct access to those primary materials as they are reading. The primary texts provide immediate reference points without taking students out of the central textbook experience.

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CHAPTER 1—The Birth of Civilization

Learning Objectives 1.1 Early Humans and Their Cultures Describe the differences between Paleolithic societies, Neolithic societies, and early Bronze Age civilizations.

1.2 Early Civilizations in the Middle East to about 1000 B.C.E. Compare the early civilizations of Mesopotamia and Ancient Egypt.

1.3 Ancient Near Eastern Empires Summarize the relationships among the ancient Near Eastern empires and the key events in their history.

1.4 Early Indian Civilizations Summarize what is known and unknown about the Indus civilization and describe the origins, society, culture, and religion of the Vedic Aryan civilization.

1.5 Early Chinese Civilization Discuss the evolution of early Chinese civilization from its Neolithic origins to the period of the Eastern Zhou.

1.6 The Rise of Civilizations in the Americas Describe food production in the Neolithic Revolution in the Americas and summarize the succession of civilizations in Mesoamerica and the Andes.

Introduction • • • •

The first humanlike creatures appeared in Africa 3 to 5 million years ago.

Our own species, Homo sapiens, emerged some 200,000 years ago.

The first sedentary agriculture was adopted some 10,000 years ago.

Five-thousand years ago more complex societies with cities, writing systems, and occupational specializations begin to appear.

Global Perspective Civilizations • From the time that modern humans first appeared 100,000 years ago until 7000 B.C.E., few changes occurred.

1 ..

•

From about 7000 B.C.E., innovations began. Humans learned to till the soil, domesticate animals, and make pots for the storage of food.

•

The last millennium B.C.E. witnessed two major developments: The emergence of the religious and philosophical revolutions that would indelibly mark their respective civilizations, and the rise of the Iron Age empires.

•

The nineteenth and twentieth centuries saw major accomplishments in invention and scientific discovery.

Focus Questions 1. What were the processes behind the creation of early civilizations?

2. What are the similarities among the world’s earliest civilizations?

3. Why has the pace of change accelerated with time?

Key Points 1.1 Early Humans and Their Culture • Culture is the sum total of the ways of living built up by a group and passed on from one generation to another.

1.1.1 The Paleolithic Age • Paleolithic Age (from the Greek, “old stone”) dates from the earliest use of stone tools some 1 million years ago to 10,000 B.C.E. •

People were hunters and gathers but not producers of food.

•

People acquired language and developed religions.

•

The style of life and the level of technology could support only sparsely settled society.

•

Division of labor was by sex.

1.1.2 The Neolithic Age • Ten thousand years ago, the first settled agriculture emerged in the Middle East.

•

The shift in agriculture required advances in stone tool technology and gave rise to the Neolithic Age. 2 ..

•

Pottery and cloth from wool and flax were produced.

•

Populations grew and became more sedentary.

•

The dramatic changes in subsistence, settlement, technology, and population of this time is known as the Neolithic Revolution.

1.1.3 The Bronze Age and the Birth of Civilization • New technologies such as smelting and the manufacturing of metal tools and weapons emerged.

•

First large cities appeared in Mesopotamia.

•

Social stratification became more pronounced.

•

The key features of civilization emerged.

•

The term Bronze Age refers to the period 3100–1200 B.C.E. in the Near East and eastern Mediterranean.

1.2 Early Civilizations in the Middle East to about 1000 B.C.E. • By 3000 B.C.E. centralized states were well established in Mesopotamia and Egypt.

•

Irrigation contributes to the ability to produce a surplus in agriculture.

1.2.1 Mesopotaminan Civilization • The Sumerians founded the oldest Mesopotamian cities in the southern part of the region during the fourth millennium B.C.E. •

Various empires, including the Akkadians and Babylonians, dominated the region.

•

A Babylonian king, Hammurabi, is know for creating the fullest and best preserved ancient legal code.

•

The Sumerians invented the writing system now known as cuneiform.

•

They developed the concept of the number. Mathematics and a calendar followed.

•

The Mesopotamians worshiped many gods and goddess in human form.

•

They had a gloomy picture of the afterworld.

•

Strict social divisions and slavery were present.

3 ..

1.2.2 Egyptian Civilization • Egyptian agriculture and commerce centered on the Nile River.

•

The 3,000-year span of Anient Egyptian history is divided into thirty-one royal dynasties.

•

The Old Kingdom (2700–2200 B.C.E.) was the age of the pyramids during which the pharaohs dominated as kings and gods.

•

The Middle Kingdom (2200–1630 B.C.E.) saw the absolute power of the pharaohs fade.

•

Egypt expanded more aggressively during this period.

•

The New Kingdom (1630–1075 B.C.E.) brought Egypt to the height of its power.

•

This was followed by a thousand-year period of decline in Egypt.

•

The Egyptians developed a writing system known as hieroglyphics around 3000 B.C.E.

•

They wrote many different types of literature.

•

The many gods in the Egyptian pantheon are difficult to categorize.

•

Egyptians believed in an afterlife full of danger.

•

Women’s roles were connected to the household but some royal women held considerable power.

1.3 Ancient Near Eastern Empires 1.3.1 The Hittites • By 1500 B.C.E. a strong, centralized government was established in present-day Turkey.

•

The Hittite kingdom had disappeared by 1200 B.C.E.

•

Iron smelting technology was discovered in northern Anatolia.

•

This led to the Iron Age after 1100 B.C.E.

1.3.2 The Kassites •

The Kassites established a dynasty at Babylon that lasted 500 years.

1.3.3 The Mitannians • Developed chariot warfare and horse training to a high degree 4 ..

1.3.4 The Assyrians • The Assyrian people were originally from the city of Asser.

•

The first Assyrian Empire spread north and west before collapsing at the end of the second millennium.

1.3.5 The Second Assyrian Empire • By 665 B.C.E., the second Assyrian Empire controlled all of Mesopotamia and much of Asia Minor.

•

The empire was carefully organized but too large to govern efficiently.

1.3.6 The Neo-Babylonians • Nebuchadnezzar of Babylonia takes over much of the Assyrian Empire.

•

An astronomical center in Babylon kept detailed records of observations.

•

The Persians conquered the empire in 539 B.C.E.

1.4 Early Indian Civilization • The first evidence of a settled, Neolithic way of life in India dates from 5500 B.C.E. •

The Indus or Harappan civilization emerged in the valley of the Indus River sometime after 2600 B.C.E. as the first civilization in India.

•

The second, the Vedic Aryan civilization, followed after 1700 B.C.E., named after the Aryans who founded it and their holy texts, or Vedas.

1.4.1 The Indus Civilization • Existed from 2300 B.C.E. to approximately 1700 B.C.E. •

A homogenous culture covering a wide geographic area

•

Cities followed a common pattern, with a complex system of sewers and drains.

•

The Harrapans practiced sedentary agriculture, raised livestock, and engaged in trade with Mesopotamia.

•

The Indus culture produced fine bronze and stone sculptures.

•

The art of the Indus civilization is somewhat limited compared to Egypt or Mesopotamia.

5 ..

•

Indus religious practices can be connected to later practices in India.

•

The civilization had disappeared by 1800 B.C.E.

1.4.2 The Vedic Aryan Civilization • Modern knowledge of Aryan civilization has been preserved through the Vedas.

•

The Aryans were part of a language group known today as Indo-European.

•

The Vedic Aryans were seminomadic warriors from Asia who invaded India in tribal groups.

•

Tribes were ruled by a chieftain or raja.

•

Aryan mixing with other subcontinent people created a new and distinct Indian culture.

•

Late in the Vedic Age, other sacred writings were created, including the Brahmanas, the Mahabharata, and the Ramayana.

•

Aryan society was patrilineal and highly stratified into strict castes or varnas.

•

The priestly Brahman caste dominated, a status supported by the Upanishads.

•

Indra, the god of war, and Agni, the god of fire, were leading deities.

1.5 Early Chinese Civilization 1.5.1 Neolithic Origins in the Yellow River Valley • Agriculture began in China about 4000 B.C.E. •

The early Chinese abandoned fields, and sometimes entire villages, when soils became exhausted.

•

China’s chief crop was millet, they had domesticated animals, and used stone tools.

1.5.2 Early Bronze Age: The Shang • Shang Dynasty (1766–1050 B.C.E.) characterized by city-states, with the largest the Shang capital •

Shang kings held political, economic, social, and religious authority.

•

Three most notable features of Shang China: writing, bronzes, and the appearance of social classes 6 ..

•

Human sacrifice a part of Shang religious ritual

1.5.3 Late Bronze Age: The Western Zhou • The Zhou conquered the Shang by 1050 B.C.E. •

Under the Zhou, the main features of Shang life and rule continued, including city-states.

•

The Zhou claimed the Mandate from Heaven, a concept used by every subsequent Chinese dynasty.

1.5.4 Iron Age: The Eastern Zhou • This period began in 771 B.C.E.when the Zhou capital was overrun by barbarians.

•

Zhou rulers saw their power diminish.

•

This era included the Spring and Autumn period and the Warring States period.

•

Agricultural lands and population increased, commerce expanded, and a new kind of army emerged.

1.6 The Rise of Civilization in the Americas • Sometime before 12,000 B.C.E., Asian migrations on the Bering Sea land bridge brought humans to the Americas.

•

Earliest American immigrants lived by hunting, fishing, and gathering.

•

Maize cultivation begins in Mexico around 4000 B.C.E.

•

Mesoamerica and the Andean region produced strong, long-lasting states with stratified social structures.

Documents The Code of Hammurabi • What do the passages suggest about the way Mesopotamians viewed the role of marriage in society, and the role of women in marriage?

Love Poems from the New Kingdom • How does the girl in the first poem propose to escape the supervision of her parents?

What ails the young man in the second poem?

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An Assyrian Woman Writes to Her Husband, ca. 1800 B.C.E. • What functions did this woman perform on behalf of the family? How do you judge her real power in regard to her husband? On what evidence do you base that judgment? What does this document reveal about the place of women in Assyrian society?

Hymn to Indra • What are the main kinds of imagery used for Indra and his actions in the hymn? What divine acts does the hymn ascribe to Indra?

Human Sacrifice in Early China • We believe today that it is honorable to die in war for one’s nation. How is that different from dying to serve one’s lord in the afterlife?

A Closer Look Babylonian World Map 1. What can we learn from this map about how the Babylonians saw the world around them and their own place in it?

2. Why do you think this map locates some of the Babylonians’ neighbors but ignores other important neighboring cultures?

3. Why has cartography remained so important throughout the ages?

4. Is the subjectivity reflected here confined to this map, or is it a general characteristic of cartography throughout history?

Summary The Emergence of Civilizations. Beginning in 10,000 B.C.E., there was a shift from a huntergatherer way of life to one marked by settled agriculture and the domestication of animals—a shift known as the “Neolithic Revolution.” Between 4000 and 3000 B.C.E., civilization began to appear in the Tigris and Euphrates valleys in Mesopotamia, then along the Nile River in Egypt, and somewhat later in the Indus valley in India and the Yellow River basin in China. Each of these early civilizations developed urban centers, monumental architecture, a hierarchical society, and a system of writing. The period is known as the Bronze Age because it coincided with the discovery of the technique for making bronze tools and weapons.

Mesopotamia. The Sumerians founded the oldest Mesopotamian cities around 3000 B.C.E. Beginning around 2370 B.C.E., the Sumerian city-states were conquered and absorbed in turn by the Akkadian, Babylonian, and Assyrian empires. The Sumerians passed much of their civilization down to their successors: a system of writing on clay tablets called cuneiform, the worship of gods based on natural forces, semidivine kings, and a highly developed bureaucracy.

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Egypt. Watered by the Nile River and protected by deserts and the sea, Egyptian civilization was more secure and peaceful than that of Mesopotamia. Egypt became a unified kingdom around 2700 B.C.E. Religion dominated Egyptian life. The kings, or pharaohs, were considered gods on whom the lives and prosperity of their people depended. Egyptian history is divided into three main periods: Old Kingdom (2700–2200 B.C.E.), Middle Kingdom (2052–1786 B.C.E.), and New Kingdom (1575–1087 B.C.E.). The influence of a strong religious center is not known. The period following the decline of Chavín, which archaeologists call the Early Intermediate period, saw the development of distinctive cultures in several regions. Notable among these are the Moche culture on the northern coast of Peru and the Nazca culture on the southern coast. A second period of transregional integration—called the Middle Horizon—occurred around 600 B.C.E., this time probably associated with empires centered on the highland sites of Huari and Tiahuanaco. The succeeding Late Intermediate period was dominated on the northern coast of Peru by the Chimu successors of the Moche state. This period ended with the founding of the vast, tightly controlled empire of the Incas in the fourteenth and fifteenth centuries B.C.E. Under the New Kingdom, Egypt contended for mastery of the Near East with the Hittite Empire.

Indus Civilization. By 2300 B.C.E., at least seventy Indus cities, the largest being Harappa and Mohenjo-Daro, had developed a sophisticated urban culture. By about 1800, or at the latest, 1700 B.C.E., Indus civilization disappeared for unknown reasons. In its place, Indo-European (or Aryan) invaders established the Vedic culture, named after the ritual writings known as the Vedas. In turn, Vedic culture evolved into a “new” Indian civilization that spread over the whole subcontinent and laid the foundations for the subsequent development of Hindu traditions.

China. The Shang Dynasty (1766–1050 B.C.E.) founded the earliest known Bronze Age civilization in China. The Shang and their successors, the Zhou (1050–256 B.C.E.), ruled as warrior aristocrats from city-states that fought outsiders and each other. By the fourth century B.C.E., as population and commerce expanded, rulers needed bigger armies to defend their states and trained bureaucrats to administer them. The result was the consolidation of many petty states into a few large territorial units.

The Americas. The first civilizations in the Americas arose in places that produced an agricultural surplus. In Mesoamerica (central Mexico and Central America) this was based on the cultivation of maize (corn). In the Andes valleys, it was based on a combination of agriculture and the rich marine resources of the Pacific. The Olmecs (1500–400 B.C.E.) established the first civilization in Mesoamerica, whereas the first monumental architecture appeared in the Andes region around 2750 B.C.E.

Key Terms Aryans (AIR-yuhns), p. 23 Bronze Age, p. 8 culture, p. 3 diffusion, p. 3 Indo-European, p. 26

Brahmanas, p. 27 civilization, p. 8 cuneiform (koo-NEY-uh-form), p. 11 hieroglyphics, p. 18 Mahabharata, p. 27 9 ..

Mandate of Heaven, p. 32 Mesopotamia, p. 8 Neolithic Revolution, p. 8 pharaoh, p. 15 Ramayana, p. 27 varnas, p. 27

Mesoamerica, p. 35 Neolithic Age, p. 7 Paleolithic Age, p.3 raja (rah-JAH), p. 27 Upanishads (oo-PAHN-ee-shahdz), p. 29 Vedas (vey-DAHZ), p. 23

REVEL Writing Exercises Journal Writing 1.2 The Code of Hammurabi What do the passages suggest about the roles and the status of Mesopotamian women, both within the family and society?

1.3 An Assyrian Woman Writes to Her Husband, ca. 1800 B.C.E What does this document reveal about the place of women in Assyrian society?

1.4 Hymn to Indra What divine acts does the hymn credit to Indra and how are Indra and his acts described?

1.5 Human Sacrifice in Early China Modern society considers it honorable to die fighting in a war for one’s nation. How is this different from the views in early China of dying in order to serve one’s lord in the afterlife?

Shared Writing What general conclusions can you draw about the differences in the political, religious, and intellectual outlooks of the civilizations in Mesopotamia and Egypt? How would you explain these differences?

Internet Resources “Out of Africa”: http://www.actionbioscience.org/evolution/johanson.html presents an argument for the “Out of Africa” theory with an outline of the leading alternative theory and references to further reading by a leading researcher in the field.

Human Evolution: http://www.becominghuman.org is an excellent resource constructed by The Institute of Human Origins and Arizona State University that provides an enormous amount of up-to-date information about human evolution and recent discoveries in the field.

Human Origins: http://www.amnh.org/exhibitions/permanent-exhibitions/human-origins-andcultural-halls/anne-and-bernard-spitzer-hall-of-human-origins provides a “virtual tour” of the American Museum of Natural History’s Hall of Human Origins.

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“Are Humans Still Evolving?”: http://www.youtube.com/watch?v=3r3ZBzbe0e8 University of Pennsylvania Professor Sarah Tishkoff gives a “60-Second Lecture” on the evidence for ongoing human evolution.

Lascaux Cave Painting: http://www.culture.gouv.fr/culture/arcnat/lascaux/en/ is a stunning site that provides background on the excavation and a tour of the cave and its paintings. Çatalhüyük: http://www.catalhoyuk.com/ is the official website for the excavation and museum that contains much useful and reliable information.

Early Americas (Applied Archaeology): http://www.sas.upenn.edu/%7Ecerickso/baures/baures2.htm is a site providing a wealth of information about early agriculture as it may have developed in the Amazon River area.

Indo-European Languages: http://www.ship.edu/~cgboeree/indoeuropean.html provides timelines and maps that chart the development and spread of this dominant language group across Eurasia.

Ecology of China: http://www.ancientchina.co.uk/geography/index.html, hosted by the British Museum, provides useful maps and information.

Ecology of Egypt: http://www.egyptvoyager.com/articles_ecologyofsettlements_1.htm provides a series of helpful articles about the ecology of early settlements in ancient Egypt.

Ecology of Mesopotamia: http://www.mesopotamia.co.uk/geography/index.html, hosted by the British Museum, provides useful maps and information in its geography section.

Harappa: http://www.harappa.com/ provides an enormous range of materials (both written and visual) that encompass the culture of Indus valley civilization.

Ancient Andes: http://www.stanford.edu/~johnrick/chavin_wrap/index.html provides useful information and images relating to John Rick’s project at Chavín de Huántar. Also, see http://www.stanford.edu/~johnrick/preceram/index.html for great material about early huntergatherers in the Andes.

Ancient Mesoamerica: http://www.angelfire.com/zine/meso/ provides an extensive list of links for Mesoamerican archaeology.

Hittite Archeology: http://www.tau.ac.il/humanities/archaeology/projects/proj_past_hittite.html provides photographs from archeological research on Hittite Anatolia.

Assyria: http://www.allempires.com/empires/assyria/assyria1.htm is a very good, general site with useful illustrations.

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Women: http://www.fordham.edu/halsall/women/womensbook.html has strong sections on Mesopotamia and Greece.

India: http://www.ancientindia.co.uk/ is a well-illustrated introduction to Ancient India, created by the British Museum.

Suggested Maps Prentice Hall Atlas of World History, Second Edition •

Early Hominids

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Emergence of Modern Humans

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World: Prehistory–10,000 B.C.E

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Polynesian Migrations

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World: 10,000–5000 B.C.E

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The Advent of Agriculture

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The World: 5000–2500 B.C.E

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The Fertile Crescent

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Urban Centers and Trade Routes

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The Growth of the City

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The First East Asian Civilizations

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The First Empires

Suggested Films Prehistoric Man in Europe. International Film Bureau (22 minutes).

The Story of Prehistoric Man. Coronet (11 minutes).

Rivers of Time. McGraw-Hill (26 minutes).

From Ur to Nineveh. Radim Films (18 minutes).

Digging for the History of Man. Roland Films (55 minutes).

Ascent of Man I: Lower than the Angels. Time-Life (52 minutes).

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Ancient Egypt. Coronet (11 minutes).

Ancient Egypt. Time-Life (51 minutes).

The Ancient Egyptian. International Film Foundation (27 minutes).

Egypt: Cradle of Civilization. Encyclopaedia Britannica (12 minutes).

Egypt–The Gift of the Nile. Centron (29 minutes).

In Search of the Mummy’s Curse. Pyramid Films (29 minutes).

Submerged Glory–A Study in Stone. McGraw-Hill (28 minutes).

Mysteries of the Great Pyramid. Wolper Productions (50 minutes).

Ancient Egyptian Images. Macmillan (13 minutes).

Nubian 64 (Saving the Temples of Ancient Egypt). Roland Films (40 minutes).

Tut, the Boy King. National Broadcasting Company (NBC) (52 minutes).

Bring Forth My People–Moses and the Exodus 3200 Years Later. Cameras International Productions (52 minutes).

Jerusalem–Center of Many Worlds. Atlantis Productions, Inc. (29 minutes).

The Ancient Chinese: An Introduction. Coronet Films (25 minutes).

Ancient East. University of Utah Educational Media (16 minutes).

Ancient Phoenicia and Her Contributions. Atlantic Productions, Inc. (14 minutes).

River Nile. National Broadcasting Company (NBC) (34 minutes).

Chinese History No. 1: China in the Beginnings. Teaching Films Custodians (19 minutes).

Chinese History No. 2: The Making of a Civilization. Teaching Films Custodians (18 minutes).

Chinese History No. 3: China: Hundred Schools to One. Teaching Films Custodians (19 minutes).

Glory that Remains No. 1: The Sudden Persian Empire. Time-Life Films (30 minutes).

Glory that Remains No. 4: Imminent Deities (India). Time-Life Films (30 minutes).

Glory that Remains No. 5: Sermons in Stone (India). Time-Life Films (30 minutes).

Iran: Landmarks in the Desert. Centrol Educational Films (28 minutes).

Iraq: Stairway to the Gods. Centrol Educational Films (16 minutes).

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Ice Mummies: Return of the Ice Man. PVS (60 minutes).

Journey of Man. PVS (120 minutes).

Lascaux: The Prehistory of Art. FHS (61 minutes).

Secrets of the Bog People: Prehistoric Graveyard. FHS (50 minutes).

The Real Eve. Discovery (180 minutes).

500 Nations. National Geographic Video (372 minutes).

Guns, Germs and Steel. National Geographic Video (165 minutes).

Ice Age Columbus: Who were the First Americans? Discovery Channel (100 minutes).

Mystery of the First Americans. PBS (60 minutes).

Quest for Fire. A dramatic story of a paleolithic group that is especially interesting for its depiction of the early development of animal domestication. Panasonic MDMC (100 minutes).

The Earliest Immigrants. FHS (24 minutes).

Building the Great Pyramid. BBC Warner (60 minutes).

Decisive Battles. Includes Ramesses II’s battle against the Hittite Empire. History Channel (325 minutes).

Egypt: Quest for Eternity. National Geographic (60 minutes).

Nubia: The Forgotten Kingdom. Discovery Channel (50 minutes).

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CHAPTER 2—Four Great Revolutions in Thought and Religion Learning Objectives 2.1 Comparing the Four Great Revolutions Compare and contrast the geographic and cultural forces involved in the development of the four great revolutions in thought and religion.

2.2 Philosophy in China Summarize the main ideas of Confucianism, Daoism, and Legalism.

2.3 Religion in India Trace the evolution of Indian religious thought from its origins through the development of the Jain and Buddhist traditions.

2.4 The Religion of the Israelites Summarize the development of Hebrew monotheism from its origins in the polytheistic world of the ancient Near East to the acceptance of the Torah and the idea of a Messiah.

2.5 Greek Philosophy Describe the distinctive ideas and approaches of Greek philosophy and the major Greek philosophers.

Introduction • •

All human cultures develop religions of philosophical systems.

Religion and philosophy meet profound human psychological needs.

Global Perspective Philosophy and Religion •

• • •

Between 800 and 200 B.C.E. four philosophical or religious revolutions occurred that shaped the subsequent history of the world.

All the philosophical or religious revolutions occurred in or near the original river valley civilizations.

Each of the revolutions in thought and ethos was born of a crisis in the ancient world.

The number of philosophical and religious revolutions can be counted on the fingers of one hand, subsequent breakthroughs tended to occur within the original traditions.

Focus Questions 1. Why do you think so many revolutionary philosophical and religious ideas emerged at about 15 ..

the same time in many different regions? Do these ideas share any fundamental concerns?

2. Why is this period in Eurasian history sometimes referred to by philosopher Karl Jaspers’s term “axial age”?

KEY POINTS 2.1 Comparing the Four Great Revolutions • • •

China shows the most continuous development in thought and religion.

Indian subcontinent developed its own traditions.

Western Christian and Islamic traditions emerge later.

2.2 Philosophy in China • • • •

Chinese thought diverse, sociopolitical and practical in focus Greek thought speculative, concerned with the world of nature Greek thought eventually submerged by Christianity Chinese tradition has three major schools of Confucianism, Daoism, and Legalism.

2.2.1 Confucianism • •

• • •

Confucius lived from 559 to 479 B.C.E. Confucius proposed to resolve the turmoil of his own age by a return to the good old ways of the early Zhou.

Central to Confucian thought was the concept of junzi, or noble behavior.

Confucianism was adopted as the official philosophy in China in the second century B.C.E. The idea that government ought to care for the people became a permanent part of the Confucian tradition.

2.2.2 Daoism • • • •

The central concept of Daoism is Dao, or Way. The Dao functions on a cosmic, not a human scale.

Daoism a return to the infinite, to join the rhythms of nature.

Daoism’s political philosophy encapsulated in wuwei.

2.2.3 Legalism •

• •

Concerned with ending the wars that plagued China, true peace required a united country and strong state Put human laws above an ethic modeled on Heaven, on a heavenly order of values Legalism’s legacy of administrative and criminal laws became a vital part of subsequent dynastic China.

2.3 Religion in India 2.3.1 “Hindu” and “Indian” •

Hindu is not a term for any single or uniform religious tradition or community.

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•

Hindu institutions include the concept of transmigration and caste distinctions.

2.3.2 Historical Background • •

Brahmanas texts stressed acquiring sacred power through knowledge instead of ritual.

Buddhist tradition emerges first in India.

2.3.3 The Upanishadic Worldview • • • • • • • •

Knowledge, not the sacred word or act, the ultimate source of power Immortality interpreted in terms of escape from mundane existence in any form The way to the Absolute is through self.

The endless cycle of existence, samsara Karma, every action has its inevitable effects Two solutions to samsara: the “ordinary norm” and the “extraordinary norm” Dharma, the life of moral action, as the “ordinary norm” Retreat and asceticism as the “extraordinary norm”

2.3.4 Mahavira and the Jain Tradition • • •

Focused on eliminating thoughts and acts, especially those harmful to others Ascetic practices intended to destroy karmic bondage Compassion, as with Buddhists, the greatest virtue

2.3.5 The Buddha’s Middle Path • • • •

The Buddha (“Enlightened One”) born 566 B.C.E. Taught a “Middle Path” between asceticism and indulgence The Four Noble Truths and Moral Eightfold Path to attain nirvana, the extinguishing of karmic bondage Humanly attainable wisdom that leads to compassion and release

2.4 The Religion of the Israelites • • •

Polytheistic religious traditions of the Near East contested by the Israelites or Hebrews Ethical monotheism the religion of the Hebrew tribes Jewish, Christian, and Islamic religions share the concept of the moral demands and responsibilities that the one God placed on individual and community.

2.4.1 From Hebrew Nomads to the Israelite Nation • • •

• •

Hebrews likely arrive in Palestine between 1900 and 1600 B.C.E. Moses leads Exodus of Egyptian Israelites to find a new homeland to the east.

Hebrews establish a unified kingdom under the kings David and Solomon in the tenth century B.C.E. Destruction of the great Temple, period of the “Babylonian Captivity” Roman destruction of Jerusalem in 70 C.E.

2.4.2 The Monotheistic Revolution •

The Jews’ interpretation of their history and their uniquely moralistic understanding of life and uncompromising monotheisms are of lasting historical importance.

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• • • •

A seminal idea of Judaism was that of the divine plan.

A second central idea is god (Yahweh) as the transcendent ideal of justice and goodness, of a moral God. A Messiah, the redeemer, would establish a kingdom of God on earth.

Holy scripture and the Law (the Torah) a key element in the monotheistic revolution.

2.5 Greek Philosophy •

Rationalism and skepticism of the Greeks laid the foundations for humanism and away from divine or supernatural forces as the explanation in human affairs and the physical world.

2.5.1 Reason and Scientific Spirit •

•

Sixth and fifth centuries B.C.E. witness blossoming of rational and scientific spirit in Greece, the birth of philosophy.

Sophists of the fifth century B.C.E. applied reasoned analysis to human beliefs and institutions.

2.5.2 Political and Moral Philosophy •

• • • • • • •

Socrates, Plato and Aristotle in the late fifth and early fourth century B.C.E. the three giants of Greek moral and political philosophy.

Socrates sought the knowledge of human affairs as revealed through reason and observation.

Plato was the first philosopher to place political ideas in their full philosophical context.

Knowledge was science open only to the few philosophers whose training, character and intellect allowed them to see reality.

Concern for the redemption of the polis is at the heart of Plato’s system of philosophy.

Aristotle’s Lyceum concerned with gathering, ordering, and analyzing all human knowledge.

Aristotle combines empiricism, reason, and metaphysical speculation to human problems, especially those affecting the polis.

Greek tradition in philosophy reemerges in the eighteenth century, dominant thereafter in Western civilization.

Documents Confucius Presents the Rules of Morality •

How do the injunctions “to repay hatred with uprightness” and to “repay virtue with virtue” compare to the Christian injunction “to turn the other cheek”? Which do you think is more appropriate?

Daoism •

How does the Way in Daoism compare with Confucius’s use of the same term?

Legalism •

Do the tenets of Legalism have any modern parallels? What do you think of Legalism as a philosophy of government? As an approach to the problem of crime? How does Legalism compare with other approaches to law, leadership, and government?

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Discussions of Brahman and Atman from the Upanishads •

Does either of these passages provide a guide to salvation? If so, why, and what is the suggested path to salvation? In what sense and degree are the passages concerned with ignorance and enlightenment?

The “Turning of the Wheel of the Dharma”: Basic Teachings of the Buddha •

What extremes does the Middle Path try to avoid? What emotion drives the chain of suffering?

How does the “knowledge” that brings salvation compare to the knowledge sought in the Hindu tradition?

God’s Purpose with Israel •

How do these passages exemplify the moral consciousness and utter faith in God on which Jewish monotheism is built?

Plato on the Role of Women in His Utopian Republic •

What are Plato’s reasons for treating men and women the same? What objections could be raised to that practice? Would that policy, even if appropriate in Plato’s utopia, also be suitable to conditions in the real world of classical Athens? In the world of today?

A Closer Look Statue of Siddhartha Gautama as Fasting Ascetic (second century C.E.) 1. What might the various indications of Greco-Roman influence in this south-central Asian Buddhist sculpture suggest about the permeability of political and cultural boundaries from the Mediterranean to South and Central Asia in the early centuries C.E.?

2. The nimbus or halo of light behind the head here is widely attested in various forms across Asia as well as in the Mediterranean, in Hellenistic, Greek, Roman, Christian, Buddhist, and Hindu art. Why might this be so attractive, and what particular purposes would you think it serves in this or other figures in various traditions?

3. Most religious traditions have strands of piety within them that emphasize ascetic renunciation of worldly things, often including extreme renunciation involving fasting (even to death in a few cases), sexual and other kinds of abstinence, and refusal to have any “possessions.” In the Buddha’s teaching, why is extreme renunciation and asceticism rejected? Can you compare these ideas to those in another tradition with which you are familiar?

Summary The Four Great philosophical and Religious Revolutions. Between 800 and 300 B.C.E., four philosophical and religious revolutions arose that were to shape the subsequent history of the world.

These were Chinese philosophy, Indian religion, Hebrew monotheism, and Greek philosophy.

Chinese Philosophy. Traditional Chinese philosophical thought, which took shape with the teachings of

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Confucius in the sixth century B.C.E., remained dominant in China until the early twentieth century. It was concerned with social and political issues and sought to teach human beings how to live harmoniously and ethically under Heaven by prescribing the correct relationships between ruler and subject, father and son, older and younger brother, husband and wife, and friend and friend. Confucianism became the official philosophy of China in the second century B.C.E. Other Chinese philosophies were Daoism, a mystical way of thought that offered a refuge from social responsibilities, and Legalism, which taught that a good society requires a strong state that enforces the law and punishes wrongdoers.

Indian Religion. The Hindu religious tradition that has predominated in India began to take shape sometime after 400 B.C.E. into the early centuries of the first millennium C.E. In Hindu, and largely in Jain and Buddhist traditions as well, existence is an endless alternation between life and death (samsara). The escape from this dilemma lies in the concept of karma, the idea that good actions (following dharma) could lead to rebirth as a higher being, even a god. It is also possible for some extraordinary religious achievers to escape the cycle entirely and be released altogether from the samsaric round of rebirth and re-death (moksha). Another Indian religious tradition, the Jains, sought to liberate the soul from the bonds of the material world by eliminating evil acts, especially all forms of harm to other beings. A third Indian tradition, the Buddhist, traces its origins to the teachings of Siddhartha Gautama (b. ca. 566 B.C.E.). These teachings hold that escape from samsara lies in following a moral path of right understanding and actions, having compassion for all beings, and ultimately achieving enlightenment about the suffering inherent in clinging to samsaric existence itself.

Hebrew Monotheism. Monotheism is the faith in a single, all-powerful God as the sole creator, sustainer, and ruler of the universe. The Hebrews were the first people to emphasize the moral demands that the one God, Yahweh, placed on individual and community and to see history as the unfolding of a divine plan. The Hebrews, or Jews, were the first people in history to be defined by shared religious faith and practice. Through the Christian and Muslim traditions, Judaic monotheism would change the face of much of the world.

Greek philosophy. The Greeks were the first to initiate the unreservedly rational investigation of the universe. They thus became the forerunners of Western philosophy and science. In the sixth and fifth centuries B.C.E., Greek thinkers, such as Thales of Miletus and Heraclitus, sought to explain natural phenomena without recourse to divine intervention. In the later fifth century and the fourth century B.C.E., philosophers, such as Socrates, Plato, and Aristotle, applied the same rational, inquisitive approach to the study of moral and political issues in the life of the Greek city-state, or polis.

Key Terms atman-Brahman, p. 50 Brahmanas, p. 49 Daoism (DAOW-ihzm), p. 46 Hindu, p. 49

atomists, p. 62 covenant, p. 58 dharma, p. 51 Jains, p. 53 20 ..

karma, p. 50 Messiah, p. 59 polis (POH-lihs), p. 62 samsara, p. 50

Legalism, p. 47 monotheism, p. 56 polytheism, p. 56 Sophists, p. 62

REVEL Writing Exercises Journal Writing 2.2 Confucius Presents the Rules of Morality What connections can you find between these Rules of Morality presented by Confucius and the moral code in your life?

2.2 Daoism How does the Way in Daoism compare with the use of the Way in Confucianism?

2.3 The “Turning of the Wheel of the Dharma”: Basic Teachings of the Buddha What emotion drives suffering, as taught by the Buddha? Why is this emotion behind suffering?

2.4 God’s Purpose with Israel How do these passages reveal the moral consciousness and complete faith in God on which Jewish monotheism is built?

2.5 Plato on the Role of Women in His Utopian Republic What are Plato’s reasons for treating men and women the same? Would this have worked in his day? How about today?

Shared Writing Is your outlook on life closer to Confucianism, Daoism, or Legalism? What specifically makes you favor one over the others?

Internet Resources Ancient China: http://www.ancientchina.co.uk/menu.html provides timelines and further discussion and images for Shang and Zhou dynasty China.

Ancient Religions and Philosophies: http://www.iep.utm.edu/ The Internet Encyclopedia of Philosophy provides reliable articles on major and minor philosophers and religious leaders.

Eurasian Religions: http://www.fordham.edu/halsall/eastasia/eastasiasbook.html provides an immense number of key primary sources for Confucianism, Daoism, Buddhism, Jainism, and the Christian, Jewish, and Islamic religions.

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India: http://www.fordham.edu/halsall/india/indiasbook.html has a section on the Vedic age that provides links to substantial translations of the Vedas and the Upanishads, as well as other helpful texts.

Suggested Maps Prentice Hall Atlas of World History, Second Edition • Religions of the World after 400 C.E.

Suggested Films Thai Images of Buddha. Teaching Films Custodians (14 minutes).

World of the Heike Monogatari. Gakken Film Company, Tokyo (22 minutes).

Chinese History No. 3: China: Hundred Schools to One. Teaching Films Custodians (27 minutes).

Death of Socrates. Columbia Broadcasting System (27 minutes).

Glory that Remains No. 5: Sermons in Stone India. British Broadcasting Corporation (30 minutes).

Greece: The Golden Age. National Broadcasting Company (29 minutes).

Greece: The Inner World. Modern Talking Picture Service (60 minutes).

Land of the Book. Ray Garner Productions (28 minutes).

Origin of Mathematics. University Film Library Holder (11 minutes).

Search for Ulysses. University Film Library Holder (50 minutes).

Synagogue and the Passover: Two Thousand Years Ago. (21 minutes).

Temple of Apollo at Bassae. University Film Library Holder (16 minutes).

Classical Greek Philosophy. FHS (50 minutes).

Ancient India. Kultur (50 minutes).

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CHAPTER 3—Greek and Hellenistic Civilization Learning Objectives 3.1 The Bronze Age on Crete and on the Mainland to ca. 1150 B.C.E. Summarize what’s known about the Minoan and Mycenaean civilizations up to the Mycenaean collapse late in the second millennium B.C.E. 3.2 Greek “Middle Age” to ca. 750 B.C.E. Describe Greek government, society, and values in the period following the Mycenaean collapse, as portrayed in the Homeric poems.

3.3 The Polis Discuss the development and the main characteristics of the polis and the hoplite phalanx.

3.4 Expansion of the Greek World Trace the history of Greek colonization in the Mediterranean world and the rise and fall of tyranny in the Greek poleis.

3.5 Life in Archaic Greece Discuss the society, religion, and poetry of archaic Greece.

3.6 Major City-States Compare and contrast the society and history of Sparta and Athens in the period ca. 725 B.C.E. to 501 B.C.E. 3.7 The Persian Wars Discuss the Persian Wars, including the events leading up to the wars and the major battles.

3.8 Classical Greece Discuss classical Greece, its history, the position of women, and its cultural achievements.

3.9 Emergence of the Hellenistic World Discuss the Macedonian conquest of Greece, the career of Alexander the Great, and the consequences of Alexander’s death.

3.10 Hellenistic Culture Analyze the characteristics and achievements of Hellenistic culture.

Introduction • •

Around 2000 B.C.E., Greek-speaking peoples settled in the lands surrounding the Aegean Sea. The foundation of the Greek way of life was the independent city-state or polis.

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• • • • •

Early in the fifth century B.C.E., the great Persian Empire threatened to extinguish Greek independence.

The city-states led by Sparta and Athens defeated Persia.

Fears and jealousies lead to a series of major wars between the city states.

In 338 B.C.E. Philip of Macedon conquered the Greek states, the conquests of his son, Alexander, spread Greek culture into Egypt and Asia.

Preserved and adapted by the Romans, Greek culture influenced the Byzantine Empire, the Middle Ages, and Western civilization.

Global Perspectives The Achievements of Greek and Hellenistic Civilization •

• • • •

Hellenic civilization had little in common with other early civilizations, lacking those civilizations’ traditions of strong, centralized monarchical governments.

The crucial unit of the Greek way of life was the polis, the Hellenic city-state.

Rivalry between the city-states led to constant warfare but also inspired Greek achievements in literature and art.

During the Classical Age, Athens developed democratic government to an extent not seen again until modern times.

Greek culture exerted a wide influence, particularly on Rome, but over a remarkably wide area.

Focus Questions 1. Why are the achievements of Greek culture so fundamental to the development of Western civilization?

2. In what ways was Greece influenced by neighboring civilizations? Which civilizations had the most influence on Greek culture, and why?

3. How did the Hellenistic era differ from the Hellenic? What made Hellenistic culture more cosmopolitan than Hellenic culture?

Key Points 3.1 The Bronze Age on Crete and the Mainland to ca. 1150 B.C.E. • One source of Greek civilization was the culture of the island of Crete.

3.1.1 The Minoans •

In the third and second millennia B.C.E., the Bronze Age Minoan civilization influenced the islands of the Aegean and the mainland of Greece.

3.1.2 The Mycenaeans 24 ..

• • • •

At Mycenae rich findings of the early Greek presence on the mainland dating from around 1600 B.C.E.

Mycenaean world was made up of a number of independent, powerful, and well-organized monarchies.

The Mycenaeans most likely sacked Troy, giving rise to Homer’s epic poems, the Iliad and the Odyssey.

Mycenaean civilization collapses around 1100 B.C.E.

3.2 Greek “Middle Age” to ca. 750 B.C.E. •

•

The Mycenaean collapse encouraged the spread of the Greek people eastward from the mainland to the Aegean islands and the coast of Asia Minor.

The Greeks in this period had little trade with the old civilizations of the Near East or internal trade but were able to recover from their disaster and create their unique style of life.

3.2.1 The Age of Homer • • • •

The epic poems of Homer provide the best picture of Greek society in this period.

Monarchical power was limited by some form of constitutional government.

Society was sharply divided by class, slaves existed though in small numbers.

Homeric values, of great influence in subsequent Greek history, were physical prowess, courage, and protection of one’s family, friends and property and especially one’s personal honor and reputation.

3.3 The Polis •

The characteristic Greek institution was the polis, independent political units comprised of a community of citizens.

3.3.1 Development of the Polis • • • •

The availability of farmland and of a natural fortress determined the location of the original polis.

Later the agora—the marketplace and civic center—appeared in the polis.

The agora would become the heart of the Greeks social life.

Original polis characterized by supremacy of the power of the nobility rather than monarchy.

3.3.2 The Hoplite Phalanx • • • • •

Crucial to the development of the polis was a new military strategy.

Lightly armed infantry, small troops of cavalry, and individual “champions” were replaced by hoplite phalanx, which became the chief element in Greek warfare toward the end of the eighth century B.C.E., and remained so thereafter.

The hoplite was a heavily armed infantryman who fought with a spear and a large shield. Soldiers were arrayed in close order, usually at least eight ranks deep, to form a phalanx.

The usual hoplite battle in Greece was between the armies of two poleis quarreling over a piece of land.

The phalanx and the polis arose together, and both heralded the decline of kings.

3.4 Expansion of the Greek World •

Greeks expanded their influence territorially and through the development of their writing system.

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3.4.1 Greek Colonies •

•

Greeks expanded westward, establishing colonies in Southern Italy, Sicily, Spain and Southern France.

A Panhellenic culture emerged in the Mediterranean, underpinned by common religious festivals and trade.

3.4.2 The Tyrants (ca. 700-500 B.C.E.) • • •

In some polies, probably a small percentage, strong one-man rule (tyranny) emerged.

Such tyrants introduced programs of public works, buildings and the erection of temples and defensive fortifications.

By the end of the sixth century B.C.E., tyranny had disappeared from the Greek states.

3.5 Life in Archaic Greece •

• • •

Small farmers comprised the largest social class, the majority of people continued to make their living from the land.

Crops included grains, grapes for the making of wine, and olives, mainly for oil, used for cooking.

Aristocrats could hire sharecroppers or use slaves to work their lands.

Aristocratic social life emphasized competition and the need to excel, whether in drinking parties or in athletic competitions.

3.5.2 Religion • • • • •

Like most ancient peoples, the Greeks were polytheists.

A great part of Greek art and literature was connected with religion.

Each polis had one of the Olympian gods as its special guardian deity.

Greek religion offered no hope for immortality and little moral teaching.

In the sixth century B.C.E. the Panhellenic cult of Apollo at Delphi became very influential, providing elements of Greek popular morality such as moderation and the condemnation of hubris.

3.5.3 Poetry •

Poetry of the period sometimes reflected the values of the aristocracy, now in a state of crisis.

3.6 Major City-States •

Sparta and Athens the most powerful city-states.

3.6.1 Sparta •

• • • •

Sparta conquered the Messenians and reduced them to Helots, or serfs, who rebelled against Spartan rule.

Greatly outnumbered by the Helots, Spartans turned their city into a military academy and camp.

Spartan boys began military training at the age of seven and enrolled in the army at twenty.

Spartan girls sacrificed luxury and comfort to the purpose of producing soldiers.

Sparta created a military alliance known as the Peloponnesian League.

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3.6.2 Athens •

• •

Originally ruled by an aristocracy, under Solon (ca. 639–559 B.C.E.) citizenship expanded while the citizenry was divided into four classes by wealth with distinct political rights granted to each.

Athenians drove out invading Spartans.

Athens becomes more centralized also prosperous and democratic by the beginning of the fifth century B.C.E.

3.7 The Persian Wars 3.7.1 Ionian Rebellion •

Greek cities of Ioania and Asia Minor rebel against Persian rule, Athens supports them.

3.7.2 The War in Greece • • •

• • •

The Persian king Darius (ca. 521–486 B.C.E.) sends an expedition to punish Athens.

Athenians defeat Persians at the battle of Marathon.

Darius’s successor Xerxes (486–465 B.C.E.) launches an invasion of Greece, a coalition of citystates, led by Sparta, ally against Persians.

Persians prevail in the battle of Thermopylae, after valiant resistance by 300 Spartans.

Persians burn Athens.

Greeks defeat the Persian fleet at Salamis.

3.8 Classical Greece •

With the defeat of the Persian Empire, a 150-year period begins of great cultural achievements but also destructive conflicts among the city-states.

3.8.1 The Delian League •

Led by Athens, Greeks form the Delian League to resist further Persians incursions, driving the Persians from Europe.

3.8.2 The First Peloponnesian War • • •

•

Athens emerges as an imperial power, tensions with Sparta increase.

The first Peloponnesian War erupts between Sparta and Athens in 460 B.C.E. Athenian leader Pericles (ca. 495–429 B.C.E.) agrees in 445 B.C.E. to a peace of thirty years, abandoning all Athenian possessions on the mainland in return for Spartan recognition of Athenian control of the Aegean.

Greece divided into two blocs, one led by Sparta and the other by Athens.

3.8.3 The Athenian Empire •

Athens transforms the Delian League into the Athenian empire, most states pay tribute to Athens.

3.8.4 Athenian Democracy •

•

Under Pericles, Athenian democracy broadened to include men of all social classes. Citizenship denied to slaves, resident aliens, and women.

Popular assemblies approved all state decisions.

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• •

Every judicial decision was subject to appeal to a popular court.

There was no standing army, no police force.

3.8.5 Women of Athens • • • • •

Athenian women excluded from most aspects of public life.

Women married young and marriages were arranged, dowries were controlled by male relatives.

Women’s main function was to provide male heirs for the household of her husband.

Women were segregated from men outside the home and largely confined to the management of the household.

Euripides’s tragedy Medea indicates a more complex political role for women.

3.8.6 The Great Peloponnesian War • • •

Pericles’ Thirty Year Peace lasted little more than 10 years.

Athenian fleet destroyed at Aegospotami in 405 B.C.E. 404 B.C.E. Athens surrenders unconditionally, the Athenian empire over.

3.8.7 Struggle for Greek Leadership • • • • •

Sparta imposes its dominion in Greece, collects tributes and imposes oligarchical governments loyal to Sparta.

Greeks under Spartan leadership become embroiled in Persia’s dynastic disputes.

Disaffected Greeks states including Athens engage Sparta in the Corinthian War (395–387 B.C.E.), defeating Sparta and ending its maritime empire.

Thebes emerges as regional power but is defeated by Athens.

Two hundred years of continual war led to disorganization and chaos.

3.8.8 Fifth Century B.C.E. • •

• • •

Tension in fifth-century Greek society spawned a great outpouring of artistic production.

Greek tragedy reached its highpoint of artistic accomplishment dealing with questions of religion, politics, ethics, and morality as well as those concerned with individual psychology.

The great architectural achievements of Periclean Athens reflected both individual genius and a unique historical and cultural context.

Architecture and sculpture emphasized the city’s intellectual and cultural achievements rather than its military power.

History as a discipline was born in Classical Athens with Herodotus (“the father of history”) and Thucydides, the historian of the Peloponnesian War.

3.8.9 Fourth Century B.C.E. •

The themes of literature and art moved away from those of the polis and to subjects of the family, everyday life and the self.

3.9 Emergence of the Hellenistic World •

• •

Hellenistic refers to the three centuries when Greek culture spread from Greece to Egypt and far into Asia.

Hellenistic civilization had its roots into power of a dynasty in Macedonia that conquered Greece and spread Greek culture.

The polis ceded to larger political units in this period.

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3.9.1 Macedonian Conquest •

•

Macedonia was Greek in culture and language but regarded during the Classical Period as backward and semi-barbaric.

Philip of Macedon (359–336 B.C.E.) conquers Greece, centralizes government, and the polis loses control of its own affairs.

3.9.2 Alexander the Great and His Successors • •

• •

Alexander (356–323 B.C.E.) conquers Persian Empire, burns Persepolis its capital.

Alexander’s military campaign reaches its farthest point in India, marching through the Khyber Pass to conquer lands around the Indus River.

In 323 B.C.E. Alexander dies at the age of 33.

Alexander’s conquests led to the creation of new dynasties in Egypt, Mesopotamia, and Asia Minor while extending Greek influence and trade networks.

3.10 Hellenistic Culture • •

• •

Greek culture turned inward after Alexander and with the central role of the polis ended.

Schools of philosophical thought (the Skeptics, Cynics, Epicureans and Stoics) turned away from the universal investigations of scientific interests of Classical Greece preached the impossibility of knowing, the pursuit of happiness and inner harmony.

The great library of Hellenistic Alexandria in Egypt preserved Greek literature while the art and sculpture of the period exalted emotion over reason.

Alexandrian scholars made great advances in science and mathematics.

3.10.1 Philosophy • Two new and influential groups of philosophers emerged: the Epicureans and the Stoics.

• Epicureans took sense perception to be the basis of all human knowledge.

• Stoics viewed the world as a single large polis and all people as children of god.

3.10.2 Literature • The literary center of the Hellenistic world in the third and second centuries B.C.E. was Alexandria, Egypt.

• The scholarly atmosphere of Alexandria stimulated the study of history and its ancillary discipline, chronology.

3.10.3 Architecture and Sculpture • The Hellenistic monarchies greatly increased the opportunities open to architects and sculptors.

• New cities were usually laid out on the grid plan introduced in the fifth century B.C.E.by Hippodamus of Miletus. Temples were built on the classical model.

• Hellenistic sculpture continued the trend that emerged in the fourth century b.c.e. toward the sentimental, emotional, and realistic and away from the balanced tension and idealism of the fifth century B.C.E. 3.10. 4 Mathematics and Science • Written early in the third century B.C.E., Euclid’s Elements is still the foundation for courses in plane and solid geometry.

• Archimedes of Syracuse (ca. 287–212 B.C.E.) established the theory of the lever in mechanics and

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• •

invented hydrostatics.

A heliocentric theory of the universe asserted that the sun that the earth revolved around the sun in a circular orbit and rotated on its axis while doing so, but it did not take hold.

Hellenistic scientists made progress in mapping the earth as well as the sky.

Documents Husband and Wife in Homer’s Troy How does Homer depict the feelings of husband and wife toward one another? What are the tasks of the aristocratic woman revealed in this passage? What can be learned about the attitude toward death and duty?

Hesiod’s Farmer’s Almanac What might be Hesiod’s purposes in writing this poem? What can be learned from this passage about the character of Greek farming? How did it differ from other modes of agriculture? What are the major virtues Hesiod associates with farming? How do they compare with the virtues celebrated by Homer?

The Delian League Becomes the Athenian Empire Why did some allies choose to pay money rather than supply ships and men? Since membership in the league was originally voluntary, why did the allies refuse to meet their obligations? Who was responsible for converting a voluntary league of allies into the Athenian Empire?

Medea Bemoans the Condition of Women Apart from participation in politics, how did the lives of men and women differ in ancient Athens? How well or badly did that aspect of Athenian society suit the needs of the Athenian people and the state in the Classical Age? Since men had a dominant position in the state, and the state managed and financed the presentation of tragedies, how do you explain the sympathetic account of the condition of women Euripides puts into the mouth of Medea?

Plutarch Cites Archimedes and Hellenistic Science What does this account reveal about the Greek attitude toward the mechanical arts? Why would Archimedes consider intellectual speculation to be superior to practical knowledge? Do you think Plutarch shared this view?

A Closer Look The Trireme 1. What advantages do you think the trireme had over other kinds of warships? What disadvantages can you think of?

2. What is the significance, military and political, of having those ships rowed by free citizens?

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Summary Early Greece. Greek civilization is divided into several periods. In the Minoan and Mycenaean ages, the Greek states were ruled by powerful kings supported by elaborate bureaucracies.

Invaders from the north destroyed Mycenaean civilization around 1150 B.C.E. By 750 B.C.E., during the Archaic period, Greek society took its characteristic form: the polis, a self-governing city-state. The most important poleis were Athens and Sparta. At first governed by landowning aristocrats, then by tyrants, many poleis evolved more democratic forms of government by 500 B.C.E. In an effort to avoid the pressures of overpopulation and land hunger, the Greeks established colonies around the shores of the Mediterranean Sea and Black Sea. Classical Greece. After defeating two Persian attempts to conquer them in the early fifth century B.C.E., the Greeks entered their Golden Age. The greatest achievements in art, literature, and philosophy of Classical Greece took place in Athens, where the government would be the most democratic seen until modern times. Among the accomplishments of Greek artists, writers, and thinkers were naturalistic sculpture, tragedy and comedy, secular history, and systematic logic, all of which still influence Western art and thought.

Hellenistic Greece. The polis went into political and cultural decline after Sparta defeated Athens in the Great Peloponnesian War (435–404 B.C.E.). Macedon under Philip II (r. 359–336 B.C.E.) and Alexander the Great (r. 336–323 B.C.E.) came to dominate first Greece and then all the Near East from Asia Minor to Northern India. Alexander’s con- quest of the Persian Empire spread Greek culture over a wide area and ushered in the Hellenistic era. Hellenistic Greek culture, which was fostered by the kingdoms that succeeded Alexander’s empire, was more accessible to outsiders than that of Classical Greece. Hellenistic scholars made Greek literature and science available to many different peoples who adopted it as their own. The Romans were particularly impressed. They spread Hellenistic culture across the Mediterranean world and transmitted it to later generations in the West.

Key Terms Acropolis, p. 97 Areopagus, p. 85 Epicureans, p. 103 Helots (HEH-lohtz), p. 84 Iliad, p. 75 Magna Graecia, p. 78 Mycenaean civilization, p. 74 Panhellenic culture, p. 80 Stoics, p. 103

agora, p. 78 Delian League, p. 90 heliocentric theory, p. 105 hoplite phalanx, p. 78 logos, p. 103 Minoan civilization, p. 73 Odyssey, p. 75 Peloponnesian Wars, p. 90 symposion, p. 81

REVEL Writing Exercises 31 ..

Journal Writing 3.2 Husband and Wife in Homer’s Troy How does Homer depict the feelings of husband and wife toward one another?

3.5 Hesiod’s Farmer’s Almanac What does this passage reveal about the character of Greek farming, including the major virtues associated with farming?

3.8 Medea Bemoans the Condition of Women Other than participation in politics, how did the lives of men and women differ in ancient Athens?

3.10 Plutarch Cites Archimedes and Hellenistic Science What does this account tell us about the Greek attitude toward the mechanical arts?

Shared Writing Compare the fundamental political, social, and economic institutions of Athens and Sparta around 500 B.C.E. Why had they developed into such different poleis?

Internet Resources Greece: http://www.fordham.edu/halsall/ancient/asbook07.html is especially strong in the sections on the age of the tyrants and on gender.

Ancient Greece: http://www.ancientgreece.co.uk/menu.html is a rich, multilayered site created by the British Museum. It features artifacts from the museum’s collection.

Historical Overview: http://www.aroundgreece.com/ancient-greece-history/index.php is part of a site that promotes Greek tourism, but there are fine narrative overviews of topics ranging from Prehistory to The Rise and Fall of Sparta.

Diotima: http://www.stoa.org/diotima is an excellent site with primary and secondary sources dealing with gender in the ancient Mediterranean world.

The Library at Alexandria: http://www.bede.org.uk/library.htm features many quotations from contemporary writers’ descriptions of the library and its fate.

Suggested Maps Prentice Hall Atlas of Western Civilization, Second Edition • Mycenean Greece • Prehistoric Europe 32 ..

• Peloponnesian War Prentice Hall Atlas of World History, Second Edition • The World: 750–500 B.C.E. • The Mediterranean World 700–300 B.C.E. • The Empire of Alexander • The World: 500–250 B.C.E.

Suggested Films Journey into the Past: The Story of the Ancient Civilizations of the Mediterranean.

Boulton–Haruker Films (21 minutes).

The Aegean Age. Coronet (14 minutes).

Ancient Phoenicia and Her Contributions. Atlantis Productions (14 minutes).

The Alphabet–March of Man. McGraw-Hill (20 minutes).

The Ancient World–Greece, Part I. New York University Film Library (66 minutes).

The Ancient World–Greece, Part II. New York University Film Library ( 29 minutes).

The Search for Ulysses. Carousel Films (53 minutes).

The Glory that Remains: The Sudden Empire–Persia. Time-Life (30 minutes).

Ancient Persia and Ancient Greece. Coronet (11 minutes each).

Athens: The Golden Age. Encyclopaedia Britannica (30 minutes).

The Acropolis of Athens. McGraw-Hill (30 minutes).

The Glory That Was Greece: The Age of Civil War. Time-Life (40 minutes).

The Glory That Was Greece: The Age of Victory. Time-Life (40 minutes).

Age of Sophocles. Encyclopaedia Britannica (30 minutes).

Alexander the Great and the Hellenistic Age. Coronet (14 minutes).

You Are There: The Triumph of Alexander the Great. McGraw-Hill (26 minutes).

Classical Greek Philosophy. FHS (50 minutes).

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In the Footsteps of Alexander the Great. PBS Paramount (240 minutes).

The Ancient Mediterranean: Conquest, Commerce, and Cultures. FHS (30 minutes).

Lost Civilizations Discovery Channel series that includes Mesopotamia, Egypt, the Aegean world, Greece, China, Rome, Maya, Inca, Africa, and Tibet (510 minutes).

Minoan Civilization. FHS (53 minutes).

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CHAPTER 4—West Asia, Inner Asia, and South Asia to 1000 C.E. Learning Objectives West and Inner Asia to 1000 C.E. 4.1 The Ancient Background Trace the history of the Elamites and the Iranian peoples in ancient West Asia.

4.2 The First Persian Empire in the Iranian Plateau (550–330 B.C.E.) Analyze the factors involved in the rise and stability of the Achaemenid Empire.

4.3 The Seleucid Successors to Alexander in the East (ca. 312–63 B.C.E.) Summarize developments in the East under Seleucid rule.

4.4 The Parthian Arsacid Empire (ca. 247 B.C.E.–223 C.E.) Discuss the rise and decline of the Parthian Arsacid Empire and the conquests and influences of the Indo-Greeks, Scythians, and Kushans.

4.5 The Sasanid Empire (224–651 C.E.) Discuss the rise of the Sasanid Empire and its social, economic, and religious institutions.

South Asia to 1000 C.E. 4.6 The First Indian Empire: The Mauryas (321–185 B.C.E.) Discuss the Maurya Empire and its greatest leader, Ashoka.

4.7 The Consolidation of Indian Civilization (ca. 200 B.C.E.–300 C.E.) Describe Indian civilization in the post-Maurya period.

4.8 The Golden Age of the Guptas (ca. 320–550 C.E.) Describe Indian civilization in the Gupta era.

4.9 The Development of “Classical” Indian Civilization (ca. 300–1000 C.E.) Discuss social and religious life in “classical” Indian civilization.

Introduction • • •

From 600 B.C.E. to the rise of Islam in 700 C.E., strong centralized empires emerge in Asia, with Iran and India leading the process.

Cultural and political contacts increase in Western Asia between successor Hellenic states and new dynastic states in Inner Asia and Northwest India.

The empire of the Achaemenids (ca. 539–330 B.C.E.) and the Seleucid Empire (312–125 B.C.E.) dominated Western and Inner Asia.

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• •

Other empires, such as the dynasty of the Sasanids in Iran (224–651 C.E.) and Mauryas in India (321 B.C.E. –185 B.C.E.) built sophisticated bureaucracies, professional armies and strong communication systems.

Three characteristics mark this period: sustained contact among the major centers of culture from the Mediterranean to China; dramatically increased contact among diverse cultures, races, and religious traditions; the rise of major religious traditions that would influence history from Africa to China.

Global Perspective Indo-Iranian Roles in the Eurasian World before Islam •

• • • •

The great empires of the Roman-Byzantine world and Han China had their counterparts in four empires in the Indo-Iranian world of West, Central, and South Asia between the Mediterranean and East Asia: the Achaemenids and Sasanids in Iran and the Mauryas and Guptas in India.

The empires displayed the cultural vibrancy, economic prosperity, and wide dominion historically characteristic of all powerful imperial dynasties.

These empires played an important role in spreading religions, especially Buddhist traditions across Asia.

The post-Alexander states of West and Inner Asia and Northwest India were important cultural melting pots and loci of contacts among the Greco-Roman “West,” the Mesopotamian-Iranian world, the rest of India, and the Chinese “East.”

All of these developments should indicate that the notion of the “rise of the West” as a keynote of history only holds at most for the past six centuries, not for the past three millennia.

Focus Questions 1. Why is a Eurocentric perspective not helpful for understanding the world in the first millennium C.E.?

How does a global perspective offer a better understanding of the development of civilizations in this era?

2. Why did this period see a significant increase in cross-cultural contacts? How were these contacts manifested? Who participated in these increased contacts?

Key Points West and Inner Asia to 1000 C.E. 4.1. The Ancient Background 4.1.1 The Elamites •

The Elamites, a non-Semitic people, created an empire in western Asia, eventually destroyed by the Assyrians.

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4.1.2 The Iranian Peoples • • •

•

Aryan pastoralists settled on the Iranian plateau around 1100 B.C.E. The most prominent of these settlers were the Medes and Persians.

The rise of the Persian Achaemenid clan from the seventh century B.C.E. led to the end of Median supremacy on the Iranian plateau.

Many of the institutions developed in the ensuing Achaemenid Empire derive from Median practices, which the Medes in turn had often drawn from Babylonian and Assyrian models.

4.1.3 Ancient Iranian Religion •

4.1.4 • • •

Iranian religion in the early second millennium was far from monolithic; there were substantial regional variations.

Zoroaster and the Zoroastian Tradition Zoroaster preached moral reform in an age of materialism, political opportunism, and ethical indifference.

By the mid-fourth century B.C.E., the Zoroastrian reform had spread into western as well as eastern Iran.

Zoroastrianism probably influenced not only Jewish, Christian, and Muslim ideas of angels, devils, messiah, last judgment, and afterlife, but Buddhist concepts as well.

4.2 The First Persian Empire in the Iranian Plateau (550–330 B.C.E.) 4.2.1 The Achaemenids •

• •

Achaemenid rule in southwestern Iran (Persia) went back at least to Cyrus I (d. 600 B.C.E.), but the rise of Iran as a major imperial civilization is usually dated from the reign of his grandson, Cyrus the Great (559–530 B.C.E.).

Cyrus’ most notable legacy to his heirs was his model of rule through local elites and institutions rather than imperial administrative superstructures.

Alexander the Great destroyed the Achaemenids by 330 B.C.E.

4.2.2 The Achaemenid State •

• •

Achaem enid rule characterized by great stability.

The Achaemenids were tolerant of other cultural and religious traditions in ways earlier empires had not been.

Cyrus’s state, with its largely Iranian troops and tribute system of revenue, was replaced by a monarchy supported by a noble class, professional armies (led by Persian elite troops), an administrative system of provinces ruled by governors called satraps, and fixed levies of revenue.

4.2.3 The Achaemenid Economy • •

The Achaemenids created a coin-based monetary system that greatly increased economic activity and revenue collection by the state.

Economic diversity, expanding trade and general prosperity underpinned the stability of the Achaemenids rule.

4.3 The Seleucid Successors to Alexander in the East (ca. 312–63 B.C.E.) 37 ..

• • •

Alexander’s policies of Hellenic-Persian fusion—the appointment of Iranians and Greeks as satraps, as well as large-scale Greek and Persian intermarriage—helped make Seleucid rule viable in many eastern areas.

During the second century B.C.E., Hellenistic culture and law became new ideals among Seleucid elites.

Greek culture penetrated but did not displace local social and cultural forms.

4.4 The Parthian Arsacid Empire (ca. 247 B.C.E.–223 C.E.) •

• • •

4.4.1 •

•

The history of the Iranian plateau (and North India) was dominated from about 250 B.C.E. to 300 C.E. by incursions of Iranian tribal peoples originally from the Central Asian steppes.

The Parni, a group of Iranian steppe peoples, later known as the Parthians, established an empire that extinguished Seleucid power east of the Euphrates by 129 B.C.E. Culturally, the Parthians were oriented toward the Hellenistic world of their Seleucid predecessors until the mid-first century C.E., after which they seem to have experienced a kind of Iranian revival.

The Parthians were the major Eurasian empire alongside Rome.

Indo-Greeks The farthest reach of Hellenization in the East came with the Indo-Greek rulers of Bactria, the region north of the Hindu Kush, south of the Pamirs, extending west along the Oxus toward Iran.

The Indo-Greeks probably helped spread Buddhism from India to Central Asia.

4.4.2 Scythians •

Beginning around 130 B.C.E., Scythian tribes overran northeastern Iran, ending the Indo-Greek heyday.

4.4.3 Kushans •

The Kushan kingdom of India—along with Rome, China, and the weakened Parthian Empire of Iran—was one of four major centers of civilization in Eurasia around 100 C.E.

4.5 The Sasanid Empire (224–651 C.E.) • •

Sasanids were a Persian dynasty who claimed to be the rightful Achaemenid heirs.

With the shift of the Roman Empire east to Byzantium in the early fourth century C.E., the West Asian stage was set for the next 350 years of conflict between the Byzantines based in Constantinople on the Bosphorus and the Sasanids based in Ctesiphon on the Tigris.

4.5.1 Society and Economy •

•

The basis of the economy was agriculture. The growth of great estates was responsible for a growing imbalance between the rich few and the impoverished many, including the everexpanding slave and captured-labor force. Many small farmers were reduced to serfdom or abject poverty.

The empire’s many urban centers and its foreign trade relied on a money system, the Sasanids invented the concept of the check as a financial instrument.

4.5.2 Religion • •

The Sasanids institutionalized Zoroastrian ritual and theology as state orthodoxy.

The Manichaean worldview centered on a radically dualistic and moralistic view of reality in which good and evil, spirit and matter, always warred. These ideas are now commonplace in the

38 ..

• •

major monotheistic religions.

Manichaeism spread westward to challenge the Christian church and eastward along the Silk Road to Central Asia and China to vie with Buddhist and Nestorian Christian tradition.

Nestorian Christianity was protected by the Sasanids and spread eastward into China.

4.5.3 Later Sasanid Developments •

The masses erupted against the inequality of wealth with the Mazdakite movement at the end of the fifth century.

South Asia to 1000 C.E. 4.6 The First Indian Empire: The Mauryas (321–185 B.C.E.) 4.6.1 Political Background •

•

The basis for empire in North India was the rise of regional states and commercial towns between the seventh and fourth centuries B.C.E. Magadha dynasty dominates until replaced by the Nandas dynasty, replaced in turn by the Maurya clan.

4.6.2 The Mauryas • •

• • •

Maurya Empire was the first true Indian empire.

The greatest Maurya leader, Ashoka (ca. 272–232 B.C.E.), extended control over the whole Indian subcontinent except the far south.

Ashoka converted to Buddhism and spread Buddhist teaching.

After Ashoka’s death local dynasties seized power in many areas.

An imperial ideal, a strengthened Buddhist movement, and strong central administration were among the Mauryas’s gifts to Indian culture across the subcontinent.

4.7 The Consolidation of Indian Civilization (ca. 200 B.C.E.–300 C.E.) •

Religiously and culturally, the centuries between the Mauryas and the Guptas witnessed the consolidation of trans-regional patterns and styles that helped shape permanently Indian and, through the diffusion of Buddhism, Asian civilization.

4.7.1 The Economic Base •

India became a center of world trade largely because of Chinese and Roman demand for Indian luxury goods—jewels, semiprecious stones, sandalwood, teak, spices, cotton and silk textiles, exotic animals, and slaves.

4.7.2 High Culture •

In the arts, the great achievements of the post-Maurya era were primarily Buddhist in inspiration.

4.7.3 Religion and Society •

• •

The post-Maurya period saw Buddhist monasticism and popular Hindu devotional cults thrive across the subcontinent.

A cult of the person of Buddha develops.

Buddhist lay devotion figured prominently in Indian religious life, especially in the Ganges basin.

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4.8 The Golden Age of the Guptas (ca. 320–550 C.E.) •

The Gupta era a golden age of civilization in the subcontinent, the symbolic equivalent of Periclean Athens, Augustan Rome, Sasanid Persia, or Han China.

4.8.1 Gupta Rule •

•

The Gupta realm extended from the Punjab and Kashmir south to the Narbada River in the western Deccan and east to modern Assam.

Unlike the Mauryas, the Guptas usually accepted a defeated ruler as a vassal prince rather than rule his kingdom directly.

4.8.2 Gupta Culture • •

•

Indian culture experienced little new outside influence from the Gupta era until Islamic times.

India’s influence flowed eastward, much of Southeast Asia was ever after heavily influenced by Indian, both Hindu and Buddhist, culture and religion.

The Gupta era witnessed great advances in sciences and mathematics.

4.9 The Development of “Classical” Indian Civilization (ca. 300–1000 C.E.) •

In Gupta times, and subsequently down to the advent of Islamic rule, while the Buddhist presence declined, Indian civilization assumed its classical shape, its enduring “Hindu” forms of social, religious, and cultural life.

4.9.1 Society • •

•

In these centuries, the fundamentally hierarchical character of Hindu/Indian society solidified.

This traditional, ideal construct rests on the basic principle that every person is born into a particular station in life (as a result of karma from earlier lives), and every station has its particular dharma, or appropriate duties and responsibilities, from the lowest servant to the highest prince or Brahman.

Within the caste system there are further distinctions, jetis.

4.9.2 Religion •

• •

•

Gupta and later times saw the growth of devotional cults of deities, preeminently Vishnu and Shiva, who were unknown or unimportant in Vedic religion. The temple worship of a particular deity has ever since been a basic form of Hindu piety.

The major developments of these centuries were the solidification of the two main strands of Buddhist tradition, the Mahayana and the Theravada, and the spread of Buddhism abroad from its Indian homeland.

The Mahayana (“Great Vehicle [of salvation]”) arose in the first century B.C.E. Its proponents differentiated it sharply from the older, more conservative traditions of monk-oriented piety and thought, or “way of the elders” (Theravada), which they labeled the Hinayana (“Little Vehicle”).

The Mahayana stressed the model of the Buddha’s infinite compassion for all beings. The highest goal was not a nirvana of “selfish” extinction but the status of a bodhisattva, or “Buddha-to-be,” who postpones his own nirvana until he has helped all other beings become enlightened.

Documents

40 ..

A Hymn of Zoroaster about the Spirits of Good and Evil •

•

What lesson or values does this passage teach? Is there a conflict between the seeming omnipotence ascribed to Ahura Mazda and the existence of the Evil Spirit?

How does the sharp choice offered here compare to the Buddha’s Middle Path (see “The ‘Turning of the Wheel of the Dharma”’ in Chapter 2.)

Tansar’s Defense of His King, Ardashir I •

Why might Tansar be an apologist for Ardashir I? What can be inferred about the relationship between religious and imperial authority under the Sasanids?

The Edicts of Ashoka •

What does Ashoka suggest is the role of the monarch? What is his concept of “conquest”? What does he think of those of other faiths and want for them? What reforms does Ashoka propose, and why? Can you reconcile his expressed abhorrence of killing with his words to the forest tribes?

How do these edicts compare to other approaches to law, leadership, and government?

A Chinese Traveler’s Report on the Gupta Realm •

What things about India seem to surprise Faxian most? Is his image of Indian rule positive? How do his remarks speak to the prestige of the Buddhist tradition and its monks in the Indian state?

What does he tell us about Indian society?

Devoting Oneself to Krishna •

How is the understanding of older Indian religious practices and ideals (sacrifice, for example) transformed here? How does the Lord Krishna present himself in relation to other deities? Does the passage present a sharp dichotomy between faith and works? What are the social implications of the message here?

The Bodhisattva Ideal • The ideal of compassion for all beings is central in the Mahayana. How is this developed in the first passage? How is it used in the second to polemicize against Theravada ideals? What might be the appeal of the bodhisattva ideal as opposed to the older Arahant ideal?

A Closer Look Lion Capital of Ashoka at Sarnath 1. Why might Ashoka have chosen the elements used in this capital as emblematic of his rule?

Draw on what you know of his reign and life.

2. Why might independent India have decided on this royal emblem of an ancient Buddhist ruler as its national emblem? How does its symbolism transcend its possible original Buddhist symbolism?

3. How can the chakra be an apposite symbol both in Ashokan usage and in modern Indian usage?

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Summary Indo-Iranian Empires. Between 600 B.C.E. and 200 C.E. imperial dynasties arose in the IndoIranian world whose power and influence surpassed that of any before them. The Persian Achaemenid Empire based in Iran, the Maurya Empire in India, and the Hellenistic empire of the Seleucids provided the security and wealth that permitted trade and culture to flourish from the Mediterranean to India. The Achaemenid Empire established two centuries of tolerant, stable, prosperous rule from Egypt to the borders of India. The Mauryas created the first true Indian empire, while Seleucid rule fostered Greek culture in western Asia.

Cross-Cultural Contacts. In Asia these empires enabled widely influential, lasting religious traditions to come of age and spread: the Zoroastrian, Buddhist, and Hindu. The empires also fostered increased cross-cultural contact, especially in Central Asia and eastern Iran, modern Afghanistan, and northwestern India, where Greek, Iranian, Indian, and steppe languages, ideas, arts, customs, and religious practices intermingled. These contacts and influences were manifested in new peoples, structures of government, technological innovations, specialized skills and arts, and ethical and religious ideas.

Iran. Under the Parthians (247 B.C.E.–223 C.E.) and the Sasanids (224–651), Iran rivaled Roman and Byzantine power in the Near East. The Sasanids especially sought to restore the glory of the Achaemenid Empire and promoted native Persian culture. They also based their rule on orthodox Zoroastrianism and suppressed the Manichaeans as heretics. Foreign trade flourished, and Parthian and Sasanid rulers favored the landed aristocracy at the expense of the heavily taxed peasantry. Prolonged wars with Rome and Byzantium ultimately sapped Sasanid strength and left the empire vulnerable to Arab Islamic invasion in the seventh century.

India. The Gupta period (320–467 C.E.) is considered a high point of Indian civilization. Art, especially architecture and sculpture, flourished, and Indian civilization took on its enduring “Hindu” social, religious, and cultural shape. Indian contacts with Southeast Asia and China increased during this period. In society the fundamentally hierarchic nature of the caste system solidified. Hindu piety emphasized devotional cults of deities, especially Vishnu and Shiva.

Indian Buddhism developed two main schools, the Mahayana and the Theravada, which spread to other parts of Asia.

Key Terms Ahura Mazda (ah-HOO-rah MAHZdah), p.

114 bodhisattva, p. 136 dharma, p. 126 jati, p. 134 Mahayana, p. 136 pastoralists, p. 114 Shahanshah, p. 116 stupas, p. 130

bhakti, p. 134 Deccan, p. 125 Indo-Greeks, p. 119 Magi (MEY-jai), p. 115 Manichaeism (MAN-i-kee-ism), p. 123 satrap (SAH-trap), p. 110 steppe peoples, p. 118 Theravada, p. 136 42 ..

varnas, p. 134

Zoroastrianism, p. 115

REVEL Writing Exercises Journal Writing 4.1 A Hymn of Zoroaster about the Spirits of Good and Evil What does this passage teach about the values and beliefs of Zoroastrianism?

4.5 Tansar’s Defense of His King, Ardashir I From this document, what can be inferred about the relationship between religious and imperial authority under the Sasanids?

4.6 The Edicts of Ashoka What does Ashoka suggest is the role of the monarch and, as the monarch, what reforms does he propose?

4.8 A Chinese Traveler’s Report on the Gupta Realm What does Faxian tell us about Indian society? Are his impressions generally positive or negative?

4.9 Devoting Oneself to Krishna How does the Lord Krishna present himself in relation to other deities?

Shared Writing What major affinities and differences do you see between the classical Buddhist and Hindu traditions that had crystallized by 500 C.E.?

Internet Resources Mauryan Empire: http://www.metmuseum.org/toah/hd/maur/hd_maur.htm#thumbnails links to a brief essay on the Mauryan Empire; be sure to click on the thumbnail image of the “ring stone” from the collection of New York’s Metropolitan Museum of Art. Sasanids: http://www.iranchamber.com/history/sassanids/sassanids.php provides a useful essay with a map and timeline for the Sasanid Empire.

Zoroaster: http://www.bbc.co.uk/religion/religions/zoroastrian/history/zoroaster_1.shtml provides a brief biography of Zoroaster and an overview of Zoroastrianism.

Zoroastrianism: http://www.historyworld.net/wrldhis/PlainTextHistories.asp?historyid=ab71 provides a summary of Zoroastrian history.

India: http://www.ancientindia.co.uk/ An excellent introduction to India that is well-illustrated.

43 ..

India: http://www.fordham.edu/halsall/india/indiasbook.html has a section on the Vedic age that provides links to substantial translations of the Vedas and the Upanishads, as well as other helpful texts.

History of Hinduism: http://hinduism.iskcon.com/tradition/1001.htm discusses the difficulties in constructing an accurate timeline of Hindu history, while offering information on a variety of topics in Hindu history.

India: http://www.ancientindia.co.uk/ An excellent introduction to India that is well-illustrated.

Persia: http://www.fordham.edu/halsall/ancient/asbook05.html provides a fine collection of primary sources and links.

Islam: http://www.fordham.edu/halsall/islam/islamsbook.html contains many links to sites concerning pre-Islamic and Islamic Arabia.

Suggested Maps Prentice Hall Atlas of World History, Second Edition • The World: 500–750 C.E. • States and Empires in South Asia 300–1550

Suggested Films Glory that Remains No. 1–The Sudden Empire (Persia). British Broadcasting Corporation (30 minutes).

Glory that Remains No. 5–Sermons in Stone (India). British Broadcasting Corporation (30 minutes).

Ancient World Inheritance. Coronet (11 minutes).

Iran: Land Made in the Desert. University Film Library Holder (28 minutes).

The Past in Persia. National Educational Television Inc. (29 minutes).

Turkey: Crossroads on the Ancient World. Film Library (27 minutes).

Zoroastrianism and the Parsis. Doubleday Multimedia Division (7 minutes).

Lost Civilizations. Discovery Channel series that includes Mesopotamia, Egypt, the Aegean world, Greece, China, Rome, Maya, Inca, Africa, and Tibet (510 minutes).

Ancient India. Kultur (50 minutes).

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Asoka. First Look Entertainment. A dramatic recreation of the emperor’s life produced and shot in India with English subtitles (150 minutes).

Sumer, Babylon, Assyria: The Wolves. FHS. Glory that Remains, No. 2: Invaders and Converts. British Broadcasting Corporation (28 minutes).

Glory that Remains, No. 6: The Great Moghul (India). British Broadcasting Corporation (30 minutes).

Turkey: Crossroads of the Ancient World. Coronet (27 minutes).

Zoroastrianism and the Parsis. Doubleday Multimedia Division (7 minutes).

India: Crafts and Craftsmen. Richard Kaplan Productions (15 minutes).

The Long Search: 2–Hinduism: 330 Million Gods. British Broadcasting Corporation (53 minutes).

The Long Search: 3–Buddhism: Footprint of the Buddha–India. British Broadcasting Corporation (53 minutes).

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Chapter 5—Africa: Early History to 1000 C.E. Learning Objectives 5.1 Issues of Interpretation, Sources, and Disciplines Analyze the issues and problems in the study of African history.

5.2 Physical Description of the Continent Describe the major types of African landscapes and the continent’s seven major regions.

5.3 African Peoples Discuss the development and diffusion of cultures, languages, and peoples in Africa, with some attention to the concept of “race.”

5.4 The Sahara and the Sudan to the Beginning of the Common Era Trace the development of early cultures in the Sahara and Sudan, and the spread of iron smelting.

5.5 Nilotic Africa and the Ethiopian Highlands Summarize the history of the Kushite kingdoms and the Aksumite Empire.

5.6 The Western and Central Sudan Discuss the development of agriculture and trade in the western and central Sudan, and the formation of Sudanic kingdoms in the first millennium.

5.7 Central, Southern, and East Africa Describe Bantu expansion and diffusion, the Khoisan and Twa peoples, and the history of pre-Islamic coastal East Africa.

Introduction • • • •

Africa, the world’s second largest continent, had ancient civilizations of its own.

East Africa is the original home of the human species.

Classical African civilizations were in contact with other civilizations from Rome to India.

The Bantu expansion is one of the great migrations of human history.

Global Perspective “Traditional” Peoples and Nontraditional Histories • • •

Early African societies lacked writing systems.

African histories were transmitted in songs, poems, dances, rituals.

Historians, who give primacy to written sources, face special challenges in studying Africa’s past.

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• •

Historians of Africa draw on anthropology, linguistics and other disciplines to reconstruct Africa’s past.

Previous assumptions about Africa’s “primitive” cultures is now being questioned.

Focus Questions 1. What are the advantages and disadvantages of using written texts as primary sources for history?

2. Think about the histories of other regions you have studied. Have you noticed historians using sources other than documents in these histories? If so, what kinds of sources?

3. For histories of what other regions, peoples, or topics (e.g., history of science, art history, history of religion) can scholars make good use of non-written sources?

Key Points 5.1 Issues of Interpretation, Sources, and Discipline 5.1.1 The Question of “Civilization” •

•

The term “civilization” is associated more broadly with the sophistication of a people’s intellectual, cultural, and artistic traditions.

Once we move outside the Nile valley and the Ethiopian highlands, most African societies down to recent times—indeed, most societies anywhere for most of history—may not have been civilizations in the narrow sense, but they were civilized in a broader sense.

5.1.2 Source Issues • •

Stateless societies, as was much of sub-Saharan Africa, leave few historical records.

Oral traditions, archaeology, and reports of outside observers provide valuable sources to study Africa’s past.

5.1.3 History and Disciplinary Boundaries •

In attempting to understand Africans and their histories, historians in recent decades have moved beyond colonial-era paradigms, often collaborating with anthropologists and scholars in other disciplines.

5.2 Physical Description of the Continent •

• • •

Africa is three and a half times the size of the continental United States and is second only to Asia in total area.

Africa has few navigable rivers and sharp physical variations—from high mountains to swamplands, tropical forests, and deserts.

Its climate is mostly tropical and hot.

Soils across Africa lack much humus, or vegetable mold, and are easily leached of minerals or

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• • •

nutrients, limiting their productivity.

Water is scarce in most of Africa.

Crop pests and insects such as the tsetse fly, mosquito, and locust have hampered farming and pastoralism in Africa.

Abundant animal life has always made hunting and fishing important means of survival in most of Africa.

5.3 African Peoples 5.3.1 Africa and Early Human Culture •

• • •

Paleontological research indicates that our hominid ancestors evolved in the Great Rift Valley of highland East Africa at least 1.5 million years ago.

Sometime before 100,000 B.C.E., modern humans—the species Homo sapiens (sapiens)— appeared and moved out to populate the world. In this sense, we are all African by descent.

African goods circulated for centuries through the Indian Ocean as well as Mediterranean trade.

There was a substantial internal movement of peoples—and hence languages, cultures, and technologies —both north–south and east–west within the continent in ancient times.

5.3.2 Diffusion of Languages and Peoples • •

Between 1,000 and 3,000 languages are found in Africa Cultural and linguistic diffusion shows that, despite the continent’s natural barriers, Africans have moved extensively around the continent.

5.3.3 “Race” and Physiological Variation •

Some theories have attempted to relate color or racial differences to the development and spread of everything from language, agriculture, or cattle-herding to ironworking or state-building in Africa. None of these theories is tenable.

5.4 The Sahara and the Sudan and the Beginning of the Common Era 5.4.1 Early Saharan Cultures •

•

From about 2500 B.C.E., climatic changes caused the Sahara to undergo a relatively rapid desiccation, and the riparian (riverside and lakeside) communities of this vast territory disappeared.

Regular contacts between sub-Saharan Africa and the Mediterranean continued through northsouth trade routes.

5.4.2 Neolithic Sudanic Culture •

• •

From the first millennium B.C.E., preliterate but complex agricultural communities of Neolithic and Early Iron Age culture dotted the central and western reaches of the great belt of the subSaharan Sudan.

The progressive desiccation of the second millennium B.C.E. may have forced these peoples farther south.

In the first millennium B.C.E., the Sudanic peoples developed and refined a settled agriculture.

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5.4.3 The Early Iron Age and Nok Culture •

• •

Smelting was both introduced to Africa from the Near East, via Egypt and later North Africa, and independently invented at multiple sites (e.g., in modern Gabon, Niger, and Nigeria), possibly even before 1000 B.C.E. Some of the most significant Iron Age sites have been found on the Jos Plateau of modern northeastern Nigeria. Here archaeological digs have yielded evidence of an Iron Age people labeled the Nok culture.

The Nok people had the earliest Iron Age culture of West Africa.

5.5 Nilotic Africa and the Ethiopian Highlands 5.5.1 The Kingdom of Kush •

• •

In the upper Nile basin, an Egyptianized segment of Nilo-Saharan–speaking Nubians built the earliest known literate and politically unified civilization in Africa after pharaonic Egypt, the kingdom Kush.

As early as 2000 B.C.E., its capital, Kerma, had been a major trading outpost for Middle Kingdom Egypt.

The early Kushite kingdom appears to have been a wealthy and prosperous kingdom that reached its zenith between the Middle and New Kingdoms of Egypt (ca. 1700–1500 B.C.E.).

5.5.2 The Napatan Empire • •

Napata became the center of a new Nubian state and culture that flourished from the tenth to the seventh century B.C.E. as the successor power to pharaonic Egypt.

A new Kushite empire centered first at Napata survived from the fourth century B.C.E. until the fourth century C.E.

5.5.3 The Meroitic Empire •

• • •

The Kushite Napatan kingdom became increasingly isolated from Egypt and the Mediterranean and developed in its own distinctive ways, eventually moving its capital to the prosperous city of Meroe.

The heyday of Meroitic culture was from the mid-third century B.C.E. to the first century C.E., the kingdom was a “middleman” for varied African goods in demand in the Mediterranean and Near East.

The role of the queen mother in the election appears to have been crucial.

By the second century B.C.E. a woman had become sole monarch, initiating a long line of queens, or “Candaces.”

5.5.4 The Aksumite Empire •

• • •

The weakened Meriotic Empire was finished off around 330 C.E. by the newly Christianized state of Aksum, centered in the northern Ethiopian, or Abyssinian, highlands.

The peoples of Aksum were the product of a linguistic and cultural mixing of African Kushitic speakers with Semitic speakers from southern Arabia.

The Aksumite Empire dominated some of the most fertile cultivated regions of the ancient world: their own plateau, the rich Yemenite highlands of southern Arabia, and much of the eastern Sudan across the upper Nile as far as the Sahara.

In the fourth century, the Askumite Empire converted to Christianity, leading to the creation of a unique Ethiopic or Abyssinian Christian church over the succeeding centuries.

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5.5.5 Isolation of Christian Ethiopia •

•

Aksumite power was eclipsed finally by Arab Islamic power. Nevertheless, the Aksumite state continued.

Aksum became increasingly isolated. Its center of gravity shifted south from the coast to more rugged parts of the plateau. Here a Monophysite Christian, Ge’ez-speaking culture emerged in the region of modern Ethiopia and has lasted in relative isolation until today, surrounded largely by Muslim peoples and states.

5.6 The Western Central Sudan 5.6.1 Agriculture, Trade, and the Rise of Urban Centers •

• • •

•

By the first or second century C.E., settled agriculture, augmented by iron tools, had become the way of life of most inhabitants of the western Sudan.

Trade also promoted or accompanied the eventual rise of larger political entities in the western and central Sudan.

By the latter first millennium B.C.E., urban settlements— such as Gao, Kumbi (or Kumbi Saleh), and Jenne—emerged in the western Sahel.

All of these early urbanized areas combined farming with fishing and hunting, and all developed in oasis or river regions rich enough to support dense populations and trade. The existence of relatively autonomous settlements made possible loose confederations or even imperial networks as time went on.

The introduction of the domesticated camel (the one-humped Arabian camel, or dromedary) from the east around the beginning of the Common Era increased trans-Saharan trade.

5.6.2 The Formation of Sudanic Kingdoms in the First Millennium •

•

The growth of settled agricultural populations and the expansion of trade coincided with the rise of sizable states in the western and central Sudan.

The most important states were Takrur on the Senegal River, from perhaps the fifth century, if not earlier; Ghana, between the northern bends of the Senegal and the Niger, from the fifth or sixth century; Gao, on the Niger southeast of the great bend, from before the eighth century; and Kanem, northeast of Lake Chad, from the eighth or ninth century.

5.7 Central, Southern and East Africa 5.7.1 Bantu Expansion and Diffusion •

• •

During the latter centuries B.C.E. and the first century C.E., Bantu-speaking peoples apparently migrated in two basic directions: (1) south into the lower Congo basin and ultimately to the southern edge of the equatorial forest in present-day northern Katanga; and (2) east around the equatorial forests to the areas surrounding the lakes of highland East Africa.

Further migrations, from the first to as late as the eleventh century, dispersed Bantu peoples more widely, into south-central Africa, coastal East Africa, and southern Africa.

In time Bantu cultures became fully interwoven with those of the peoples among whom they settled, imposing their languages on them.

5.7.2 The Khosian and Twa People •

In southern Africa, we find alongside the Bantu-speaking majority a minority who speak “Khoisan.” The two principal peoples that constitute the Khoisan speakers are the San and the

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•

Khoikhoi.

In the Central African rain forests, the Twa people commonly referred to in the West as “Pygmies” speak Bantu languages, but show other links to the Khoisan.

5.7.3 East Africa •

• • •

The history of pre-Islamic coastal East Africa differed from that of the inland highlands. Longdistance travel was easy and common along the seashore but less so inland. The coast was in contact with India, Arabia, and the Mediterranean via the Indian Ocean and Red Sea trade routes from at least the second century B.C.E. Long before the coming of Islam, trade was apparently handled largely by Arabs, many of whom had settled in East African coastal towns and in Iran and India to engage in this international commerce.

The slave trade was also important. Slaves were procured, often inland, in East Africa and exported to the Arab and Persian world, as well as to India or China.

Inland regions had seen an early infusion of peoples from the north, and over the centuries small groups continued to arrive, these migrations and those of the Bantu, who entered the eastern highlands over many centuries, have made the highlands a melting pot of Kushitic, Nilotic, Bantu, and Khoisan groups.

Documents Herodotus on Carthaginian Trade and the City of Meroe •

What can we infer from the two passages about trade and interregional contacts in Africa in the fifth century B.C.E.?

A Tenth-Century Arab Description of the East African Coast •

In what ways does this Muslim observer seem to be critical, and in what ways laudatory, of the East Africans?

A Closer Look Four Rock Art Paintings from Tassili n-Ajjer (4000–2000 B.C.E.) 1. Scholars have offered many differing interpretations—from magical efficacy of the images, to teaching images for youth, to simply rendering artistically scenes from daily life. What do you think might have been likely motivations for Neolithic nomadic peoples to create figural art on the rock walls near their dry-season camps?

2. Can you compare the relative simplicity or sophistication of these paintings with other examples of art in this book or with art that you know from other sources? How do these renderings change or reinforce your previous ideas about “prehistoric” African civilization or culture?

Summary 51 ..

History and Sources. Historians are challenged in studying Africa by the paucity of written sources and old European prejudices that devalued African contributions to world culture.

Africanists use cross-disciplinary methods and innovative scholarship to understand Africa’s past.

Geography and Migrations. The human species, Homo sapiens (sapiens), probably originated in Africa. However, Africa’s geography and climate tended to limit African contact with peoples outside the continent. Within Africa, archaeology and languages indicate extensive migrations of peoples across the continent and widespread cross-cultural influences from earliest times.

Major African Cultures and Contact with Other Cultures. In three parts of Africa, there was considerable contact with non-African civilizations. In the Nile valley, Egypt had extensive contacts with Mediterranean and Middle Eastern cultures, as well as Nubian peoples to the south.

Nubian kingdoms—Kush, Napata, Meroe, and Aksum (Ethiopia)—adopted many features of Egyptian civilization and sometimes dominated Egypt itself. Aksum adopted Christianity in the fourth century C.E. On the coast of East Africa, trade across the Red Sea and the Indian Ocean with Arabia and Southeast Asia fostered a distinct and sophisticated culture. Extensive trade across the Sahara between North Africa and the major kingdoms of the western and central Sudan enabled products and ideas from the Mediterranean to reach the African interior in exchange for African products, such as gold, ivory, and salt.

Key Terms Afro-Asiatic, p. 147 Austronesian, p. 147 cataracts, p. 144 East Africa, p. 146 Khoisan (KOI-sahn), p. 147 Meroe (MEH-roh-ee), p. 151 Niger-Kongo, p. 147 Nilotic Africa, p. 146 North Africa, p. 146 Sahel, p. 145 Southern Africa, p. 146 trypanosomiasis, p. 155

Aksum (AHK-suhm), p. 153 Bantu (BAN-too), p. 147 Central Africa, p. 146 Kalahari, p. 145 Kush (koosh), p. 151 Monophysite (moh-NOH-fis-site), p. 154 Nilo-Saharan, p. 147 Nok, p. 150 Sahara, p. 145 savanna, p. 145 Sudan, p. 146 West Africa, p. 146

REVEL Writing Exercises Journal Writing 5.5 Herodotus on Carthaginian Trade and the City of Meroe Based on these two passages from Herodotus, what can you conclude about trade and contact across regions in Africa in the fifth century B.C.E.?

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5.7 A Tenth-Century Arab Description of the East African Coast In what ways does al-Mas’udi seem to be critical of the East Africans? What does he find praiseworthy about them?

Shared Writing What information presented in this chapter was most surprising to you, and why?

Internet Resources “Out of Africa” Model of Human Evolution: http://www.actionbioscience.org/evolution/johanson.html presents an argument for the “Out of Africa” theory with an outline of the leading alternative theory and references to further reading by a leading researcher in the field.

Ancient Kingdoms and Civilizations: http://library.stanford.edu/areas/african-collections The African Collection at the Stanford University Library is the go-to source for Africa-related links; this particular page offers dozens of links relating to African Kingdoms and Ancient Civilizations.

Africa-related Documents: http://www.fordham.edu/halsall/africa/africasbook.html contains many important primary-source documents.

Wonders of the African World: http://www.pbs.org/wonders/ This online companion to Henry Louis Gates, Jr.’s PBS series includes videos, maps, transcripts, podcasts, and excerpts from Gates’ diary.

The Story of Africa: http://www.bbc.co.uk/worldservice/africa/features/storyofafrica/index.shtml includes images, summaries, and podcasts from the BBC’s African history documentary.

African Art: http://www.metmuseum.org/toah/hi/te_index.asp?i=Africa The Heilbrunn Timeline of Art History, available online through the Metropolitan Museum of Art, includes essays and images of African art from a variety of cultures, including the Ife and Nok.

Suggested Maps Prentice Hall Atlas of World History, Second Edition •

African Empires and City States

Suggested Films Glory that Remains, No. 12: The Forgotten Kingdom (Sudan). British Broadcasting Corporation (30

minutes).

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Lost Civilizations. Discovery Channel series that includes Mesopotamia, Egypt, the Aegean world, Greece, China, Rome, Maya, Inca, Africa, and Tibet (510 minutes).

Africa: The Story of a Continent. Home Vision Select (456 minutes).

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Chapter 6—Republican and Imperial Rome Learning Objectives 6.1 Prehistoric Italy to ca. 400 B.C.E. Describe the peoples of prehistoric Italy.

6.2 Royal Rome Discuss Roman society before the Republic.

6.3 The Republic Trace the history of Roman conquests and the development of government and society during the period of the early republic.

6.4 Roman Imperialism Discuss the effects of Roman imperialism during the period of the Gracchi, Marius, and Sulla.

6.5 The Fall of the Republic Summarize the history of the Roman Republic from the rise of the First Triumvirate to the rule of Augustus.

6.6 Civilization of the Late Republic and the Age of Augustus Discuss the civilization of the late republic and the age of Augustus.

6.7 Peace and Prosperity: Imperial Rome (14–180 C.E.) Describe the rulers, administration, and culture of imperial Rome to the second century C.E. 6.8 The Rise of Christianity Discuss the history, important figures, and organization of the Christian religion during the time of Jesus and the immediately succeeding centuries.

6.9 The Crisis of the Third Century Analyze the factors involved in the crisis of the third century and in the empire’s responses.

6.10 The Late Empire Discuss the history and culture of the late empire and the triumph of Christianity in the empire.

6.11 The Problem of the Decline and Fall of the Empire in the West Discuss competing explanations for the decline and fall of the empire in the West.

Introduction 55 ..

• • • • •

Ancient Rome conquered all of Italy, then the entire Mediterranean coastline, and finally most of the Near East and much of continental Europe.

When it began its expansion, Rome had a non-monarchical, republican government that lasted 500 years.

The eventual fall of the republic and the imposition of an imperial monarchy under Augustus, Rome’s first emperor, ended this chapter in Rome’s history.

Beginning in the first century C.E. emperors were declared divine after death; by the second century they were worshiped as gods while alive, like the rulers of ancient Egypt and other early empires.

The Romans adopted and transformed the intellectual and cultural achievements of the Greeks, creating the Greco-Roman tradition in literature, philosophy, and art.

Global Perspective Republican and Imperial Rome •

• • •

It was primarily through trade that Romans came into contact with peoples beyond the borders of their empire.

Rome was a multicultural empire, encompassing territory and cultures in Africa and the Middle East, as well as northern and central Europe.

The conquest of a vast empire had moved the Romans away from their unusual historical traditions toward the more familiar path of empire trodden by rulers in Egypt, Mesopotamia, China, India, and Iran.

Like the Former Han Dynasty in China, the Roman Empire in the West fell, leaving in its wake disunity, insecurity, disorder, and poverty.

Focus Questions 1. Why might we describe the Roman Empire as “multicultural”? What cultures most influenced Roman culture, and why?

2. What was it about the period from the second century B.C.E. through the third century C.E. that allowed the opening of new routes by land and sea linking Europe to Central Asia, India, and China?

3. Why did the Roman Empire decline in the West? Which of the problems that Rome faced were internal, and which were external? How were the two connected?

Key Points 6.1 Prehistoric Italy to ca. 400 B.C.E. •

About 1000 B.C.E. bands of warlike peoples speaking a set of closely related languages we call Italic began to infiltrate the Italian peninsula.

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• •

The Romans would emerge from among the descendants of these tough mountain people.

The Etruscans, whose civilization, which was to have a powerful influence on the Romans, arose about 800 B.C.E. but after 500 B.C.E. lost power to an expanding Rome.

6.2 Royal Rome • • •

Roman kings had the awesome power of imperium, the right to issue commands and to enforce them by fines, arrests, and physical punishment, including execution. Although it tended to remain in families, kingship was elective.

The Senate, Rome’s aristocratic council, approved the candidate for the office, and the Roman people, voting in assembly, formally granted the imperium.

The third branch of government, the curiate assembly, was made up of all citizens and divided into thirty groups. The assembly also met only when summoned by the king.

6.2.2 The Family • •

The center of Roman life was the family.

Over his children, the father held broad powers analogous to imperium.

6.2.3 Clientage • •

Clientage was one of Rome’s most important institutions.

The patron provided his client with physical and legal protection and economic support. In return the client would fight for his patron, work his land, and support him politically.

6.2.4 Patricians and Plebians •

In the royal period, Roman society was divided into two classes based on birth. The wealthy patrician upper class and the plebeian lower class must have consisted originally of poor, dependent small farmers, laborers, and artisans, the clients of the nobility.

6.3 The Republic 6.3.1 Government •

• • • • • • • •

The outrageous behavior of the last kings provoked the noble families to revolt in 509 B.C.E., leading to the creation of the republic.

Rome’s early government elected two patricians to the office of consul and endowed them with imperium. Assisting the consuls were financial officials called quaestors.

Consular power, however, was limited legally, institutionally, and by custom.

The power of the consulship was granted for a year only. Each consul could overrule the other.

Although the consuls had full powers of life and death while leading an army, within the sacred boundary of the city of Rome, citizens could appeal to the popular assembly all cases involving capital punishment.

In 325 B.C.E. the Romans created the office of proconsul, which permitted a consul in the field to retain command during a long campaign.

Patricians monopolized power in the early republic; plebeians, in contrast, were barred from all political and religious offices.

Plebeians made up much of the Roman army, giving them great political leverage. They formed the plebeian tribal assembly and elected tribunes, officials with the power to protect plebeians from abuse by patrician magistrates.

In 287 B.C.E. the plebeians secured passage of a law making the decisions of the plebeian assembly binding on all Romans without the approval of the Senate.

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6.3.2 Conquest of Italy • •

•

By the beginning of the fourth century B.C.E. the Romans were the chief power in central Italy.

The Romans established permanent colonies of veteran soldiers in conquered lands. The colonists remained Roman citizens and deterred rebellion.

Rome divided its enemies and extended its influence through military force and diplomatic skill.

Rebels were punished harshly and swiftly, but loyal allies could improve their prospects, even gaining full Roman citizenship.

6.3.3 Rome and Carthage •

• • • • • • •

The Phoenician colony of Carthage developed into a maritime and commercial power in the western Mediterranean.

Rome and Carthage became rivals, leading to a series of wars called the Punic Wars.

Carthage capitulated in the first Punic War in 241 B.C.E. surrendering Sicily and agreeing to pay a war indemnity to the Romans.

After 241 B.C.E., Carthage recovered strength by building a rich empire in Spain.

Rome declared war in 218 B.C.E. beginning the second Punic War. The Carthaginian general Hannibal launched a swift and daring invasion of Italy.

In 216 B.C.E., at Cannae, Hannibal destroyed a Roman army of some 80,000 men. It was the worst defeat in Roman history.

In 202 B.C.E. Rome defeated Carthage at Zama.

The new peace terms reduced Carthage to the status of a dependent ally of Rome.

6.3.4 The New Imperial System • •

With the defeat of Carthage and conquest of its territories, Rome adopted a new imperial system.

The new populations were subjects who paid tribute instead of serving in the army. The old practice of extending citizenship, and with it loyalty to Rome, stopped at the borders of Italy.

6.3.5 The Republic’s Conquest of the Hellenistic World • •

Rome embarked on several wars giving them control of Greece and Asia Minor.

In 149 B.C.E. Rome declared war against Carthage, initiating the Third Punic War, and in 146 B.C.E. took the city and systematically burned it.

6.3.6 Civilization in the Early Roman Republic: Greek Influence •

•

• •

Among the most important changes wrought by Roman expansion overseas were those in the Roman style of life and thought produced by the close and continued association with the Greeks of the Hellenistic world.

The Romans identified their own gods with Greek equivalents and incorporated Greek mythology into their own. For the most part, however, Roman religious practice consisted of relatively simple practices of family piety or veneration of local deities until the third century B.C.E., when important new influences came from the East.

Education was entirely the responsibility of the Roman family, with the fathers traditionally teaching their own sons at home. It is not clear whether girls received any education in early Rome.

Greek teachers came to Rome and introduced the study of language, literature, and philosophy, as

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well as the idea of a liberal education, or what the Romans called humanitas, the root of our concept of the humanities.

6.4 Roman Imperialism •

Rome’s expansion brought the Romans an empire, and with it, power, wealth, and responsibilities.

6.4.1 Aftermath of Conquest •

• • •

Before the Punic Wars, most Italians owned their own farms, each of which provided most of a family’s needs.

The Second Punic War did terrible damage to Italian farmland. Many veterans found it impossible or unprofitable to go back to their farms.

Often the land they abandoned was acquired by the wealthy who converted these farms, later called latifundia.

These changes separated the people of Rome and Italy more sharply into rich and poor, landed and landless.

6.4.2 The Gracchi •

• • •

Tiberius Gracchus (168–133 B.C.E.) attempted a program of land reform to restore the independent family farm, the backbone of the early Roman Republic.

The tribunate of Tiberius Gracchus permanently changed Roman politics.

From then on Romans could pursue a political career that was not based solely on influence within the aristocracy; pressure from the people might be an effective substitute.

The tribunate of Gaius Gracchus (ca. 159–121 B.C.E.), brother of Tiberius proposed to establish new colonies for landless veterans: two in Italy and one on the old site of Carthage. Among other popular acts, he put through a law stabilizing the price of grain in Rome.

6.4.3 Marius and Sulla •

• •

Consul Gaius Marius made important changes in the army. Notably, he began using volunteers, mostly the dispossessed farmers and rural proletarians whose problems had not been solved by the Gracchi. They enlisted for a long term of service and looked on the army as a career opportunity.

Soldiers became semiprofessional clients of their general and sought guarantees of food, clothing, shelter, and booty from victories. They came to expect land as a form of mustering-out pay or veteran’s bonus when they retired.

Marius’s innovation created both the opportunity and the necessity for military leaders to gain enough power to challenge civilian authority.

6.4.4 War against the Italian Allies (90–88 B.C.E.) •

• •

For a decade Rome ignored the discontent of its Italian allies. In frustration, the allies revolted and established a separate confederation with its own capital and its own coinage.

By 88 B.C.E. the war against the allies was over.

All the Italians became Roman citizens with the protections that citizenship offered.

6.4.5 Sulla’s Dictatorship •

Elected consul in 88 B.C.E., Sulla used the support of his troops to assume dictatorial powers.

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6.5 The Fall of the Republic •

Cnaeus Pompey (106–48 B.C.E.), a successful general, further threatened the power of the Roman Senate as consul.

6.5.2 The First Triumvirate •

The First Triumvirate was established, an informal agreement among three Roman politicians, each seeking his private goals, which further undermined the future of the Republic.

6.5.3 The Dictatorship of Julius Caesar • •

• •

Julius Caesar won election to the consulship in 59 B.C.E. Caesar’s innovations generally sought to make rational and orderly what was traditional and chaotic. His reforms also tended to elevate Italians and even provincials at the expense of the old Roman families, most of whom were his political enemies.

On March 15, 44 B.C.E., Caesar was stabbed to death in the Senate.

Thirteen more years of civil war ensued, at the end of which the Republic received its final burial.

6.5.4 The Second Triumvirate and the Emergence of Octavism • Caesar’s heir was his grandnephew Octavian (63 B.C.E.–14 C.E.), a youth of 18.

• In 31 B.C.E. Octavian’s forces crushed the fleet and army of Antony and Cleopatra at Actium.

• The civil wars were over, and at the age of 32 Octavian was absolute master of the Mediterranean world.

6.5.5 The Augustan Principate • • •

• •

Behind the republican trappings and the apparent sharing of authority with the Senate, the government of Octavian, like that of his successors, was a monarchy. All real power—both civil and military—lay with the ruler, the imperator, or emperor.

The Senate voted Octavian the semireligious title Augustus, which connoted veneration, majesty, and holiness. Historians thus speak of Rome’s first emperor as Augustus and of his regime as the Principate.

The Augustan period was one of great prosperity, based largely on the wealth that Augustus had brought in through the conquest of Egypt, the great increase in commerce and industry made possible by general peace and a vast program of public works, and a revival of successful small farming by Augustus’s resettled veterans.

The Roman army, now fully professionalized, permanently based in the provinces brought Roman culture to the native peoples.

Augustus now undertook to preserve and restore the traditional values of the family in Rome and Italy. He favored new laws curbing adultery and divorce and encouraging early marriage and the procreation of legitimate children.

6.6 Civilization of the Late Republic and the Age of Augustus •

The high point of Roman culture came in the last century of the republic and during the Principate of Augustus.

6.6.1 The Late Republic • •

The last century and a quarter of the republic was important in the development of Roman law.

From the last century of the Republic on, the edicts of the praetors, which interpreted and even

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changed and added to existing law, became increasingly important in developing the Roman legal code.

6.6.2 The Age of Augustus • • • • • •

The spirit of the Augustan Age, the golden age of Roman literature, reflected the new conditions of society.

Virgil (70–19 B.C.E.) was the most important of the Augustan poets. His greatest work is the Aeneid, a long national epic that placed the history of Rome in the great tradition of the Greeks and the Trojan War. Horace (65–8 B.C.E.) was won over to the Augustan cause by the patronage of Maecenas and by the attractions of the Augustan reforms. His great skills as a lyric poet are best revealed in his Odes which are ingenious in their adaptation of Greek meters to the requirements of Latin verse.

The darker side of Augustan influence on the arts is revealed by the career of Ovid (43 B.C.E.–18 C.E.) Ovid wrote light and entertaining love elegies that reveal the sophistication and the loose sexual code of a notorious sector of the Roman aristocracy.

The most important and influential prose writer of the time was Livy (59 B.C.E.–17 C.E.). His History of Rome treated the period from the legendary origins of Rome until 9 B.C.E. Augustus was the great patron of the visual arts, as he was of literature. He embarked on a building program that beautified Rome.

6.7 Peace and Prosperity: Imperial Rome (14–180 C.E.) •

• • •

Whereas Augustus sought to cloak the monarchical nature of his government, his successors soon abandoned all pretense. Besides the title imperator, the rulers also took the title Caesar.

Imperator indicated the military power on which the ruler’s authority was based.

The year 69 C.E. saw four different emperors assume power in quick succession as different Roman armies took turns placing their commanders on the throne.

The emperors, without yielding any power, enlisted the cooperation of the upper class through courteous and modest deportment.

6.7.1 Administration of the Empire • • • • •

From an administrative and cultural standpoint, the early empire was a collection of cities and towns.

Roman policy during the Principate was to raise urban centers to the status of Roman municipalities with the rights and privileges that status entailed.

Unlike most conquered peoples, the Jews found accommodation to Roman rule difficult.

As the bureaucracy became more efficient, the number and scope of its functions increased, and therefore so did its size. The importance and autonomy of the municipalities shrank as the central administration took a greater part in local affairs.

Under Hadrian the Roman defense policy became rigid, refraining from taking the offensive, and initiative passed to the barbarians.

6.7.2 Culture of the Early Empire •

• •

The years between the death of Augustus (14) and the time of Marcus Aurelius (161–180) are known as the Silver Age of Latin literature.

The prosperity and relative stability of the first two centuries of imperial Rome allowed the full development of Roman architecture.

The Romans’ chief contributions to architecture lay in the size of the structures they built and in the engineering advances that made these large structures possible. To the basic post-and-lintel construction used by the Greeks, the Romans added the semicircular arch, borrowed from the

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• • • •

Etruscans.

When used internally in the form of vaults and domes, the arch permitted great buildings such as the baths.

The new engineering also made possible the construction of more mundane but more useful structures such as bridges and aqueducts.

The literary efforts of the time reveal a flight from the present and from reality and the public realm to the past, to romance, and to private pursuits.

The cost of government kept rising as the emperors were required to maintain an expensive standing army, to keep the people in Rome happy with “bread and circuses,” to pay for an increasingly large bureaucracy, and to defend the frontiers against dangerous and determined enemies.

6.7.3 Life in Imperial Rome: The Apartment House • •

Most Romans during the imperial period were squeezed into increasingly tall multiple dwellings, apartment buildings called insulae (“islands”) that rose to five or six stories and sometimes even more.

When we compare these apartments to the attractive public places in the city, we can easily understand why the people of Rome spent most of their time outdoors.

6.8 The Rise of Christianity •

The story of how Christianity emerged, spread, survived, and ultimately conquered the Roman Empire is one of the most remarkable in history.

6.8.1 Jesus of Nazareth •

•

Jesus won a considerable following, especially among the poor. This success caused great suspicion among the upper classes and provoked the hostility of the religious establishment in Jerusalem, who convinced the Roman governor that Jesus and his followers might be dangerous revolutionaries. He was put to death in Jerusalem by the cruel and degrading device of crucifixion, probably in 30 C.E. Although the new belief spread quickly to the Jewish communities of Syria and Asia Minor, without the conversion and career of Saint Paul it might have had only a short life as a despised Jewish heresy.

6.8.2 Paul of Tarsus •

Paul believed it important that the followers of Jesus be evangelists (“messengers”), spreading the gospel (“good news”) of God’s gracious gift. He taught that Jesus would soon return for the Day of Judgment and that all should believe in him and accept his way.

6.8.3 Organization •

• • •

The new religion spread throughout the Roman Empire and even beyond its borders. It had its greatest success in the cities and among the poor and uneducated.

By the second century, as their numbers grew, the Christians of each city tended to accept the authority and leadership of bishops (episkopoi, or “overseers”), who were elected by the congregation.

The power and almost monarchical authority of the bishops were soon enhanced by the doctrine of apostolic succession.

The bishops kept in touch with one another, maintained communications between different Christian communities, and prevented doctrinal and sectarian splintering, which would have

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destroyed Christian unity.

6.8.4 Persecution of Christians •

•

The new faith soon incurred the distrust of the pagan world and of the imperial government. The Christians’ refusal to worship the emperor was considered treason.

Most persecutions during this period, however, were instituted not by the government but by mobs.

6.8.5 Emergence of Catholicism •

•

Most Christians in the immediate centuries after Jesus and the Apostles held to what even then were traditional, simple, conservative beliefs. This body of majority opinion and the church that enshrined it came to be called Catholic, which means “universal.”

The orthodox declared the church itself to be the depository of Christian teaching and the bishops to be its receivers. They also drew up creeds, that is, brief statements of faith to which true Christians should adhere.

6.8.6 Rome as a Center of the Early Church •

Rome became the center Christianity both because of having the largest congregation of Christians and because Jesus’ apostles, Peter and Paul, were martyred there.

6.9 The Crisis of the Third Century •

The pressure on Rome’s frontiers reached massive proportions in the third century.

6.9.1 Barbarian Invasions • •

On the western and northern frontiers the threat to the empire came from Germanic tribes.

Recruits for the army increasingly came from peasants of the less civilized provinces, and the result was a barbarization of Rome’s military forces, who functioned as virtual mercenaries.

6.9.2 Economic Difficulties •

•

Increased burdens caused the emperors to raise taxes, debase coinage, and confiscate the property of the rich.

Piracy, brigandage, neglect of roads and harbors, unrest within the ranks of both the peasantry and nobility resulted from greater fiscal despotism.

6.9.3 The Social Order •

•

The new conditions caused important changes in the social order. The ranks of the Senate and the traditional ruling class, having been decimated by direct attacks from hostile emperors and by economic losses, were filled by military men.

It now became more difficult to move from the lower order to the higher, another example of the growing rigidity of the late Roman Empire.

6.9.4 Civil Disorder •

•

The army was composed largely of Germanic mercenaries whose officers gave personal loyalty to the emperor rather than to the empire.

These officers became a foreign, hereditary caste of aristocrats that increasingly supplied high administrators and even emperors.

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6.10 The Late Empire 6.10.1 The Fourth Century and Imperial Reorganization •

The period from Diocletian (r. 284–305) to Constantine (r. 306–337) was one of reconstruction and reorganization.

6.10.2 Diocletian •

Decreed the introduction of the tetrarchy, rule of the empire by four men with power divided on a territorial basis.

6.10.3 Constantine • •

• • • • •

Diocletian became a Christian and legitimized the Christian faith.

Constantine erected the new city of Constantinople on the site of ancient Byzantium on the Bosporus, which leads to both the Aegean and the Black seas, and made it the new capital of the empire.

The cost of maintaining a 400,000-man army as well as the vast civilian bureaucracy, the expensive imperial court, and the imperial taste for splendid buildings strained an already weak economy.

Many peasants were transformed into tenant farmers who for protection fled to the country estates of powerful landowners. They were now tied to the land, as were their descendants, as the caste system hardened.

For defense purposes, the empire was divided in two. The two emperors maintained their own courts, and the two halves of the empire became increasingly separate and different. Latin was the language of the West and Greek that of the East.

The West became increasingly rural as the number of barbarian invasions increased.

By the fifth century the West was increasingly made up of isolated units of rural aristocrats and their dependent laborers. The only unifying institution was the Christian church.

6.10.4 Triumph of Christianity •

The victory of Constantine over rival rulers and his emergence as sole ruler of the empire in 324 C.E. transformed Christianity from a precariously tolerated sect into the religion formally favored

• •

by the emperor.

In 394 C.E. Theodosius forbade the celebration of pagan cults and abolished the pagan religious calendar. At his death Christianity was the official religion of the Roman Empire.

Internal divisions and new heresies such as Arianism emerged within Christianity, but orthodoxy prevailed.

6.10.5 Arts and Letters in the Late Empire • •

There is both a revival of classical learning and an outpouring of Christian writings.

Saint Augustine wrote The City of God and Confessions.

6.11 The Problem of the Decline and Fall of the Empire in the West •

For centuries people have speculated about why Rome collapsed. Soil exhaustion, plague, climatic change, slavery, excessive government interference in economic life, and even poisoning from lead water pipes have been suggested as reasons for Rome’s decline in population, vigor,

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and capacity to defend itself.

Documents The Ruin of the Roman Family Farm and the Gracchan Reforms •

Why did Roman farmers face troubles? What were the social and political consequences of the changes in agricultural life? What solution did Tiberius Gracchus propose? Besides selfishness and greed, what motivated people to oppose his plan?

An Ideal Roman Woman •

In what achievements, associations, and qualities did she take pride? What might a person of our time find absent? What limits are implied by what is missing?

Daily Life in a Roman Provincial Town: Graffiti from Pompeii •

How do these graffiti differ from those one sees in a modern American city? What do they reveal about the similarities and differences between the ordinary people of ancient Rome and the people of today? How would you account for the differences?

Mark Describes the Resurrection of Jesus •

Why are the stories of miracles such as the one described here important for the growth of Christianity? What is special and important about this miracle? Why is it important in the story that days passed between the death of Jesus and the opening of the tomb? Why might the early Christians have believed this story? Why was belief in the resurrection important for Christianity in the centuries immediately after the life of Jesus? Is it still important today?

A Closer Look Lictors 1. Why do you think the Roman magistrates required such bodyguards?

2. What does their presence indicate about the nature of early Roman public life?

3. How does the presence of lictors suggest that the Roman and classical Athenian republics had different attitudes toward public officials?

Summary Republican Rome. Rome began as a small settlement in Latium in central Italy ruled by Etruscan kings; Rome became a republic in 509 B.C.E. The Roman constitution divided power between elected magistrates, the chief of which were two consuls; an appointed Senate, whose members served for life; and popular assemblies. During the third century B.C.E., the aristocratic patricians were forced to share power with the common people, the plebeians. The institution of clientage, by which clients pledged their loyalty to powerful patrons in return for legal and 65 ..

political protection, was an important part of Roman political life.

Roman Expansion. By the early fourth century, Rome had expanded to control all of Italy through a policy of conquest, alliances, colonies of Roman veterans, and generosity to foes who submitted. Between 264 and 146 B.C.E., Rome fought three wars with Carthage (the Punic Wars) for control of the western Mediterranean, which ended with the destruction of Carthage but led to social and political disorder in Italy. Many small farmers lost their land, and efforts by the Gracchi brothers to resolve the problems ended in their murders.

In the third century B.C.E., Rome turned to the East and defeated the Hellenistic monarchies that had succeeded Alexander’s empire. Macedon and Greece fell under Roman rule. This led to the adoption of Greek culture by the Roman aristocracy and the rapid Hellenization of Roman culture. By the first century B.C.E., Rome controlled most of the Mediterranean world.

The Empire and the Rise of Christianity. The Roman republic was destroyed by social unrest and rivalry among ambitious generals and politicians, the most successful of whom was Julius Caesar. After a civil war that followed Caesar’s assassination in 44 B.C.E., his nephew Octavian emerged as the most powerful man in Rome. Under the title of Augustus, he set up a system that preserved the facade of republican institutions but was in fact a monarchy.

The Roman Empire stretched from Scotland to Iraq. Rome fostered the growth of cities, developed the rule of law, built a vast network of roads and other public works, and established two centuries of peace and stability. Christianity, which arose in the Roman province of Judaea in the first century, spread throughout the empire despite occasional persecutions by the Roman state, which became Christian in the late fourth century.

Decline and Fall. In the third century, the Roman peace collapsed under the pressure of invasions by barbarians in the West and the Sasanids in the East. Rival generals murdered emperors and usurped the throne. The economy declined. The state exacted more and more taxes and resources from its citizens. The emperors Diocletian and Constantine managed to halt the decline, but in the fifth century. Roman authority in the West collapsed. In the East, however, a Christian Roman Empire based in the city of Constantinople survived and evolved into the Byzantine Empire, which did much to preserve the Greek and Roman heritage for another 1,000 years.

Key Terms agape (ah-gah-PAY), p. 190 Augustus, p. 179 censor, p. 169 Etruscans, p. 167 heretics, p. 190 imperator, p. 179 latifundia (lah-tee-FOON-dee-ah), p. 175 Nicene Creed, p. 196 patrician, p. 169 plebeian, p. 169

Arianism, p. 196 Catholic, p. 190 equestrians, p. 177 Eucharist, p. 190 humanitas, p. 174 imperium, p. 168 mystery religions, p. 188 orthodox, p. 190 Pharisees, p. 189 populares, p. 177 66 ..

Punic Wars, p. 170 tetrarchy, p. 193

syncretism, p. 195 tribunes, p. 169

REVEL WRITING EXCERCISES Journal Writing 6.4 The Ruin of the Roman Family Farm and the Gracchan Reforms Why did Roman farmers face troubles and how were the problems with agriculture threatening the Roman Republic?

6.6 An Ideal Roman Woman What achievements, associations, and qualities were a source of pride for Cornelia?

6.7 Daily Life in a Roman Provincial Town: Graffiti from Pompeii What does this graffiti reveal about the similarities and differences between the ordinary people of ancient Rome and the people of today?

6.8 Mark Describes the Resurrection of Jesus Why are the stories of miracles such as the one described here important for the growth and survival of Christianity?

Shared Writing Despite unpromising beginnings, Christianity was enormously popular by the fourth century.

What do you think were the most important reasons for Christianity’s success?

Internet Resources Byzantine Empire: http://www.fordham.edu/halsall/byzantium/ contains links to primary sources, images, visual, and even audio resources.

Roman Empire: http://www.pbs.org/empires/romans/empire/index.html is the PBS website that accompanies the television documentary series; includes sections on emperors, authors, social life, and other topics.

Julius Caesar: http://www.bbc.co.uk/history/historic_figures/caesar_julius.shtml is the BBC’s biography page for Caesar; Augustus, and Cleopatra. Other notables can also be found on this site.

Suggested Maps Prentice Hall Atlas of Western Civilization, Second Edition • Italy in 264 BCE • The Punic Wars 67 ..

• Trade in the Roman Empire • The Growth of Christianity • Migrations and Invasions • The Roman Empire 240–395 • Trade in the Classical World • The Roman Empire

Suggested Films Assassination of Julius Caesar. Columbia Broadcasting System (27 minutes).

Julius Caesar: Rise of the Roman Empire. Encyclopaedia Britannica (22 minutes).

Spirit of Rome. Encyclopaedia Britannica (29 minutes).

The Glory That Remains: Siege of the Rock. Time-Life (31 minutes).

Roman World. International Film Bureau (23 minutes).

Pompeii—The Death of a City. McGraw-Hill (14 minutes).

Pompeii—Once There Was a City. Learnex Corporation of Florida (25 minutes).

Legacy of Rome. American Broadcasting Company (50 minutes).

In Defense of Rome: Roman Law. McGraw-Hill (18 minutes).

Christianity in World History—to 1000 C.E. Coronet (14 minutes).

The Christians: Faith and Fear. McGraw-Hill (39 minutes).

In Defense of Rome. McGraw-Hill (16 minutes).

Decline of the Roman Empire. Coronet (14 minutes).

Lost Civilizations. Discovery Channel series that includes Mesopotamia, Egypt, the Aegean world, Greece, China, Rome, Maya, Inca, Africa, and Tibet (510 minutes).

The Romans in North Africa. Kultur (50 minutes).

The Surprising History of Rome, with Terry Jones. FHS (51 minutes).

Christianity: The First Two Thousand Years. A&E Home Video (400 minutes).

Peter & Paul and the Christian Revolution. PBS Paramount (110 minutes).

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From the Mists of the North, the Germanic Tribes . FHS (52 minutes).

Baalbek: Roman Temple Complex. FHS (30 minutes).

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Chapter 7—China’s First Empire and Its Aftermath, 221 B.C.E.–589 C.E. Learning Objectives 7.1 Qin Unification of China Discuss how the Qin unified China and why the dynasty fell soon after.

7.2 Former Han Dynasty (206 B.C.E.–8 C.E.).

Discuss the rise and fall of the Former Han Dynasty and the significance of trade along the Silk Road.

7.3 Later Han (25–220 C.E.) and Its Aftermath Trace the history of the Later Han Dynasty and the aftermath of the empire.

7.4 Han Thought and Religion Discuss Han Confucianism and historical writings, and the Neo-Daoist and Buddhist traditions under the Han.

Introduction • • • •

One hallmark of Chinese history is its striking continuity of culture, language, and geography.

The continuities in its history does not mean that China was unchanging. One key turning point came in the third century B.C.E., when the old, quasi-feudal, multistate Zhou system gave way to a centralized bureaucratic government that built an empire.

The history of China’s first empire is composed of three segments: the Qin Dynasty, the Former Han Dynasty, and the Later Han Dynasty. The English word China is derived from the name of the first dynasty.

Historians usually treat each of the Han dynasties as a separate period of rule, although they were almost back-to-back and shared many institutions and cultural traits.

Global Perspective China’s First Empire •

• • • •

The Han built on Zhou thought (Legalism and Confucianism), just as Rome used Greek thought, and the Maurya Empire, Buddhist thought.

All three were Iron Age empires, joining their respective technologies with new organizational techniques to create superb military forces. All three had to weld together diverse regions into a single polity. All three created legacies that continued long after the empire had disappeared.

In China the pervasive culture— the only higher culture in the area—was Chinese, even before the first empire arose.

China was largely landlocked. It was composed of several regional economic units.

Government in Han China was more orderly, more complex, and more competent than that of Rome.

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Focus Questions 1. What challenges did the Roman, Han, and Maurya empires face in conquering and integrating new territories? How did they meet these challenges?

2. Compare and contrast the Roman and Han empires. What did they have in common? How did they differ?

Key Points 7.1 Qin Unification of China •

• • • •

•

In the late fourth century B.C.E., the Qin conquered a part of Sichuan and thus controlled two of the most fertile regions of ancient China. It welcomed Legalist administrators, who developed policies for enriching the country and strengthening its military.

First Qin Emperor set about applying to all of China the reforms that had been tried and found effective in his own realm, consolidating an empire in a mere eleven years.

Following military conquests in the north, The Qin emperor built the Great Wall that extended 1,400 miles from the Pacific Ocean into Central Asia.

The most significant reform extended the Qin system of bureaucratic government to the entire empire.

Other reforms further unified the First Emperor’s vast domain. Roads were built radiating out from the capital city. The emperor decreed a system of uniform weights and measures, unified the Chinese writing system, establishing standard ideographs to replace the great variety that had hitherto prevailed.

The Qin Dynasty collapsed in 206 B.C.E.

7.2 Former Han Dynasty (206 B.C.E.–8 C.E.) 7.2.1 The Dynastic Cycle •

Confucian historians have seen a pattern in every dynasty of long duration. They call it the dynastic cycle. The stages of the cycle are interpreted in terms of the “Mandate of Heaven.”

7.2.2 Early Years of the Former Han Dynasty •

•

After the collapse of the Qin, one rebel general gained control of the Wei basin and went on to unify China. He became the first emperor of the Han Dynasty.

It took the emperor and his immediate successors many years to consolidate their power because they consciously avoided actions that would remind the populace of the hated Qin despotism.

7.2.3 Han Wudi •

•

The second phase of the dynastic cycle began with the rule of Wudi (the “martial emperor”), who came to the throne in 141 B.C.E. at the age of 16 and ruled for 54 years (141–87 B.C.E.).

State monopolies—on copper coins, salt, iron, and liquor—became a regular part of Chinese government finance.

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•

Wudi also aggressively expanded Chinese borders—a policy that would characterize every strong dynasty. His armies swept south into what is today northern Vietnam and northeast across Manchuria to establish a military outpost in northern Korea that would last until 313 C.E.

7.2.4 The Xiongnu •

• •

The principal threat to the Han was from the Xiongnu, a nomadic pastoral people who lived to the north.

Through trade, titles and war, Wudi destroyed Xiongnu power south of the Gobi Desert in southern Mongolia.

Chinese influence was extended over the rim oases of Central Asia, establishing the Silk Road that linked Chang’an with Rome.

7.2.5 Government during the Former Han •

• • • • •

Despite its repudiation of the Qin and all its works, the Han continued the Qin form of centralized bureaucratic administration, though government in a district that remained orderly and paid its taxes was left largely in the hands of local notables and large landowners.

Officials were organized by grades and were paid salaries in grain, plus cash or silk.

During the Han Dynasty, this “Legalist” structure of government became partially Confucianized.

Gradually the Confucian classics were accepted as the standard for education. Confucianism was seen as shaping moral men who would be upright officials, even in the absence of external constraints.

The court during the Han dynasty exhibited features that would appear in later dynasties as well.

All authority centered on the emperor, the all-powerful “son of heaven.” The will of a strong adult emperor was paramount.

When the emperor was weak, four contenders for power appeared and reappeared through Chinese history: court officials, the empress dowager, court eunuchs, and military commanders.

7.2.6 The Silk Road •

• • • •

Precious cargoes, moving more easily than persons, were passed across empires, like batons in relay races, from one network of merchants to another.

The Silk Road, and the alternative, more distant, and equally perilous oceanic route, which would become the principal avenue of foreign trade during the Song Dynasty (tenth–thirteenth centuries), points up China’s isolation from other high centers of civilization.

Most Chinese foreign trade was with their immediate steppe neighbors.

Only the most precious goods made their way to distant empires. Silk—light, compact, and valuable—was ideal.

Exotic goods hawked in distant bazaars lend an aura of romance to the Silk Road, but its true significance was as a transmission belt for goods, technologies, ideas and disease.

7.2.7 Decline and Usurpation •

• •

During the last decade of Wudi’s rule in the early first century B.C.E., military expenses ran ahead of revenues.

State revenues declined, and the tax burden on smaller landowners and free peasants grew heavier. In 22 B.C.E. rebellions broke out in several parts of the empire.

Dynastic disputes weakened the empire.

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7.3 Later Han (25–220 C.E.) and its Aftermath 7.3.1 First Century •

• •

By the end of the first century, China was as prosperous as it had been during the good years of the Former Han. During the reign of the first emperor, southern China and Vietnam were retaken.

The Chinese expansion in inner Asia, coupled with more lenient government policies toward merchants, facilitated the camel caravans that carried Chinese silk across the Tarim Basin and, ultimately, to merchants in Iran, Palestine, and Rome.

7.3.2 Decline during the Second Century •

• •

Until 88 C.E. the emperors of the Later Han were vigorous; afterward they were ineffectual and short-lived.

In the countryside, large landowners who had been powerful from the start of the dynasty grew more so and even harbored private armies. Farmers on the estates of the mighty were reduced to serfs.

In 220 C.E. the last Han emperor is deposed.

7.3.3 Aftermath of Empire • • •

For more than three and a half centuries after the fall of the Han, China was not united.

Chinese history during the post-Han centuries had two characteristics. The first was the dominant role played by the great aristocratic landowning families.

The second characteristic of these centuries was that northern and southern China developed in different ways.

7.4 Han Thought and Religion •

A wealth of written records conveys the sophistication and depth of Han culture. Perhaps the two most important areas were philosophy and history.

7.4.1 Han Confucianism • • • • •

A major accomplishment of the Former Han was the recovery of texts that had been lost during the Qin persecution of scholars.

In 51 B.C.E. and again in 79 C.E. councils were held to determine the true meaning of the Confucian classics. In 175 C.E. an approved, official version of the texts was inscribed on stone tablets.

In about 100 C.E. the first dictionary was compiled. Containing about 9,000 different characters, it helped promote a uniform system of writing.

Han philosophers also extended Zhou Confucianism by adding to it the teachings of cosmological naturalism.

During the Han, the Chinese invented paper, the wheelbarrow, the stern-post rudder, and the compass (known as the “south-pointing chariot”).

7.4.2 History •

The Chinese were the greatest historians of the pre-modern world. They wrote more history than anyone else, and what they wrote was usually more accurate.

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•

The practice of using actual documents and firsthand accounts of events began with Sima Qian (d. 85 B.C.E.), who set out to write a history of the known world from the most ancient times down to the age of Emperor Wudi.

7.4.3 Neo-Daoism •

• •

As the Later Han Dynasty waned, the effort to actualize the Confucian ethic in the sociopolitical order became increasingly difficult. Some scholars abandoned Confucianism altogether in favor of Neo-Daoism.

Among the common people, there arose popular religious cults that, because they included the Daoist classics among their sacred texts, are also called Neo-Daoist. Like most folk religions, they contained an amalgam of beliefs, practices, and superstitions.

Local Daoist temples and monasteries continued until modern times. With many Buddhist accretions, they formed the religious beliefs of the bulk of the Chinese population.

7.4.4 Buddhism •

• •

Central Asian missionaries, following the trade routes east, brought Buddhism to China in the first century.

As the Han sociopolitical order collapsed in the third century, Buddhism spread rapidly.

By the fifth century Buddhism had spread over all of China. Occasionally it was persecuted by Daoist emperors—in the north between 446 and 452 and again between 574 and 578. But most courts supported Buddhism.

Documents Chinese Women among the Nomads •

What does the fate of the women in these poems suggest about the foreign policy of the rulers of ancient China?

Ban Zhao’s Admonitions for Women •

Given the range of female personalities in Chinese society, what are some of the likely responses to this sort of moral education? Are self-control and self-discipline more likely to be associated with weakness or with strength of character?

Sima Qian on the Wealthy •

What economic “principles” can you derive from this passage? Can you detect an echo of Sima Qian’s perspectives in present-day debates on economic policy?

The Peach Blossom Spring •

Utopias are often based on religion, but this one is not. What does this suggest regarding the Chinese view of human nature?

A Closer Look

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The Terra-Cotta Army of the First Qin Emperor 1. How did the Legalism of the Qin state affect its armies?

2. Why did the emperor have this ghostly army fabricated? Did he plan to lead it in an afterlife?

Summary Unification of China. The state of Qin unified China in 221 B.C.E. To the north it built the Great Wall to prevent incursions by the nomadic Xiongnu peoples. It ruled through a centralized bureaucracy, in line with its Legalist philosophy. But the pace of its reform was so frenetic and its legal punishments were so harsh that it alienated its people. The Qin collapsed after the death of the First Emperor.

The Two Han. The Former Han and Later Han, back-to-back dynasties, ruled China for more than four centuries (206 B.C.E.–220 C.E.). Under emperors, a pattern of centralized rule by officials educated in the Confucian classics was established. During long periods of peace and good government, literature, art, and history writing flourished. Buddhism entered China in the first century C.E. Ever since this period, the core Chinese population has referred to itself as the “Han people.”

Key Terms dynastic cycle, p. 206 nirvana, p. 217 Xiongnu, p. 206

Neo-Daoism, p. 214 Silk Road, p. 207

REVEL Writing Exercises Journal Writing 7.2 Chinese Women among the Nomads What do these poems reveal about the foreign policy of the rulers of ancient China, including how women were part of that policy?

7.3 Ban Zhao’s Admonitions for Women How would you expect women in ancient China to respond to this sort of moral education?

7.4 Sima Qian on the Wealthy What similarities can you detect between Sima Qian’s economic ideas and the perspectives in present-day debates on economic policy?

Shared Writing Explain the "Dynastic Cycle." Was a cycle of administrative and military decline especially true of Chinese government, or can we see the same pattern elsewhere?

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Internet Resources Art and Artifacts of the Han Dynasty: http://www.metmuseum.org/toah/hd/hand/hd_hand.htm is part of a series of essays and slideshows relating to Chinese art.

Silk Roads: http://www.ess.uci.edu/~oliver/silk.html contains an excellent series of essays on these complex Eurasian trade routes.

Xiongnu: http://www.allempires.com/article/index.php?q=The_Xiong_Nu_Empire contains a useful historical essay with a timeline and maps that covers Xiongnu history to the fourth century C.E. East Asia: http://www.fordham.edu/halsall/eastasia/eastasiasbook.html. For a great list of links to primary and secondary sources that covers the entire region. For the same types of sources on India, see http://www.fordham.edu/halsall/india/indiasbook.html.

Suggested Maps Prentice Hall Atlas of World History, Second Edition • Han China

Suggested Films Chinese Bronze of Ancient Times. Contemporary Films (17 minutes).

Chinese Brush Strokes. Moyer Martin Productions (17 minutes).

Chinese History, No. 3 China: Hundred Schools. Teaching Films Custodian (19 minutes).

Chinese History, No. 4 China: The First Empire. Teaching Films Custodian (19 minutes).

Chinese History, No. 5 China: The Great Cultural Mix. Teaching Films Custodian (19 minutes).

Lost Civilization. Discovery Channel. Tibet, China, and Africa are all covered here (500 minutes).

Ancient China. .Kultur. This video has a brief introduction to Confucianism, Daoism, and Legalism and provides a useful introduction to the Silk Road and to the reign of Shi Huangdi (50 minutes).

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The First Emperor of China. CAV Distribution (40 minutes).

The Silk Road. Central Park Media. This covers the geography and history of the Silk Roads in 12 sprawling episodes. The content is excellent (660 minutes).

Confucius. A&E Home Video. 50 minutes).

The True Story of Marco Polo. History Channel. 50 minutes).

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Chapter 8—Imperial China, 589–1368 Learning Objectives 8.1 Reestablishment of Empire: Sui (589–618) and Tang (618–907) Dynasties Trace the histories of the Sui and Tang dynasties and describe Tang cultural achievements.

8.2 Transition to Late Imperial China: The Song Dynasty (960–1279) Discuss Chinese history during the Song—its agriculture, commerce, government, and culture.

8.3 China in the Mongol World Empire: The Yuan Dynasty (1279–1368) Trace the rise and decline of the Mongol Empire and Yuan Dynasty in China.

Introduction • • •

The Tang dynasty (618–907) decisively influenced the formation of states and high cultures in Japan, Korea, and Vietnam.

The Song dynasty (960–1279) rivaled the Tang in the arts; it was China’s great age of painting.

Not militarily strong, the Song Dynasty also witnessed an important commercial revolution.

The Yuan dynasty (1279–1368) was a short-lived dynasty of rule by Mongols during which China became the most important unit in the largest empire the world has yet seen.

Global Perspectives Imperial China •

• • •

From the late sixth century C.E., a fundamental divergence occurred between Europe and China.

The Roman empire collapsed and Europe tailed off into centuries of feudal disunity and backwardness while China, which is about the size of Europe and geographically no more natural a political unit, put a unified empire back together again, attaining new wealth, power, and culture and establishing a unified rule that has continued until the present.

One reason China recreated its empire was that in China the victory of Buddhism was less complete than that of Christianity in Europe. Confucianism, and its conception of a unified empire, survived within the aristocratic families and at the courts of the Six Dynasties.

A second consideration was China’s greater cultural homogeneity. It had a common written language that was fairly close to all varieties of spoken Chinese. European languages and cultures were divisive forces.

A third and perhaps critical factor was China’s population density. Population density explains why the Chinese could absorb barbarian conquerors so much more quickly than could Europe.

Focus Questions 78 ..

1. In what ways did China and Europe parallel each other in their development until the sixth century C.E.? How did they diverge after that?

2. Why did China witness the reunification of empire after the fall of the Han Dynasty, whereas after the fall of Rome, Europe was never again united in a single empire?

3. Why did Tang and Song China enjoy longer stretches of good government than anywhere else in the contemporary world during the same period?

Key Points 8.1 Reestablishment of Empire: Sui (589–618) and Tang (618–907) Dynasties •

In the period corresponding to the European early Middle Ages, the most notable feature of Chinese history was the reunification of China, the recreation of a centralized bureaucratic empire consciously modeled on the earlier Han Dynasty (206 B.C.E.–220 C.E.).

8.1.1The Sui Dynasty •

• •

Sui Wendi (d. 605), a general of mixed Chinese-Turkic ancestry who began the Sui Dynasty (589–618), came to power in 581 by usurping the throne.

Sui unified the north, restored the tax base, reestablished a centralized bureaucratic government, and went on to conquer southern China and unify the country.

The Tang built on the foundations that had been laid by the Sui, just as the Han had built on those of the Qin.

8.1.2 The Tang Dynasty •

• •

• •

•

•

The years from 624 to 755 were the good years of the dynasty, tax revenues were adequate for government needs and Chinese armies had begun the campaigns that would push Chinese borders out further than ever. Confucian scholars were employed at the court, Buddhist temples and monasteries flourished.

Political authority was centralized and bureaucratized. At the highest level were three organs: Military Affairs, the Censorate, and the Council of State.

Concessions to the interests of the aristocratic families were embodied in the tax system.

Aristocrats were also favored in the recruiting of officials. Most officials either were recommended for posts or received posts because their fathers had been high officials. They were drawn almost exclusively from the aristocracy.

The principal threats to the Tang state were from Tibetans in the west, Turks in the northwest and north, and Khitan Mongols in Manchuria.

To protect its border, the Tang employed a four-tier defense policy. The first tier, used as a last resort, was the army. The second tier was to use nomads against other nomads. A third tier was the defense along China’s borders, including the Great Wall. The fourth line of defense was to bring the potential enemy into the empire as a tributary.

From the mid-eighth century, signs of decline began to appear. During the second half of the ninth century the government weakened further. Most provinces were autonomous, often under military commanders, and resisted central control. Wars were fought with the state of Nan Chao in the southwest. Bandits appeared. Droughts led to peasant uprisings. By the 880s warlords had carved all of China into independent kingdoms, and in 907 the Tang Dynasty fell.

The creativity of the Tang period arose from the juxtaposition and interaction of cosmopolitan,

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• • • •

medieval Buddhist, and secular elements.

The Tang Dynasty was the golden age of Buddhism in China. Patronized by emperors and aristocrats, the Buddhist establishment acquired vast landholdings and great wealth. Temples and monasteries were constructed throughout China.

Only during the Tang did China have a “church” establishment that was at all comparable to that of medieval Europe, and even then it was subservient to the far stronger Tang state.

Various sects of Buddhism emerged during the Tang, including the influential Zen. Scholarship and poetry flourished under the Tang.

8.2 Transition to Late Imperial China: The Song Dynasty (960—1279) •

•

The Song dynasty reunified China in 960, establishing its capital at Kaifeng on the Yellow River.

It ruled for 170 years; this period is called the Northern Song.

In 1127 it lost the north but for another 150 years, a period called the Southern Song, it continued to rule the south from a new capital at Hangzhou in east-central China. The Southern Song fell before the Mongol onslaught in 1279.

8.2.1 Agricultural Revolution of the Song: From Serfs to Free Farmers • • • • •

After the fall of the Tang, the aristocratic estates were often seized by warlords. As the aristocracy declined, the claims of those who worked the soil grew stronger, aided by changes in the land and tax systems.

With the collapse of the equal-field system, farmers could buy and sell land. The ownership of land as private property gave the cultivators greater independence. They could now move about as they pleased. Taxes paid in grain gave way during the Song to taxes in money.

Changes in technology also benefited the cultivator, crops such as cotton and tea became widely cultivated.

Song farmers enjoyed a substantial degree of self-government.

One other development that began during the Song— and became vastly more important later— was the appearance of a scholar-gentry class.

8.2.2 Commercial Revolution of the Song •

•

• •

•

•

Stimulated by changes in the countryside, and contributing to them as well, were demographic shifts, innovative technologies, the growth of cities, the spread of money, and rising trade.

From the late ninth century the center of gravity of China’s population, agricultural production, and culture shifted to the lower and eastern Yangzi region. Between 800 and 1100 the population of the region tripled as China’s total population increased to about 100 million. Its rice paddies yielded more per acre than the wheat or millet fields of the north, making rice the tax base of the empire.

During the Northern Song a coal and iron-smelting industry developed in north China that provided China with better tools and weapons.

Printing began in China with the use of carved seals. The earliest woodblock texts, mostly on Buddhist subjects, appeared in the seventh century. By the tenth century a complete edition of the classics had been published, and by the mid-Song books printed with movable type were fairly common.

During the Northern Song large amounts of copper cash were coined. Coins were made with holes in the center, and 1,000 on a string constituted the usual unit for large transactions.

Beginning in the Southern Song, silver was minted to complement copper cash, ten times as much silver in the late twelfth century as in the early eleventh century.

Trade increased and commerce spread out from the cities into local market towns. Foreign trade

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also increased. From this age, maritime commerce overtook the old Silk Road in importance.

8.2.3 Government: From Aristocracy to Autocracy •

•

Song emperors had direct personal control over more offices than Tang predecessors and the central government was better funded than it had been previously. Various duties, fees and taxes levied on trade were an increasingly important source of revenue.

The power of the aristocracy declined, commoners, products of the examination system, made up an increasing number of the Song government officials.

8.2.4 Song Culture •

• • •

Song culture retained some of the energy of the Tang while becoming more intensely and perhaps more narrowly Chinese.

Song culture was less aristocratic, less cosmopolitan, and more closely associated with the officials and the scholar-gentry, who were both its practitioners and its patrons. It also was less Buddhist, more secular, than the Tang culture had been.

Song a high period of artistic expression, though its greatest achievements were in philosophy, poetry and painting.

Zhu Xi (1130–1200) focused his attention on Confucianism, deepening and making more systematic its social and political ethics by joining to it certain Buddhist and native metaphysical elements. The new Confucianism became a viable alternative to Buddhism for Chinese intellectuals.

8.3 China in the Mongol World Empire: The Yuan Dynasty (1279–1368) •

The Mongols created the greatest empire in the history of the world. It extended from the Caspian Sea to the Pacific Ocean; from Russia, Siberia, and Korea in the north to Persia and Burma in the south. Invasion fleets were even sent to Java and Japan, although without success. Mongol rule in China is one chapter of this larger story.

8.3.1 Rise of the Mongol Empire •

• •

The Mongols were peerless horsemen, and their most dreaded weapon was the compound bow, short enough to be used from the saddle yet more powerful than the English longbow.

The Mongols also used terror as a weapon.

The Mongol conquests were all the more impressive in that, unlike the earlier Arab expansion, they lacked the unifying force of religious zeal.

8.3.2 Mongol Rule in China • •

• • •

The Mongols swept across southern China, and the last Song stronghold fell in 1279.

Kublai Khan’s rule in Beijing reflected the mixture of cultural elements in Mongol China. From Beijing, Kublai could rule as a Chinese emperor, which would not have been possible from Karakorum. He adopted the Chinese custom of hereditary succession. He rebuilt Beijing as a walled city in the Chinese style.

The city proper was for the Mongols. Chinese were segregated in an adjoining walled city.

Early Mongol rule in northern China was rapacious and exploitative, but it later shifted toward Chinese forms of government and taxation, especially in the south and at the local level.

Mongols monopolized the highest positions in the military and government bureaucracy.

8.3.3 Foreign Contacts and Chinese Culture •

Diplomacy and trade within the greater Mongol Empire brought China into contact with other higher civilizations for the first time since the Tang period. Persia and the Arab world were

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• • • •

especially important.

It was during this period that knowledge of printing, gunpowder, and Chinese medicine spread to Western Asia. Chinese ceramics influenced those of Persia as Chinese painting influenced Persian miniatures.

In Europe, the Venetian trader Marco Polo transmitted knowledge of China. He claimed to have served Kublai as an official between 1275 and 1292. His book, A Description of the World, was translated into most European languages.

The foreign religion that made the greatest gains was Islam, which became permanently established in Central Asia and western China.

Despite these wide contacts with other peoples and religions, the high culture of China appears to have been influenced almost not at all—partly because China had little to learn from other areas and partly because the centers of Chinese culture were in the south, the last area to be conquered and the area least affected by Mongol rule.

8.3.4 Last Years of the Yuan •

•

Despite the Mongol military domination of China and the highly centralized institutions of the Mongol court, the Yuan was the shortest lived of China’s major dynasties.

An overextended Mongol empire suffered internal schisms, succession disputes weakened it, and popular uprisings led to the Mongol emperor and his court fleeing China.

Documents A Poem by Li Bo •

It has been said that concreteness of imagery is the genius of Chinese poetry. How does this poem support that contention?

“Chaste Woman” Shi •

Is the moral of this tale simply that justice ultimately prevails? Can a more complex interpretation be made? What does it say about the dynamics of Song society?

Su Dungpo Imagined on a Wet Day, Wearing a Rain Hat and Clogs •

How does the sentiment in this poem relate to the Confucian humanism encountered in the document in Chapter 2?

Marco Polo Describes the City of Hangzhou •

Europeans who read Marco Polo’s account of China thought it was too good to be true. Would you agree?

A Closer Look A Tang Painting of the Goddess of Mercy 1. What, do you imagine, was the purpose of this painting?

2. What social values does the painting depict?

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Summary Sui and Tang Dynasties. The Sui and Tang dynasties (589–907) recreated China’s empire.

Under the Tang, China expanded into Central Asia, taking control of much of the lucrative Silk Road. Chang’an, the Tang capital, became the largest city in the world. Tang culture was rich and cosmopolitan, much influenced by its contacts with other cultures, and immensely influential on the cultures of Japan, Korea, and Vietnam. The Tang Dynasty was also the golden age of Buddhism in China, and a variety of Buddhist sects flourished.

Song Dynasty. During the Song Dynasty (960–1279), China experienced an agricultural revolution in which large aristocratic estates worked by serfs gave way to small landholdings owned by free farmers. Advances in technology led to the invention of printing and the development of a coal and iron-smelting industry. The growth of a money economy encouraged the expansion of trade, both within China and with foreign countries. Song culture was particularly rich in philosophy, poetry, and painting.

The Mongols. After their unification by Genghis Khan (1167–1227), the Mongols created the greatest empire in history. The highly mobile Mongol cavalry overwhelmed Chinese armies. By 1279 the Mongols ruled all of China. But Mongol rule in China, which had only shallow Chinese support, was short-lived and ended in 1368.

Key Terms Amitabha Buddha, p. 230 Chang’an, p. 223 Uighur Turks, p. 226

Censorate, p. 223 examination system, p. 224 Zen, p. 230

REVEL Writing Exercises Journal Writing 8.1 A Poem by Li Bo It has been said that concreteness of imagery is the genius of Chinese poetry. How does this poem support that contention?

8.2 “Chaste Woman” Shi What are some different ways that this tale can be interpreted?

8.3 Marco Polo Describes the City of Hangzhou Many Europeans who read Marco Polo’s account of China thought it was too good to be true.

What do you think?

Shared Writing 83 ..

What do Chinese poetry and art tell us about Chinese society and culture, including the status of women?

Internet Resources Silk Roads: http://www.ess.uci.edu/~oliver/silk.html contains an excellent series of essays on these complex Eurasian trade routes.

East Asia: http://www.fordham.edu/halsall/eastasia/eastasiasbook.html. For a great list of links to primary and secondary sources that covers the entire region.

Marco Polo: http://www.fordham.edu/halsall/source/mpolo44-46.html has excerpts from Polo’s Travels.

Chinese Contributions to the History of Technology: http://www.engr.sjsu.edu/pabacker/history/china.htm is a terrific resource with further links that helps to understand the remarkable advances made by the Chinese during the late Tang and Song dynasties.

Who Was Genghis Khan?: http://exploration.nationalgeographic.com/mongolia/history-culture offers the National Geographic Society’s perspective on the biography and significance of Genghis Khan.

Buddhism in Mongolia: http://video.nationalgeographic.com/video/player/news/culture-placesnews/mongolia-buddhism-vin.html features a video on the revival of Buddhism in Mongolia.

Mongolia Links: http://www.mongolianculture.com/mhistory.html features a variety of historical and cultural links.

Suggested Maps Prentice Hall Atlas of World History, Second Edition • The Age of the Mongols • The World: 1300–1400

Suggested Films Chinese History, No. 6 China: The Golden Age. Traveling Films Custodians (23 minutes).

Chinese History, No. 7 China: The Heavenly Khan. Traveling Films Custodians (22 minutes).

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Chinese History, No. 8 China: The Age of Maturity. Traveling Films Custodians (23 minutes).

Chinese History, No. 9 China: Under the Mongols. Traveling Films Custodians (18 minutes).

Chinese Porcelain. Chinese Art Films (22 minutes).

Chinese Sculpture Through the Ages. Contemporary Films (20 minutes).

Genghis Khan: Terror and Conquest. History Channel (50 minutes).

The True Story of Marco Polo. History Channel (50 minutes).

CNN’s MM Millennium. Turner Home Entertainment. Covers the last 1,000 years in ten, 60minute segments. Episode 3 covers the Mongol Empire during the 13th century (600 minutes).

Lost Civilizations. Discovery Channel. Tibet, China, and Africa are all covered here (500 minutes).

Secrets of Lost Empires: China Bridge. PBS Home Video. A rare video that examines Song China’s technological superiority (60 minutes).

CNN’s MM Millennium. Turner Home Entertainment. Covers the last 1,000 years in ten, 60minute segments. Episode 3 covers the Mongol Empire during the 13th century (600 minutes).

1421: The Year China Discovered America. PBS Home Video. Based on the provocative book by Gavin Menzies, this video examines the controversial theory that Zheng He’s fleet traveled to the Americas and beyond (120 minutes).

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Chapter 9—Early Japanese History Learning Objectives 9.1 Japanese Origins Discuss the premodern history of Japan, from the Jōmon to the Yamato state.

9.2 Nara and Heian Japan Discuss Nara and Heian Japan, its government, culture, and religion, and the Chinese influence.

9.3 Japan’s Early Feudal Age Summarize Japan’s history, society, economy, culture, and religion between the late twelfth century and 1467.

Introduction • • • •

Japanese history has three main turning points.

The first came during the third century B.C.E. when an Old Stone Age Japan became an agricultural, metalworking society, similar to societies on the Korean peninsula and in northeast Asia.

The second came during the seventh and eighth centuries C.E. when whole complexes of Chinese culture entered Japan The third turning point came in the nineteenth century, when Japan encountered the West.

Global Perspective East Asia •

• • •

In East Asia, Chinese civilization spread to Japan, Korea, and Vietnam, just as in the West the heartland civilization of the Middle East and Greece spread to Rome and Constantinople, and then to the rest of Europe.

When we speak of East Asia, we refer as much to culture (religion, art, writing systems, technology) as to geography, to what Japan, Korea, and Vietnam had in common with China.

The appeal of Chinese civilization was irresistible, but specific needs and conditions shaped its adoption.

Those countries that took in Chinese political culture used it to develop their own political identities.

Focus Questions 1. How does Japanese history illustrate the relationship between a “heartland civilization” and adjacent areas?

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2. Why did Korea, Vietnam, and Japan become independent nations in recent times? What other nations on the periphery of China did not?

Key Points 9.1 Japanese Origins • •

The central axis of Japan’s culture, economy, and polity has always been the temperate zone that stretches west to east, from northern Kyushu through Osaka and Kyoto to Tokyo and the Kanto plain.

Early Japan was remote. Off in the sea to the north of China, and east of Korea and Manchuria, it was known to the Chinese but chronicled only briefly in that country’s dynastic histories.

9.1.1 The Jōmon, Japan’s Old Stone Age •

• • •

The earliest evidences of human habitation are finely shaped stone tools dating from about 30,000 B.C.E.

Scholars think these tools were a part of an Old Stone Age hunting and gathering culture that spread from northeast Asia into Japan.

It was within this hunting and gathering society, in about 10,000 B.C.E., that pottery developed.

This is the oldest pottery in the world.

Scholars call this society the “Jōmon” after the ropelike, cord-pattern (jōmon) designs on the pottery.

9.1.2 The Yayoi Revolution •

• • •

A second northeast Asian people, the Yayoi, began migrations down the Korean peninsula and across the Tsushima Straits to Japan from about 300 B.C.E. At the beginning of the third century B.C.E., the bronze, iron, and agricultural revolutions began in Japan simultaneously.

Early Yayoi “frontier settlements” were located next to their fields. Their agriculture was primitive.

By the first century C.E., Yayoi settlements had so expanded that wars were fought for the best land.

9.1.3 Tomb Culture, the Yamato State, and Korea •

• • • • •

Emerging directly from Yayoi culture was an era (300–680) characterized by giant tomb mounds, similar to those found in Korea.

The flow or trickle of people and culture from the Korean peninsula into Japan that began with Yayoi was continuous into historical times.

Regional aristocracies under the loose hegemony of Yamato “great kings” characterize the period.

The great kings awarded Korean-type titles to court and regional aristocrats, titles that implied a national hierarchy centering on the Yamato court.

What little is known of Yamato politics suggests that the court was the scene of incessant struggles for power between aristocratic families.

Relations with Korea were critical to the Yamato court.

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9.1.4 Religion in Early Japan •

•

The indigenous religion of the Yamato Japanese was an animistic worship of the forces of nature, later given the name of Shintō, or “the way of the gods,” to distinguish it from Buddhism. Shintō probably entered Japan as part of Yayoi culture.

A second aspect of early Shintō was its connection with the state and the ruling aristocracy.

9.2 Nara and Heian Japan •

• •

The second major turning point in Japanese history came with the inflow of Chinese civilization between the seventh and twelfth centuries.

By the eleventh century the creative reworking of Chinese elements had led to distinctive Japanese forms, unlike those of China but equally unlike those of the earlier Yamato court.

The regular embassies to the Tang court that began in 607 C.E. included traders, students, and Buddhist monks, as well as representatives of the Yamato great kings.

9.2.1 Court Government •

• • •

In 794 the capital was moved to Heian (later Kyoto) on the plain north of Nara. This site remained the capital until the move to Tokyo in 1869. Even today, Kyoto’s regular geometry reflects Chinese city planning.

All Japanese history constitutes a single dynasty, although not a few emperors were killed and replaced by other family members in succession disputes.

Beneath the emperor, a modified Chinese pattern prevailed in the central and local governments.

In other respects, Japanese court government was unlike that of China. Bloodline was less important because the social distance between emperors and aristocrats was small. There was little tension between the emperor and the bureaucracy—the main struggles were between clans.

Apart from clerks and Buddhist monks, only aristocrats were educated, and only they were appointed to important official posts.

9.2.2 People, Land, and Taxes •

• • •

The life of the common people of Japan remained harsh during the Nara and Heian periods and population grew slowly.

For the peasants, land was difficult to acquire and taxes weighed heavily on village populations.

Tax systems, like government, evolved over time. Taxes shifted from the cultivator to the land, from elaborate central records to simple local records, from an official system to a semiofficial “quota” system.

From the ninth century, small cultivators commended their holdings to tax-exempt nobles or temples, figuring they would be better off as serfs on tax-free estates than as free farmers subject to rapacious governors and magistrates.

9.2.3 Rise of the Samurai • •

•

Japan faced no powerful nomadic armies on its borders. Its military had only to police Japan.

In 792 the court began a system that relied on local mounted warriors. Some were stationed in the capital and some in the provinces. They were official troops whose taxes were remitted in exchange for military service. The Japanese verb “to serve” is samurau, so those who served became samurai.

From the mid-Heian period, the officially recruited local warriors were replaced by nonofficial private bands of local warriors. They constituted the military of Japan for the next half

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• •

millennium or so, until the foot-soldier revolution of the fifteenth and sixteenth centuries.

In the early tenth century regional military coalitions or confederations began to form.

Other regional wars followed. Many were fought in eastern Japan. The east was more militarized because it was the headquarters for the periodic campaigns against the tribal peoples to the north.

By the middle of the twelfth century, there were regional military bands in every part of Japan.

9.2.4 Aristocratic Culture and Buddhism •

•

The culture of Nara and early Heian Japan was overwhelmingly one of Shintō religious practices and village folkways, an extension of the culture of the late Yamato period.

The tiny aristocracy, about one-tenth of 1 percent of Japan’s population, was encapsulated in the routines of court life, as were Buddhist monks in the rounds of their monastic life.

9.2.5 Chinese Tradition in Japan •

• •

Education at the Nara and Heian courts was largely a matter of reading Chinese books and acquiring the skills needed to compose poetry and prose in Chinese.

From the Nara period until the nineteenth century, most philosophical and legal writings, as well as most of the histories, essays, and religious texts in Japan, were written in Chinese.

Chinese history became the mirror in which Japan saw itself; Chinese heroes and villains became the stock figures of the Japanese historical consciousness. Buddhist stories and the classics of Confucianism were also consulted over the centuries for their wisdom and philosophy.

9.2.6 The Birth of Japanese Literature •

• •

Stimulated by Chinese models, the Japanese began to compose poetry in their native tongue. The first major anthology was the Collection of Ten Thousand Leaves ([Man’yōshū)], compiled in about 760.

Kana, a new syllabic script that had developed during the ninth century, used certain Chinese ideographs as a phonetic script.

The invention of kana opened the gate to the most brilliant developments of the Heian period.

Most of the new works and certainly the greatest were by women, as most men were busy writing Chinese. One genre of writing was the diary or travel diary.

9.2.7 Nara and Heian Buddhism •

• • • •

As in China, Japanese monasteries and temples were involved with the state. In 741 the Nara court established temples in every province and assigned tax revenues for their support. Monks prayed for the health of the emperor, for the well-being of the state, and for rain in time of drought.

Japanese came to Buddhism not from the philosophical perspectives of Confucianism or Daoism, but from the magic and mystery of Shintō.

Not until the seventeenth or eighteenth century did a few Japanese scholars become so Confucian as to be anti-Buddhist.

During the Heian era the two great new Buddhist sects were Tendai and Shingon.

During the later Heian period, Buddhism became assimilated. At the village level, temples were built, and Shintō practice took in Buddhist elements. In the high culture of the capital, Shintō was almost entirely absorbed by Buddhism.

9.3 Japan’s Early Feudalism •

The late twelfth century marked another turning point in Japanese history, one that came from

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•

within.

It saw the emergence of the shōgun as the de facto ruler of Japan.

9.3.1 The Kamakura Era • •

•

In 1180, Minamoto Yoritomo (1147–1199) responded to a call to arms by a disaffected prince.

Yoritomo’s victory was national, for his armies had ranged over most of Japan. Afterward, warriors from every area vied to become his vassals. Yoritomo set up his headquarters at Kamakura and established a government, the bakufu in contrast to the civil government in Kyoto, comprised of his vassals.

Attempted Mongol invasions of Japan failed.

9.3.2 The Question of Feudalism •

Japanese society in the Kamakura era was feudalistic in some ways—especially the warrior ethic—and less so in others.

9.3.3 The Ashakiga Era •

• • •

Between 1331 and 1336 various tensions had developed within late Kamakura society, leading to a series of revolts.

What emerged was a new bakufu in Kyoto and a variety of semiautonomous regional states in the rest of Japan. A lord, now called a daimyo, governed each regional state.

Formally, all regional lords (daimyo) were the vassals of the shōgun. But the relationship was often nominal.

As ties of personal loyalty wore thin, new local warrior bands began to form in the interstices of the Ashikaga regional states.

9.3.4 Women in Warrior Society •

As long as society was stable, women fared relatively well. But as fighting became more common in the fourteenth century, their position began to decline, and as warfare became endemic in the fifteenth, their status plummeted.

9.3.5 Agriculture, Commerce, and Medieval Guilds •

• • • •

Population figures for medieval Japan are rough estimates at best, but recent scholarship suggests 6 million for the year 1200 and 15 million for 1600.

The increase was brought about by land reclamation and improvements in agricultural technology. Iron-edged tools became available to all. New strains of rice were developed.

Irrigation and diking improved.

In the Nara and early Heian periods, the economy was almost exclusively agricultural. Japan had no currency and since little money circulated, there was no commerce save barter. Peasants were economically self-sufficient.

During the Kamakura period, independent merchants appeared to handle the products of artisans.

Some trade networks spread over all Japan.

From the Kamakura period onward, markets were held periodically in many parts of Japan.

9.3.6 Medieval Culture • •

The Nara and Heian periods are often referred to as Japan’s classical age. The period that followed—say, from 1200 to 1600—is often called medieval.

It shared some characteristics of the period that we label medieval in Europe and China.

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• • •

However, there is one salient difference. Medieval Japanese culture was a direct outgrowth of the classical age; one can even say that during the early Kamakura there was an overlap. In contrast, Europe was torn by barbarian invasions, and a millennium separated the classical culture of Rome from high medieval culture.

Medieval Japanese culture had some distinctly new characteristics. First, as the leadership of society shifted from court aristocrats to military aristocrats, new forms of literature appeared.

A new wave of culture entered from China. If the Nara and Heian had been shaped by Tang culture, medieval Japan—though not its institutions—was shaped by Song culture.

The medieval centuries were Japan’s age of Buddhist faith. A religious revolution occurred during the Kamakura period and deepened during the Ashikaga.

9.3.7 Japanese Pietism: Pure Land and Nichiren Buddhism • • • •

The doctrine that the world had fallen on evil times and that only faith would suffice was given credence by earthquakes, epidemics, fires, and banditry in the capital, as well as by wars throughout the land.

As a result of a line of distinguished teachers after Shinran, its doctrinal simplicity, and its reliance on piety, Pure Land Buddhism became the dominant form of Buddhism in Japan and remains so today.

A second devotional sect was founded by Nichiren (1222–1282), who believed that the Lotus Sutra perfectly embodied the teachings of the Buddha.

Nichiren was remarkable for a Buddhist in being both intolerant and nationalistic. He blamed the ills of his age on rival sects and asserted that only his sect could protect Japan.

9.3.8 Zen Buddhism •

• •

Zen was a religion of paradox. Its monks were learned, yet it stressed a return to ignorance, to the uncluttered “original mind,” attained in a flash of intuitive understanding. Zen was punctiliously traditional, the most Chinese of Japanese medieval sects.

In Japan the Zen sect included many samurai whose duty it was to kill the enemies of their lord.

Some military leaders encouraged the practice of Zen among their retainers in the hope of reinforcing such a sense of duty.

Zen influenced the arts of medieval Japan.

9.3.9 Nō Plays •

• •

Another vital product of Ashikaga culture is the Nō play, a kind of mystery drama without parallels elsewhere in East Asia.

Buddhist ideas of impermanence, of this world as a place of suffering, and of the need to relinquish worldly attachments are found in many plays.

Some plays are close to fairytales.

Documents Darkness and the Cave of High Heaven •

What does this myth suggest regarding the social relations of the Shintō gods? Entering a cave and then reemerging signifies death and rebirth in the religions of many peoples. Compare this passage to “Mark Describes the Resurrection of Jesus” in Chapter 6.

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Aristocratic Taste at the Fujiwara Court: Sei Shōnagon Records Her Likes and Dislikes •

In what sense can a literary work such as this also be considered a historical document? What kind of information does it provide about court life?

The Arts and Zen Buddhism •

Could the same theory be applied to baseball or any other sport? If so, what effect would this have on how they are played?

A Closer Look The East Meets the East 1. Why did the Mongols invade Japan?

2. How did the Japanese respond?

3. What does this picture reveal?

Summary Early Japan. Early Japanese history had two turning points. The first was in the third century B.C.E., when an Old Stone Age Japan was transformed by new technologies from Korea and became an agricultural, metalworking society. From the fifth century C.E., the Yamato court ruled Japan. The second turning point was in the seventh century when Japan began to adopt and adapt Chinese civilization, including Buddhism, writing, literature, and political institutions.

Nara and Heian Japan. The Sinicized Yamato court became the government of Nara and Heian Japan. The government was made up of the emperor and a civil aristocracy. Chinese-type institutions of the early government gradually evolved into simpler, more effective institutions.

Japanese culture, too, became increasingly self-confident and remained aristocratic in its tastes and forms of expression. A considerable gulf existed between aristocrats and commoners.

Noblewomen wrote many great works of literature during this age. Buddhism became increasingly assimilated.

The Early Feudal Age. From the tenth century mounted warriors called samurai dominated local society. By the late 1100s, power at the court began to pass from the civil to military aristocrats. The shōgun’s power was based on the loyalty of his military vassals. Minamoto Yoritomo’s assumption of power in 1185 is often called the beginning of Japan’s feudal age. He established the bakufu, or “tent government,” in Kamakura. Some form of bakufu would endure in Japan until the mid-nineteenth century. In 1274 and 1281, the Japanese, aided by typhoons, repelled Mongol invaders sent by Kublai Khan. In 1336, Ashikaga Takauji established his bakufu in Kyoto, which lasted more than a century.

Key Terms 92 ..

bakufu (ba-ku-fu), p. 262 kamikaze, p. 263 samurai, p. 257 shōgun, p. 262

daimyo (dye-myoh), p. 266 Pure Land Buddhism, p. 268 Shintō, p. 252 tennō (ten-noh), p. 254

REVEL Writing Exercises Journal Writing 9.1 Darkness and the Cave of High Heaven What does this myth suggest about the social relations of the Shintō gods?

9.2 Aristocratic Taste at the Fujiwara Court: Sei Shōnagon Records Her Likes and Dislikes How can this passage be considered both a literary work and a historical document?

9.3 The Arts and Zen Buddhism Could the same theory be applied to baseball or another sport and, if so, what effect would this have on how the sports are played?

Shared Writing What were Japan’s cultural ties with China during the Nara and Heian periods, particularly within the areas of government and religion?

Internet Resources East Asian History: http://www.fordham.edu/halsall/eastasia/eastasiasbook.html has many links to good sites that cover Japan.

Medieval Japan: http://www.medievaljapanesestudies.org/ is hosted by the Institute for Medieval Japanese Studies and provides an excellent resource for further links on cultural topics including medieval Japanese music.

Shinto: http://www.religioustolerance.org/shinto.htm offers a detailed explanation of Shintō beliefs and practices, as well as links for further information.

Samurai: http://www.history.com/topics/samurai-and-bushido provides an overview of the rise and roles of samurai in Japanese history.

The Samurai Archives Japanese History Page: http://www.samurai-archives.com/ includes a wealth of links of many historical topics, ranging from “Famous Women” to “Samurai Banners.”

Suggested Films 93 ..

Japan. Bryan Julien (27 minutes).

Japan: An Historical Overview. Coronet (14 minutes).

Japan: Answer in the Orient. National Education Association (59 minutes).

Japan: Harvesting the Land and Sea. Encyclopaedia Britannica Ed. (26 minutes).

Japan: Land of the Kami. Film Library Holder (26 minutes).

Japanese Armor. Japanese Broadcasting Company (30 minutes).

Japanese Calligraphy. Film Library Holder (17 minutes).

The Japanese Sword as the Soul of Samurai. Kensharo Production. 24 minutes).

Shinto: Nature, Gods and Man in Japan. Togg Films, Inc. (48 minutes).

Shintoism: Way of the Gods. Lew Ayers, Inc (14 minutes).

Lost Civilizations. Discovery Channel. Tibet, China, and Africa are all covered here (500 minutes).

Samurai Japan. Kultur (50 minutes).

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Chapter 10—The Formation of Islamic Civilization, 622–1000 Learning Objectives 10.1 Origins and Early Development Analyze the message of Muhammad and the early development of Islam.

10.2 Women in Early Islamic Society Discuss the position of women in Islamic society.

10.3 Early Islamic Conquests Discuss the early Islamic conquests and the factors contributing to their success.

10.4 The New Islamic World Order Trace the development of the Caliphate, the ulama, and the umma.

10.5 The High Caliphate Discuss the rise and decline of the high caliphate, under the Umayyads and the Abbasids.

10.6 Islamic Culture in the Classical Era Describe the cultural legacy of the Abbasid court.

Introduction • • • •

Islamic Civilization emerged initially as an Arab-dominated empire in Mediterranean and western Asian lands.

Islamic ideas and institutions evolved from Arabian beginnings into a multiform cosmopolitan tradition spanning numerous linguistic and geographical divides from Central and South Asia to Spain and North Africa.

The Islamic worldview derived from a single, prophetic-revelatory event, the Prophet Muhammad’s proclamation of the Qur’an.

The umma, a monotheistic, egalitarian community of “submitters” (muslims) to God expanded far beyond Arabia, to include Persians, Indians, and others made it a great universalist tradition.

Global Perspective The Early Islamic Worlds of Arab and Persian Cultures •

• • •

The rise of Arabic, Persian, and Turkish Islamic cultures as core religious and cultural spheres of Islamic civilization is a pivotal moment in world history.

In its first three centuries, the Islamic polity was arguably the most dynamic, multiethnic, multilingual imperial realm of its time.

Only China compared favorably with the Islamic world during this period in political and military strength, cultural unity, creativity, and self-consciousness.

Arabic became the administrative and religious lingua franca of the Islamic Empire, from

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Morocco to India, as the result of its status as the language of Qur’anic revelation and hence of learning.

This Islamic achievement was unique in that the peoples who built it did so by developing new religious, social, and political traditions rather than simply reviving old ones.

Focus Questions 1. Why did only China compare favorably with the Islamic world during the first centuries after the birth of Islam? How were the two civilizations similar, and how were they different?

2. What is unique about the Islamic achievement? In what ways was it built on traditions of earlier religions?

Key Points 10.1 Origins and Early Development 10.1. The Setting •

• • •

Pre-Islamic Arabia was not just a land of deserts, camels, and pastoralists. It was a region with diverse religions, polities, and economies.

The Arabic language, a Semitic tongue, defined and linked the Arab peoples, however divided they were by livelihood, religion, blood feuds, and tribal conflict.

Islam was never a “religion of the desert.” It began in a commercial urban center and first flourished in an agricultural oasis and in small merchant towns of the Hijaz. Its first converts were Meccan townsfolk and date farmers.

In its origins, the Islamic empire and civilization were centered in the heartlands of Mediterranean and West Asian urban and rural cultures and based more on settled communal existence than on rural or desert tribal societies and economies.

10.1.2 Muhammad and the Qur’an • Muhammad (ca. 570–632) was raised an orphan in a commercial family of the old Meccan tribe of Quraysh.

• He became troubled by the idolatry, worldliness, and lack of social conscience around him. When he was about the age of 40, Muhammad felt himself called by the one God and on repeated occasions revelations came to him through a messenger identified as God’s angel, Gabriel. It took the form of a qur’an (“reciting”) of God’s Word.

• The way to paradise lies in gratitude to God for His bounties, His revelatory guidance, and His readiness to forgive the penitent. It lies in social justice and obedient worship of God, and in recognition of God’s transcendence.

• The proper human response to God is islam (“submission”) to His will, becoming muslim (“submissive”) in one’s worship and morality.

10.2 Women in Early Islamic Society •

The umma is a central concern in Islam, and the family is the core of the umma. Consequently,

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family law played a central role in the development of Islamic law. It is Islamic family law that stipulates the rights of women and men.

The Qur’an introduced into Arabian society radical new ideas that dramatically improved the status of women. The Qur’an prohibited female infanticide, recognizes that a woman has the right to contract her own marriage and that she, and not her male relatives, receives the dowry from her husband. Legally, a woman entering marriage was not an object to be bought and sold but rather a party to a negotiated contract. A woman was also guaranteed the right to inherit, own, and manage property.

Even though the Qur’an introduced many positive changes for women, it also presupposed and legitimated a patriarchal society.

10.3 Early Islamic Conquests 10.3.1 Course of Conquest •

• •

In one of history’s most astonishing expansions, by 643 Arab armies had conquered the Byzantine and Sasanid territories of the Fertile Crescent, Egypt, and most of Iran (Persia). For the first time in centuries the lands from Egypt to Iran came under one rule. Finally, Arab armies swept west over the Byzantine-controlled Libyan coast and, in the east, pushed to the Oxus, defeating the last Sasanid ruler by 651.

Succeeding decades saw the eastern Berbers of Libyan North Africa defeated and converted to Islam in substantial numbers.

By 716 the disunited Spanish Visigoth kingdoms had fallen, and much of Iberia was under Islamic control.

10.3.2 Factors of Success • •

The possibilities of booty among Arab tribesmen was a prominent motivation in the conquest, religious zeal became more important as time went on.

Many subject populations also accepted, even welcomed, Islamic rule as a relief from Byzantine or Persian oppression. Crucial here was Muslim willingness to allow Christian, Jewish, and even Zoroastrian groups to continue as minorities.

10.4 The New Islamic World Order •

The Muslims brought with them a new worldview that demanded a new political, social, and cultural order, however long effecting it might take.

10.4.1 The Caliphate •

•

The line of leadership succession to Muhammad was known as the Caliphate, and the successors’ titles were khalifa (caliph; “successor”), imam (“leader”; literally, the one who stands in front to lead ritual worship), and amir (“commander” [of the faithful]).

The nature of Islamic leadership became an issue with the first civil war (656–661).

10.4.2 The Ulama • •

Muslim scholars developed an enduring pattern of education based on study under those persons highest in the unbroken cross-generational chain of trustworthy learned Muslims linking the current age with that of the earliest umma.

These scholars came to be known as ulama (“persons of right knowledge;” Arabic plural of alim).

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Thus, without building a formal clergy, Muslims developed a workable moral-legal system based on a formally trained, if informally organized, scholarly elite and a tradition of concern with religious ideals in matters of public affairs and social order.

10.4.3 The Umma •

• •

• •

• • •

• •

A strength of the Qur’anic message was its universality. By the time of the first conquests, the new state was already so rooted in Islamic ideals that non-Arab converts had to be accepted, even if it meant loss of tax revenue. The social and political status of new converts was, however, clearly second to that of Arabs.

Although many non-Arabs, especially Persians, mastered Arabic and prospered, dissatisfaction among client Muslims led to uprisings against caliphal authority. Persian–Arab tensions were especially strong.

In the first three Islamic centuries, two major interpretations crystallized that reflected idealistic interpretations of the umma and its leadership and membership. When neither proved practical, they became minority visions that continued to fire the imaginations of some but failed to win broad-based support.

A third, “centrist,” vision found favor with the majority because it spoke to a wide spectrum and accommodated inevitable compromises in the cause of Islamic unity.

The Kharijites’ demand was that the Muslim polity be based on strict Qur’anic principles. They espoused total equality of the faithful and held that the leader of the umma should be the best Muslim, whoever that might be. They took a rigorist view of membership in the umma: Anyone who committed a major sin was no longer a Muslim.

A second position was defined largely in terms of leadership of the umma. Muhammad had no surviving sons, and his son-in-law and cousin Ali claimed the Caliphate in 656, partly on the basis of his blood tie to the Prophet.

The roots of these shi’a (“partisans of Ali” [Shi’at Ali, or Shi’ites]) go back to Ali’s murder and especially to the murder in 680 of his son Husayn by Umayyad troops at Karbala, in Iraq.

While all Muslims esteemed Ali for his closeness to Muhammad, Shi’ites believed him to be the Prophet’s appointed successor. Ali’s blood tie with Muhammad was augmented in Shi’ite thinking by belief in the Prophet’s designation of him as the true Muslim leader, or imam, after him.

Most Muslims ultimately accepted a third, less sharply defined position on leadership and membership in the umma.

To emphasize the correctness of their views, they eventually called themselves sunnis—followers of the sunna (“tradition”) established by the Prophet and the Qur’an.

10.5 The High Caliphate •

The “golden age” of caliphal power and splendor came in the first century of Abbasid rule, during the caliphates of the fabled Harun al-Rashid (r. 786–809) and his son al-Ma’mun (r. 813–833).

10.5.1 The Abassid State • • •

The Abbasids’ revolution effectively ended Arab dominance as well as Umayyad ascendancy (except in Spain).

In line with this, more Persians entered the bureaucracy. The Abbasids’ disavowal of Shi’ite hopes for a divinely inspired imamate reflected their determination to gain the support of a broad spectrum of Muslims.

Beginning in the ninth century, they enlisted mamluks (slave soldiers), mostly Turks from the northern steppes who gained influence within the Islamic empire.

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10.5.2 Society •

The deep division between rulers and populace—the functionally secular state and its subjects— was ever after typical of Islamic societies.

10.5.3 Decline • •

The eclipse of the caliphal empire was foreshadowed at the outset of Abbasid rule, when one of the last Umayyads fled west to Spain, where he initiated a Spanish Islamic state (756–1030) that founded the spectacular Moorish culture of Spain.

In the East, Iranian lands grew ever harder for Baghdad to control. Beginning in 821 in Khorasan, Abbasid governors or rebels started independent dynasties repeatedly for the next two centuries, and the caliph usually had to recognize them.

10.6 Islamic Culture in a Classical Era •

The pomp and splendor of the Abbasid court were grand enough to become the stuff of Islamic legends, such as those preserved much later in A Thousand and One Nights.

10.6.1 Intellectual Culture •

• • •

The Abbasid heyday was marked by sophisticated tastes and an insatiable thirst for knowledge— not simply religious knowledge, but any knowledge.

Contacts (primarily among intellectuals) between Muslims and Christian, Jewish, Zoroastrian, and other “protected” communities contributed to the cosmopolitanism of the age.

Philosophy, astronomy, mathematics, medicine, and other natural sciences enjoyed strong interest and patronage.

Islamic culture took over the tradition of rational inquiry from the Hellenic world and preserved it when Europe was still a cultural backwater.

10.6.2 Language and Literature •

•

Arabic language and literature developed greatly in the expanded cultural sphere of the new empire.

Historical, geographical, and biographical writings became major genres of Arabic writing.

10.6.3 Art and Architecture •

• •

In art and architecture the Abbasid era saw the crystallization of a “classical” Islamic style by about 1000 C.E. Except for ceramics and calligraphy, most Islamic art and architecture had clear antecedents in Greco-Roman, Byzantine, or Persian art, but older forms and motifs were now used in new ways and combinations, and they spread to new locales.

Chronologically, urban Iraq developed an Islamic art first, then made its influence felt east and west.

Particular formal items, such as calligraphic motifs and inscriptions on buildings, came to characterize Islamic architecture and define its functions. Most striking was the avoidance of pictures or icons in public art.

Documents The Qur’an, or “Recitation” 99 ..

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Can you identify at least four major Qur’anic themes in the selections below? To what end are the bounties of creation cited? What is the image of God conveyed here? What can you infer about the Qur’anic conception of prophethood? Of Judgment Day?

The Pillars of Islam and the Elements of Faith •

What are some parallels with creedal affirmations or practices in other religious traditions?

Al-Mawardi and al-Hilli •

What are the essential characteristics of a ruler according to both thinkers? What do these thinkers have in common and what are their differences?

Ibn Sina on Medicine •

What are some of the more obvious philosophical concepts in this medical treatise? Can you identify a scientific methodology in his text? Are there modern concepts in the document?

A Closer Look The Dome of the Rock, Jerusalem (Interior) 1. Is the Dome of the Rock a late-antique Byzantine building (perhaps designed and built in part

by Christian artisans), or a signal Muslim structure that uses pre-Islamic themes and motifs but combines them in novel ways to signal/symbolize Islam’s reform of monotheism and the new Islamic imperium? Or could it be both? Discuss.

Summary Muhammad. The Prophet Muhammad (ca. 570–632) initiated the Islamic tradition. Born in the commercial city of Mecca, he was influenced by contact with Arab Christians and Jews. At about age 40, he had a religious experience when, Muslims believe, the angel Gabriel gave him the first recitation (qur’an) of God’s word. The Qur’anic message stressed that (1) social justice and worship of the one true God are required of every person; (2) at the end of time, people will be resurrected and judged by God, then rewarded or punished according to how they have lived; and (3) the proper response to God is submission (islam) to His will as a muslim (“one who submits”).

Islamic Conquest. By the time of Muhammad’s death, his followers controlled most of Arabia.

Under his successors, the caliphs, Arab Muslim armies conquered most of the Near East, North Africa, Spain, Iran, and northwest India. Many of the peoples of these territories welcomed Islamic rule as liberation from Persian or Byzantine domination and eventually converted to Islam and became part of the umma, the community of the faithful. The status of women improved under Islam. The Islamic civilization that emerged in full bloom under the Abbasid Caliphate was a cosmopolitan, international one that drew on non-Arab cultures east and west.

Key Terms 100 ..

amir, p. 282 diwan, p. 286 hajj, p. 279 imam, p. 282 jihad, p. 282 khalifa, p. 282 mamluk, p. 288 qur’an, p. 276 shaykh, p. 282 sultan, p. 289 ulama, p. 285

Caliphate, p. 282 hadith, p. 291 Hijra, p. 277 islam, p. 277 Ka’ba, p. 275 Mahdi, p. 287 qasida, p. 290 Shari’a, p. 285 Shi’a, p. 286 Sunnis, p. 287 umma, p. 275

REVEL Writing Exercises Journal Writing 10.1 The Qur’an, or “Recitation” What are at least four major themes of the Qur'an that are evident in these passages?

10.4 Al-Mawardi and al-Hilli What are some of the views these two Islamic thinkers have in common and what are some of their differences?

10.6 Ibn Sina on Medicine What are some of the scientific and philosophical concepts in this medical treatise?

Shared Writing How do Islamic ideas about history, salvation, law, social justice, and other key issues compare to those of Christianity and Judaism?

Internet Resources Islam: Empire of Faith: http://www.pbs.org/empires/islam/index.html is an attractive, extensive Web site based on the PBS series of the same name.

Ka’bah: http://generalcomtech.com/kabah/index.htm presents everything you ever wanted to know about the Ka’bah, along with attractive photographs.

The Abassid Caliphs: http://www.bbc.co.uk/programmes/p003hyfd is a BBC radio podcast on the context and roles of the Abassid Caliphs.

Weakening of the High Caliphate: http://coursesa.matrix.msu.edu/~fisher/hst373/chronology/weaken.html provides side-by-side timelines of events in the Middle East and Europe in the period 813–945.

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Sir Richard Francis Burton’s Pilgrimage to Mecca: http://www.fordham.edu/halsall/mod/1853Burton.html is Burton’s well-written travelogue, from the rich online Modern History Sourcebook.

The Hajj: http://www.bbc.co.uk/religion/religions/islam/practices/hajj_1.shtml from the BBC includes information, photographs, a podcast, quizzes and further information.

Islamic Contributions to the History of Technology: http://www.engr.sjsu.edu/pabacker/history/islam.htm is a wonderful resource with further links to other sites.

Islamic Science: http://www.museumstuff.com/learn/topics/Islamic_science::sub::The_Crystallization_Of_Islami c_Thought_And_Civilization offers information and links.

Suggested Maps Prentice Hall Atlas of World History, Second Edition • The Abbasid Caliphate

Suggested Films Moslem World: Beginning and Growth. Coronet (11 minutes).

The Moslems in Spain. Berlet, Walter H. International Films Bureau (38 minutes).

Islam. McGraw-Hill (19 minutes).

Islam. Ontario Educational Communications Authority (28 minutes).

Islam: Empire of Faith. Paramount Home Video (220 minutes).

The Muslim Town: Urban Life Under the Caliphate. FHS (26 minutesutes).

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Chapter 11—The Byzantine Empire and Western Europe until 1000 Learning Objectives 11.1 The End of the Western Roman Empire and the Rise of the Byzantine Empire Analyze the collapse of the Western Roman Empire and the subsequent history, society, and religion of the Byzantine Empire.

11.2 The Impact of Islam on East and West Summarize the conflict and cultural interchange between the Islamic and Byzantine empires.

11.3 The Developing Roman Church Discuss the resurgence of the Roman church and its doctrinal and other conflicts with the Eastern church.

11.4 The Kingdom of the Franks Trace the history of the Frankish kingdom, from the Merovingians through Charlemagne and his descendants.

11.5 Feudal Society Analyze feudal society—its origins, defining characteristics, strengths, and weaknesses.

Introduction • • • •

The period from 500 to 1000 C.E. in Western Europe is one of recovery from the collapse of Roman civilization and was also a time of forced experimentation with new ideas and institutions.

Germanic and other tribes had been settling peacefully around the Roman Empire since the first century B.C.E., but in the fourth century C.E. they began to migrate directly into it from the north and east. During the fifth century they turned fiercely against their hosts.

The reign of Charlemagne saw a modest renaissance of antiquity aided by Byzantium and Arabia.

The peculiar social and political forms that emerged during this period—manorialism and feudalism—not only were successful at coping with unprecedented chaos on local levels but also proved to be fertile seedbeds for the growth of distinctively Western institutions.

Global Perspective The Early Middle Ages •

• •

In Western Europe, the centuries between 400 and 1000 witnessed both the decline of classical civilization and the birth of a new European civilization. Out of this mixture of barbarian and surviving (or recovered) classical culture, Western civilization was born.

China at this time was far more cosmopolitan and politically unified than Western Europe, and centuries ahead in technology.

While Western Europe struggled for political and social order in the fourth and fifth centuries, Indian civilization basked in a golden age under the reign of the Guptas (320–550).

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In the seventh century, Islamic armies emerged from the Arabian Peninsula and, by 710, had conquered territory from India to Spain, giving birth to a powerful new international civilization.

Focus Questions 1. What caused the prolonged separation of Western European civilization from its classical past? What were the consequences of this separation for Western Europe?

2. Which other society most resembled that of Western Europe during this period? Why? 3. While Western Europe struggled to regain order, unity, and contact with its classical past, what was happening in the other great civilizations of the world?

Key Points 11.1 The End of the Western Roman Empire and the Rise of the Byzantine Empire • • • •

By the mid-fifth century, power in Western Europe had passed decisively from the hands of the Roman emperors to those of barbarian chieftains. By the end of the fifth century the barbarians had thoroughly overrun the Western Empire.

Except in Britain and northern Gaul, Roman law, Roman government, and Latin, the Roman language, coexisted with the new Germanic institutions.

The Visigoths, the Ostrogoths, and the Vandals entered the West as Christians, which helped them accommodate to Roman culture.

The Germanic tribes became Romanized. the Latin language, Nicene Christianity, and eventually Roman law and government were to triumph in the West during the Middle Ages.

11.1.1 The Byzantine Empire: An Overview • •

As the Roman Empire in the West succumbed to Germanic and other barbarian invasions, imperial power shifted to the eastern part of the Roman Empire, whose center was the city of Byzantium (modern-day Istanbul).

Between 324 and 1453, the Byzantine Empire passed from an early period of expansion and splendor to a time of sustained contraction and splintering and, finally, catastrophic defeat.

11.1.2 The Reign of Justinian • • •

The pinnacle of Byzantine power was the reign of Emperor Justinian (r. 527–565).

During Justinian’s thirty-eight–year reign, the empire’s strength lay in its more than 1,500 cities.

Constantinople, with perhaps 350,000 inhabitants, was the largest and the cultural crossroads of Asian and European civilizations.

The imperial goal reflected in Justinian’s policy of “one God, one empire, one religion” was to centralize government by imposing legal and doctrinal conformity throughout. Justinian’s legal Code helped to serve that purpose.

11.1.3 The Empire after Justinian •

During the reign of Emperor Heraclius (r. 610–641), the empire took a decidedly Eastern, as

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• • • • • • •

opposed to Roman, direction. Heraclius spoke only Greek, not Latin. He spent his entire reign resisting Persian and Islamic invasions, the former successfully, the latter in vain.

Constantinople’s riches attracted merchants from all over Europe and the Muslim world, who either married Byzantine citizens and settled independently or operated in areas reserved for their kinsmen, known as “quarters.” By the beginning of Manuel Comnenus’s reign in 1143, Constantinople contained Genoan, Pisan, French, Venetian, Jewish, and Muslim quarters.

The military reforms of the seventh and eighth centuries allowed the Byzantine Empire to deal more successfully with its enemies in subsequent centuries, leading to a period of stability and peace in the middle of the tenth century.

Under the rulers of the Macedonian Dynasty, founded by Basil I (r. 867–886), the Byzantines became strong enough to control the eastern Mediterranean.

After two decades of steady Turkish advances, the Eastern emperor Alexius I Comnenus (r.

1081–1118) invoked Western aid in 1092. Three years later, the West launched the First Crusade.

A century later (1204), in the Fourth Crusade, the Crusaders ransacked the city.

In 391, Eastern Orthodox Christianity became the official faith of the Eastern Empire, while all other religions and sects were deemed “demented and insane.”

While Orthodox Christianity was the religion that mattered most, it was not the only religion in the empire with a significant following. The empire was also home to large numbers of Jews.

The Christian East and West had profound theological disputes, such as the Nicene Creed.

The Eastern church rejected several disputed requirements of Roman Christianity. It denied the existence of Purgatory; permitted lay divorce and remarriage; allowed priests, but not bishops, to marry; and embraced vernacular liturgies in place of Greek and Latin.

11.2 The Impact of Islam on East and West •

• • •

During the lifetime of the Prophet Muhammad (ca. 570–632) and thereafter, invading Arab armies claimed the attention and resources of the emperors in Constantinople, who found themselves in a life-and-death struggle.

By the middle of the eighth century Arabs were masters of the southern and eastern Mediterranean coastline, territories today held, for the most part, by Islamic states.

The Muslim conquerors generally tolerated Christians and Jews, provided they paid taxes, kept their distance, and made no efforts to proselytize Muslim communities. Special taxes on conquered peoples encouraged them to convert to Islam.

Confined to the Moorish occupation of Spain, Islam did not penetrate further into Europe and trade between the Muslim and Christian worlds continued.

11.2.1 Byzantium’s Contribution to Islamic Civilization •

• • • •

As a new empire, the Caliphates of Islam regarded Byzantium as a model to learn from and improve upon Byzantine court culture, architecture and art were considered models to emulate Muslims developed considerable interest in Ancient Greek learning, particularly in works on logic, philosophy, and medicine In Arab lands these works were studied and argued, and commentaries were composed by Arab scholars, who quickly noted that Christianity had abandoned and suppressed the study of these same works for religious reasons.

While Christianity had turned its back on learning, Islam had embraced it

11.2.2 The Western Debt to Islam •

Arab expansion indirectly influenced Europe by driving west Europeans back onto their native

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tribal and inherited Judeo-Christian, Greco-Roman, and Byzantine resources, from which they created a Western culture of their own.

Direct influences included how the Arabs taught Western farmers how to irrigate fields and Western artisans how to tan leather and refine silk. The West also gained from its contacts with Arab scholars. Thanks to the skills of Islamic philosophers and translators, ancient Greek works on astronomy, mathematics, and medicine became available in Latin translation to Western scholars.

The great poets and philologists of the Middle Ages, the Arabs gave the West its most popular book, The Arabian Nights, poetic folk tales that are still read and imitated in the West.

11.3 The Developing Roman Church •

• •

Throughout the period of imperial decline, Germanic invasions, and Islamic expansion, one Western institution remained firmly entrenched and gained in strength: the Christian church.

As the Western Empire crumbled, local bishops and cathedral chapters (ruling bodies of clergy) filled the resulting vacuum of authority. The local cathedral became the center of urban life and the local bishop the highest authority for those who remained in the cities.

In Rome, the papacy gradually took control of the city as successive emperors departed or died.

Left to its own devices, Western Europe soon discovered that the Christian church was its best repository of Roman administrative skills and classical culture.

11.3.1 Monastic Culture •

•

•

Monastic culture proved again and again to be the peculiar strength of the church during the Middle Ages.

In 529 Benedict of Nursia (ca. 480–547) established a monastery at Monte Cassino, in Italy, founding the form of monasticism—Benedictine—that bears his name and that quickly came to dominate in the West. Benedict also wrote the sophisticated Rule for Monasteries, a comprehensive plan that both regimented and enriched monastic life.

During the early Middle Ages, Benedictine missionaries Christianized both England and Germany. Their disciplined organization and devotion to hard work made the Benedictines an economic and political power as well as a spiritual force wherever they settled.

11.3.2 The Doctrine of Papal Primacy •

•

•

Taking advantage of imperial weakness and distraction, the bishops of Rome developed for their own defense the doctrine of “papal primacy.”

This doctrine raised the bishop of Rome to an unassailable supremacy within the church when it came to defining church doctrine and maintaining clerical allegiance. As the “pope,” he was both head of the Roman Catholic Church and Christ’s vicar on earth, continuing the line of Christ’s apostles from St. Peter.

The new title also put him in a position to claim power within the secular world, giving rise to repeated conflicts between church and state, pope and emperor, throughout the Middle Ages.

11.3.3 Division of Christendom •

•

•

The current division of Christendom into Eastern (Byzantine) and Western (Roman Catholic) churches has its roots in the early Middle Ages.

A novel combination of Greek, Roman, and Asian elements shaped Byzantine culture, giving Eastern Christianity a stronger mystical dimension than Western Christianity, a difference in outlook that may have predisposed Eastern patriarchs to submit more passively than Western popes ever could to royal intervention in their affairs.

Three major factors lay behind the religious break between East and West: questions of doctrinal

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authority, the Western addition of the filioque clause to the Nicene-Constantinopolitan Creed and the iconoclastic controversy of the first half of the eighth century.

11.4 The Kingdom of the Franks 11.4.1 The Merovingians and the Carolingians: From Clovis to Charlemagne •

•

• • •

Around 496, Clovis (ca. 466–511), a warrior chieftain and Arian Christian, won a great victory over a rival tribe after invoking the name of Jesus. His success moved him to convert to Orthodox Christianity.

Clovis then founded the first Frankish dynasty, the Merovingians, named after Merovich, an early leader of one branch of the Franks. Clovis and his successors subdued the pagan Burgundians and the Arian Visigoths and established the kingdom of the Franks within ancient Gaul, making the Franks and the Merovingian kings a significant force in Western Europe.

The Carolingians, who took their name from the dynasty’s greatest ruler, Carolus, later to be known as Charlemagne, succeed the Merovingians.

Charles Martel (“the Hammer,” d. 741), created a great cavalry by bestowing lands known as fiefs (also called benefices) on powerful nobles, who, in return, agreed to be ready to serve as the king’s army. It was such an army that checked the Arab probings at Tours in 732.

In 754 the Franks and the church formed an alliance against the Lombards and the Eastern emperor. Carolingian kings became the protectors of the Catholic Church and thereby “kings by the grace of God.”

11.4.2 Reign of Charlemagne (768-814) •

• • • •

• • • •

Charlemagne, the son of Pepin the Short, continued the role of his father as papal protector in Italy and his policy of territorial conquest in the north.

By the time of his death on January 28, 814, Charlemagne’s kingdom embraced modern France, Belgium, Holland, Switzerland, almost the whole of Germany, much of Italy, a portion of Spain, and the island of Corsica.

Pope Leo III (r. 795–816) crowned him emperor. This event created what would later be called the Holy Roman Empire, a revival, based after 870 in Germany, of the old Roman Empire in the West.

Charlemagne never solved the problem of creating a loyal bureaucracy, local nobles retained great power.

The agrarian economy of the Middle Ages was organized and controlled through village farms known as manors. A freeman—that is, a peasant with his own modest allodial, or hereditary, property (property free from the claims of an overlord)—became a serf by surrendering his property to a greater landowner—a lord—in exchange for protection and assistance.

By the time of Charlemagne, the moldboard plow, which was especially needed in northern Europe where the soil was heavy, and the three-field system of land cultivation were coming into use. These developments greatly improved agricultural productivity.

In the last years of his life, an ailing Charlemagne knew that his empire was ungovernable.

Charlemagne had been forced to recognize and even to enhance the power of regional magnates in order to win needed financial and military support In 843 the great Carolingian Empire was partitioned into three equal parts, the result of dynastic disputes.

The political breakdown of the Carolingian Empire coincided with new external threats from Vikings, Magyars and Muslims.

11.4.3 Breakup of the Carolingian Kingdom 107 ..

11.5 Feudal Society •

During the early Middle Ages, the landed nobility became great lords who ruled over their domains as miniature kingdoms. They maintained their own armies and courts, regulated local tolls, and even minted their own coins.

11.5.1 Origins •

•

The origins of feudal government can be found in the divisions and conflicts of Merovingian society. In the sixth and seventh centuries, individual freemen began placing themselves under the protection of more powerful freemen. In this way, the more powerful freemen built up armies and became local magnates, and the individual freemen solved the problem of simple survival.

Landed nobles, like kings, tried to acquire as many vassals as they could because military strength in the early Middle Ages lay in numbers. Because it proved impossible to maintain these growing armies within the lord’s own household, which was the original custom, or to support them by special monetary payments, the practice evolved of simply granting them land as a “tenement.” Such land came to be known as a fief.

11.5.2 Vassalage and Fief • • •

Vassalage involved fealty to the lord. To swear fealty was to promise to refrain from any action that might in any way threaten the lord’s well-being and to perform personal services for him on his request.

The lord’s obligations to his vassals were very specific. He was, first of all, obligated to protect the vassal from physical harm and to stand as his advocate in public court.

Beginning with the reign of Louis the Pious, bishops and abbots swore fealty and received their offices from the king as a benefice.

11.5.3 Fragmentation and Divided Loyalty •

•

In addition to the fragmentation brought about by the multiplication of vassalage, effective occupation of the land led gradually to claims of hereditary possession.

Feudal arrangements nonetheless provided stability throughout the early Middle Ages and aided the difficult process of political centralization during the high Middle Ages. The genius of feudal government lay in its adaptability.

Documents The Character and “Innovations” of Justinian and Theodora •

Is Procopius being fair to Justinian and Theodora? Is the Secret History nothing more than an ancient tabloid? How does one know when a source is biased and self-serving and when it is telling the truth? What does Procopius most dislike about the queen? Was Theodora the last woman ruler to receive such criticism?

The Nicene Creed •

The Nicene Creed emphasizes the two natures of Christ. Which “unorthodox” beliefs does this document aim to uproot? Historically, how did the controversy surrounding the term filioque arise? Discuss the significance of the term starting from the Nicene Creed.

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The Benedictine Order Sets Its Requirements for Entrance •

Why did the religious life have such great appeal at this time in history? Were there materialistic as well as spiritual reasons for entering a cloister? What are Benedict’s reasons for not allowing a monk to change his mind and leave the cloister, once vows have been taken?

A Closer Look A Multicultural Book Cover 1. Does the inclusiveness of this book cover suggest a shared heritage among the Celts, Germans, Greeks, Romans, and Byzantines?

2. How does this composite of cultures on the book cover compare with their actual historical relations in the ninth century?

3. Since the nonsuffering Christ on the book cover presents a distinctive Byzantine icon, does this suggest agreement among the parties over the portrayal of the Savior’s crucifixion?

4. Do the agonizing figures on the book cover (both angels and humans) represent other religious traditions that prefer a suffering Christ upon the cross?

Summary The Byzantine Empire. In the fifth century, Roman authority in the West collapsed under the impact of Germanic invasions. However, imperial power shifted to the Eastern part of the Roman Empire—known as the Byzantine Empire—with its capital at Constantinople. The Byzantine Empire would endure until the Ottoman Turks captured Constantinople in 1453. The peak of Byzantine power occurred during the reign of Justinian (527–565), one of whose major achievements was the Corpus Juris Civilis, a codification of Roman law on which most European law was based until the nineteenth century. The Byzantine Empire provided a model of civilized society to medieval Europe, helped protect it from Muslim invaders, and preserved much of classical learning.

The Islamic world also acted as a conduit for classical learning to the West, particularly in medicine, astronomy, and mathematics.

The Roman Church. The church was the strongest and most prestigious institution in early medieval Western Europe, where it filled the vacuum created by the collapse of Roman authority. Monastic culture was especially strong. The greatest organizer of Western monasticism was Saint Benedict of Nursia (480–547). Benedictine monasteries were an economic, political, and spiritual force throughout the West.

With the collapse of imperial authority in the West, the bishops of Rome, the popes, developed the doctrine of papal primacy by which they claimed supreme authority over church doctrine and the clergy. These claims were unacceptable in the East, where a separate Greek 109 ..

Orthodox Church developed under the control of the Byzantine emperors.

Charlemagne’s Empire. The Frankish ruler Charlemagne (r. 768–814) sought to recreate a universal Western empire and was crowned emperor by the pope in 800. Charlemagne’s realm embraced modern France, Belgium, Holland, and Switzerland, most of Germany, and parts of Italy and Spain. He formed a close alliance with the church and relied on churchmen as royal agents and administrators. His palace school at Aachen was the center of a modest renaissance of classical learning under scholars such as Alcuin of York (735–804).

Yet, despite his efforts at administrative control, Charlemagne’s empire proved to be ungovernable. Charlemagne had increased the power of local lords whose support he needed to rule, but their power and wealth became so great that they were able to put their self-interest above royal authority. After Charlemagne’s death, his empire dissolved amid quarrels among his heirs, the revolts of powerful nobles, and invasions by Vikings, Magyars, and Muslims.

Feudal Society. The Middle Ages were characterized by a chronic absence of central government and the constant threat of famine, disease, and invasion. Lords were those who could guarantee protection under these conditions. Feudal society was one in which a local lord was dominant and offered security in return for allegiance from his dependents or vassals. It was a system of mutual rights and responsibilities. Medieval vassals pledged fealty to their lord in return for a fief, or grant of land. They promised to support their “liege lord” with troops or money when he called upon them for aid.

The feudal economy was organized and controlled through agrarian villages known as manors, worked by free peasants, who had their own modest property and economic and legal rights, or by serfs, impoverished peas- ants who were bound to the land and obliged to provide their lords with an array of services, dues in kind, and products.

Key Terms apostolic primacy, p. 307 fealty, p. 318 fiefs, p. 309 manors, p. 313 Papal States, p. 310 three-field system, p. 313

demesne (dih-MEYN), p. 313 feudal society, p. 317 Magyars, p. 317 Nicene-Constantinopolitan Creed, p. 302 serf, p. 313 vassals, p. 318

REVEL Writing Exercises Journal Writing 11.1 The Character and “Innovations” of Justinian and Theodora Do you think Procopius is being fair to Justinian and Theodora? Why or why not?

11.3 The Benedictine Order Sets Its Requirements for Entrance Why was acceptance into a monastery such a difficult process and why would Benedict not allow a monk to leave the cloister after taking his vows?

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Shared Writing Compare and contrast the teaching of Islam, Roman Catholicism, and Orthodox (or Byzantine) Christianity. Are they irreconcilable?

Internet Resources Byzantine Empire: http://www.fordham.edu/halsall/byzantium/ contains links to primary sources, images, visual, and even audio resources.

Germanic peoples: http://www.friesian.com/germania.htm is an incredibly useful site for making sense of the bewildering array of Germanic peoples who overwhelmed the Western Roman Empire.

The Carolingian Renaissance: http://www.historyguide.org/ancient/lecture20b.html is constructed as a lecture, but includes many links to related topics.

Byzantium: http://byzantium.seashell.net.nz/ contains images, timelines, articles, and a wealth of other information about the Byzantine world.

Suggested Maps Prentice Hall Atlas of Western Civilization, Second Edition • Inheritors of Rome • Europe 800–1000 Prentice Hall Atlas of World History, Second Edition • The Empire of Charlemagne

Suggested Films Civilisation 1: The Frozen World. Time-Life (52 minutes).

Christianity in World History–to 1000 C.E. Coronet (14 minutes).

The Christians: The Battle of Europe (410–1054). McGraw-Hill (39 minutes).

In Defence of Rome. McGraw-Hill (16 minutes).

The Byzantine Empire. Coronet (14 minutes).

Vanished Vikings. Journal Films, Inc (30 minutes).

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Vikings: Life and Conquests. Encyclopaedia Britannica (17 minutes).

English History: Earliest Times to 1066. Coronet (11 minutes).

Charlemagne and his Empire. Coronet (14 minutes).

Charlemagne: Unifier of Europe. Encyclopaedia Britannica (13 minutes).

Charlemagne: Holy Barbarian. Lutheran Church in America (27 minutes).

Middle Ages: Rise of Feudalism. Encyclopaedia Britannica (20 minutes).

The Meaning of Feudalism. Coronet (11 minutes).

Art and Architecture: Lesson I. Encyclopaedia Britannica (30 minutes).

Byzantium: From Splendor to Ruin. FHS (43 minutes).

The End of Rome, the Birth of Europe. FHS (52 minutes).

Charlemagne and the Holy Roman Empire. FHS (31 minutes).

Dark Age England. Kultur (53 minutes).

Peasants, Serfs, and Servitude. FHS. This video concerns medieval Europe (53 minutes).

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Chapter 12—The Islamic World, 1000–1500 Learning Objectives The Islamic Heartlands 12.1 Religion and Society Discuss Sunni and Shi’ite legal and religious norms and the influence of Sufism in the tenth and eleventh centuries.

12.2 Regional Developments Trace Islamic history and society in the western Mediterranean (including Spain), in the eastern Mediterranean, and in West and Central Asia before and after the Mongol conquests.

The Spread of Islam beyond the Heartlands 12.3 Islamic India Discuss the spread of Islam in India.

12.4 Islamic Southeast Asia Discuss the spread of Islam to Southeast Asia.

Introduction • • • • • • •

Centralized caliphal power in the Islamic world had broken down by the mid-tenth century.

Regional Islamic states with distinctive political and cultural identities now dominated.

The diverse Islamic lands remained part of a larger civilization. Regionalism and cosmopolitanism, diversity and unity, have characterized Islamic civilization ever since.

Sufism, the strand of Islam that stressed spirituality and allegiance to a spiritual master, gained popularity, especially after 1200.

Movements loyal to Ali and his heirs challenged but failed to reverse centrist Sunni predominance among the majority of Muslims, even though Shi’ite dynasties ruled much of the Islamic heartlands in the tenth and eleventh centuries A cultural renaissance fueled the spread of modern Persian as the major language of Islamic culture and religion alongside Arabic.

Two Asian steppe peoples, the Mongols and the Turks, came to rule much of the Islamic world in these centuries.

Islam became the major new influence in Central, South, and Southeast Asia, as well as in subSaharan Africa.

Global Perspective 113 ..

The Expansion of Islamic Civilization, 1000–1500 •

• • •

In this era, Islam became a truly cosmopolitan tradition of religious, cultural, political, and social values and institutions.

The ability to adapt while maintaining the core tenets of Muslim faith enabled Islamic religion and culture to take root in many different regions of the globe.

Distinct traditions of art, language, and literature, for all their regional diversity, became part of a larger Muslim cultural whole, Islamic civilization.

In the year 1000 Europe was almost a cultural and political backwater compared to major Islamic and Hindu states, let alone China.

Focus Questions 1. What impact did the Mongols and Central Asian Turks have on the Islamic world?

2. Why were Muslims and Buddhists more successful than Hindus and Christians in spreading their faiths in this era? Does this suggest what makes a successful global religious tradition?

Key Points The Islamic Heartlands 12.1 Religion and Society •

In this period Islamic society was shaped by the consolidation and institutionalization of Sunni legal and religious norms, Sufi traditions and personal piety, and Shi’ite legal and religious norms.

12.1.1 Consolidation of a Sunni Orthopraxy • • • • • •

Both Sunni and Shi’ite ulama gradually became entrenched religious, social, and political elites throughout the Islamic world, especially after the tenth-century breakdown of centralized empire.

From the eleventh century, the ulama’s power and fixity as a class were expressed in the institution of the madrasa, or college of higher learning.

Largely outside ulama control, popular “unofficial” piety flourished in local pilgrimages to saints’ tombs, in folk celebrations of Muhammad’s birthday and veneration.

The shared traditions of family and civil law, daily worship rituals, fasting in the month of Ramadan, and the Meccan pilgrimage of the hajj united almost all Muslims, even most Kharijites and Shi’ites.

Sunni orthopraxy (correct religious practice) discouraged religious or social innovations. It was well established by the year 1000 as the dominant tradition, even though Shi’ite aspirations often made themselves felt either politically or theologically.

The ulama also became more socially conservative as they were integrated into social aristocracies and often became as committed to the status quo as rulers were.

12.1.2 Sufi Piety and Organization • •

Sufi piety stresses the spiritual and mystical dimensions of Islam.

Socially, Sufi piety merged with folk piety in such popular practices as saint veneration, shrine

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pilgrimage, ecstatic worship, and seasonal festivals. Sufi writers collected stories of saints, wrote treatises on the Sufi path, and composed some of the world’s finest mystical poetry.

12.1.3 Consolidation of Shi’ite Traditions • •

Shi’ite traditions crystallized between the tenth and twelfth centuries.

A substantial Shi’ite populace developed only in Iran, Iraq, and the lower Indus (Sind).

12.2 Regional Developments 12.2.1 Spain, North Africa, and the Western Mediterranean Islamic World •

• • •

Under Abd al-Rahman III (r. 912–961), who took the title of caliph in 929, saw a largely unified, peaceful Islamic Spain.

Abroad, Abd al-Rahman III checked both Fatimid power in North Africa and northern Spain’s Christian kingdoms, making possible a golden era of Moorish power and culture.

After his death, fragmentation into warring Muslim principalities allowed a resurgence of Spain’s Christian states from about 1000 until 1085, when the city of Toledo fell permanently into Christian hands.

The Almohads ended Almoravid rule in Morocco in 1147 and then conquered much of southern Spain. Before their demise (1225 in Spain; 1275 in Africa), they stimulated a brilliant revival of Moorish culture.

12.2.2 Egypt and the Eastern Mediterranean Islamic World •

• • • •

The major Islamic dynasty in the Mediterranean from the tenth to the twelfth century was that of the Shi’ite Fatimids.

After 1100 the Fatimids weakened, falling in 1171 to Salah al-Din (Saladin, 1137–1193).

The heirs of the Fatimids and Saladin in the eastern Mediterranean were the redoubtable Mamluk sultans.

The Mamluks were great patrons of scholars who excelled in history, biography, astronomy, mathematics, and medicine.

The Mamluks survived even the Ottoman conquest of Egypt in 1517 to continue there as Ottoman governors into the nineteenth century.

12.2.3 The Islamic East: Asia before the Mongol Conquests • • • •

The Seljuks were a steppe clan who became the first major Turkish dynasty of Islam.

With the Seljuks, what began with the use of Turkish slave troops in ninth-century Baghdad ended in the permanent presence of Turkish ruling dynasties in Islamic lands. As late converts, they became typically the most zealous of Sunni Muslims.

As new Turkish tribes joined their ranks, the Seljuks brought Islamic rule for the first time into the central Anatolian plateau at Byzantine expense. They also conquered much of Syria and wrested Mecca and Medina from the Shi’ite Fatimid After declining fortunes over the preceding century, by 1194 Iranian Seljuk rule was wholly wiped away by another Turkish slave dynasty from Khwarizm.

12.2.4 Islamic Asian in the Mongol Age • •

In 1255 Hulagu Khan (r. 1256–1265), a grandson of Genghis Khan, led a massive Mongol army again across the Oxus, destroying every Iranian state and plundering Baghdad.

Hulagu and his heirs ruled the old Persian Empire from Azerbaijan for some seventy-five years as viceroys (Ilkhans) of the Great Khan of China.

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• • • •

Their native paganism and Buddhist and Christian leanings yielded to the Muslim faith, although they practiced religious tolerance.

This situation prepared the way for a new Turko-Mongol conquest from Transoxiana, under Timur-i Lang (“Timur the Lame,” or “Tamerlane,” 1336–1405).

He left behind him ruins, death, disease, and political chaos across the entire eastern Islamic world, which did not soon recover.

His was, however, the last great steppe invasion, for firearms soon destroyed the steppe horsemen’s advantage.

The Spread of Islam beyond the Heartlands 12.3 Islamic India •

•

Indian Islamic civilization (like earlier Indian civilization) was formed by creative interaction between invading foreigners and indigenous peoples.

The early Arab and Turkish invaders were a foreign Muslim minority; their heirs were truly Indian as well as Islamic, adding a new dimension to both Indian and Islamic civilization.

12.3.1 Muslim–Hindu Encounter •

The chief obstacle to Islamic expansion in India was the strength of the Hindu warrior class that emerged after the Hun and other Asian invasions of the fifth and sixth centuries. They fought the Muslims with great tenacity, but their inability to unite brought them eventually under Muslim domination in the sixteenth century.

12.3.2 Islamic States and Dynasties • • • •

A series of Turkish-Afghan rulers known as the Slave Sultans of Delhi extended and maintained Islamic power over North India for nearly a century (1206–1290).

Slave-soldiers, or mamluks, figured prominently in the leading elites of the new regime, much as they did in the Mamluk Dynasty in Egypt.

In the two centuries before the advent of the Mughals in the mid-sixteenth century, many regions became partially or wholly independent sultanates, Rajput kingdoms, or tiny Hindu or Muslim principalities.

The most important independent Islamic state was that of the Bahmanids in the Deccan (1347– 1527).

12.3.3 Religious and Cultural Accommodation • •

•

Although a Muslim minority of Persianized Turks and Afghans continued to rule a Hindu majority, conversion occurred at various levels of society.

The infusion of substantial numbers of Muslims into the subcontinent produced a new language, Urdu-Hindi, with both Perso-Arabic and Indic elements. It began to take shape soon after the initial, eleventh-century Muslim influx, and it developed in response to the increasing need of Hindus and Muslims for a shared language.

Ultimately, Urdu became the official national language of modern Pakistan, and Hindi, of modern India.

12.3.4 Hindu and Other Indian Traditions • •

In the north Muslim conquests effectively ended Indian Buddhism by the eleventh century.

The dominant traditions of Hindu religion and culture flourished even under Muslim rule, as the continuing social and religious importance of the Brahmans and the popularity of bhakti movements throughout India attest.

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12.4 Islamic Southeast Asia • • •

Islam spread into Southeast Asia along with the extension of long-distance Islamic (Arab and Persian) and Indian trade across the Indian Ocean.

The spread of Islam in this region came with Muslim merchants, scholars, and Sufis. It was not a steady, progressive development, nor was it dominated by one particular tradition.

Southeast Asian Muslims adapted Islam to their needs and customs rather than simply replacing indigenous practice with the new universal but foreign religion.

Documents Jalaluddin Rumi: Attributes of the Sufi •

What attributes seem to characterize the true Sufi? What might “patched mantle” (a common mark of Sufi initiation) and “lust perverse” refer to? What is “Beauty”? What is the contrast between the ascetic and the Gnostic (“true Knower,” or perfected human) about? What do “Light” and “lamp” refer to? From these poems, what does Sufism seem to be about?

A Muslim Biographer’s Account of Maimonides •

Which Islamic dynasty forced Maimonides to leave Spain for Cairo? Why were the Egyptian Fatimids tolerant of Christians and Jews when their Berber co-religionists were not? From the Muslim biographer’s treatment of his subject, what can you infer about Islamic societies and the contemporaneous intellectual atmosphere?

The Mongol Catastrophe •

Is this a positive, negative, or neutral description of the Mongols? Why might they be compared to Alexander rather than, say, the Huns (see “The Late Empire,” in Chapter 6)?

How the Hindus Differ from the Muslims •

How does the emphasis on purity and the impurity of foreigners that al-Biruni imputes to the Hindus compare with the attitudes of Islam? Other religions? Does this passage suggest why the Hindu tradition remained largely an Indian one while Islam became international? To what might al-Biruni be referring in his comments on the relative absence of religious controversy among Hindus?

A Closer Look Al-Hariri, Assemblies (Maqamat) 1. What kinds of activity and people can you pick out in the village? What sources of livelihood can you identify? What kinds of animals? How does the artist communicate so much activity and dynamism in such a small space?

2. Other than the minaret, what distinguishes the mosque from the rest of the village? What formal mechanisms does al-Wasiti use to make the scene dynamic despite the portrayal of characters in a stylized manner and layout?

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Summary Religion. Sunnism was the dominant tradition of piety across the Islamic world, but in both main branches of Islam, the ulama became the dominant religious and social elite and discouraged innovation. Shi’ism later flourished in Iran after 1500 under Safavid rule. Sufi piety stresses the spiritual and mystical dimensions of Islam. Sufi fraternal orders, Sunni and Shi’ite, became the chief instruments for the spread of Muslim faith.

Regional Developments. Despite general religious tolerance and high cultural achievements, the Muslims were gradually displaced in Spain by Spanish Christian states between 1000 and 1492.

In Egypt, the Shi’ite Fatimids claimed the Caliphate from 969 to 1171. The Mamluks, who ruled Egypt from 1260 to 1517, were the only Muslim dynasty to withstand the Mongol invasions. The Seljuks, based in Anatolia and Iraq, were the first major Turkish Islamic dynasty. Other notable Islamic dynasties were the Ghaznavids in Transoxiana and the Khwarizm-Shahs in Iran.

Mongol Invasions. In 1255 the Mongols swept into the Islamic world, conquering Transoxiana, Persia, and Iraq, where they captured Baghdad and killed the last Abbasid caliph in 1258.

Though defeated by the Mamluks in Syria in 1260, the Mongols established the Ilkhanid Dynasty in Iran and converted to Islam. Another wave of Turko– Mongol conquest under Timuri Lang further devastated much of the West and South Asian world between 1379 and 1405.

India and Southeast Asia. Muslim invaders and rulers, as well as Sufi brotherhoods, spread Islam in India, where it became an enduring, influential part of Indian civilization. A new language, Urdu-Hindi, combined Perso-Arabic and indigenous Indian elements. There was much Muslim–Hindu reciprocal influence. Buddhism all but disappeared from India, but Hindu religion and culture flourished, even under Muslim rule. Hindu devotional, or bhakti, movements were especially creative. In Southeast Asia, Islam was spread by Muslim merchants and traders, as well as by Sufi brotherhoods, and wherever it took root, it blended with local customs.

Key Terms Deccan, p. 335 madrasa, p. 323 Sufi (soo-FEE), p. 325 Urdu-Hindi, p. 337

ghazi, p. 335 Reconquista, p. 326 sultan, p. 328

REVEL Writing Exercises Journal Writing 12.1 Jalaluddin Rumi: Attributes of the Sufi From these poems, what are the main attributes of a Sufi and what does Sufism seem to be about?

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12.2 The Mongol Catastrophe Is this account a positive, negative, or neutral description of the Mongols?

12.3 How the Hindus Differ from the Muslims How does the emphasis on purity and the impurity of foreigners that al-Biruni identifies among the Hindus compare with the attitudes of Islam or of other religions?

Shared Writing How did Islam survive successive invasions by the Turks and Mongols? What were the lasting results of these invasions for the Islamic world?

Internet Resources Fourteenth Century: http://www.fordham.edu/halsall/sbook1w.html has many important primary sources for this period.

Tamarlane: http://www.silk-road.com/artl/timur.shtml sketches Tamerlane’s biography.

Tamarlane and his Empire: http://asianhistory.about.com/od/profilesofasianleaders/p/TimurProf.htm provides information and links.

Hanbalites: http://www.museumstuff.com/learn/topics/Hanbalites::sub::Principles outlines the principles of the Hanbalites.

The Shia-Sunni Split: http://www.npr.org/templates/story/story.php?storyId=7280905 from National Public Radio provides a useful annotated timeline of the history of the Shia-Sunni Split, while Partisans of Ali: http://www.npr.org/series/7346199/the-partisans-of-ali links to podcasts of various NPR broadcasts that address the history of Shiism and Shia-Sunni conflict.

Islamic Spain: http://www.bbc.co.uk/religion/religions/islam/history/spain_1.shtml from the BBC includes links, images, and audio.

Lessons of Islamic Spain: http://www.csmonitor.com/2007/0822/p09s02-coop.html is a brief essay that focuses on the relative religious tolerance of Islamic Spain.

Suggested Maps Prentice Hall Atlas of Western Civilization, Second Edition • Sejluk Turks and Byzantine Empire • Crusader States Prentice Hall Atlas of World Culture, Second Edition 119 ..

• The Islamic Imprint c. 800–1200 • The Age of the Crusades

Suggested Films India: Introduction to its History. Encyclopaedia Britannica (16 minutes).

The Moslems in Spain. Berlet, Walter H. International (38 minutes).

Moslem World: Beginners and Growth. Coronet (11 minutes).

Spain: The Land and The Legend. Reader’s Digest (59 minutes).

Splendors of the Ottoman Sultans. Kultur (60 minutes).

The Ottoman Empire. FHS (47 minutes).

The Story of A Continent, Africa. Home Vision Select. The 57-minute third program of this eight-program series, “Caravans of Gold”, covers the spread of Islam across Africa (456 minutes).

The Andalusian Epic: Islamic Spain. FHS (26 minutes).

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Chapter 13—Ancient Civilizations of the Americas

Learning Objectives 13.1 Problems in Reconstructing the History of Native American Civilization Discuss the reasons why it is difficult to reconstruct the history of Native American civilizations.

13.2 Mesoamerica: An Overview and the Archaic Period Describe the geography of Mesoamerica, its distinctive cultural traditions, its history during the Archaic period, and its ritualized ball games.

13.3 The Formative Period and the Emergence of Mesoamerican Civilization Trace the history of Mesoamerica in the Formative period, focusing on the Olmec, the Valley of Oaxaca, and the Mesoamerican calendar.

13.4 The Classic Period in Mesoamerica Summarize the history of Teotihuacán and Mayan Civilization.

13.5 The Post-Classic Period in Mesoamerica Discuss the Toltec and Aztec civilizations during the Post-Classic period in Mesoamerica.

13.6 Andean South America: An Overview Describe the geography of the Andean region, the ways of life of its peoples, and the periodization of its history.

13.7 The Preceramic Period and the Initial Period Discuss Preceramic and Initial period cultures in the Andean highlands.

13.8 Chavín de Huantar and the Early Horizon Discuss the findings at Chavín de Huantar.

13.9 The Early Intermediate Period Discuss the Nazca and Moche cultures of the Early Intermediate period.

13.10 The Middle Horizon through the Late Intermediate Period Discuss the Tiwanaku, Huari, and Chimu empires of the Middle Horizon through the Late Intermediate period.

13.11 The Inca Empire Summarize the history, society, and religion of the Inca Empire.

Introduction 121 ..

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• •

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Humans first settled the American continents between 12,000 and 30,000 years ago.

Though isolated from one another, the peoples of the Americas and the peoples of Africa and Eurasia experienced similar cultural changes at the end of the Paleolithic. In the Americas, as in the Eastern Hemisphere, people in some regions gradually shifted from hunting and gathering to a settled, agricultural way of life.

Between 8000 and 2000 B.C.E. the domestication of new crops, especially maize, led to a much more sedentary life with genuinely permanent settlements.

Eventually, after about 2000 B.C.E., during what is called the Formative Period, remarkable civilizations emerged as societies grew increasingly stratified, villages coalesced into urban centers, monumental architecture was erected, and craft specialists developed sophisticated artistic tradition.

The two most prominent centers of pre-Columbian American civilization—and the focus of this chapter— were Mesoamerica and the Andean region of South America.

Global Perspective Ancient Civilizations of the Americas •

• • • •

Civilization in the Americas before 1492 developed independently of civilization in the Old World.

Mayan mathematics and astronomy rivaled those of any other peoples of the ancient world.

The encounter between Old World and New that began at the close of the fifteenth century, however, proved devastating for American civilizations.

The coming of the Spanish profoundly disturbed both the patterns of trade and the ecological balance. Most significant, the Spanish introduced new epidemic diseases against which the peoples of the New World did not possess immunity.

The European invaders succeeded most rapidly in toppling the most organized of the societies in the New World, the Aztecs and the Inca, precisely because these societies were organized, centralized, and hierarchical.

Focus Questions 1. Why is it important to bear in mind that the civilizations of the New World had long and rich histories before the arrival of Europeans? Why is it so difficult to discover the details of the history of the peoples of the Americas? What are our major sources of information?

2. What role did the environment play in the formation of American civilizations?

Key Points 13.1 Problems in Reconstructing the History of Native American Civilization •

Several difficulties confront scholars trying to understand the ancient civilizations of the Americas. One is simply the nature of the evidence. Andean civilizations never developed writing, and in Mesoamerica much of the written record was destroyed by time and conquest, and

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• • •

what remained was until recently undeciphered.

The primary source of information has thus been archaeology, the study of the physical remains left by past cultures.

We also have accounts of the history and culture of the Aztecs and Inca, the last great Native American civilizations that were related to Spanish missionaries and officials in the wake of the conquest.

European words, categories, and values have been used to describe the experience of America before it was America, thus likely distorting those histories.

13.2 Mesoamerica: An Overview and the Archaic Period •

• • • • • •

Mesoamerica (a term invented in 1943, meaning “middle America”) extends from central Mexico into Central America.

Mesoamerica also designates a distinctive and enduring cultural tradition that emerged in this region between 1000 and 2000 B.C.E., manifested itself in a succession of impressive and powerful states until the coming of European conquerors in the sixteenth century.

The peoples of Mesoamerica were and are ethnically and linguistically diverse. There was no single Mesoamerican civilization, nor was there a single linear development of civilizations in the region. Nonetheless, Mesoamerican civilizations shared many traits.

Throughout its history long-distance trade, often in ancient luxury goods, linked the peoples of Mesoamerica.

Mesoamerican history before the Spanish conquest is conventionally divided into four major periods: Archaic, Formative, Classic, and Post-Classic.

The domestication of maize, beans, and other plants secured the people of Mesoamerica an adequate and dependable diet.

Between 5000 and 2500 B.C.E. villages began to appear in both highland and lowland regions of Mesoamerica. By about 2000 B.C.E. settled agricultural life had taken hold in much of the region.

13.2.1 Mesoamerican Ball Games •

•

The peoples throughout ancient Mesoamerica played a complicated ball game that appears to have originated among the Olmec.

The Mesoamerican ball game involved more than just sports enthusiasm. The game often carried very elaborate political and ritualistic overtones. Some accounts tell of political disputes being settled by playing a ball game instead of engaging in warfare.

13.3 The Formative Period and the Emergence of Mesoamerican Civilization •

By about 1500 B.C.E. Mesoamerica’s agricultural villages were beginning to coalesce into more complicated societies, with towns and monumental architecture, the division of society into elite and commoner classes, long-distance trade among regions, and the emergence of sophisticated artistic traditions.

13.3.1 The Olmec •

• •

The most prominent of the Early Formative period cultures is that of the Olmec, centered on the lowlands of Mexico’s Gulf Coast.

The monumental architecture and sculpture at Olmec sites suggests that Olmec society was dominated by an elite class of ruler-priests able to command the labor of the rest of the population.

The raw material for many Olmec artifacts, such as jade and obsidian, comes from other regions

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of Mesoamerica. Likewise, Olmec goods and Olmec iconography such as the were-jaguar are found in other regions, all suggesting that from an early time parts of Mesoamerica were linked in a web of trade.

Olmec civilization faded after about 400 B.C.E. and had disappeared by about 200 B.C.E. The ancient Gulf of Mexico lowlands were never again to produce an influential culture.

13.3.2 The Valley of Oaxaca and the Rise of Monte Alban •

•

In the Valley of Oaxaca a new civilization emerged along with its ceremonial center, Monte Alban.

Carved images of bound prisoners at Monte Alban suggest that warfare played a role in establishing the authority of this state. They also suggest an early origin for the practice of ritual human sacrifice that characterized most Mesoamerican cultures.

13.3.3 The Emergence of Writing and the Mesoamerican Calendar.

•

The earliest evidence of writing and the Mesoamerican calendar have been found in the Valley of Oaxaca at San José Mogote and Monte Alban.

13.4 The Classic Period in Mesoamerica • • •

The Classic period was a time of cultural florescence in Mesoamerica. In Central Mexico, it saw the rise of Teotihuacán, a great city that rivaled the largest cities of the world at the time.

Elsewhere the Maya, who built densely populated cities in the seemingly inhospitable rain forests of the southern Yucatán, developed a sophisticated system of mathematics and Mesoamerica’s most advanced hieroglyphic writing.

Classic urban life in Mesoamerica was richer and on a larger scale than urban life in Europe north of the Alps at the same time

13.4.1 Teotihuacán • • • •

•

Perhaps Mesoamerica’s first true city-state, Teotihuacán dominated central Mexico for many centuries and strongly influencing the rest of Mesoamerica.

At its height in about 500 C.E., this remarkable city extended over almost 9 square miles and had a population of more than 150,000, making it one of the largest cities in the world at the time.

More than 2,000 residential structures surround the Teotihuacán city center and reflect a highly stratified social structure.

Teotihuacán’s influence extended throughout Mesoamerica. In the central highlands, dispersed settlement were consolidated into larger centers laid out similarly to Teotihuacán, suggesting conquest and direct control—a Teotihuacán empire. The city’s influence in other, more distant regions may have reflected close trading ties rather than conquest.

The people of Teotihuacán also worshiped a feathered serpent to whom another vast pyramid in the city was dedicated. This serpent is recognizably antecedent to the god the Aztecs worshiped as Quetzalcoatl and the Maya as Kukulcan.

13.4.2 The Maya •

• •

Mayan civilization arose in southern Mesoamerica, which includes modern Guatemala, the Yucatán Peninsula, Belize, and parts of Honduras and El Salvador.

The pyramid structures so popularly identified with Mayan culture were fully developed between 300 B.C.E and 300 C.E. During the later Classic period, Mayan civilization experienced a remarkable florescence in the

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lowland jungles of the southern Yucatán. It is this last era about which scholars now possess the most knowledge because of inscriptions on stone monuments.

The Maya of the Classic period, who developed Mesoamerica’s most advanced writing system, were unique in the extent to which they inscribed writing and calendrical symbols in stone, pottery, and other imperishable materials.

Archaeologists have now shown that Mayan centers were indeed cities and that the largest of them, Tikal, probably had a population of between 50,000 and 70,000 at its height.

Religion deeply informed the social and political realm of the Maya. They believed that the world had gone through several cycles of creation before the present one.

The complexity and accuracy of their calendar reflect Mayan skills in astronomical observation.

During the Classic period no single center dominated the Mayan region. Rather, many independent units, each composed of a capital city and smaller subject towns and villages, alternately vied and cooperated with each other, rising and falling in relative prominence.

Between 800 and 900 C.E. Classic civilization collapsed in the southern lowlands. All the ruling dynasties came to an end, the construction of monumental architecture and sculpture with Long Count dates ceased, and the great cities became virtually abandoned.

After the Classic sites in the southern lowlands were abandoned, the focus of Mayan civilization shifted to the northern Yucatán.

13.5 The Post-Classic Period in Mesoamerica •

No new strong, centralized power arose immediately to replace Teotihuacán in the wake of its collapse in the eighth century. Warfare increased, and several smaller, militaristic states emerged, many centered around fortified hilltop cities.

13.5.1 The Toltecs •

• •

In about 900 B.C.E. a people known as the Toltecs rose to prominence. Their capital, Tula, is located near the northern periphery of Mesoamerica.

The Toltecs themselves were apparently descendants of one of many “barbarian” northern peoples (like the later Aztecs) who began migrating into Mesoamerica during the Late Classic period, an era marked by considerable migration throughout the region.

Toltec iconography, which stresses human sacrifice, death, blood, and military action, supports their warlike reputation.

13.5.2 The Aztecs •

• • • • •

The people commonly known as the Aztecs referred to themselves as the Mexica, a name that lives on as Mexico.

At the time of the Spanish arrival in 1519, the Aztecs controlled the most complex, extensive, and powerful empire of any in the history of Mesoamerica, stretching from the Gulf of Mexico to the Pacific Ocean.

Their capital city, Tenochtitlán, was the most populous yet seen in Mesoamerica and one of the most remarkable cities of its age anyplace in the world.

In 1428, under their fourth ruler, Itzcoatl (r. 1427–1440), the Aztecs formed a triple alliance with Texcoco and Tlacopan, turned against Azcazpotzalco, and became the dominant power in the Valley of Mexico.

The Aztec Empire was extractive, based on receiving rich tribute from conquered peoples. After a conquest, the Aztecs usually left the local elite intact and in power, imposing their rule indirectly.

Human sacrifice on a prodigious scale was central to Aztec ideology. The prime candidates for sacrifice were war captives, and the Aztecs often engaged in “flowery wars” with traditional enemies like Tlaxcala just to obtain captives.

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Aztec society was hierarchical, authoritarian, and militaristic. It was divided into two broad classes, nobles and commoners, with prosperous merchants and certain artisans forming an intermediate category.

Above all else, Aztec society was organized for war. Although there was no standing army as such, the entire society stood on a war footing.

13.6 Andean South America: An Overview •

•

The Andean region of South America had, like Mesoamerica, a long history of indigenous civilization—primarily in modern Peru and Bolivia—when Spanish conquerors arrived in the sixteenth century Andean highland communities since ancient times have maintained access to the different resources available in different altitude zones, with holdings in each zone that can be far distant from each other.

13.7 The Preceramic and the Initial Period •

•

The earliest monumental architecture in Peru dates to the early third millennium B.C.E., roughly contemporary with the Great Pyramids of Egypt.

Located on the coast mostly near the shore, these earliest centers of Norte Chico civilization consist of ceremonial mounds and plazas and predate the introduction of pottery to Peru.

13.8 Chavín De Huantar and the Early Horizon •

•

The large coastal centers of the Initial period declined early in the first millennium B.C.E. At about the same time, beginning around 900 B.C.E., a site in the highlands, Chavín de Huantar, was growing in influence.

Between about 400 and 200 B.C.E., Chavín influence spread widely throughout Peru, from the Nazca valley in the south to beyond Cajamarca in the north.

13.9 The Early Intermediate Period 13.9.1 Nazca •

•

The Nazca culture, which flourished from about 100 B.C.E. to about 700 C.E, was centered in the Ica and Nazca river valleys near the southern Peruvian coast.

They may be most famous, however, for their colossal earthworks, or geoglyphs, the so-called Nazca lines.

13.9.2 Moche •

•

The Moche culture flourished from about 200 to 700 on the north coast of Peru. At its height it dominated all the coastal river valleys from Piura in the north to Huarmey in the south, a distance of some 370 miles.

The Moche were skilled potters, producing molded and painted vessels that reveal much about Moche life, religion, and warfare.

13.10 The Middle Horizon through the Late Intermediate Period 13.10.1 Tiwanaku and Huari •

In the fifth century, when the Germanic invasions were leading to the disintegration of the Roman Empire and as Teotihuacán was reaching its height in Mesoamerica, the first expansionist empires were emerging in the Andean highlands.

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The Tiwanaku Empire dominated the Titicaca basin and neighboring regions. It probably exerted its influence through its religious prestige and by establishing colonies and religiousadministrative structures in distant territories.

The Huari Empire flourished from about 600 to 800, dominating the highlands from near Cuzco in the south to Cajamarca in the north. For a brief period it also extended a fortified colony into Tiwanaku territory.

13.10.2 The Chimu Empire •

•

The other new north coast state, known as Chimu, was centered in the Moche valley. In two waves of expansion, the Chimu built an empire that incorporated the Lambayeque valley and stretched for 800 miles along the coast, from the border of Ecuador in the north to the Chillon valley in the south.

In about 1470, only sixty years before the arrival of the Spaniards, the Chimu Empire was swept away by a powerful new state from the southern highlands of Peru, the Inca Empire.

13.11 The Inca Empire •

• • • • •

•

•

In 1532, when Francisco Pizarro and his companions happened on it, the Inca Empire was one of the largest states in the world, rivaling China and the Ottoman Empire in size.

The largest state ever organized in the pre-Columbian Americas, the Inca owned a domain that encompassed the area between the Pacific coast and the Amazon basin for some 2,600 miles, from southern Colombia to northern Chile.

The Inca enlarged their empire through a combination of alliances and intimidation as well as conquest. They organized their realm into a hierarchical administrative structure and imposed a version of their language, Quechua, as the administrative language of the empire.

The Inca and the peoples they ruled were extremely devout in their religion. The Inca saw themselves in a profound relationship to their dead forebears, and they deeply honored their ancestors.

Unlike the Aztecs, who extracted primarily economic tribute from their subject peoples, the Inca relied on various forms of labor taxation.

In a system known as the mita, local people worked for the state on a regular basis, receiving in return gifts and lavish state-sponsored ritual entertainments. Men also served in the army and labored on the construction of vast public works projects, building cities and roads and terracing hillsides, for example.

The Incas made their presence felt in their empire through regional administrative centers and warehouses linked by a remarkable system of roads. The centers served to organize, house, and feed people engaged in mita labor service and to impress on them the power and beneficence of the state with feasting and ritual.

To move their armies of conquest, which consisted of tens of thousands of warriors, administer their domains, and distribute the wealth of their empire efficiently, the Inca built more than 14,000 miles of road. These ranged from narrow paths to wide thoroughfares. Rope suspension bridges crossed gorges and rivers, and stairways eased the ascent of steep slopes. A system of relay runners sped messages to Cuzco from the far reaches of the empire.

Documents A Mayan Myth of Creation •

How does this myth describe the world before creation? Who are the beings that exist before creation and decide how it is to be carried out? What did they do to create the earth?

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Nezahualcoyotl of Texcoco Sings of the Giver of Life •

In what ways does this song remind you of the thought and religious traditions of the early civilizations of China, India, Egypt, and Greece? What are the characteristics of “He Who Invents Himself”? What kind of relationship can human beings achieve with this being? Why does the singer compare seeking the Giver of Life with seeking someone among flowers?

The Aztecs Economically Isolate an Enemy •

What claims of political sovereignty did the Aztecs make? How did the Tlascalans respond?

What kinds of goods did the Aztecs keep the Tlascalans from receiving? Why was it important that the Tlascalans had difficulty importing plumes? How did the Tlascalans’ standard of living suffer?

The Incas Organize Their Empire •

To what extent did the Incas appear to be following a classic mode of rule by dividing and conquering? How did the Incas use one group to balance the threat to their rule from another group? How did they use religion and language to strengthen their authority?

A Closer Look The Pyramid of the Sun in Teotihuacán 1. How might you imagine the reactions of successive generations of visitors to the ruins of the Pyramid of the Sun? For example, the pre-Aztec peoples who encountered it as an abandoned site, the Aztecs who considered it a sacred place, the early Spanish who were amazed at the size of the edifice, later archaeologists, and still later tourists. How do differing expectations determine what people experience when visiting ancient sites? Why is it so difficult to imagine ancient urban sites, now abandoned, as places once inhabited by tens of thousands of people?

2. How does archaeological evidence, in the Americas or elsewhere in the world, differ from written records or the artistic record?

3. How could the restoration of the Pyramid of the Sun in 1910 be used to link modern and ancient Mexico? Do you know of other restorations of ancient sites carried out by modern governments?

Summary Mesoamerica. Mesoamerica means “middle America.” It extends from central Mexico to Central America. Although there was no single Mesoamerican civilization, the civilizations of the Olmecs, the peoples of Monte Alban and Teotihuacán, the Maya, the Toltecs, and the Aztecs shared many features: urban centers with monumental buildings arranged on large plazas; writing; a sophisticated calendrical system; religious ideas, including human sacrifice; and the cultivation of certain crops, especially maize and beans. Throughout its history, the cities of 128 ..

Mesoamerica were also linked by trade.

The Aztecs established the largest Mesoamerican state before the coming of the Spanish in the sixteenth century. The Aztec Empire depended on tribute from conquered peoples. Aztec society was organized for war and was divided into nobles and commoners, with merchants and certain artisans forming intermediate categories. The Aztecs practiced wide-scale human sacrifice; most of the victims were captured warriors. Women could own property and participate in trade but were subordinate to men and excluded from high authority.

Andean South America. Monumental architecture and public buildings in Peru date from the third millennium B.C.E. Over the next 3,000 years, the Andean peoples developed pottery, urban centers, intricate cotton weaving, and sophisticated agriculture. The first expansionist empires emerged in the Andean highlands in the fifth century C.E. The Incas built the most extensive Andean empire. It extended for 2,600 miles from Ecuador to Chile between the Pacific and the Amazon basin. Inca rule relied on conquest, intimidation, and alliances with other peoples. The Inca exacted taxation in terms of forced labor and constructed over 14,000 miles of roads and numerous rope bridges. Although the Inca lacked writing, they kept detailed accounts using knotted strings.

Key Terms calpulli, p. 359 Long Count, p. 352 Mexica, p. 355 mitimaqs, p. 366 Quechua, p. 365

chicha, p. 366 mamakuna, p. 366 mita, p. 365 obsidian, p. 345 quipu, p. 364

REVEL Writing Exercises Journal Writing 13.4 A Mayan Myth of Creation How does this myth describe the creation of the earth?

13.5 Nezahualcoyotl of Texcoco Sings of the Giver of Life In what ways does this song remind you of the thought and religious traditions of early civilizations in China, India, Egypt, and Greece?

13.11 The Incas Organize Their Empire How did the Incas organize their empire, including how they managed conquered peoples and how they used religion and language to strengthen their authority?

Shared Writing How were the Aztec Empire and the Inca Empire organized? How do they compare to other early empires of the ancient world?

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Internet Resources Fourteenth Century: http://www.fordham.edu/halsall/sbook1w.html has many important primary sources for this period.

Monte Alban: http://whc.unesco.org/en/list/415 is the UNESCO World Heritage Site documentation of Monte Alban.

Maya: http://www.maya-archaeology.org/ provides an impressive array of material related to Maya, Olmec, and Teotihuacán art and archaeology.

Machu Picchu: http://www.machupicchu.com/peru/tour-guide/machu-picchu-history offers an extensive history of this famous site.

Native Americans: http://www.hanksville.org/NAresources/indices/NAarch.html contains helpful links to a variety of sites that provide further information on the Native Americans of the Plains and South America.

Suggested Maps Prentice Hall Atlas of World History, Second Edition • Early Peoples of North America • Early Peoples of South America • The Aztec Empire • The Inca Empire

Suggested Films The Civilizations of Mexico. Films for the Humanities and Sciences (11 minutes).

Aztecs: The Exposition of a Culture. Films for the Humanities and Sciences (37 minutes).

Ancient Civilizations: The Aztecs. Films for the Humanities and Sciences (48 minutes).

Mesoamerica: The Rise and Fall of the City-States. Films for the Humanities and Sciences (27 minutes).

Ancient Civilizations: The Mayans. Films for the Humanities and Sciences (47 minutes).

Chichén Itzá: At the Mouth of the Well. Films for the Humanities and Sciences (27 minutes).

Teotihuacan: The City of the Gods. Films for the Humanities and Sciences (27 minutes).

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The Incas. Films for the Humanities and Sciences (13 minutes).

The Legacy of the Incas. Films for the Humanities and Sciences (43 minutes).

In the Shadow of the Incas. Films for the Humanities and Sciences (43 minutes).

Yaros, Chunchos, and Other Andean Civilizations. Films for the Humanities and Sciences (43 minutes).

Secrets of Lost Empires: Inca. PBS Home Video (60 minutes).

Empires of the Americas. Kultur (50 minutes).

The Art of Mexico: Ancient and Modern Traditions. Kultur (50 minutes).

The Native Americans. FHS (47 minutes).

The Mayans. FHS (47 minutes).

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Chapter 14—Africa ca. 1000–1700 Learning Objectives 14.1 North Africa and Egypt Summarize the history of North Africa and Egypt after ca. 1000.

14.2 The Spread of Islam South of the Sahara Trace the spread of Islam south of the Sahara.

14.3 Sahelian Empires of the Western and Central Sudan Discuss the empires of Ghana, Mali, Songhai, and Kanem-Bornu.

14.4 The Eastern Sudan Summarize the history of Maqurra and Alwa and the Funj state.

14.5 The Forestlands—Coastal West and Central Africa Describe Benin art and society and the effects of European arrivals in the coastlands and central Africa.

14.6 East Africa Discuss Swahili culture and commerce and the history of the Portuguese and the Omanis of Zanzibar in East Africa.

14.7 Southern Africa Summarize the history of Great Zimbabwe and the Cape Colony, with consideration of the role of the Portuguese.

Introduction • • •

Regional differences in Africa from 1000–1700 Interactions with the Islamic and European worlds Changes in the African economies, social organization, and politics

Global Perspective Africa, 1000–1700 • • • • • •

Long-distance trade and its effects on Africa from 1000–1700 International trading networks of North, West, and East Africa Intra-African trade in sub-Saharan Africa Ottoman expansion and the spread of Islam State-building in sub-Saharan Africa European contact with West Africa, the Atlantic slave trade

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Focus Questions 1. Where in Africa was Islamic influence concentrated? How did Islam spread? What does this reveal about the relationship between commerce and cultural diffusion?

2. Why did different regions in Africa develop in different ways between 1000 and 1700?

Key Points 14.1 North Africa and Egypt •

•

Egypt and other North African societies played a central role in Islamic and Mediterranean history after 1000.

From the 1500s on, the Mediterranean coastlands between Egypt and Morocco were officially Ottoman provinces, or regencies. Still, in the sixteenth and especially the seventeenth centuries, these nominally Ottoman domains from Egypt to Algeria became progressively more independent.

14.2 The Spread of Islam South of the Sahara • Islamic influence in sub-Saharan Africa began as early as the eighth century and by 1800 affected most of the Sudanic belt and the East African coast as far south as modern Zimbabwe.

• Conversion to Islam was rare beyond the ruling or commercial classes, and Islamic faith tended to coexist or blend with indigenous traditions.

• In East Africa, Muslim traders moving down the coastline with the ancient monsoon trade routes had begun to “Islamize” ports and coastal regions even before 800.

• In West and Central Africa, Islam was introduced into the Sudan by overland routes, primarily through traders from North Africa and the Nile valley.

• From the 1030s, zealous militants known as Almoravids began a conversion campaign extending to the western Sahel and Sahara. This movement eventually swept into Ghana’s territory.

14.3 Sahelian Empires of the Western and Central Sudan •

From about 1000 to 1600, four of the Sahelian states developed into relatively long-lived empires: Ghana, Mali, and Songhai in the western Sudan, and Kanem-Bornu in the central Sudan.

14.3.1 Ghana • Ghana established the model for later Sahelian empires in the western Sudan.

• Ghanaian rulers were descended matrilineally (through the previous king’s sister) and ruled through a council of ministers.

• Ghana’s power had a solid economic base. Tribute from the empire’s many chieftaincies and taxes on royal lands and crops supplemented levies on all external trade.

• Although the Ghanaian king and court did not convert to Islam, they made elaborate arrangements to accommodate Muslim traders.

• The empire was vulnerable to attack from the desert, as Almoravid Berber forces proved in 1054 when they took Awdaghast in a single raid. Ghana’s empire was probably destroyed in the late twelfth century.

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14.3.2 Mali • • • • • •

In the mid-thirteenth century the Keita ruling clan of a Ghanaian successor kingdom, Mali, forged a new and lasting empire.

This empire seems to have developed on the same economic base as had Ghana and Takrur earlier: monopolization of the lucrative north–south gold trade.

Agriculture and cattle farming were Mali’s primary occupations and, together with the gold trade, its economic mainstays.

Mali’s imperial power was built largely by the Keita king Sundiata (or Sunjaata, r. 1230–1255).

Sundiata and his successors exploited their agricultural resources, significant population growth, and Malinke commercial skills to build an empire even more powerful than Ghana’s.

The greatest Keita king was Mansa Musa (r. 1312–1337), famous for his pilgrimage through Mamluk Cairo to Mecca in 1324. He brought many Muslim scholars, artists, and architects back to Mali.

The devout ruler fostered the spread of Islam in the empire and beyond. Under Musa’s rule, Timbuktu became famous for its madrasas and libraries, poets, scientists, and architects, making it the leading intellectual center of sub-Saharan Islam and a major trading city of the Sahel.

14.3.3 Songhai •

• •

•

Evidence suggests that as early as the eleventh or twelfth century there was a Songhai kingdom around Gao, on the eastern arc of the great bend of the Niger.

The kingdom became an empire under the greatest Sunni ruler, Sonni Ali (r. 1462–1492). For more than a century thereafter, the Songhai Empire was arguably Africa’s most powerful state.

Taking advantage of the control of access to gold and other desirable West African commodities, the Empire emulated its Ghanaian predecessors in taking advantage of the ancient caravan trade across the Sahara to the Libyan and Tunisian coasts. This was their major source of the Empire’s wealth.

Under Askia Muhammad al-Turi (r. 1493–1528), the Empire converted to Islam.

14.3.4 Kanem and Kanem-Bornu • •

A fourth sizable Sahelian empire, Kanem, arose in the central Sudan after 1100. Kanem began as a southern Saharan confederation of nomadic tribes, the Zaghawah, who were spread over much of the south-central and southeastern Sahara.

After 1400 the locus of power shifted from Kanem proper westward, to Bornu, southwest of Lake Chad. Here, in the 1490s, a new Kanuri Empire arose almost simultaneously with the collapse of the Askia dynasty of the Songhai Empire at Gao. Firearms and Turkish military instructors acquired after a pilgrimage to Mecca enabled the Kanuri leader Idris Alawma (r. ca. 1575–1610) to unify Kanem and Bornu.

14.4 The Eastern Sudan •

•

•

The Christian states of Maqurra and Alwa in the Nilotic Sudan, or Nubia, lasted more than 600 years from their early seventh-century beginnings and maintained political, religious, and commercial contact with Egypt, the Red Sea world, and much of the Sudan.

The Mamluks intervened repeatedly in Nubian affairs, and Arab nomads constantly threatened the Nubian states. From late Fatimid times, both Maqurra and Alwa were increasingly subject to immigrating Muslim Arab tribesmen, traders, and growing Muslim minorities. The result was a long-term intermingling of Arab and Nubian cultures and the creation of a new Nilotic Sudanese culture.

A significant factor in the gradual disappearance of Christianity in Nubia was its elite status there

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and its association with the foreign Egyptian Coptic Christianity.

14.5 Forestlands—Coastal West and Central Africa 14.5.1 West African Forest Kingdoms: The Example of Benin • •

Benin, the best known of these forest kingdoms, reflects the sophistication of West African culture before 1500; its art, in particular, is renowned for its enduring beauty.

The global significance of Benin lies in its court art, especially its famous sculptures. The splendid terra-cotta, ivory, and brass statuary sculptures of Ife-Benin are among the glories of human creativity.

14.5.2 European Arrivals on the Coastlands •

• • • •

The coasts of West and Central Africa witnessed many important changes between 1500 and 1800. Those changes wrought by the burgeoning Atlantic slave trade are the most notorious Of comparable importance are changes connected with trade in West African gold and other commodities, and with the importation and spread in West and Central Africa of food crops such as maize, peanuts, squash, sweet potatoes, cocoa, and cassava (manioc) from the Americas.

The gradual involvement of Africa in the emerging global economy paved the way for eventual colonial domination of the Continent, especially its coastal regions, by Europeans.

The European names for segments of the coastline—the Grain (or Pepper) Coast, the Ivory Coast, the Gold Coast, and the Slave Coast—identify the main exports that could be extracted by ship.

The Gold Coast escaped the ravages of the slave trade for some decades; it was even an importer of slaves until long after 1500. Slaves, however, became big business there in the late seventeenth century, especially in the Accra region.

14.5.3 Central Africa • • • •

Kongo was the major state with which the Portuguese dealt after coming to Central Africa in 1483.

Regional rulers procured slaves from neighboring kingdoms, as did Portuguese traders who went inland themselves. As demand grew, local rulers increasingly attacked neighbors to capture slaves for Portuguese traders.

The Kongo ruler Affonso I (r. ca. 1506–1543) had difficulty curbing the more exploitative slaving practices and independent-minded provincial governors, who often dealt directly with the Portuguese, undermining royal authority.

To the south, by 1600 Angola was exporting thousands of slaves annually through the port of Luanda. In less than a century the hinterland had been depopulated.

14.6 East Africa 14.6.1 Swahili Culture and Commerce • •

Arabs, Indonesians, and even Indians had traded with East Africa for centuries. Many had been absorbed into what had become, during the first millennium C.E., from Somalia south, a predominantly Bantu-speaking population.

In the thirteenth century Arab and Persian Muslims began to dominate the coastal trade from Mogadishu to Kilwa. In this time a common language called Swahili, or Kiswahili (from the Arabic plural sawāhil, meaning “coastlands”), had developed from the interaction of Bantu and Arabic speakers along the coast. Its structure is Bantu, its script Arabic, and its vocabulary largely

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• •

Bantu, but incorporating many words from Arabic.

Current theory suggests that, like the language, Swahili culture is basically African with a large contribution by Arab, Persian, and other extra-African elements Swahili civilization reached its apogee in the fourteenth and fifteenth centuries.

14.6.2 The Portuguese and the Omanis of Zanzibar •

• •

Swahili civilization declined in the sixteenth century. The trade that had originally made everything possible waned with the arrival of the Portuguese and their destruction of both the old oceanic trade (and the Islamic commercial monopoly) and the main Islamic city-states along the eastern coast.

Initial Portuguese victories along the African coast brought the submission of many small Islamic ports and states and the militant Portuguese presence also sharply reduced Muslim coastal shipping from India and Arabia.

In 1698 the Omanis took Mombasa and ejected the Portuguese everywhere north of Mozambique.

Under the Omanis, Zanzibar became a new, major East African power center.

14.7 Southern Africa 14.7.1 “Great Zimbabwe” • •

About the same time that east coast trading centers were beginning to flourish, a different civilization, Great Zimbabwe, was enjoying its heyday farther south.

Founded in the tenth or eleventh century by a Bantu-speaking Shona people, who still inhabit the same general area today. It seems to have become a large and prosperous state between the late thirteenth and the late fifteenth centuries.

14.7.2 The Portuguese in Southeastern Africa •

•

All along the Zambezi, a lasting, destabilizing consequence of Portuguese intrusion was the creation of quasi-tribal chiefdoms. These were led by prazeros, mixed-blood Portuguese landholders descended from the first Portuguese estate holders along the Zambezi, who had built up huge estates.

By 1800, they held vast land tracts, commanded armies (often largely of slaves), and were a disruptive force in the region because they were too strong for either the Portuguese or regional African rulers to control.

14.7.3 South Africa: The Cape Colony • •

• • •

In South Africa the Dutch planted the first European colonials, The first Cape settlement was built in 1652 by the Dutch East India Company as a resupply and way station for Dutch vessels on their voyages between the Netherlands and the East Indies. This station grew gradually to become by 1700 a large settler colony.

Many of the Khoikhoi people of the region were gradually incorporated into the new colonial economy.

Dutch military success brought even greater Dutch control of the Khoikhoi. By the 1670s, they became the chief source of colonial wage labor— labor in increasing demand as the colony grew.

By 1700 they were stripped of almost all of their pasturages, and their way of life was destroyed.

Ever more Khoikhoi took up employment in the colonial economy.

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Documents Ghana and its People in the Mid-Eleventh Century • How did the ruler of Ghana deal with the differing religious groups in his capital?

Muslim Reform in Songhai •

What are the problems and corresponding solutions described in the letters? Which problem did al-Maghili find most serious?

Affonso I of Kongo Writes to the King of Portugal •

How did the presence of Portuguese merchants and European goods upset the social and political situation in Kongo? How were Affonso’s subjects tempted into the slave trade? How did Affonso wish to change the relationship of his people to Portugal? Was the king more worried about human rights or his economic losses?

A Closer Look Benin Bronze Plaque with Chief and Two Attendants 1. The sophisticated Benin bronze artistry allowed for highly a detailed sculpture that, for all its stylization, captured its subjects vividly and in great detail. What do you make of the differences between the depictions of the Benin Africans and the two European figures?

2. It has been speculated that this was a piece of court art and that the depiction of the royal figure and attendants was intended to exalt royal power and prestige. Do you see evidence of this? If so, what?

Summary North Africa. From 1000 to 1700 in North Africa, the key new factor was the Ottoman Empire’s expansion as far west as Morocco. But the development of independent regional rulers soon rendered Ottoman authority in North Africa largely nominal.

Empires of the Sudan. Several substantial states arose south of the Sahara: Ghana, Mali, Songhai, and Kanem. The ruling elites of these states converted to or were heavily influenced by Islam, although most of their populations practiced local religions. Much of these states’ wealth was tied to their control of the trans-Saharan trade routes.

West and Central Africa and East Africa. South of the Sahara, in the coastal forestlands of central Africa, a substantial kingdom arose in Benin, famous for its brass sculptures. On the east coast, Islam influenced the development of the distinctive Swahili culture and language, and Islamic traders linked the region to India and Southeast and East Asia.

The Coming of the Europeans. The key development of the fifteenth century was the arrival of European traders, missionaries, and warships. The Portuguese and, later, other Europeans came 137 ..

in search of commerce, Christian converts, slaves, and spheres of influence. Their arrival disrupted indigenous African culture and political relations and presaged Africa’s involvement in and exploitation by a new, expanding global trading system dominated by Europeans.

Key Terms Afrikaans, p. 388 Maghreb, p. 370 marabouts, p.376 muezzin, p. 375 prazeros, p. 387 Swahili, p. 385 uzama, p. 380

Dar al-Islam, p. 370 mansa, p. 375 Moors, p. 385 oba, p. 380 sharifs, p. 372 Trekboers, p. 387

REVEL Writing Exercises Journal Writing 14.3 Muslim Reform in Songhai What are the problems and corresponding solutions described in the letters?

14.5 Affonso I of Kongo Writes to the King of Portugal How and why did Affonso want to change the relationship of his people to Portugal?

Shared Writing What is the importance of the empires of Ghana, Mali, and Songhai within world history?

Internet Resources Africa: http://www.fordham.edu/halsall/africa/africasbook.html contains many important primary source documents.

West African Kingdoms: http://www.bbc.co.uk/worldservice/africa/features/storyofafrica/index_section4.shtml from the BBC profiles Ancient Ghana, Kanem, Mali, Songhay, and other kingdoms including timelines, podcasts, and other resources. There are also links to similar coverage of the Swahili and other topics relevant to this chapter.

Ruins of Great Zimbabwe: http://www.metmuseum.org/toah/hd/zimb/hd_zimb.htm is an arthistory inflected perspective of the ruins and their significance from The Metropolitan Museum of Art. Riddle of Great Zimbabwe: http://www.archaeology.org/9807/abstracts/africa.html is an archeologist’s article about the site.

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Khoikhoi: http://www.scienceinafrica.com/where-have-all-hottentots-gone-archaeology-andhistory-khoekhoen is an article from a South African online science magazine about the archeology and history of the people the author calls the Khoekhoen [Khoikhoi].

Khoisan: http://www.khoisan.org/ provides links and brief text regarding the Khoisan peoples.

Suggested Maps Prentice Hall Atlas of World History, Second Edition • World: 1500–1600

Suggested Films The Lost City of Zimbabwe. Films for the Humanities and Sciences (22 minutes).

Benin: An African Kingdom, Parts I–V. Films for the Humanities and Sciences (75 minutes).

Sudan: Black Kingdoms of the Nile. Films for the Humanities and Sciences (53 minutes).

The Bambara Kingdom of Segu (Mali). Films for the Humanities and Sciences (19 minutes).

The Story of a Continent, Africa (456 minutes). Home Vision Select. The fourth segment of this eight-program series, “Kings and Cities,” covers the early African kingdom (57 minutes).

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Chapter 15—Europe to the Early 1500s: Revival, Decline and Renaissance Learning Objectives 15.1 Revival of Empire, Church, and Towns Analyze the factors involved in the revival of the Holy Roman Empire and the Catholic Church and in the rise of towns during the eleventh and twelfth centuries.

15.2 Society Summarize the changes affecting the nobility, clergy, peasantry, and women during the Late Middle Ages.

15.3 Growth of National Monarchies Compare and contrast the relations among monarchs, lesser nobility, and the Catholic Church in England, France, and the Hohenstaufen Empire during the Late Middle Ages.

15.4 Political and Social Breakdown Summarize the causes and consequences of the Hundred Years’ War and the Black Death.

15.5 Ecclesiastical Breakdown and Revival: The Late Medieval Church Describe the factors leading to the Great Schism and the subsequent reunification of the Church.

15.6 The Renaissance in Italy (1375–1527) Survey the Renaissance in Italy, including the social conflicts in the Italian city-states, humanism, Renaissance art, and the Italian political decline.

15.7 Revival of Monarchy: Nation-Building in the Fifteenth Century Analyze the revival of monarchy and the process of nation-building in the fifteenth century in Russia, France, Spain, and England.

Introduction • • • • •

The High Middle Ages (from the eleventh through the thirteenth centuries) was a period of political expansion and consolidation and of intellectual flowering and synthesis.

The Latin, or Western, church established itself as a spiritual authority independent of secular monarchies, which became more powerful and self-aggrandizing.

The High Middle Ages saw a revolution in agriculture that increased food supplies and populations.

Commerce revived, printing was invented, and new intellectual currents emerged drawing on the writings of antiquity.

War and the Black Death were calamities for Europe.

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Global Perspective The High Middle Ages in Western Europe • • • •

•

Europe began to escape its relative isolation from the rest of the world, which had prevailed since the Early Middle Ages.

Two factors contributed to this increased engagement: the Crusades and renewed trade along the Silk Road linking China and Europe, made possible by the Mongol conquests in Asia.

Christianity allowed Englishmen, Frenchmen, Germans, and Italians to think of themselves as one people and to unite in the Crusades to the Holy Land.

The Crusades brought Europeans into more direct and frequent contact with the non-European world than they had known since the heyday of the Roman Empire. Crusaders sampled and sent home products from the Middle East, Asia, and North Africa, creating new tastes in food, art, and even fashion.

Eventually Europeans sought to bypass the Islamic world entirely and secure supplies of Eastern products, especially spices, by going directly to the sources in India and East Asia.

Focus Questions 1. How did the High Middle Ages in Europe differ from the Early Middle Ages?

2. What was the legacy of the Crusades for Europe? In what ways did they signal the start of new relationships between Europe and the wider world?

Key Points 15.1 Revival of Empire, Church, and Towns 15.1.1 Otto I and the Revival of Empire • •

Otto I (r. 936–973) maneuvered his own kin into power in Bavaria, Swabia, and Franconia and then invaded Italy and proclaimed himself crowned Holy Roman Emperor in 962.

Otto enlisted the strong hands of the church. Bishops and abbots, men who possessed a sense of universal empire, yet did not marry and found competitive dynasties, were made royal princes and agents of the king.

15.1.2 The Reviving Catholic Church •

• • •

In a great monastery at Cluny, founded in 910 in east-central France, a reform movement, aimed at freeing the church from secular political influence and control, was born.

The Cluny reformers uncompromisingly condemned the state’s contemporary mixing of religious and secular institutions and the clergy’s subservience to royal authority, asserting that the Pope alone commanded the clergy.

They further denounced the transgression of ascetic piety by “secular” parish clergy, who lived openly with concubines in a relationship akin to marriage.

In the Investiture Controversy, distinctive spheres of ecclesiastical and secular authority were agreed to by church and state.

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15.1.3 The Crusades •

• • • • • • •

Religion was not the only motive inspiring the Crusaders; but unlike the later Crusades, which were undertaken for mercenary reasons, the early Crusades were inspired by genuine religious piety and were carefully orchestrated by a revived papacy.

Accompanied by the new mendicant orders of Dominicans and Franciscans, Christian knights attempted to rid Europe of Jews as well as Muslims.

In the First Crusade (1095–1099), the Crusaders soundly defeated one Seljuk army after another in a steady advance toward Jerusalem, which they captured on July 15, 1099.

The victorious Crusaders divided conquered territories into the feudal states of Jerusalem, Edessa, and Antioch, which were apportioned to them as fiefs from Pope Urban II. The Crusader territories, however, remained small islands within a great sea of Muslims, who looked on the Western invaders as savages to be slain or driven out.

Muslim resistance broke the Crusaders’ resolve around midcentury, and the forty-year-plus Latin presence in the East began to crumble.

The Second and Third Crusades failed militarily, but did have the long-term of stimulating Western trade with the East.

A Fourth Crusade (202-1204) transformed itself into a piratical commercial venture controlled by the Venetians.

15.1.4 Towns and Townspeople •

• • • • • • •

In the eleventh and twelfth centuries, most towns were small and held only about 5 percent of western Europe’s population.

As towns grew and beckoned, many serfs took their skills to the new urban centers.

Rural society not only gave the towns their craftspeople and day laborers, but the first merchants themselves may also have been enterprising serfs.

As the traders established themselves in towns, they grew in wealth and numbers, formed their own protective associations, and soon found themselves able to challenge traditional seigneurial authority.

During the eleventh and twelfth centuries, the burgher upper classes increased their economic strength and successfully challenged the old noble urban lords for control of the towns. Around 1100 the old urban nobility and the new burgher upper class merged into an urban patriciate.

Small artisans and craftspeople also slowly developed their own protective associations or guilds and began to gain a voice in government.

By providing kings with the resources they needed to curb factious noblemen, towns became a major force in the transition from feudal societies to national governments.

Modern universities and university towns such as Bologna in Italy emerged.

15.2 Society 15.2.1 The Order of Life • • • • •

By the Late Middle Ages, a distinguishable higher and lower nobility had evolved, living in both town and country.

Noblemen formed a broad spectrum—from minor vassals without subordinate vassals to mighty barons, the principal vassals of a king or prince, who had many vassals of their own.

Unlike the nobility and the peasantry, the clergy was an open estate. One was a cleric by religious training and ordination, not because of birth or military prowess.

There were two basic types of clerical vocation: regular (monks) and secular (cardinals, archbishops, bishops, parish priests).

The largest and lowest social group in medieval society was one on whose labor the welfare of all

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•

•

others depended: the agrarian peasantry.

Two basic changes occurred in the evolution of the manor from the early to the later Middle Ages. The first was the increasing importance of the single-family holding. Second was the conversion of the serf’s dues into money payments, a change made possible by the revival of trade and the rise of the town.

By the mid-fourteenth century, a declining nobility in England and France, faced with the ravages of the great plague and the Hundred Years’ War, tried to turn back the historical clock by increasing taxes on the peasantry and restricting their migration to the cities. The response was armed revolt.

15.2.2 Medieval Woman •

•

• • •

Drawing on both the Bible and classical medical, philosophical, and legal writings predating Christianity, Christian theologians depicted women as physically, mentally, and morally weaker than men.

All major Germanic law codes recognized the economic freedom of women: their right to inherit, administer, dispose of, and confer property and wealth on their children. They could also press charges in court against men for bodily injury and rape, the latter receiving punishments ranging from fines, flogging, and banishment to blinding, castration, and death.

The nunnery was an option for single women from the higher social classes. Entrance required a dowry and could be almost as expensive as a wedding, though usually cheaper.

In the ninth century, under the influence of Christianity, the Carolingians made monogamy official policy.

Women were excluded from the learned professions of scholarship, medicine, and law by reason of gender alone.

15.3 Growth of National Monarchies 15.3.1 England and France: Hastings (1066) and Bouvines (1214) • •

•

In 1066 the battle of Hastings led to the swift conquest of England by the Normans.

With the full support of the clergy and the townspeople, the nobility forced the king’s grudging recognition of the Magna Carta (“Great Charter”) in 1215, a document that reaffirmed traditional rights and personal liberties still enshrined in English law.

At Bouvines on July 27, 1214, the French won handily over the English and their German allies.

The victory unified France around the monarchy and thereby laid the foundation for French ascendancy in the Late Middle Ages.

15.3.2 France in the Thirteenth Century: Reign of Louis IX • • •

Louis IX (r. 1226–1270), the grandson of Philip Augustus, embodied the medieval view of the perfect ruler.

Louis’s greatest achievements lay at home. Under his reign the efficient French bureaucracy became an instrument of order and fair play in local government.

Louis further abolished private wars and serfdom within his own royal domain, gave his subjects the right of appeal from local to higher courts, and made the tax system more equitable, leading a growth in national feeling.

15.3.3 The Hohenstaufen Empire (1152–1272) • •

While stable governments developed in both England and France during the Middle Ages, the Holy Roman Empire fragmented in disunity and blood feuding.

Frederick I Barbarossa (1152–1190), the first of the Hohenstaufens, reestablished imperial

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•

authority but also initiated a new phase in the contest between popes and emperors.

To secure the imperial title for himself and his sons, Frederick II gave the German princes what they wanted. The German princes became undisputed lords over their territories—in effect, petty kings.

15.4 Political and Social Breakdown 15.4.1 Hundred Years’ War and Consequences •

• • • •

The war was more than a dynastic quarrel. England and France were territorial and economic rivals with a long history of prejudice and animosity between them. These factors made the Hundred Years’ War a struggle for national identity.

Although France had three times the population of England, was far wealthier, and fought on its own soil, most of the major battles were stunning English victories.

Thanks in part to the inspiring leadership of Joan of Arc (1412–1431), and a sense of national identity and self-confidence, the French were able to expel the English from France. By 1453, all that remained to the English in France was their coastal enclave of Calais.

The Hundred Years’ War had lasting political and social consequences. It devastated France, but it also awakened French nationalism and hastened the country’s transition from a feudal monarchy to a centralized state.

In both France and England the burden of the war fell most heavily on the peasantry, who were forced to support it with taxes and services.

15.4.2 The Black Death •

• • • • • • • •

It is estimated that Europe’s population doubled between the years 1000 and 1300 and began thereafter to outstrip food production, the average European faced the probability of extreme hunger at least once during his or her expected thirty-five-year lifespan.

Between 1315 and 1317, cold weather and crop failures produced the greatest famine of the Middle Ages.

The Black Death, so called by contemporaries because of the way it discolored the body, was most likely introduced by rats from Black Sea areas, the epidemic following the trade routes from Asia into Europe.

It is estimated that western Europe had lost as much as two-fifths of its population by the early fifteenth century.

Throughout much of western Europe, the plague brought with it an obsession with death and dying, engendering a deep pessimism that endured for decades.

In some places, Jews were cast as scapegoats.

Among the social and economic consequences of such high depopulation were a shrunken labor supply and a decline in the value of the estates of the nobility.

Landowners also sought to reverse their misfortune by new repressive legislation that forced peasants to stay on their farms while freezing their wages at low levels.

The first wave of plague turned the already restricted supply of skilled artisans into a shortage almost overnight. As a result, the prices of manufactured and luxury items rose to new heights, which in turn encouraged workers to migrate from the countryside to the city and learn the skills of artisans.

15.4.3 New Conflicts and Opportunities •

•

To the long-existing conflict between the guilds and the ruling urban patriciate was now added a conflict within the guilds themselves.

Kings exploited growing national sentiment in an effort to centralize their governments and

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economies, at the expense of the nobility and the church.

15.5 Ecclesiastical Breakdown and Revival: The Late Medieval Church 15.5.1 Boniface VIII and Philip the Fair •

•

When Pope Boniface VIII (r. 1294–1303) issued a bull, Clericis Laicos, that forbade lay taxation of the clergy without prior papal approval, King Philip the Fair of France (r. 1285–1314) unleashed a ruthless antipapal campaign.

No pope ever again so seriously threatened kings and emperors.

15.5.2 The Great Schism (1378–1417) and the Conciliar Movement to 1449 • Not wanting to surrender the benefits of a papacy under French influence, the French king, Charles V (r. 1364–1380), supported a schism in the church, known thereafter as the Great Schism.

• Hereafter allegiance to the two papal courts divided along political lines.

• In 1409 a council at Pisa deposed both the Roman and the Avignon popes and elected its own new pope. But neither Rome nor Avignon accepted its action, so after 1409 there were three contending popes.

• After the three contending popes had either resigned or been deposed, the council elected a new pope, Martin V (r. 1417–1431), in November 1417, reuniting the church.

15.6 The Renaissance in Italy (1375–1527) • •

The Renaissance is the term used to describe fourteenth- and fifteenth-century efforts to revive ancient learning. Most scholars agree that it was a transition from the medieval to the modern world.

Renaissance Europe, especially after the fourteenth century, was characterized by growing national consciousness and political centralization, an urban economy based on organized commerce and capitalism, and ever-greater lay and secular control of thought and culture.

15.6.1 The Italian City-State: Social Conflict and Despotism • •

•

Renaissance society took distinctive shape within the cities of late medieval Italy.

During the thirteenth and fourteenth centuries, the trade-rich Italian cities became powerful citystates, dominating the political and economic life of the surrounding countryside.

Social strife and competition for political power were so intense within the cities that for survival’s sake, most had evolved into despotisms by the fifteenth century.

15.6.2 Humanism • • •

Humanism refers to the scholarly study of the Latin and Greek classics and the writings of the ancient Church Fathers, both for their own sake and to promote a rebirth of ancient norms and values.

Unlike their Scholastic rivals, humanists were not content only to summarize and compare the views of recognized authorities on a question but instead went directly to the original source and drew their own conclusions.

The classical ideal of a useful education that produces well-rounded, effective people inspired farreaching reforms in traditional education.

15.6.3 Renaissance Art in and beyond Italy • Whereas Byzantine and Gothic art had been religious in their representation of the human body,

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• •

Renaissance art, especially in the fifteenth century, reproduced nature and human nature realistically, in both its physical beauty and its grotesqueness.

The Italian polymath Leonardo da Vinci (1452–1519) personified the Renaissance ideal of the universal person, one who is a master of many skills and trades.

Michelangelo Buonarroti (1475–1564) also excelled in a variety of arts and crafts. His 18-foot godlike sculpture David is a perfect example of the Renaissance artist’s devotion to harmony, symmetry, and proportion, which can also be seen in his extreme glorification of the human form.

15.6.4 Italy’s Political Decline: The French Invasions (1494–1527) • •

Repeated French invasions over dynastic claims weakened the city states.

The French monarchy reached an agreement known as the Concordat of Bologna (August 1516), which gave the French king control over the French clergy and the right to collect taxes from them, in exchange for French recognition of the pope’s superiority over church councils.

15.6.5 Niccolò Machiavelli •

Niccolò Machiavelli (1469–1527 in his writings argued that only an unscrupulous strongman, he concluded, using duplicity and terror, could impose order on so divided and selfish a people.

15.7 Revival of Monarchy: Nation-Building in the Fifteenth Century • With the emergence of sovereign rulers after 1450, unified national monarchies progressively replaced fragmented and divisive feudal governance, as a result of the Hundred Years’ War and the schism in the church, the landed nobility and the clergy were in decline in the Late Middle Ages. The increasingly important towns now began to ally with the king.

• In a sovereign state, the powers of taxation, war-making, and law enforcement were no longer the local right of semiautonomous vassals but were concentrated in the monarch and exercised by his chosen agents.

• The growing cost of warfare increased the need to develop new national sources of royal income.

15.7.1 Medieval Russia • Mongol (or Tatar) armies invaded Russia in 1223, and Kiev fell in 1240. Russian cities became tribute-paying principalities of the segment of the Mongol Empire called the Golden Horde.

• Mongol rule further divided Russia from the West but left Russian political institutions and religion largely intact.

• By the last quarter of the fifteenth century, Moscow had replaced Kiev as the political and religious center of Russia. In Russian eyes it was destined to become the “third Rome” after the fall of Constantinople to the Turks in 1453.

15.7.2 France • By the mid-sixteenth century France was again a defeated nation and almost as divided internally as it had been during the Hundred Years’ War. 15.7.3 Spain • Spain had long been remarkable as a place where three religions—Islam, Judaism, and Christianity— coexisted with a certain degree of toleration. This toleration ended dramatically under Ferdinand and Isabella, who made Spain the prime example of state-controlled religion.

• Ferdinand and Isabella exercised almost total control over the Spanish church as they placed religion in the service of national unity.

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•

The new Spanish power was also evident in Ferdinand and Isabella’s promotion of overseas exploration.

15.7.4 England • Henry Tudor ruled as Henry VII (r. 1485–1509), the first of the new Tudor Dynasty that would endure until 1603.

• Henry shrewdly construed legal precedents to the advantage of the Crown, using English law to further his own ends. He confiscated so much noble land and so many fortunes that he governed without dependence on Parliament for royal funds, always a cornerstone of a strong monarchy.

Documents Pope Urban II (r. 1088–1099) Preaches the First Crusade Is the pope engaging in a propaganda and smear campaign? What images of the enemy does he create, and how accurate and fair are they? Did the Christian church have a greater claim to Jerusalem than the people then living there? Does a religious connection with the past entitle one group to confiscate the land of another?

Student Life at the University of Paris Why were students from different lands so prejudiced against one another? Was the rivalry among faculty members as intense as that among students? What are the student criticisms of the faculty? Do they sound credible?

Pico della Mirandola States the Renaissance Image of the Human Ideal In what does the dignity of humankind consist? Does Pico reject the biblical description of Adam and Eve’s fall? Does he exaggerate a person’s ability to choose freely to be whatever he or she wishes? What inspired such seeming hubris during the Renaissance?

A Closer Look European Embrace of a Black Saint 1. Did Charlemagne and other German kings embrace Maurice as their favorite saint for mercenary, religious, or military motives?

2. Was racism behind the portrayal of Maurice as a white man for eleven centuries, before painters presented him as the black saint he had always been?

3. Why would some of Nuremberg’s wealthy, leading families adorn their coats of arms with the head of an African saint?

Summary

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Medieval Society. In theory, medieval society was divided into three main groups: clergy (those who prayed), nobility (those who fought as mounted warriors), and laborers (peasants and artisans). The rise of merchants, self-governing towns, and universities helped break down this division. By supporting rulers against the nobility, towns gave kings the resources—money and university-trained bureaucrats and lawyers—to build national governments. Much of medieval history involved the struggle by rulers to assert their authority over powerful local lords and the church.

Church and State. The medieval papacy sought to extend its power over both church and state.

In the tenth century, the Cluny reform movement increased popular respect for the church and strengthened the papacy. In the Investiture Controversy, the papacy secured the independence of the clergy by enlisting the support of the German princes against the Holy Roman Emperors, thus weakening imperial power in Germany. The First Crusade further strengthened papal prestige. But by the end of the thirteenth century, kings had become more powerful than popes, and the French king Philip the Fair was able to defy the papacy. In the fourteenth century, the Great Schism further weakened papal prestige. Although it was able to fend off a movement to make church councils superior to popes, the papacy never recovered its authority over national rulers.

The Renaissance. The Renaissance, which began in the Italian city-states in the late fourteenth century, marks the transition from the medieval to the modern world. Humanism, the scholarly study of the Greek and Latin classics and the ancient Church fathers, promoted a rebirth of ancient norms and values and the classical ideal of an educated, well-rounded person. The growth of secular values led to a great burst of artistic activity by artists such as Leonardo da Vinci, Raphael, and Michelangelo. The political weakness of the Italian states invited foreign intervention by France, Spain, and the Habsburgs. The sack of Rome by imperial forces in 1527 marks the end of the Renaissance.

Nation-Building. By the fifteenth century, England, France, and Spain had developed into strong national monarchies with centralized bureaucracies and professional armies. Although medieval institutions, such as the English Parliament, in theory limited royal power, in practice monarchs in these countries held unchallenged authority. The Great Schism, the Hundred Years’ War, and the Black Death had weakened the church and the nobility, while townspeople supported the kings. A similar process was beginning in Russia where the rulers of Moscow were extending their authority after throwing off Mongol rule. In the Holy Roman Empire, however, regional lords had defeated the emperors’ attempts to build a strong central state.

Key Terms Black Death, p. 406 Crusades, p. 392 Golden Horde, p. 415 guilds, p. 397 humanism, p. 410 Mannerism, p. 412

chiaroscuro (kee-ah-roh-SKOO-roh), p. 411 Curia, p. 409 Great Schism, p. 409 Holy Roman Empire, p. 409 Magna Carta, p. 403 regular clergy, p. 400 148 ..

Renaissance, p. 409 secular clergy, p. 400 taille (tai), p. 407

Scholasticism, p. 399 studia humanitatis (STOO-dee-ahoo-mah-neeTAH-tiss), p. 410 vernacular, p. 390

REVEL Writing Exercises Journal Writing 15.1 Pope Urban II (r. 1088–1099) Preaches the First Crusade What imagery of the enemy does Pope Urban II use and how accurate and fair is this imagery?

15.6 Pico della Mirandola States the Renaissance Image of the Human Ideal According to Pico della Mirandola, what is the basis for the dignity of humankind?

Shared Writing Why did Germany remain divided while France and England began to develop into reasonably strong states during the High Middle Ages?

Internet Resources Little Ice Age: http://www2.sunysuffolk.edu/mandias/lia/little_ice_age.html provides a fascinating discussion of the effects of climate change on food supply, health, and social change in Europe with charts and other illustrations.

Catholic Perspective on the Crusades: http://www.newadvent.org/cathen/04543c.htm provides an encyclopedic overview of events.

A Secular Historian’s Perspective on the Crusades: http://www.historyguide.org/ancient/lecture25b.html features a narrative history with many links.

Invasion of England, 1066: http://www.eyewitnesstohistory.com/bayeux.htm is an attractively illustrated narrative of the Battle of Hastings and related events. The site also covers many other topics from this period.

Magna Carta: http://www.bbc.co.uk/history/british/middle_ages/magna_01.shtml provides context for the signing of this seminal document.

Renaissance and Early Modern World: http://www.fordham.edu/halsall/sbook1x.html gives links and a large number of primary sources.

Leonardo da Vinci: http://www.metmuseum.org/toah/hd/leon/hd_leon.htm offers a detailed analysis of Leonardo’s art, while http://www.leonardo-history.com/ includes text, images and links relating to his art, inventions, and life story.

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Suggested Maps Prentice Hall Atlas of Western Civilization, Second Edition • Crusading Ideal in Europe, 1100–1300 • 12th-Century Renaissance • The Hundred Years’ War • Renaissance Italy 1300–1570 Prentice Hall Atlas of World History, Second Edition • Trade in Medieval Europe • The Black Death

Suggested Films The Year 1200. Bailey Film Associates (BFA) Educational Media (19 minutes).

The Crusades. Centron (16 minutes).

The Crusades: Saints and Sinners. Lutheran Church of America (26 minutes).

Civilization: II–The Great Thaw. Time-Life (52 minutes).

The Norman Conquest of England. Radim Films, Inc (20 minutes).

Medieval Guilds. Encyclopaedia Britannica (21 minutes).

The Medieval Manor. Encyclopaedia Britannica (22 minutes).

Medieval Knights. Encyclopaedia Britannica (22 minutes).

The Medieval Mind. Encyclopaedia Britannica (26 minutes).

Medieval Crusades. Encyclopaedia Britannica (27 minutes).

The Middle Ages. International Film Bureau (31 minutes).

The Middle Ages: A Wanderer’s Guide to Life and Letters. Lutheran Church of America (29 minutes).

Medieval Times: Role of the Church. Coronet (14 minutes).

Art and Architecture: Lesson II. Encyclopaedia Britannica (30 minutes).

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Chartres Cathedral. Encyclopaedia Britannica (30 minutes).

Art of the Middle Ages. Encyclopaedia Britannica (30 minutes).

Romanesque Painters (1000–1200). Roland Films (11 minutes).

The Christians: The People of the Book (569–1492). McGraw-Hill (40 minutes).

Magna Carta. Encyclopaedia Britannica (34 minutes).

Becket. Teaching Film Custodians (32 minutes).

Chaucer and the Medieval Period. Coronet (14 minutes).

Chaucer’s England. Encyclopaedia Britannica (29 minutes).

Civilization III: Romance and Reality. Time-Life (52 minutes).

Medieval England: The Peasants’ Revolt. Learning Corporation of America (31 minutes).

Dijon–the Four Grand Dukes of Burgundy (1300–1500). Roland Films (15 minutes).

Joan of Arc–A Profile in Power. Learning Corporation of America (25 minutes).

You Are There: The Final Hours of Joan of Arc. McGraw-Hill (26 minutes).

Civilization IV: Man–Measure of All Things. Time-Life (52 minutes).

Civilization V: The Hero as Artist. Time-Life (52 minutes).

The Spirit of the Renaissance. Encyclopaedia Britannica (31 minutes).

The Renaissance: Its Beginnings in Italy. Encyclopaedia Britannica (26 minutes) Leonardo da Vinci: Giant of the Renaissance. Encyclopaedia Britannica (25 minutes) I, Leonardo da Vinci. McGraw-Hill (54 minutes).

Raphael. Time-Life (20 minutes).

Michelangelo. Encyclopaedia Britannica (32 minutes).

Michelangelo and His Art. Coronet (16 minutes).

The Secret of Michelangelo: Every Man’s Dream. Association of Instructional Materials (51 minutes).

Durer and the Renaissance. McGraw-Hill (14 minutes).

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Botticelli (1444–1510). Time-Life (10 minutes).

El Greco. Graphic Curriculum (28 minutes).

Venice: The Great Renaissance Merchant State. Benchmark Films (20 minutes).

Heresy, War, and the Black Death: Christianity in the 13th and 14th Centuries. FHS (48 minutes).

In the Name of Christ. Focus of this video is on the Crusades. FHS (30 min).

The Children’s Crusade. History Channel (50 minutes).

The Knights Templar. History Channel (50 minutes).

The Great Plague. This video focuses on the epidemic that struck London in 1665. FHS (51 minutes).

Genius Leonardo da Vinci. Kultur (50 minutes).

Leonardo da Vinci: Mind of the Renaissance. FHS (53 minutes).

The Beginning: The Emergence of the Renaissance. FHS (60 minutes).

The Medici: Godfathers of the Renaissance. PBS (240 minutes).

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Chapter 16—Europe, 1500–1650: Expansion, Reformation, and Religious Wars

Learning Objectives 16.1 The Discovery of a New World Discuss the early European voyages of discovery, the voyages of Columbus, and the impact of the discovery of the New World.

16.2 The Reformation Summarize the history of the Protesant Reformation on the continent and in England, and the Catholic response in the Counter-Reformation.

16.3 The Reformation’s Achievements Compare and contrast religion in fifteenth-century and sixteenth-century life, and family in early modern Europe and today.

16.4 The Wars of Religion Discuss the causes and consequences of the wars of religion culminating in the Thirty Years’ War. 16.5 Superstition and Enlightenment: The Battle Within Analyze the reasons behind the witch hunts; summarize the work and thought of Shakespeare, Pascal, Hobbes, and Locke.

Introduction •

• • •

In the second decade of the sixteenth century, a powerful religious movement began in Saxony in Germany and spread rapidly throughout northern Europe, deeply affecting society and politics as well as the spiritual lives of men and women. Protestant reformers led a revolt against the medieval church.

As different groups identified their political and social goals with either Protestantism or Catholicism, 100 years of bloody opposition between Protestants and Catholics darkened the second half of the sixteenth century and the first half of the seventeenth.

During the Thirty Years’ War (1618–1648), international armies of varying religious persuasions clashed in central and northern Europe.

For Europe the late fifteenth and the sixteenth centuries were years of unprecedented territorial expansion, most notably in the New World.

Global Perspective European Expansion 153 ..

• • • •

In the late fifteenth and the sixteenth centuries, a recovering Europe was able to compete for access to valuable goods in Eastern markets by navigating the high seas.

A major motivation for the voyages, which began with a reconnaissance of the West African coast, was to circumvent the Muslim monopoly on the movement of spices from the Indian Ocean into Europe, a grip that had only strengthened with the rise of the Ottomans.

China turned inward and abandoned overseas trade and exploration precisely at the moment when Europeans were exploring the coast of Africa on their way to the Indian Ocean.

China and Japan, as well as many Islamic societies, including the Ottomans and the Mughals, demonstrated more tolerance for foreign religions, such as Christianity, than did the West for Islam or for Asian religious traditions.

Focus Questions 1. Why did Europeans launch voyages of exploration in the fifteenth and sixteenth centuries?

What role did the Crusades and the rise of the Ottoman Empire play in this enterprise?

2. Why did the Chinese voyages of exploration under the Ming come to a halt? What were the consequences for world history?

3. What was the biological impact of the European discovery of America?

Key Points 16.1 The Discovery of the New World •

Beginning with the successful voyages of the Portuguese and Spanish in the fifteenth century, commercial supremacy progressively shifted from the Mediterranean and Baltic seas to Europe’s Atlantic seaboard, setting the stage for global expansion.

16.1.1 The Portuguese Chart the Course • • • •

Before there was a sea route to the Orient, spices were obtained through the Venetians, who bought or bartered them from Eastern Muslim merchants.

The Portuguese beat this Venetian–Mamluk (Turkish) monopoly by going directly to the source by sea.

In addition to spice markets, the voyages sought allies against western Europe’s archenemies, the Muslims. The church expected mass conversions in the wake of conquest, a Christian coup as well as mercantile advantage.

The Portuguese concentrated their explorations on the Indian Ocean. In their wake, the Spanish turned out into the Atlantic Ocean in search of a shorter route to the East Indies by sailing due west.

16.1.2 The Spanish Voyages of Christopher Columbus •

In 1492, Columbus discovered new lands that were not the outermost territory of the Far East, but islands off two entirely unknown continents that divided the Atlantic Ocean from the still greater Pacific, the Americas.

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16.1.3 Impact on Europe and America •

• •

Columbus’s first voyage marked the beginning of more than three centuries of Spanish conquest, exploitation, and administration of a vast American empire.

The wealth extracted from its American possessions financed Spain’s commanding role in the sixteenth century, while fueling an economic expansion throughout Europe.

European expansion also had a profound biological impact. Europeans introduced numerous species of fruits, vegetables, and animals from Europe into the Americas, and vice versa.

European expansion also led to a spread of European diseases.

16.2 The Reformation •

The Reformation was a sixteenth-century religious movement that sought to reform the church. It led to the establishment of Protestantism and the religious division of Western Christendom.

16.2.1 Religion and Society • •

•

The Reformation first broke out in the free imperial cities of Germany and Switzerland.

Certain groups favored the Reformation more than others. In many places, trade guilds were in the forefront of the Reformation.

Social and political experience coalesced with the larger religious issues in both town and countryside.

16.2.2 Popular Movements and Criticism of the Church • •

The Protestant Reformation could not have occurred without the monumental crises of the late medieval church and the Renaissance papacy. Laity and clerics alike began to seek a more heartfelt, idealistic religious piety.

The new age of books and libraries raised literacy and heightened lay curiosity, confidence, and criticism.

16.2.3 Secular Control over Religious Life •

•

On the eve of the Reformation, Rome’s international network of church offices began to fall apart in many areas, a process hurried along by a growing sense of regional identity—incipient nationalism—and local secular administrative competence.

City governments also sought to restrict the growth of ecclesiastical properties and clerical privileges.

16.2.4 The Northern Renaissance • • •

The scholarly works of northern humanists created a climate favorable to religious and educational reforms.

By 1500, printing presses operated in at least sixty German cities and in more than 200 throughout Europe. A new medium now existed for politicians, humanists, and reformers alike to spread new ideas.

The most famous of the northern humanists was Desiderius Erasmus (1466–1536). He aspired to unite the classical ideals of humanity and civic virtue with the Christian ideals of love and piety.

He believed that disciplined study of the classics and the Bible, if begun early enough, was the best way to reform both individuals and society.

16.2.5 Martin Luther and the German Reformation to 1525 •

•

Unlike France and England, late medieval Germany lacked the political unity to enforce “national” religious reforms during the Late Middle Ages.

As popular resentment of clerical immunities and ecclesiastical abuses spread in German lands,

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•

• • • • •

opposition to Rome formed.

Martin Luther (1483–1546) posted his ninety-five theses against indulgences on the door of Castle Church in Wittenberg, on October 31, 1517, he protested the impression that indulgences actually remitted sins and released the dead from punishment in purgatory. Luther believed such claims turned salvation into something that could be bought and sold.

Luther challenged the infallibility of the pope and the inerrancy of church councils, appealing for the first time to the sole authority of Scripture alone and urged the German princes to force reforms on the Roman church, especially to curtail its political and economic power in Germany.

In the late 1520s and on into the 1530s, the Reformation passed from the hands of the theologians and pamphleteers into those of the magistrates and princes. The religious reform thus became a territorial political movement led by the German princes.

Peasant leaders in Germany saw in Luther’s gospel of Christian freedom a point of view close to their own. They openly solicited the reformer’s support of their political and economic rights, including their release from serfdom.

When the peasants revolted against their landlords in 1524–1525, Luther condemned them as “un-Christian” and urged the princes to crush their revolt.

In the late 1530s and early 1540s, Luther urged German princes forcibly to remove nonconverting Jews to a land of their own, as had already been done in France, Spain, and Bohemia.

16.2.6 Zwingli and the Swiss Reformation •

• •

Although Luther’s was the first, Switzerland and France had their own independent reform movements almost simultaneously with Germany’s.

Ulrich Zwingli (1484–1531), the leader of the Swiss Reformation, was the people’s priest in Zurich. His reform guideline was simple and effective: Whatever lacked literal support in Scripture was to be neither believed nor practiced by Christians.

In early October 1529 Philip of Hesse brought the two Protestant leaders together in his castle in Marburg hoping to work out their differences, only to see Luther leave thinking Zwingli was a dangerous fanatic, splintering the Protestant movement and weakening it theologically, politically, and militarily.

16.2.7 Anabaptists and Radical Protestants •

•

The moderate pace and small ethical results of the Lutheran and Zwinglian reformations discontented many who had desired a more rapid and thorough implementation of primitive Christianity. The most important of these groups were the Anabaptists.

In 1529 rebaptism became a capital offense throughout the Holy Roman Empire. Between 1525 and 1618, 1,000 to 5,000 Anabaptists are estimated to have been executed for rebaptizing themselves as adults.

16.2.8 John Calvin and the Genevan Reformation •

• • •

Calvinism was the religious ideology that inspired and accompanied massive political resistance in France, the Netherlands, and Scotland.

Believing in both divine predestination and the individual’s responsibility to create a godly society, Calvinists became zealous reformers.

John Calvin and his followers, based in Geneva, were motivated above all by a desire to make society godly. The “elect,” Calvin taught, should live a manifestly God-pleasing life, if they were truly God’s elect.

Geneva became the home to thousands of exiled Protestants who had been driven out of France, England, and Scotland.

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16.2.9 Political Consolidation of the Lutheran Reformation 16.2.10 Reaction against Protestants • •

In September 1555, the Peace of Augsburg made the division of Christendom permanent. Under this edict, Lutherans were permitted to retain all church lands forcibly seized before 1552.

The Peace of Augsburg did not recognize Calvinism as a legal form of Christian belief and practice. Calvinists now took the lead in organizing national revolutions throughout northern Europe.

16.2.11 The English Reformation to 1553 •

• •

•

The unhappy marriage of King Henry VIII (r. 1509–1547) ensured the success of the English protest against the church.

In 1533 Parliament passed the Submission of the Clergy, effectively placing canon law under royal control and thereby the clergy under royal jurisdiction.

Edward VI (r. 1547–1553), Henry’s son by his third wife, Jane Seymour, became king at age 10.

Under his regents, England enacted much of the Protestant Reformation. Henry’s Six Articles and laws against heresy were repealed, and clerical marriage and Communion with the cup were sanctioned.

It was not until the reign of Elizabeth I (r. 1558–1603) that a lasting religious settlement was worked out in England.

16.2.12 Catholic Reform and Counter-Reformation •

• •

Many new religious orders sprang up in the sixteenth century to lead a broad revival of piety within the church. Of the various reform groups, none was more instrumental in the success of the Counter-Reformation than the Society of Jesus, the new order of Jesuits. Organized by Ignatius of Loyola in the 1530s.

Jesuit zeal helped counter the Reformation and win many Protestants back to the Catholic fold, especially in Austria and Germany.

Through the Council of Trent the selling of church offices and other religious goods was forbidden. Trent strengthened the authority of local bishops so they could effectively discipline popular religious practice.

16.3 The Reformation’s Achievements 16.3.1 Religion in Fifteenth-Century Life •

• • •

In the fifteenth century, on the streets of the great cities of central Europe that later turned Protestant (for example, Zurich, Strasbourg, Nuremberg, and Geneva), the clergy and the religious were everywhere. They made up 6–8 percent of the total urban population, and they exercised considerable political as well as spiritual power.

The church calendar regulated daily life. About one-third of the year was given over to some kind of religious observation or celebration.

Monasteries and especially nunneries were prominent and influential institutions.

There was a booming business at local religious shrines and veneration of the saints and their relics was widespread.

16.3.2 Religion in Sixteenth-Century Life •

In these same cities after the Reformation had firmly established itself, the overall number of clergy fell by two-thirds, and the number of religious holidays shrank by one-third. Monasteries and nunneries were nearly empty, many were transformed into hospices for the sick and poor or

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• •

into educational institutions.

In the churches, which had also been reduced in number by at least a third, worship was conducted almost completely in the vernacular.

The laity observed no obligatory fasts. Indulgence preachers no longer appeared. Local shrines were closed down, and anyone found openly venerating saints, relics, and images was subject to fine and punishment.

16.3.3 Family Life in Early Modern Europe •

• •

Starting in the early sixteenth century, men and women in Western Europe and England married at later ages than they had in previous centuries: men in their mid-to-late twenties and women in their early to mid-twenties.

The typical west European family was conjugal, or nuclear, consisting of a father and a mother and two to four children who survived into adulthood.

Marriages with extreme age disparity were no more the norm in early modern Europe than was the practice of wet nursing, and each received just as much criticism and ridicule.

16.4 The Wars of Religion •

•

• •

After the Council of Trent adjourned in 1563, Catholics began a Jesuit-led counteroffensive against Protestants.

Calvinism adopted a Presbyterian organization that magnified regional and local religious authority. Boards of presbyters, or elders, representing the many individual Calvinist congregations, directly shaped the policy of the church at large. By contrast, the CounterReformation sponsored a centralized Episcopal Church system, hierarchically arranged from pope to parish priest and stressing absolute obedience to the person at the top.

The wars of religion were both internal national conflicts and truly international wars. Catholic and Protestant.

The outbreak of the Thirty Years’ War in 1618 made the international dimensions of the religious conflict especially clear; before it ended in 1648, the war drew every major European nation directly or indirectly into its deadly net.

16.4.1 French Wars of Religion (1562–1598) •

• •

Over two-fifths of the French aristocracy became Huguenots. Many apparently hoped to establish within France a principle of territorial sovereignty akin to that secured within the Holy Roman Empire by the Peace of Augsburg (1555).

On the eve of Saint Bartholomew’s Day, August 24, 1572, 3,000 Huguenots were butchered in Paris. Within three days an estimated 20,000 Huguenots were executed in coordinated attacks throughout France.

This event changed the nature of the struggle between Protestants and Catholics both within and beyond the borders of France, making it a life-or-death struggle.

16.4.2 Imperial Spain and the Reign of Philip II (1556–1598) • During the first half of his reign, Philip II focused attention on the Mediterranean and Turkish expansion. On October 7, 1571, a Holy League of Spain Venice, and the pope defeated the Turks at Lepanto in the largest naval battle of the sixteenth century.

• When Philip attempted to impose his will within the Netherlands and on England and France, the resistance of the Netherlands especially proved the undoing of Spanish dreams of world empire.

16.4.3 England and Spain (1558–1603)

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• • •

•

Elizabeth I repealed the anti-Protestant legislation of her predecessor Mary Tudor and guided a religious settlement through Parliament that prevented England from being torn asunder by religious differences in the sixteenth century, as the Continent was.

Tensions with Spain over religion and economic completion grew.

On May 30, 1588, a mighty Spanish fleet of 130 ships bearing 25,000 sailors and soldiers under the command of the Duke of Medina-Sidonia set sail for England. The Armada’s defeat gave heart to Protestant resistance everywhere. Spain never fully recovered from it. By the time of Philip’s death on September 13, 1598, his forces had been rebuffed by the French and the Dutch.

The French soon dominated the Continent, while the Dutch and the English whittled away Spain’s overseas empire.

16.4.4 The Thirty Years’ War (1618-1648) • The Thirty Years’ War was the last and most destructive of the wars of religion, which turned into the worst European catastrophe since the Black Death of the fourteenth century.

• In 1648 all hostilities within the Holy Roman Empire were brought to an end by the Treaty of Westphalia. It reasserted the major feature of the religious settlement of the Peace of Augsburg (1555), as rulers were again permitted to determine the religion of their lands.

16.5 Superstition and Enlightenment: The Battle Within

16.5.1 Witch Hunts •

• •

Popular belief in magic was the essential foundation of the witch hunts. The contribution of learned, Christian society was equally great. Attacking accused witches became a way for the church to extend its spiritual hegemony, especially in new areas being conformed by church and state to higher Christian society.

Roughly 80 percent of the victims of witch hunts were women, most of them single and between 45 and 60 years of age.

Older single women claiming supernatural powers may, however, have been vulnerable for other basic social reasons. As a dependent social group ever in need of public assistance, they were natural targets for the peculiar “social engineering” of the witch hunts.

16.5.2 Writers and Philosophers • Intellectually and politically, the seventeenth century became a period of transition, one that had been well prepared for by the humanists and scientists of the Renaissance.

• The writers and philosophers of the late sixteenth and seventeenth centuries were aware that they lived in a period of transition. Some embraced the emerging new scientific perspective wholeheartedly (Hobbes and Locke), others tried to straddle the two ages (Cervantes and Shakespeare), and still others ignored or opposed new developments that seemed to pose mortal threats to traditional values (Pascal).

• John Locke (1632–1704) proved to be the most influential political thinker of the seventeenth century. According to Locke, people enter social contracts, empowering legislatures and monarchs to “umpire” their disputes, precisely to preserve their natural rights, and not to give rulers an absolute power over them.

Documents 159 ..

German Peasants Protest Rising Feudal Exactions •

Are the peasants more interested in material than in spiritual freedom? Which of their demands are the most revolutionary, and which are the least problematic for their lords to grant? Why do some centuries exhibit greater social and political equality than others?

Theodore Beza Defends the Right to Resist Tyranny • •

What makes Beza’s political theories radical?

Are there similarities between Beza’s argument and the American Declaration of Independence?

If so, what are they?

John Locke Explains the Sources of Human Knowledge • •

How did Locke’s views on sensation and experience influence the way people viewed the world?

Why is Locke’s explanation for the sources of human knowledge so important?

A Closer Look A Contemporary Commentary on the Sexes 1. In the scene above, who are the takers and who are the givers? Who controls the relationship between the sexes? Is the lion a truly forbidding patriarch or is a woman the one on top?

2. How does this artistic portrayal of womankind compare with the lives of women as described in the chapter?

3. Compare the scene with two other images in this chapter: “Christ Blessing the Children” (near the section “Anabaptists and Radical Protesters”) and Hans Baldung Grien’s portrayal of witches (near the section “Witch Hunts and Panic”).

4. What general conclusions can be drawn about the relationship of the sexes?

Summary Voyages of Discovery. In the late fifteenth century, Europe began to expand around the globe.

Driven by both mercenary and religious motives, the Portuguese pioneered a sea route around Africa to India and the Far East, and the Spanish discovered the Americas. Social, political, and biological consequences were immense for Europeans, Native Americans, Africans, and Asians.

In time, a truly global world would emerge.

The Reformation. The Reformation began in Germany with Martin Luther’s attack on indulgences in 1517. Despite Emperor Charles V’s opposition to the Reformation, Luther had the support of many German princes. The Reformation shattered the religious unity of Europe. In Switzerland, Zwingli and Calvin launched their own versions of Protestantism. In England, Henry VIII repudiated papal authority when the pope refused to grant him a divorce. The different Protestant sects were often as hostile to each other as they were to Catholicism. The 160 ..

Reformation also led to far- reaching changes in religious practices and social attitudes, including steps toward the advancement of women.

The Wars of Religion. The Protestant Reformation had a significant impact on European political entities in the last half of the sixteenth century. France, the Netherlands, and England all experienced struggles over which religious tradition would be recognized at the expense of others. These struggles, though state focused, took on international dimensions because of Philip II of Spain’s dreams of a world empire under his leadership, which led him to support Catholic forces in each of these lands. National forces, desiring autonomy from Spanish influence, often embraced solutions that included relative religious tolerance. From 1618 to 1648, the last of the religious wars occurred in the fragmented German lands. Hostilities were ended with a religious settlement under which the ruler of each of the 360 Germanic political entities would determine the religion of his land.

Superstition and Enlightenment: The Battle Within. Religious reform and warfare not only changed religious institutions but also spurred intellectuals to rethink their ideas about human nature and society. Witch panics, a dark side of this reexamination, grew out of traditional beliefs in the existence of individuals with the power to help a village or its people in times of natural disasters or personal misfortune. Accusations by clergy against these supposed “cunning folk” contributed to the panics, as did the vulnerability of women in society. The evolution of a scientific worldview eventually quelled the panics. The era of the late sixteenth and early seventeenth centuries spawned new ideas and new perspectives. William Shakespeare flourished during this time, writing tragedies, comedies, and histories. The Frenchman Blaise Pascal and the Englishmen Thomas Hobbes and John Locke examined different aspects of human life and society and had lasting impacts on subsequent philosophers.

Key Terms consubstantiation, p. 431 Diet of Worms, p. 428 indulgence, p. 427 Reformation, p. 424

Counter-Reformation, p. 436 Huguenots, p. 440 ninety-five theses, p. 427 transubstantiation, p. 431

REVEL Writing Exercises Journal Writing 16.2 German Peasants Protest Rising Feudal Exactions Which of the peasants’ demands are the most revolutionary, and which are the least problematic for their lords to grant?

16.4 Theodore Beza Defends the Right to Resist Tyranny What makes Theodore Beza’s political theories radical?

16.5 John Locke Explains the Sources of Human Knowledge 161 ..

Why is Locke’s explanation for the sources of human knowledge so important?

Shared Writing What were the main problems of the church that contributed to the Protestant Reformation and why had they not be resolved earlier?

Internet Resources Columbian Exchange: http://daphne.palomar.edu/scrout/colexc.htm gives useful images and discussion of various plants, animals, and diseases that were part of the Columbian Exchange.

Queen Elizabeth: http://englishhistory.net/tudor/monarchs/eliz1.html includes a biography and an extensive gallery of annotated images, while http://www.elizabethi.org/us/ links to extensive information about the queen’s life and times. The British Monarchy’s official website offers yet another perspective at http://www.royal.gov.uk/HistoryoftheMonarchy/KingsandQueensofEngland/TheTudors/Elizabet hI.aspx.

Martin Luther: http://www.iep.utm.edu/luther/ emphasizes the ideas behind Luther’s protests.

Reformation Documents: http://www.fordham.edu/halsall/mod/modsbook02.html provides links to many primary source documents relating to the Reformation and Counter-Reformation.

Reformation Art: http://www.metmuseum.org/toah/hd/refo/hd_refo.htm offers images and accompanying essays on the rich art of the Reformation and Counter-Reformation.

Jesuits: http://www.newadvent.org/cathen/14081a.htm provides the Catholic perspective on the Society of Jesus.

Witchcraft Persecutions: http://www.law.umkc.edu/faculty/projects/ftrials/salem/witchhistory.html offers an illustrated chronology of witchcraft persecutions.

Witch Hunt Theories: http://departments.kings.edu/womens_history/witch/worigin.html catalogs and anlyzes various proposed explanations for witch hunts through history.

Suggested Maps Prentice Hall Atlas of Western Civilization, Second Edition • Central Europe in the 15th century • The Spread of Printing in the 15th Century • Struggle for Supremacy in Europe 1493–1551 Prentice Hall Atlas of World History, Second Edition 162 ..

• Voyages of European Expansion • The Religious Map of Europe in 1590 • Global Economies and Technologies ca. 1500

Suggested Films The Age of Exploration and Expansion. Centron Films (17 minutes).

The Colonial Expansion of European Nations. Coronet (13 minutes).

Cortez and the Legend. McGraw-Hill (52 minutes).

Ten Who Dared: Francisco Pizarro. Time-Life (30 minutes).

Ten Who Dared: Christopher Columbus. Time-Life (30 minutes).

The Christians: The Conquest of Souls (1492–1588). McGraw-Hill (40 minutes).

The Christians: Protest and Reform (1485–1561). McGraw-Hill (40 minutes).

Civilization VI: Protest and Communication. Time-Life (52 minutes).

Civilization VII: Obedience and Grandeur. Time-Life (52 minutes).

The Reformation. Coronet (14 minutes).

The Reformation. McGraw-Hill (52 minutes).

The Reformation: Age of Revolt. Encyclopaedia Britannica (24 minutes).

Martin Luther and the Protestant Reformation. Time-Life (30 minutes).

English History: Tudor Period. Coronet (11 minutes).

The England of Elizabeth. International Film Bureau (26 minutes).

The Christians: In Search of Tolerance 1526–1682. McGraw-Hill (39 minutes).

The Spanish Armada. McGraw-Hill (31 minutes).

Sir Francis Drake: The Rise of English Seapower. Encyclopaedia Britannica (30 minutes).

Age of Elizabeth. Encyclopaedia Britannica (30 minutes).

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Heresy, War, and the Black Death: Christianity in the 13th and 14th Centuries. FHS (48 minutes).

500 Nations (4-DVD set). National Geographic. Episodes 3 and 4 explore the clash of cultures that occurred with Columbus’s arrival and the first English settlements.

Discovery of a New World. FHS (30 minutes).

Guns, Germs, and Steel. National Geographic. Episode 2 is especially good for illustrating the material on the Columbian Exchange (180 minutes).

Martin Luther. PBS (120 minutes).

Sectarianism and Schism in Europe: Christianity in the 15th and 16th Centuries. FHS (48 minutes).

The Reformation: Luther and the Protestant Revolt. FHS (52 minutes).

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Chapter 17—Conquest and Exploitation: The Development of the Transatlantic Economy Learning Objectives 17.1 Periods of European Overseas Expansion Describe the four periods of European overseas expansion and its consequences.

17.2 Mercantilist Theory of Economic Exploitation Compare mercantilist theories with how mercantilism actually played out.

17.3 Establishment of the Spanish Empire in America Discuss the Spanish conquests of the Aztecs and Incas, and the role of the Roman Catholic Church in the New World during this period.

17.4 Economies of Exploitation in the Spanish Empire Analyze the different varieties of economic activity and the flota system in the Spanish Empire in America.

17.5 Colonial Brazil Compare and contrast the Portuguese Empire in Brazil with the Spanish Empire in other areas of America.

17.6 French and British Colonies in North America Compare and contrast the French and British presence in North America.

17.7 The Columbian Exchange: Disease, Animals, and Agriculture Summarize the Columbian Exchange and its effects in the Americas and around the world.

17.8 Slavery in the Americas Discuss slavery in the Americas and the plantation economy.

17.9 Africa and the Transatlantic Slave Trade Analyze the impact of slave-trading on Africa.

Introduction • • •

The late-fifteenth-century European encounter with the American continents changed the entire world.

Within decades of the European voyages of discovery, Native Americans, Europeans, and Africans began to interact in a manner unprecedented in human history.

By the close of the sixteenth century Europe, the Americas, and Africa had become linked in a vast transatlantic economy that extracted material and agricultural wealth from the American continents largely on the basis of the non-free labor of impressed Native Americans and imported

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• •

African slaves.

The next century would see English and French colonists settling in North America and the Caribbean, introducing different political values and, through the English, Protestantism.

The slave trade intimately connected the economy of certain sections of Africa to the transatlantic economy.

Global Perspective The Atlantic World •

• • •

The exchanges of people, goods, ideas, and plants, animals, and microorganisms between the American, European, and African continents in the fifteenth and sixteenth centuries transformed world history.

While trade and culture had long linked parts of Africa and regions in Eurasia, the civilizations of the Americas and the civilizations of Eurasia and Africa had had no significant contact with each other prior to the era of European exploration.

Throughout the Americas and the Caribbean basin, Europeans established economies of exploitation. In Latin America, they developed various institutions to extract native labor.

The emergent Atlantic World drew the economies and peoples of Europe, Africa, and the Americas into a vast worldwide web of production based on native and slave labor.

Focus Questions 1. How did the encounter of Europe and Africa with the Americas change the global ecological balance?

2. Why was the Spanish Empire based on economies of exploitation? How was the labor of nonEuropean peoples drawn into the economy of this empire?

3. How and why did the plantation economy develop? Why did it rely on African slaves for its labor? What were the consequences of the slave trade for individuals and institutions in each of the three continents constituting the Atlantic World?

4. Why do we think of the plantation economy as a global, rather than regional, system of production? Why was it the “engine” of Atlantic basin trade?

Key Points 17.1 Periods of Overseas European Expansion •

• •

Since the late fifteenth century, European contacts with the rest of the world have gone through four distinct stages.

The first was that of the European discovery, exploration, initial conquest, and settlement of the Americas and commercial expansion elsewhere in the world.

The second era was one of colonial trade rivalry among Spain, Portugal, France, Holland and

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• •

Great Britain.

The third stage of European contact with the non-European world occurred in the nineteenth century when European governments carved out formal empires in Africa and Asia.

The last phase of European dominion occurred during the mid-twentieth century with the decolonization of peoples who had previously been under European colonial rule.

17.2 Mercantilist Theory of Economic Exploitation •

• • • •

The early modern European empires of the sixteenth through the eighteenth centuries—empires based on commerce—existed primarily to enrich the Europeans through trade, the Atlantic slave trade was a major way in which European merchants enriched themselves.

To the extent that any formal economic theory lay behind the conduct of these empires, it was mercantilism.

The terms mercantilism and mercantile system (coined by later opponents) designate a system in which governments heavily regulate trade and commerce in hope of increasing individual national wealth.

A nation had to gain a favorable trade balance of gold and silver bullion. A nation was truly wealthy only if it amassed more bullion than its rivals.

From beginning to end, the economic well-being of the home country was the primary concern of mercantilist writers. Colonies existed to provide markets and natural resources for the industries of the home country. The home country and its colonies were to trade exclusively with each other.

17.3 The Establishment of the Spanish Empire in America 17.3.1 Conquest of the Aztecs and the Incas • •

• • •

In 1519 Hernán Cortés (1485–1547) landed in Mexico with about 500 men and a few horses.

With the assistance of his native allies, Cortés defeated in 1521 the Aztecs, razed their capital Tenochtitlán, building his own capital over its ruins, and proclaimed the Aztec Empire to be New Spain.

In 1532, largely inspired by Cortés’s example in Mexico, Francisco Pizarro (ca. 1478–1541) landed on the western coast of South America to take on the Inca Empire.

The Spaniards fought their way to Cuzco, the Inca capital, and captured it, effectively ending the Inca Empire.

The spread of European diseases, especially smallpox, among the Native Americans also aided the conquest.

17.3.2 The Roman Catholic Church in Spanish America • •

• •

The Spanish conquest of the West Indies, Mexico, and the South American continent opened that vast region to the Roman Catholic faith.

As it had in the Castilian reconquest of the Iberian Peninsula from the Moors, religion played a central role in the conquest of the New World. In both cases the Castilian monarchy received approval from church authorities for a policy of military conquest on the grounds of converting non-Christians to the Christian faith and eradicating their indigenous religious practices.

During the sixteenth century the Roman Catholic Church, represented more often than not by the mendicant orders such as the Franciscans and Dominicans, and later by the newly formed Jesuits, sought to convert the Native Americans.

By the end of the sixteenth century the church in Spanish America had become largely an institution upholding the colonial status quo. Although individual priests did defend the

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communal rights of Native American tribes, the colonial church prospered as the Spanish elite prospered through its exploitation of the resources and peoples of the New World.

17.4 Economies of Exploitation in the Spanish Empire 17.4.1 Varieties of Economic Activity •

• • • • •

The early conquistadores (“conquerors”) had primarily been interested in gold, but by the middle of the sixteenth century silver mining was providing the chief source of metallic wealth.

Silver predominated during the colonial era and experienced a major boom, especially in Mexico, during the eighteenth century. Its production for the benefit of Spaniards and the Spanish crown epitomized the wholly extractive economy on which Latin American colonial life was based.

The Spanish devised a series of institutions (encomienda, repartimiento, mita) to exploit Native American labor.

Outside the mines, the major institution using dependent labor in the Spanish colonies was the hacienda.

The establishment of haciendas represented the transfer of the principal of private ownership of large units of land, which was characteristic of Europe and especially of Spain, to the New World.

Laborers on the hacienda usually stood in some relation of formal servitude to the owner.

17.4.2 Commercial Regulation and the Flota System •

• • • •

Spanish control of its American empire involved a system of monopolistic trade regulation that was more rigid in appearance than in practice.

The Casa de Contratación (House of Trade) in Seville regulated all trade with the New World.

Cádiz was the only Spanish port to be used for the American trade. In America there were similarly specific ports for trade both with Spain and with non-Spanish merchants.

Each year a fleet of commercial vessels (the flota) controlled by Seville merchants, escorted by warships, carried merchandise from Spain to a few specified ports in America.

After selling their wares, the ships were loaded with silver and gold bullion, usually wintered in heavily fortified Caribbean ports, and then sailed back to Spain.

Foreign merchants were also forbidden to breach the Spanish monopoly.

17.5 Colonial Brazil •

• • • • •

Portugal had fewer human and material resources to devote to its New World empire than did Spain.

The native people in the lands that Portugal governed lived for the most part in small, nomadic groups. In this respect they differed from the native peoples of Spanish America, with their centralized empires, cities, and organized political structures.

By the mid-sixteenth century, sugar production had gained preeminence in the Brazilian economy.

Toward the close of the seventeenth century, sugar prices declined and the economy suffered. In the early eighteenth century, however, significant deposits of gold were discovered in southern Brazil.

Nowhere, except perhaps in the West Indies, was slavery as important as it was in Brazil, where it persisted until 1888.

Brazil required less direct control by the Portuguese than the Spanish Empire required from Spain.

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17.6 French and British Colonies in North America •

•

• •

•

Both England and France had important sugar islands in the Caribbean. England held Jamaica and Barbados, and France held Saint Domingue (modern Haiti, the western portion of the island of Hispaniola), Guadeloupe, and Martinique. The plantations on these islands were worked by African slaves.

By the end of the seventeenth century a significant but sparsely populated French presence existed in Canada. Trade rather than extensive settlements characterized the French effort. It was primarily through the fur trade that French Canada functioned as part of the early transatlantic economy.

The eastern seaboard of the United States became populated by a series of English colonies.

Other nations, including the Dutch and Swedes, had founded settlements, but all of them were eventually taken over during the seventeenth century by the English.

The English colonists had complex interactions with the Native American populations. Unlike the Spanish to the south and the French to the north, they had only modest interest in missionary enterprise. As in Spanish America, new diseases imported from Europe took a high death toll among the native population.

The largest economic activity throughout the English-speaking colonies was agriculture. From New England through the Middle Atlantic states there were mostly small farms tilled by free white labor; from Virginia southward the plantation economy, dependent on slavery, predominated.

17.7 The Columbian Exchange: Disease, Animals, and Agriculture 17.7.1 Diseases Enter the Americas •

•

The American continents had been biologically separated from Europe, Africa, and Asia for tens of thousands of years.

In the first two centuries after the encounter, wherever Europeans went either as settlers or as conquerors, extremely large numbers of Native Americans died from diseases they had never before encountered. The most deadly such disease was smallpox, which destroyed millions of people.

17.7.2 Animals and Agriculture •

• • •

The introduction of European livestock to the Americas revolutionized the agriculture of two continents. The most important new animals were pigs, cattle, horses, goats, and sheep.

After the conquest, the Americas from Mexico southward became the largest horse-breeding region of the world, with ranches raising thousands of animals.

Europeans also brought their own plants to the New World, including peaches, oranges, grapes, melons, bananas, rice, onions, radishes, and various green vegetables. The most significant of these crops were sugarcane, whose cultivation created the major demand for slaver, and wheat.

The Americas sent Europe a series of plants that eventually changed the European diet: maize, potatoes, sweet potatoes, peppers, beans, manioc (tapioca), peanuts, squash, pumpkins, pineapples, cocoa, and tomatoes. Africa was also the recipient of many of these same foodstuffs.

17.8 Slavery in the Americas 17.8.1 The Background of Slavery •

Both Mediterranean Christian and Islamic peoples were using slaves—mostly Greeks, Bulgarians, Turkish prisoners of war, and Black Sea Tartars, but also Africans—well before the voyages of discovery opened sub-Saharan sources of slaves for the new European colonies

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•

overseas.

Although there were some variations in the legal and social structures of slavery in the Atlantic world, slaves brought from Africa and their descendants were invariably chattel slaves, they were outright possessions of their masters.

17.8.2 Establishment of Slavery •

• •

As the number of Native Americans in South America declined due to disease and exploitation, the Spanish and the Portuguese turned to the labor of imported African slaves.

Starting with the importation of slaves to Jamestown in 1619, slavery spread into the British North American colonies and later became a fundamental institution there.

One of the forces that led to the spread of slavery in Brazil and the West Indies was the cultivation of sugar.

17.8.3 The Plantation Economy and the Transatlantic Trade •

•

The plantation economy was composed of plantations that stretched from Maryland through the West Indies and into Brazil. They formed a vast corridor of slave societies in which social and economic subordination was based on both involuntary servitude and race.

The slave trade was part of the larger system of transatlantic trade that linked Europe, Africa, and the European colonies in South America, the Caribbean, and North America. By the eighteenth century slaves were the predominant African export.

17.8.4 Slavery on the Plantations •

• • •

The life conditions of plantation slaves differed from colony to colony. Most owners possessed relatively few slaves, and vast slaveholdings were the exception.

Virtually all slave owners feared a slave revolt; slave-related legislation and other regulations were intended to prevent such an event. Slave laws favored the master rather than the slave.

The daily life of most slaves during these centuries was one of hard agricultural labor, poor diet and clothing, and inadequate housing. The death rate among slaves was high.

Although racial thinking in regard to slavery became more important in the nineteenth century, the fact that slaves were differentiated from the rest of the population by race as well as by their status as chattel property was fundamental to the system.

17.9 Africa and the Transatlantic Slave Trade •

• •

It was the establishment of plantations demanding the use of slave labor that drew Africa and its peoples into the heart of the transatlantic economy The Portuguese, Dutch, French, British and eventually Americans all were major slave-trading nations Slaving was an important part of the massive new overseas trade that financed much of the European and American economic development that so dramatically changed the West during the nineteenth century.

17.9.1 Slavery and Slaving in Africa •

• •

The trade that long before the fifteenth century supplied African slaves to the Islamic lands of the Mediterranean and to southwestern and southern Asia has conventionally been termed the “Oriental” slave trade.

Estimates suggest that about 10,000 slaves per year, most of them female, were taken from subSaharan Africa through the Oriental slave trade.

By about 1650 the newer Occidental slave trade of the Europeans had become as large as the Oriental trade and for the ensuing two centuries far surpassed it. It affected adversely all of

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• •

Africa, disrupting especially western and Central African societies.

The population declined sharply in the coastal and inland areas hardest hit by the ravages of the trade in the later eighteenth century and continued to decline in places even until 1850.

As European nations, followed by nations in the Americas, slowly began to outlaw first the slave trade and then slavery itself in the nineteenth century, occidental demand slowed and prices for slaves sank. The result was that the Oriental and internal trades increased.

17.9.2 The African Side of the Transatlantic Trade • • • •

Africans were actively involved in the transatlantic slave trade. Except for the Portuguese in Central Africa, European slave traders generally obtained their human cargoes from private or government-sponsored African middlemen.

It was largely African middlemen who undertook the actual capture or procurement of slaves and the difficult, dangerous task of marching them to the coast.

These middlemen were generally either wealthy merchants who could mount slaving expeditions inland or the agents of African chieftaincies or kingdoms who sought to profit from the trade.

When one area was unable to produce sufficient numbers to meet demand, the European traders shifted their buying to other points.

17.9.3 The Extent of the Slave Trade •

•

Historians now estimate that from the sixteenth through the nineteenth centuries there were over 35,000 transatlantic slave ship voyages forcibly transporting more than 11 million Africans to America; many other Africans were lost in passage (the so-called Middle Passage) or through other brutality associated with the trade.

The period of greatest activity, 1701–1810, accounted for over 60 percent of the total, and even the final half-century of slaving until 1870 accounted for over 20 percent of the total. More slaves landed in the Americas in these final years of the trade than during the entire seventeenth century.

17.9.4 Consequences of the Slave Trade for Africa •

• • • •

Slaving took away many of the strongest young men in many areas and, in the Oriental trade zones, most of the young women.

The exchange of productive human beings for money or goods that were generally not used to build a productive economy was a great loss for African society as a whole.

Best estimates indicate that overall African population growth suffered significantly as a result of the devastating numbers of people lost to enslavement or to the increased warfare and decreased birthrate tied to the slave trade.

In the west the loss of so many men increased the pressures for polygamy and possibly the regional use of women slaves as well, whereas in the Sahelian Sudanic regions the loss of women may have stimulated polyandry and reduced the birthrate significantly.

The slave trade measurably changed patterns of life and balances of power in the main affected areas, whether by stimulating trade or warfare (or at least raiding for new supplies), by disrupting previous market and political structures, by substantially increasing slavery inside Africa, or by disturbing the male–female ratio.

Documents A Spaniard Describes the Glory of the Aztec Capital •

Which elements of Aztec life especially astonished Díaz? What can one conclude about the social and political life of the Aztec elite from the manner in which Moctezuma was attended? Which

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forms of wealth were most apparent?

A Contemporary Describes Forced Indian Labor at Potosí •

How efficient does the description suggest the mines were? What would have been the likely effects of working so long underground surrounded by burning candles?

Visitors Describe the Portobello Fair •

What products were sold at the fair? How does this passage illustrate the inefficiency of monopoly trade in the Spanish Empire and the many chances for smuggling?

A Slave Trader Describes the Atlantic Passage •

Who are the various people described in this document who in one way or another were involved in or profited from the slave trade? What dangers did the Africans face on the voyage? What contemporary attitudes could have led this captain to treat and think of his human cargo simply as goods to be transported? What are the grounds of his self-pity for the difficulties he met?

A Closer Look The Slave Ship Brookes 1. What response is this image, showing the crowded conditions on the slave ship Brookes, expected to arouse in the viewer? How do you think the response of viewers in the early twentyfirst century might differ from those in the late eighteenth and early nineteenth centuries?

2. In recent years some commentators have criticized this image as indicating passivity on the part of the enslaved Africans and activity only on the part of the abolitionists. Why might this interpretation be directed toward the image?

3. Do you think that British viewers of this image of the Brookes would necessarily have associated their own nation with the slave trade? Why or why not?

Summary European Conquest of the New World. The contact between the native peoples of the American continents and the European explorers of the fifteenth and sixteenth centuries transformed world history. In the Americas, the native peoples had established a wide variety of civilizations. Some of their most remarkable architectural monuments and cities were constructed during the centuries when European civilizations were feeble in comparison. Until the European explorations, the civilizations of the Americas, Eurasia, and Africa had had no significant contact with each other.

Within half a century of the landing of Columbus, millions of America’s native peoples had encountered Europeans intent on conquest, exploitation, and religious conversion. Because of their advanced weapons, their navies, and the new diseases they brought with them, as well as 172 ..

internal divisions among the Native Americans, the Europeans achieved a rapid conquest.

The Transatlantic Economy. In both North and South America, economies of exploitation were established. In Latin America, various institutions were developed to extract native labor. From the Mid-Atlantic English colonies through the Caribbean and into Brazil, slave-labor plantation systems were established. The slaves were forcibly imported from Africa and sold in the Americas to plantation owners. The economies and peoples of Europe, Africa, and the Americas were thus drawn into a vast worldwide web of production based on slave labor.

The Impact of Slavery. The impact of slavery in the Americas was not limited to the life of the black slaves. Whites in the New World numbered about 12 million in 1820, compared to some 6 million blacks. However, only about 2 million whites had migrated there, compared to some 10 million or more Africans forcibly imported as slaves. Such numbers reveal the effects of brutal slave conditions and the high mortality and low birthrates of slave populations.

None of these statistics, however, enables us to assess the role that slavery has played in the Americas in general or in the United States in particular. The United States actually received only a bit more than a quarter as many slaves as did Brazil alone or the British and French Caribbean regions together, yet the forced migration of Africans as slaves into the United States had profound consequences. Consider just the American Civil War and the endurance of racism and inequality; more positively, consider the African contribution to American industrial development, language, music, literature, and artistic culture.

On the African continent, the impact of the slave trade was immense, though difficult to document specifically for many areas. The social, economic, and personal effects were enormous in any case, given the extent and duration of the trade. Certainly the loss of population and productive resources helped set the stage for European colonization. The Atlantic slave trade’s impact continues to be felt at both ends of the original “trade.”

Key Terms Black Legend, p. 459 Columbian Exchange, p. 466 debt peonage, p. 461 hacienda, p. 460 Middle Passage, p. 476 peninsulares, p. 460 repartimiento, p. 460

chattel slavery, p. 469 conquistadores, p. 459 encomienda, p. 459 mercantilism, p. 455 “Occidental” slave trade, p. 473 plantation economy, p. 470

REVEL Writing Exercises Journal Writing 17.3 A Spaniard Describes the Glory of the Aztec Capital What conclusions can you make about the social and political life of the Aztec elite based on this passage?

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17.4 A Contemporary Describes Forced Indian Labor at Potosí Based on this description, how efficient do you think these mines were?

17.5 Visitors Describe the Portobello Fair How was the fair organized and what products were sold at the fair?

17.9 Slave Trader Describes the Atlantic Passage What dangers and hardships did the Africans face during the voyage?

Shared Writing What were the chief factors involved in the Columbian Exchange, including the plants and animals that had significant influences in new parts of the world?

Internet Resources Bartolomeo de las Casas: http://www.wsu.edu/~campbelld/amlit/casas.htm has links to biographical and bibliographical information.

The Columbian Exchange: http://www.gilderlehrman.org/historynow/06_2007/historian2.php is a summary of historian Alfred Crosby’s analysis.

African Slave Trade: http://www.nmm.ac.uk/freedom/viewTheme.cfm/theme/triangular is just one of a myriad of sites dedicated to this large and tragic subject. This one is particularly useful for its information, images, and an outstanding links page.

Slave Trade Statistics: http://academic.udayton.edu/race/02rights/slave04.htm offers various breakdowns of slave population figures.

Africans in America: http://www.pbs.org/wgbh/aia/part1/1narr4.html was created to accompany a PBS broadcast; there are many useful links.

African Perspective on the Slave Trade: http://www.museeouidah.org/Home-Eng.htm is the homepage of the Ouidah Museum of History; Ouidah, a port city in what is now Benin, was active in the slave trade.

Suggested Maps Prentice Hall Atlas of Western Civilization, Second Edition • Portuguese South America • Spanish South America Prentice Hall Atlas of World History, Second Edition • Colonization of North America • The World Slave Trade • The World: 1700 174 ..

Suggested Films The Colonial Expansion of European Nations. Coronet (15 minutes).

Colonial Expansion. Encyclopaedia Britannica (11 minutes).

Colonial America in the 18th Century. University Film Library Holder (17 minutes).

Colonialism: Ogre or Angel. University Film Library Holder (30 minutes).

Francisco Pizarro. Inca Nation, Peru, 1533. Time-Life Films (30 minutes).

Guns, Germs, and Steel. National Geographic. Episode 2 is especially good for illustrating the material on the Columbian Exchange (180 minutes).

Nightmare in Jamestown. National Geographic (60 minutes).

Just the Facts: Colonization of America—Spanish Settlements. Goldhil Video (30 minutes).

Amistad. Dreamworks Video (155 minutes).

Middle Passage. HBO Home Video (76 minutes).

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Chapter 18—East Asia in the Late Traditional Era Learning Objectives Late Imperial China 18.1 Ming (1368–1644) and Qing (1644–1911) Dynasties Discuss China during the Ming and Qing dynasties.

Japan 18.2 Warring States Era (1467–1600) Analyze the military aspects of the Warring States era and the development of foreign relations and trade.

18.3 Tokugawa Era (1600–1868) Discuss Japanese history, economy, government, and culture during the Tokugawa era.

Korea and Vietnam 18.4 Korea Summarize Korean history through the period of the Choson Dynasty.

18.5 Vietnam Summarize Vietnamese history through the period of the Nguyen Dynasty.

Introduction • • • •

When we compare East Asian countries, we find shared cultural traits. To the extent that it was based on Confucianism, the similarity may have been greatest in the mid-nineteenth century, when China, Japan, Korea, and Vietnam had become more Confucian than ever before.

When we look at their histories and institutions, the similarities are fewer.

China’s dynastic history is cyclical. Japanese political history, in contrast, is not cyclical. Each period of Japanese history reflects a new and different configuration.

It was during these centuries that the West was transformed and East Asia was forced to respond to the West. East Asia from the perspective of Europe, appears to have stagnated and fallen behind. But in fact the West had simply accelerated.

Global Perspective East Asia in the Late Traditional Era •

Why did an industrial revolution not develop within the sophisticated commercial economies of

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• • •

Japan and China?

The self-educated technicians of England who invented the water loom and steam engine reaped enormous honors and rewards. In China and Japan no patents protected inventors, and no economists wrote of inventors as the benefactors of society.

In China, wealth and honors were reserved for officials and gentry, who were literary and political in orientation and despised those who worked with their hands.

Japan eventually, unlike China, did join the Industrial Revolution. The Japanese reached out for Dutch medicine and science—as they had earlier reached out for Chinese Neo-Confucianism. In the middle of the nineteenth century, this openness helps explain their rapid advance.

Focus Questions 1. What features of Japan or China, other than those mentioned above, bear on their lack of progress from commerce to industry? What other factors presented in the chapters on Europe are relevant?

2. Why was Tokugawa Japan more open to Western learning than Qing China? Was population a plus, a minus, or a factor that did not matter?

Key Points Late Imperial China 18.1 Ming (1368–1644) and Qing (1644–1911) Dynasties 18.1.1 Land and the People •

• • • •

China’s population doubled from about 60 or 70 million in 1368 at the start of the Ming Dynasty to about 125 million in 1644 at its end. The population then tripled during the early and middle Qing Dynasty, reaching about 410 million people several decades into the mid-nineteenth century.

An increase in the food supply paralleled population growth.

There were considerable movements of population, migrations to distinct regions, taking place in this period.

The Ming-Qing era was the longest continuous period of good government in Chinese history.

Because of the growth in agriculture and population, most accounts view the eighteenth century as the most prosperous in Chinese history. But by the early nineteenth century the Chinese standard of living may have begun to decline.

18.1.2 China’s Third Commercial Revolution •

• • •

In the mid-sixteenth century commerce started to grow again, buoyed by the surge of population and agriculture and aided by a relaxation of government controls.

By the early nineteenth century China was the most highly commercialized nonindustrial society in the world.

One stimulus to commerce was imported silver. As in Europe, so in China, the influx of silver and the overall increase in liquidity led to inflation and commercial growth. The price of land rose steadily.

Seven or eight regional economies, each the size of a large European nation, were still the focus

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•

for most economic activity, but with more interregional trade than before.

As population grew and the size of the average landholding shrank, more women worked at home, spinning, weaving, and making other products for the burgeoning commercial markets, though women’s status in terms of property rights and other social practices (foot-bonding) declined in this period.

18.1.3 Political System •

• •

Government during the Ming and Qing was much like that during the Song and Yuan, only improved and made stronger.

Historians sometimes describe it as the “perfected” late imperial system. This system, they argue, was able to contain and use the new economic energies that destroyed the weaker late feudal polities of Europe.

The sources of strength of the perfected Ming-Qing system were the spread of education, Confucian ideology, stronger emperors, better government finances, more competent officials, and a larger gentry class with an expanded role in local society.

18.1.4 Ming-Qing Foreign Relations •

• • • •

During the early Ming dynasty, China expanded northward into Manchuria and southward into Vietnam.

The chief threat to the Ming Dynasty was the Mongols. Mongol forces were defeated by a Chinese army in the 1560s and signed a peace treaty in 1571.

The Jesuits were among the first Europeans to have contact with China, exerting some influence but failing to Christianize.

Other Europeans, beginning with the Portuguese, came to trade. They were followed by Dutch from the East Indies (Indonesia), by the British East India Company in 1699, and by Americans in 1784.

Western trade remained encapsulated at Guangzhou, distant from Beijing and little noted elsewhere in China.

18.1.5 Ming-Qing Culture •

• • •

Bookstores came of age in the Ming, selling the Confucian classics, commentaries on them; and collections of Tang and Song poetry.

Chinese culture had begun to turn inward during the Song in reaction to Buddhism. This tendency was accelerated by the Chinese antipathy to Mongol rule and continued into the Ming and Qing, when Chinese culture became virtually impervious to outside influences.

Ming and Qing Chinese esteemed most highly the traditional categories of high culture: painting, calligraphy, poetry, and philosophy. Porcelains of great beauty were also produced.

Ming and Qing novels were usually written by scholars who had failed the examinations, which may account for their caustic comments on officials.

Japan 18.2 Warring States Era (1467-1600) •

In 1467 a dispute arose over who would be the next shōgun. This first war ended in 1477, but the fighting resumed and continued for more than a century.

18.2.1 War of All against All •

By the end of the sixteenth century all Ashikaga daimyo had fallen, with one exception in remote southern Kyushu. In their place emerged hundreds of little “Warring States daimyo,” each with its

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•

own warrior band. The constant wars among these men were not unlike those of the early feudal era in Europe.

As fighting continued, hundreds of local states gave way to tens of regional states, eventually leading to unification in 1600.

18.2.2 Foot Soldier Revolution • • • • • •

During the Warring States period, the foot soldier replaced the aristocratic mounted warrior as the backbone of the military in Japan.

Soldiers were still called samurai. They were still the vassals of daimyo or, sometimes, the vassals of vassals of daimyo, but their numbers, social status, and techniques of warfare changed dramatically.

With larger revenues, Warring States daimyo built bigger armies. They recruited mainly from the peasantry.

By the fourteenth century battles involved thousands or tens of thousands of troops. By the late sixteenth century hundreds of thousands were deployed in major campaigns.

In the mid-fourteenth century a new weapon was developed: a thrusting spear with a thick shaft and a heavy chisel-like blade. A second change in military technology was the introduction of the musket by the Portuguese in the mid-sixteenth century.

By the late sixteenth century all warriors in Japan were part of a pyramid of vassals and lords headed by a single overlord; warriors of rank held fiefs and vassals of their own.

18.2.3 Foreign Relations and Trade • • • •

Japan had maritime contacts with China both through Japanese piracy and through legitimate trade.

Overlapping Japan’s maritime expansion in the seas of East Asia was the arrival of European ships.

The Portuguese gained a foothold in Japan both as shippers of Japanese goods to China and by bringing Jesuit missionaries.

Christian converts increased from a few in the early years to 130,000 in 1579 and to about 300,000 in 1600. The fortunes of Christianity began to decline in 1597, when Hideyoshi banned Christianity and had six Spanish Franciscans and twenty Japanese converts crucified in Nagasaki.

18.3 Tokugawa Era (1600–1868) 18.3.1 Political Engineering and Economic Growth during the Seventeenth Century •

• • • •

By the middle or late seventeenth century, however, Japanese society and political system had been radically reengineered. Vigorous economic and demographic growth had also occurred. This combination of political and economic change made the seventeenth century a period of great dynamism.

In 1588 Hideyoshi ordered a “sword hunt” to disarm the peasants. Once the hunt was completed, the 5 percent of the population who remained samurai used their monopoly on weapons to control the other 95 percent.

Hideyoshi next moved to freeze the social classes. Samurai were prohibited from quitting the service of their lord. Peasants were barred from abandoning their fields to become townspeople.

The balance between centralization and decentralization has led Japanese scholars to label the Tokugawa polity the “bakufu-domain system.”

Agricultural production doubled, as did the population from 12 million in 1600 to 24 million in 1700. The production of agricultural by-products—cotton, silk, indigo, lumber, dyes, sake, and so on—also grew, especially in central Japan and along the shores of the Inland Sea.

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• •

Seclusion ended much foreign trade. One might expect the sharp decline in trade to have dampened Japan’s domestic economy. Instead, commerce continued to grow for the remainder of the seventeenth century.

The growth of a national economy led to a richness and diversity in urban life.

18.3.2 Eighteenth and Early Nineteenth Century •

• • • • •

With the authority of the daimyo backed by that of the shōgun, there was no room for disloyalty.

So loyalty became deeply internalized and was viewed almost as a religious obligation.

It was also easier for Tokugawa samurai to be loyal unto death because, for the most part, there was so little likelihood in an era of peace that such a loyalty would be called for.

It was this Tokugawa species of absolute loyalty that moved the forty-seven rōnin.

Bureaucracy grew. Along with the growth of bureaucracy was the proliferation of administrative codes and government by paperwork.

During the Tokugawa some farmers remained independent small cultivators, but others became landlords or tenants.

The largest question about the Tokugawa economy concerns its relation to Japan’s amazing industrialization, which began later in the nineteenth century.

18.3.3 Tokugawa Culture •

• • • •

• •

Two hundred and fifty years of peace and prosperity provided a base for an ever more complex culture and a broader popular participation in cultural life. In the villages Buddhism became more deeply rooted; new folk religions proliferated; by the early nineteenth century most well-to-do farmers could read and write.

Zen Buddhism, having declined during the Warring States period, was revitalized by the monk Hakuin (1686– 1769).

In the early eighteenth century Kabuki was displaced in popularity by the puppet theater (Bunraku).

In the late eighteenth century the puppet theater, in turn, declined, and as the center of culture shifted from Osaka to Edo, Kabuki again blossomed as Japan’s premier form of drama.

The most important change in Tokugawa intellectual life was that the ruling elite abandoned the religious teachings of Buddhism in favor of the more secular worldview of Confucius, though Confucianism had to be adapted to Japan’s reality and departed from Chinese Confucianism in important ways.

By the late Tokugawa era about 40 to 50 percent of the male population and 15 to 20 percent of the female population was literate—a far higher rate than in most of the world, and on a par with European late developers.

Korea and Vietnam

Korea and Vietnam 18.4 Korea 18.4.1 Early History •

Korea borrowed Chinese writing, established government offices on the Chinese model, sent annual embassies to the Tang court, and sent thousands of students to study at the Tang capital. It embraced Chinese Buddhism, arts, and philosophies.

18.4.2 The Choson Dynasty •

The Choson Dynasty from 1392 to 1910, was directly related to its status as a tributary of Ming

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• • •

and then Qing China. It served China’s interest to prop up an obliging Korean state.

About 30 percent of the population, or slightly more, were slaves. Early Choson Korea was the only “slave society” in the history of East Asia.

A majority of the Korean population were commoner farmers, who were heavily taxed and usually bore their lot stoically.

The Choson was its Neo-Confucian age. Confucian teachings as interpreted by Zhu Xi became firmly established as the state orthodoxy. Civil and military examinations, for which only the yangban had the time and means to prepare, became the primary route to official promotion.

18.5 Vietnam 18.5.1 Vietnam and Southeast Asia •

• • • • •

Four movements shaped the historical civilizations of Southeast Asia. Vietnam was touched by each and by a fifth as well.

The first was the movement of peoples and languages from north to south.

The second movement was the Indianization of Southeast Asia. Between the first and fifteenth centuries Indian traders and missionaries crossed the Bay of Bengal and established outposts throughout Southeast Asia.

A third dynamic movement was that of Arab and Indian traders who sailed across the Indian Ocean to dominate trade with the Spice Islands (the Moluccas of present-day Indonesia) between the thirteenth and fifteenth centuries.

A fourth movement, much later, was the Chinese diaspora: the emigration of Chinese throughout the world but especially to Southeast Asia, which began as a trickle and gathered momentum after the Opium War of 1839–1842.

A fifth movement, or event, which affected only Vietnam and made it a part of East Asia, was conquest by China.

18.5.2 Vietnamese Origins • • •

Vietnamese, until the late fifteenth century, inhabited only the northern part of present-day Vietnam.

The Chams, a wholly different people, who are closer to Indonesians than to Vietnamese, occupied central Vietnam and part of the southeastern coast.

A third people, the Khmers, or Cambodians, inhabited the Mekong River delta, the area that is today southern Vietnam.

18.5.3 A Millennium of Chinese Rule: 11 B.C.E.–989 C.E. •

•

• •

Han armies conquered and brought Vietnam under Chinese control in 111 B.C.E. After that China ruled for more than 1,000 years.

Vietnamese society slowly evolved during the centuries of Chinese rule. Early Vietnam had a matrilineal tribal society, practiced slash-and-burn agriculture, and often moved their settlements when the lands became exhausted. New agricultural techniques and metal plows, introduced from China, led to permanent settlements and denser populations. Tribes gave way to villages, and descent became patrilineal—though women continued to enjoy a higher status than women in China. Buddhism entered, replacing or mingling with earlier animistic beliefs.

During the Tang Dynasty (618–907), Vietnam was still considered a border region, but Chinese administration became stronger. Elements of Chinese law and, possibly, the Chinese land and tax system were introduced at this time.

Whereas Japanese and Korean rulers reached out for Chinese learning and technology and used it for their own ends, the Vietnamese had it thrust upon them.

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18.5.4 An Independent Vietnam •

•

A revolt that took place in 939 when China was weak, led to the establishment of an independent Vietnamese government. Vietnam never again became a part of China.

Some Chinese dynasties, as they expanded, attempted to reconquer the “south” that had once been a part of China. Ming armies occupied Vietnam for twenty years beginning in 1407. But Vietnam was distant and hard to control.

18.5.5 The March South • •

• •

After twenty years of exploitative Ming rule, Le Loi, a landowner from Thanh Hoa, drove out the occupying Chi- nese armies in 1427. He used war elephants in his attack against the Chinese forces. After his victory, he established the Le Dynasty (1428–1787).

The “march south” took more than two centuries. In the first leg of the march, in 1471, Le armies moved south to conquer the Muslim state of Champa in what is today central Vietnam. The second leg of the march south was the conquest of the Mekong Delta (present-day southern Vietnam).

The last phase of premodern Vietnamese history was the Nguyen conquest of the north in 1802.

This led to the founding of the Nguyen Dynasty.

Regional rivalries, ethnic tensions, and a less developed economy meant that Vietnam entered the second half of the nineteenth century less prepared than China or Japan for the challenges it would soon face.

Documents The Thin Horse Market •

Concubines usually had no choice in the matter, but neither did many brides in premodern China.

Was a woman better off as the wife of a poor peasant, experiencing hardship, hunger, and want, or as the concubine in a wealthy household with servants, good food, and the likelihood that her children would receive an education? What does the following passage tell us about attitudes toward women in premodern China?

Qianlong’s Edict to King George III of England •

What philosophical principles underlie the emperor’s sense of superiority?

A Star in Heaven •

Why did a satire such as The Scholars not undermine the premises on which Qing society rested?

The Virtuous Wife •

Can people accept and practice any ethic that serves their society? Or are some ethics more “natural” than others? How did a girl raised in Tokugawa society feel? Could she embrace Ekken’s teachings? Or does the following passage suggest, at least obliquely, that some human feelings are universal and difficult to deny?

A Tokugawa Skeptic •

Does modern science answer the kind of question that Baien is raising? Are some superstitions in

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modern societies still vulnerable to his critique?

On Being a Concubine •

Should this poem be read as a criticism of the prevailing Confucian ethos?

A Closer Look Bridal Procession 1. What was the political meaning of such a marriage?

2. What does this print say of the steeply hierarchical nature of the Tokugawa warrior class?

Summary China. China’s last two imperial dynasties were the Ming (1368–1644) and the Qing, or Manchus (1644–1911). Although China could not match the dynamism of the West during these years, its society became more integrated and its government more sophisticated. The population reached 410 million, cities grew, and commerce expanded. Chinese government rested on a Confucian bureaucracy and gentry class. Under the Manchus, China expanded to the west, north, and east, establishing claims to Tibet, Central Asia, Mongolia, and Taiwan. Trade with the West grew, especially with Britain, but Chinese officials controlled it until the Opium War of 1839– 1842.

Japan. After a century of civil war among warrior states (the Warring States era, 1467–1600), the Tokugawa government in Edo restored order, controlled the daimyo domains, and encouraged economic growth. Japan became closed to the outside world except for a small Dutch presence at Nagasaki. Japanese drama, literature, and art flourished, as did commercial life.

Korea and Vietnam. The gap between “late traditional” history and “early modern” history is especially clear in Korea and Vietnam prior to the nineteenth century. Both countries were tributaries of China. The development of both combined Chinese elements with their respective internal dynamics. Vietnam was notable for its conquest and peopling of the Mekong Delta, Korea, for its Confucian culture, yangban aristocracy, and slavery.

Key Terms Annam, p. 519 gentry, p. 488 National Studies, p. 512 yangban [yahng-bahn], p. 515

Dutch Studies, p. 512 Kabuki, p. 504 Nō, p. 504

REVEL Writing Exercises 183 ..

Journal Writing 18.1 The Thin Horse Market Was a woman better off as the wife of a poor peasant, experiencing hardship, hunger, and want, or as the concubine in a wealthy household with servants, good food, and the likelihood that her children would receive an education?

18.3 The Virtuous Wife Based on these passages about girls and women, how would a girl raised in Tokugawa society feel?

18.5 On Being a Concubine Should this poem be read as a criticism of the prevailing Confucian ethos? Why or why not?

Shared Writing What factors led to economic and population growth in late traditional China? Were there similarities in the development of Japan?

Internet Resources Ming Era Art: http://www.metmuseum.org/toah/hd/ming/hd_ming.htm includes essays about, and images of, the art of the Ming Dynasty.

Japan: Memoirs of a Secret Empire: http://www.pbs.org/empires/japan/timeline_1500.html provides information relevant to a PBS series on the history of Japan, with episodes profiling Samurai, Shōguns, and Barbarians.

Jesuits in Japan: http://college.holycross.edu/projects/garden_teahouse/jesuit.htm proposes a relationship between Jesuits and Japanese tea gardens.

Kabuki: http://www2.ntj.jac.go.jp/unesco/kabuki/en/index.html is a beautifully illustrated site that explains everything about Kabuki.

Korean History: http://www.country-data.com/cgi-bin/query/r-12228.html profiles the Choson dynasty.

Vietnam: http://asiasociety.org/countries-history/vietnam is a useful introduction to Vietnamese history by the Asia Society; Michigan State University offers information at http://asia.isp.msu.edu/wbwoa/southeast_asia/vietnam/history.htm.

China and its Neighbors: http://www.npr.org/templates/story/story.php?storyId=1680309 this segment of an NPR series focuses on Vietnam; there is a link to a segment on China and Japan.

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Suggested Maps Prentice Hall Atlas of World History, Second Edition • The Ming and the Outside World • Reunification of Japan

Suggested Films Chinese History: 10–China: The Restoration. Indiana University (22 minutes).

Chinese History: 11–China: The Manchu Rule. Indiana University (19 minutes).

Chinese History: 12–China: Coming of the West. Indiana University (20 minutes).

Chinese History: 13–China: The Enduring Heritage. Indiana University (19 minutes).

Japanese Armor. Japan Broadcasting Company (30 minutes).

The Japanese Sword as the Soul of the Samurai. Kensharo Productions (24 minutes).

1421: The Year China Discovered America. PBS Home Video. Based on the provocative book by Gavin Menzies, this video examines the controversial theory that Zheng He’s fleet traveled to the Americas and beyond (120 minutes).

The Age of the Shōguns (1600-1868). FHS (53 minutes).

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Chapter 19—State Building and Society in Early Modern Europe Learning Objectives 19.1 European Political Consolidation Summarize political developments in Europe from the early seventeenth century to the mid-eighteenth century.

19.2 European Warfare: From Continental to World Conflict Discuss the causes and consequences of European conflicts from the mid-seventeenth century to the mid-eighteenth century.

19.3 The Old Regime Analyze the patterns of relationships that characterized the Old Regime.

19.4 Family Structures and the Family Economy Analyze the family economy and the lives of women within that economy.

19.5 The Revolution in Agriculture Discuss the new crops and methods behind the agricultural revolution and the resulting growth in European population.

19.6 The Eighteenth-Century Industrial Revolution: An Event in World History Discuss the inventions and new methods of production behind the industrial revolution and the reasons for Britain’s industrial leadership.

19.7 European Cities Analyze the patterns of preindustrial urbanization and the urban class structure.

19.8 The Jewish Population: Age of the Ghetto Describe the social condition of Jews in Europe under the Old Regime.

Introduction • • • •

By the mid-eighteenth century five major states had come to dominate European politics and would continue to do so until World War I: Great Britain, France, Austria, Prussia, and Russia.

The five rising states engaged in warfare with each other and extended much of that conflict around the world, producing the most extensive European impact on the non-European world since the early sixteenth century.

During these centuries the peoples living primarily in northwestern Europe undertook a series of economic advances that laid the foundation for the social and economic transformation of the world.

The industrial revolution, gave Europe a productive and military capacity previously unknown in human history.

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Global Perspective Early Modern Europe •

• • • •

During the seventeenth and eighteenth centuries political and economic developments in Europe set the continent on a path that by the nineteenth century resulted in a period of European world domination that lasted until the mid-twentieth century.

At the beginning of this era of political and economic consolidation, much of Europe resembled other major world civilizations.

As in Japan during the Tokugawa era, European states of the eighteenth century generally saw an increase in legal codification and in the growth of bureaucracy.

The role of the personality of the monarch in Europe bore some resemblance to that of certain Manchu emperors in China.

European success in Africa, Asia, and the Indian Ocean was always closely linked to its sophisticated military technology, especially the construction of sturdy ships able to carry heavy cannons.

Focus Questions 1. How did European states resemble those in other parts of the world in the mid-eighteenth century? How did they differ?

2. What was the relationship between military technology, especially naval power, and the growth of European colonial empires?

3. What factors led to the political and economic transformation of Western Europe and its emergence as a region that would eventually dominate much of the world for about two centuries?

Key Points 19.1 European Political Consolidation 19.1.1 Two Models of European Political Development •

•

The French monarchy was the most successful example of such centralized government. The English monarchy, by contrast, failed to make itself absolute, but rather by the end of the seventeenth century could govern only with and through Parliament.

These differing paths of political development led to the two distinct models of government— absolutism in France and parliamentary monarchy in England—that shaped subsequent political development in Europe.

19.1.2 England: Toward Parliamentary Government •

In their pursuit of adequate income, Stuart monarchs of seventeenth-century England threatened the local political interests and economic well-being of the nobility and the landed and commercial elites represented in Parliament. These groups in turn over the course of the decades

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• • •

invoked traditional English liberties to effectively resist the monarchs.

In 1642 the conflict between Charles I and Parliament over religion and arbitrary taxation erupted into civil war.

Following the Glorious Revolution of 1688, England’s monarchs would be subject to law and would rule by the consent of Parliament. A Bill of Rights that limited the powers of the monarchy and guaranteed the civil liberties of the English privileged classes.

British political life became the model for all progressive Europeans who questioned the absolutist political developments of the Continent.

19.1.3 France: The Rise of Absolute Monarchy under Louis XIV • • •

Louis XIV concentrated unprecedented authority in the monarchy, exemplified in his royal estate at Versailles, a temple to royalty, architecturally designed and artistically decorated to proclaim the glory of the king.

Louis XIV’s monarchy embodies the divine right of kings, with absolute authority accountable only to God. Such assumptions lay behind Louis XIV’s alleged declaration, “L’état, c’est moi” (“I am the state”).

Louis XIV established a model of strong centralized monarchy that other monarchs in central and eastern Europe would copy.

19.1.4 Russia: The Romanovs and Peter the Great •

• •

Peter the Great (r. 1682–1725) built a new military establishment that would serve the tsar and not itself.

He founded his new capital city of St. Petersburg in 1703 as the center of royal power. He thus imitated those European monarchs who had copied Louis XIV by constructing smaller versions of Versailles.

Peter undertook radical administrative reforms designed to bring the nobility and the Russian Orthodox Church more closely under the authority of persons loyal to the tsar.

19.1.5 The Hapsburg Empire and the Pragmatic Sanction • •

After 1648 the Habsburg family retained a firm hold on the title of Holy Roman Emperor, but the power of the emperor depended less on force of arms than on the cooperation he could elicit from the various political bodies in the heterogeneous and dispersed empire.

The Pragmatic Sanction provided the legal basis for a single line of inheritance within the Habsburg Dynasty through Charles VI’s daughter Maria Theresa (1740–1780), though royal power was less absolute than elsewhere in Europe.

19.1.6 The Rise of Prussia •

Under Frederick William I (r. 1713–1740), the Prussian military grew from about 39,000 in 1713 to over 80,000 in 1740, making it the third- or fourth-largest army in Europe. Frederick’s army was a symbol of Prussian power and unity.

19.2 European Warfare: From Continental to World Conflict •

Whereas religious zeal had largely fueled the European wars of the Reformation era, dynastic and commercial rivalry drove wars from the reign of Louis XIV through the conclusion of the Seven Years’ War in 1763.

19.2.1 The Wars of Louis XIV •

Beginning in 1667, Louis XIV led France into four major wars of expansion, each with a

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widening scope, these wars had the ultimate effect of weakening France and eroding the power of the king.

19.2.2 The Eighteenth-Century Colonial Arena • •

The Spanish, Portuguese, British, French and Dutch all possessed colonial empires in the Americas and Asia.

Each of the powers sought to make its imperial holdings into impenetrable trading areas.

19.2.3 War of Jenkins’s Ear •

British commercial interests put great pressure on Parliament to do something about Spanish interference in their trade. In late 1739 Great Britain went to war with Spain. This war was the opening encounter in a series of worldwide European wars.

19.2.4 The War of Austrian Succession (1740–1748) •

•

The War of Spanish Succession proved to be one of the most fateful decisions in world history, consolidating the power of Prussia.

In 1744 the British–French conflict expanded beyond the Continent when France decided to support Spain against Britain in the New World.

19.2.5 The Seven Years’ War (1756–1763) • •

Britain contested France’s colonial empire in North America. In September 1759 the British took Quebec City. Montreal fell the next year. The French Empire in Canada was coming to an end.

On the Indian subcontinent the British forces under Robert Clive (1725–1774) defeated the French in 1757 at the battle of Plassey. This victory opened the way for the eventual conquest of all India.

19.3 Old Regime • • •

•

During the turmoil of the French Revolution and its aftermath, it became customary to refer to the patterns of social, political, and economic relationships that had existed in France before 1789 as the ancien régime, or the Old Regime.

Politically, it meant the rule of theoretically absolute monarchies with growing bureaucracies and aristocratically led armies.

Economically, the Old Regime was characterized by food shortages, the predominance of agriculture (except for early industrial development in Britain), slow transport, a low level of iron production, comparatively unsophisticated financial institutions, and, in some cases, competitive commercial overseas empires.

Socially, men and women saw themselves less as individuals than as members of distinct corporate bodies.

19.3.1 Hierarchy and Privilege •

•

Eighteenth-century Europeans did not enjoy what Americans regard as individual rights. Instead, persons enjoyed such rights and privileges as were guaranteed to whatever communities or groups of which they were a part.

The “community” might include the village, the municipality, the nobility, the church, the guild, a university, or the parish.

19.3.2 Aristocracy • •

The eighteenth century was the great age of the aristocracy.

Across the Continent, to be an aristocrat was a matter of birth and legal privilege, but in almost

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•

every other respect, aristocrats differed markedly from country to country.

Throughout the century, in a European-wide aristocratic resurgence, the various nobilities sought to protect their social position and privileges against the expanding power of the monarchies and the growing wealth of commercial groups.

19.3.3 The Land and Its Tillers •

Land was the economic basis of eighteenth-century life in Europe, the dwellers on the land were poor, and by any modern standard, their lives were hard.

19.3.4 Peasants and Serfs • •

•

Landlord power increased as one moved from west to east. Most French peasants owned some land, but only a few were serfs. The serfs of Germany, Austria, and Russia were legally bound to a particular plot of land and a particular lord.

The condition of the serfs was worst in Russia. The Russian custom of reckoning one’s wealth by the number of owned “souls” (that is, male serfs) rather than by the size of an estate reveals the contrast between Russia and Western Europe. Russian serfs were, in effect, regarded merely as economic commodities.

Custom, tradition, and law did provide a few protections. For example, the marriages of serfs, unlike those of most slaves throughout the world, were legally recognized. The landlord could not disband the family of a serf.

19.4 Family Structures and the Family Economy 19.4.1 The Family Economy •

• •

The goal of the family household was to produce or secure through wages enough food to support its members.

Marriage and the family within this economy meant that everyone in the household had to work.

On a farm, much of the effort went directly into raising food or producing other agricultural goods that could be exchanged for food.

The family economy also dominated the life of skilled urban artisans.

19.4.2 Women and Family Economy •

•

• •

A woman outside a household was highly vulnerable. Unless she was an aristocrat or a member of a religious order, she could probably not support herself by her own efforts alone.

A girl would remain in her parents’ home as long as she made a real contribution to the family enterprise or until her labor elsewhere was more valuable to the family. They would rarely travel more than 30 miles from their parents’ household and would then normally become servants in the household of an employer.

Having migrated from home, the young woman made it her chief goal to accumulate a dowry.

Her savings would allow her to make the necessary contribution to form a household with her husband.

In all phases of life within the family economy, women led active, often decisive roles.

Industriousness rather than idleness was their lot in life.

19.5 The Revolution in Agriculture •

The increasing price of grain allowed landlords to improve their income and lifestyle. They began a series of innovations in farm production that is known as the agricultural revolution.

19.5.1 New Crops and New Methods 190 ..

•

• •

•

These innovations began during the sixteenth and seventeenth centuries in the Low Countries, where Dutch landlords and farmers devised better ways to build dykes and to drain land and also experimented with new crops, such as clover and turnips, that would increase the supply of animal fodder and replenish the soil.

These methods were extensively adopted in England during the early eighteenth century.

By the second half of the century the rising price of wheat encouraged English landlords to consolidate, or enclose, their lands to increase production. The enclosures were intended to use land more rationally and to raise profits. The process involved the fencing of common lands, the reclamation of previously untilled wasteland, and the transformation of strips into block fields.

Enclosures increased food production on larger agricultural units. However, they also disrupted the small traditional communities.

19.5.2 Population Expansion • •

Agricultural improvement was both a cause and a result of an immense expansion in the population of Europe. The current population explosion seems to have had its origins in the eighteenth century.

There was a clear decline in the death rate, probably due to fewer wars and somewhat fewer epidemics in the early eighteenth century. Hygiene and sanitation also improved. But changes in the food supply itself may have been the chief reason for sustained population growth, especially the introduction in the eighteenth century of widespread cultivation of a New World tuber, the potato.

19.6 The Eighteenth-Century Industrial Revolution: An Event in World History • • •

In the second half of the eighteenth century the European economy began very slowly to industrialize. This development, more than any other single factor, distinguished Europe and eventually North America from the rest of the world for the next two centuries.

Industrialism improved standards of living and introduced social changes such as greater urbanization and creating a large urban working class.

The economic elite of the emerging industrial society would eventually challenge the political dominance of the aristocracy.

19.6.1 The Industrial Revolution and the Non-Western World •

•

Much of the history of the non-Western world from the middle of the eighteenth century to the present can be understood in terms of how the non-industrialized nations initially reacted to the penetration of their world by Europeans and Americans made wealthy and powerful through industrialized economies.

Attempts to replicate the industrialization process were sometime successful (Japan) but more often than not failed (Latin America).

19.6.2 Industrial Leadership of Great Britain •

• •

Great Britain was the home of the industrial revolution and, until the late nineteenth century, remained the industrial leader of Europe and the world.

The most famous inventions of the industrial revolution (flying shuttle, spinning jenny, water frame) were devised in response to this consumer demand for cotton textiles.

The invention that more than any other enabled industrialization to grow on itself and expand into one area of production after another was the steam engine. This machine provided for the first time in human history a steady and essentially unlimited source of inanimate power.

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19.7 European Cities 19.7.1 Patterns of Preindustrial Urbanization •

By 1800 approximately 363 cities in Europe had 10,000 or more inhabitants, and 17 of those had populations larger than 100,000.

19.7.2 Urban Classes •

The upper classes, middle class, and artisans comprised the social classes of preindustrial Europe.

19.7.3 The Jewish Population: Age of the Ghetto •

• • •

Although the small Jewish communities of Amsterdam and other Western European cities became famous for their intellectual life and financial institutions, most European Jews lived in Eastern Europe.

Jews dwelled in most nations without enjoying the rights and privileges of other subjects of the monarch.

No matter where they lived, the Jews of Europe under the Old Regime resided apart from nonJews. In cities they usually lived in distinct districts known as ghettos, and in the countryside, in primarily Jewish villages.

Until the late eighteenth century those Jews who remained loyal to their faith were subject to various religious, civil, and social disabilities.

Documents John Locke Denounces the Idea of Absolute Monarchy •

What are the purposes of civil society according to Locke? Why is it so important that citizens have the right to a neutral authority for judicial decisions? Why does Locke find an absolute monarch in conflict with his subjects and them with him? How do Locke’s views serve to provide a foundation for parliamentary government?

Bishop Bossuet Defends the Divine Right of Kings •

Why might Bossuet have wished to make such extravagant claims for absolute royal power? How might these claims be transferred to any form of government? What are the religious bases for Bossuet’s argument? How does this argument for absolute royal authority lead also to the need for a single uniform religion in France?

Russian Serfs Lament Their Condition •

What specific complaints about landlords are expressed in these verses? What charges indicate that serfs may believe their situation has worsened? What hope do they seem to place in the tsar?

What idealized picture of the world do the serfs believe they would themselves create?

Priscilla Wakefield Demands More Occupations Be Opened to Women •

From reading this passage, what do you understand to have been the arguments at the end of the eighteenth century to limit the kinds of employment that women might enter? Why did women receive lower wages for work similar to or the same as that done by men? What occupations traditionally filled by men does Wakefield believe women might also pursue?

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Belorussian Jews Petition Catherine the Great •

In the first part of the petition, how do the petitioners attempt to appeal to long-standing custom to defend their interests? How do both parts of the petition suggest that Jewish law and practice, distinct from the rest of the society, governed Jewish social life? In the context of this petition, which non-Jewish authorities may actually or potentially influence Jewish life?

A Closer Look Versailles 1. How might the size alone of Versailles, as experienced by visitors and by viewers of paintings and prints of the structure, have served to overawe Louis’s subjects? What other buildings of the day might have approached Versailles in size? In particular, how might French nobility have reacted to the setting?

2. Do you think some people who saw Versailles or images of it might have wondered how this extraordinary royal community was financed and might have drawn critical conclusions about the structure of French taxes?

3. By the end of his life Louis rarely ventured outside Versailles, and neither did his eighteenthcentury royal successors. How might the limitation of so much royal experience to the region of Versailles have distorted the monarchs’ view of their kingdom?

4. How might the images of Louis in mythological scenes have created a sense that he and his power were vaster than those of ordinary mortals?

Summary Models of European Political Development. In the seventeenth and eighteenth centuries, five great powers emerged in Europe: Britain, France, Russia, Austria, and Prussia. Through their military strength, economic development, and in some cases colonial empires, they would influence virtually every other world civilization. Parliamentary monarchy in Britain and absolutism in France exemplify two distinct models of government during this period.

Britain. In the seventeenth century, conflict between the Stuart kings and Parliament arising out of political, religious, and economic issues led to civil war, the execution of Charles I, a shortlived English republic under Oliver Cromwell, and in 1688–1689 the Glorious Revolution that finally limited royal authority and established the supremacy of Parliament. Although eighteenthcentury England was not a democracy, its people had more rights and liberties than the subjects of the absolutist monarchs who ruled the other great European powers.

In a series of worldwide colonial struggles with France, Britain used its commercial resources and its navy to profit from France’s entanglements in Europe and emerge supreme in North America and India.

France. Under Louis XIV (r. 1643–1715), France became the model of an absolute monarchy.

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Louis used his splendid court at Versailles to overawe the French aristocracy and promote a glittering image of French culture that impressed all of Europe. However, he was not able completely to overcome opposition from the French elites who sought to reassert their influence under his successors. His revocation of the Edict of Nantes weakened France by driving thousands of French Protestants into exile.

Louis pursued an aggressive foreign policy that expanded France’s borders but cost France dearly in wealth and resources and provoked strong opposition from the other European powers. In the War of the Spanish Succession, he succeeded in placing his grandson on the throne of Spain, but the war left France exhausted.

Russia. Russia became a great power under Peter the Great (r. 1682–1725). Peter curbed the power of the Russian church and aristocracy and opened Russia to Western technology and military and commercial influences. He built his new capital at Saint Petersburg. He also built an efficient army and navy and established a centralized bureaucracy to collect revenue.

Central Europe. The Habsburgs remained emperors of the Holy Roman Empire, but their power rested on their hereditary domains—Austria, Hungary, Bohemia, and northern Italy. Although the Habsburgs retook Hungary from the Ottomans, the rise of Prussia under the Hohenzollerns challenged Habsburg dominance in central Europe. The Hohenzollern rulers built Prussia from a collection of scattered German states into a great power by developing an efficient bureaucracy and a powerful army. Under Frederick II (r. 1740–1786), Prussia emerged from a series of wars with Austria, France, and Russia as one of the strongest European states and the rival to Habsburg power in central Europe.

The Old Regime. Eighteenth-century European society was traditional, hierarchical, corporate, and privileged— features that had characterized Europe and the world for centuries. All societies also confronted scarce food supplies. In the eighteenth century, however, an improved food supply helped support a larger population. New agricultural techniques and the expanding population created pressures on social structures.

Commerce also grew during the eighteenth century. Agriculture became more commercialized, with more money payments, and cities expanded.

Changes in European Society. European society stood on the brink of a new era in which the social, economic, and political relationships of centuries would be destroyed. The commercial spirit and the values of the marketplace clashed with the traditions of peasants and guilds. That commercial spirit brought social change; by the early nineteenth century, it had led to a conception of human beings as individuals rather than as members of communities.

The expansion of the European population further stimulated change and challenge to tradition, hierarchy, and corporateness. The traditional economic and social organization (the family economy) had presupposed a stable or declining population. A larger population created the need for new ways to solve old problems. The social hierarchy had to accommodate more people. Corporate groups, such as the guilds, had to confront an expanded labor force. New wealth meant that birth would cease to determine social relationships.

Furthermore, the eighteenth century witnessed the beginning of industrial production in response to the demands for consumer goods by the expanding population. New inventions greatly increasing productive capacity first appeared in the English textile industry. Thereafter 194 ..

industrial modes of production spread to the manufacture of iron. The steam engine provided a portable source of energy, allowing factories to be moved from peasant homes in the countryside into cities.

Industrialization also affected Europe’s relations with much of the non-European world.

For the first time in his- tory, major changes in one region of Europe left virtually no corner of the globe untouched. By the close of the eighteenth century, a movement toward world interconnectedness and interdependence had begun.

Key Terms absolutism, p. 525 aristocratic resurgence, p. 541 divine right of kings, p. 529 enclosures, p. 546 ghettos, p. 553 industrial revolution, p. 548 Old Regime, p. 539 Pragmatic Sanction, p. 534 spinning jenny, p. 550 Table of Ranks, p. 533

agricultural revolution, p. 545 boyars, p. 531 domestic system, p. 549 family economy, p. 542 Glorious Revolution, p. 526 Junkers, p. 534 parliamentary monarchy, p. 525 Puritans, p. 525 streltsy, p. 531 water frame, p. 550

REVEL Writing Exercises Journal Writing 19.1 John Locke Denounces the Idea of Absolute Monarchy How do the views of John Locke provide a foundation for parliamentary government?

19.4 Russian Serfs Lament Their Condition What are the specific complaints by the peasants against their landlords as expressed in these verses?

19.5 Priscilla Wakefield Demands More Occupations Be Opened to Women Based on this passage, what were the main arguments used at the end of the eighteenth century to try to limit the employment opportunities of women?

19.8 Belorussian Jews Petition Catherine the Great In the petition, how do the petitioners attempt to appeal to long-standing custom to defend their interests?

Shared Writing What factors led to the industrial revolution of the eighteenth century and why did Great Britain take the lead in the movement?

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Internet Resources Oliver Cromwell: http://www.bbc.co.uk/history/british/civil_war_revolution/cromwell_01.shtml is a BBC profile that provides biographical information and context; The Cromwell Association provides additional information, in a more celebratory vein, at http://www.olivercromwell.org/index.htm.

Versailles: http://chateauversailles.fr/history is the chateau’s official website; it is appropriately gorgeous and extensive.

Maria Theresa: http://www.newadvent.org/cathen/09662d.htm is the Catholic Encyclopedia’s biography of the Empress, while http://www.nndb.com/people/157/000085899/ provides a more psychological portrait.

The Industrial Revolution: http://www.fordham.edu/halsall/mod/modsbook14.html provides links to a wealth of primary sources relating to the Industrial Revolution.

The Ecological Impact of the Industrial Revolution: http://ecology.com/features/industrial_revolution/ evaluates the Industrial Revolution from an environmental perspective, focusing on population growth.

Suggested Maps Prentice Hall Atlas of World History, Second Edition • Seventeenth-Century Europe

Suggested Films The Age of Absolute Monarchy in Europe. Coronet (14 minutes).

English History: Absolutism and Civil War. Coronet (11 minutes).

Unquiet Land. United Films (28 minutes).

Puritan Revolution: Cromwell and the Rise of Parliamentary Democracy. Learning Corporation of America (33 minutes).

Colonial America: The Roots of Revolution. Benchmark Films (19 minutes).

The Colonial Economy. Contemporary Films (25 minutes).

Samuel de Champlain. National Film Board of Canada (16 minutes).

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Wolfe and Montcalm. National Film Board of Canada (30 minutes).

Civilization VIII: The Light of Experience. Time-Life (52 minutes).

The Sun King. National Education Television (30 minutes).

Daily Life at the Court of Versailles (1638–1715). FHS (60 minutes).

Peter the Great. FHS (32 minutes).

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Chapter 20—The Last Great Islamic Empires, 1500–1800 Learning Objectives 20.1 The Ottoman Empire and the Eastern Mediterranean World Trace the rise and decline of the Ottoman Empire.

20.2 The Safavid Empire and the West Asian World Trace the rise and decline of the Savafid Empire.

20.3 The Mughals Trace the rise and decline of the Mughal Empire.

20.4 Central Asia: Islamization in the Post-Timur Era Discuss the history of Islam in Central Asia after Timur.

20.5 Power Shifts in the Southern Oceans Summarize the major commercial and political developments in the southern seas and the lands of present-day Malysia and Indonesia after 1000 to the end of the nineteenth century.

Introduction • • • •

Between 1450 and 1650 Islamic culture, society, and statecraft blossomed. The creation of three powerful empires and several strong regional states was the culmination of long processes in the Islamic eastern Mediterranean and West Asia.

The simultaneous growth of the empires of the Ottomans, Safavids, and Mughals marked the global apogee of Islamic civilizational and economic strength.

By around 1800, Ottoman, Safavid, and Mughal military power was waning in contrast to European military and trading expansion and empire-building.

Islamic social and cultural life still flourished and the Ottomans, Safavids, and Mughals continued to be seen as powers into the early 1800s.

Global Perspective The Last Great Islamic Empires •

• •

The Islamic region’s vitality between 1450 and 1800 was exemplified by the three great, prosperous imperial states of the Ottomans, Safavids, and Mughals.

While Islamic ideology, society, and culture were important to the success of the Ottomans, Safavids, and Mughals, military, social, and commercial innovations were key to each dynasty’s rise to global importance.

Perhaps because they were so successful, these societies did not undergo the kind of social or religious-political revolutions that rocked Europe after 1500. There was no compelling challenge to traditional Islamic ideals of societal organization and human responsibility, even though many

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• •

Islamic movements in the eighteenth century did call for communal and personal reform.

By the mid-nineteenth century, all three empires were at various stages of economic, political, social, and military disarray in comparison to Europe.

The growing European domination of the seas, of the flow of gold and silver, and of global consumable products allowed Europeans to contain as well as to bypass the major Islamic lands in their quest for commercial empires.

Focus Questions 1. How did the trajectory of development between the Islamic empires and Europe differ in the period from 1500 to 1850?

2. Why, after centuries as the “underdog,” was Europe by the early nineteenth century finally able to challenge the power of the Islamic empires?

3. Why was the Islamic world, more than China and Japan, increasingly subject to European intrusion during the early modern period?

Key Points 20.1 The Ottoman Empire and the Eastern Mediterranean World 20.1.1 Origins and Development of the Ottoman State before 1600 • • •

The Turkish dynasty of the Ottomans rose to prominence originally as one of the western Oghuz Turkish groups that moved from the Central Asian steppes to Anatolia as Muslim settlers and frontier warriors.

By 1512 Ottoman rule was secure in virtually all of southeastern Europe and north of the Black Sea in most of the Ukraine.

Ottoman military might was unmatched globally, except possibly by China. Its vast territories— home to numerous linguistic and ethnic groups—made it truly an empire.

20.1.2 The “Classical” Ottoman Order •

• • • •

The entire Ottoman state was organized as one vast military institution. All members, whatever their function, held military ranks in the standing “army” of the state under the hereditary leadership of the sultan.

This centralized state was supported by the productivity of its Muslim and non-Muslim subjects, such as Jewish and Armenian-Christian merchants.

While theoretically left to God, succession to the sultanate went to the aspirant who could assert himself and seize power, after which he was expected to execute his brothers to eliminate future competing claims to the throne.

The Ottomans co-opted the legal-religious and educational-intellectual roles of the religious scholars, or ulama, for the service of the state, he Ottoman ulama usually functioned tamely as part of the state apparatus.

The key ingredient of Ottoman power, however, was the military. The Ottoman rulers kept the loyalty of the military by checking the power of the old landed aristocracy and by employing specialized infantry troops of well-trained, well-paid slave-soldiers (equipped, unlike the cavalry,

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with firearms) who obeyed the sultan alone.

20.1.3 After Süleyman: Challenges and Change •

• •

• • • •

The reign of Süleyman marked the peak of Ottoman prestige and power, but beginning with the reign of Süleyman’s weak son, Selim II (1566–1574), the empire was plagued by military corruption, governmental decentralization, and maritime setbacks. Yet culturally and intellectually, the seventeenth and eighteenth centuries were periods of impressive activity and accomplishments.

Ottoman military power weakened, partly due to European advances in military and naval technology and partly because the Janissaries (slave soldiers) became increasingly corrupt as they tampered with politics, trying to influence decision making and even dynastic succession.

In contrast to mercantilist and protectionist policies of European powers, the Ottomans discouraged exports and encouraged imports since too many exports would have raised domestic prices. This damaged the economy in the long run. Financing the Ottoman state became ever more difficult.

The seventeenth and eighteenth centuries were an era of genuine vitality in poetry, prose, music, painting, cartography, historiography, astronomy, and other fields.

Socially, the period saw the consolidation of Ottoman society as a multiethnic, multireligious state. The empire encompassed a dizzying array of languages, religions, and ethnic identities. All subjects, Muslim and non-Muslim, were organized into smaller communities called millets.

Non-Muslims virtually monopolized foreign trade.

The coffeehouse stimulated the development of a common Ottoman urban culture among lower and middle classes.

20.1.4 The Decline of Ottoman Military and Political Power •

• •

After their failure in 1683 to take Vienna, the Ottomans were driven out of Hungary and Belgrade and never again threatened Europe. In 1774 Russia took the Crimea and became the formal protector of Orthodox Christians in the Ottoman Empire.

Henceforth, the Ottomans were prey to the West, never regaining their earlier power and influence before their collapse in 1918.

Ottoman dependence on a decentralized agrarian-age, local-market economy proved insufficient to face the rising commercial and industrial powers of Europe.

20.2 The Safavid Empire and the West Asian World 20.2.1 Origins • • •

The Safavids had begun in the fourteenth century as hereditary Turkish spiritual leaders of a Sunni Sufi order in Azerbaijan, in northwestern Iran. In the 1400s the Safavid order developed a new, militant Shi’ite Sufi ideology.

Shah Isma’il ruthlessly enforced Shi’ite conformity, which slowly took root across the realm— perhaps bolstered by a rising Iranian self-consciousness and identity in the face of the Sunni Ottomans, Arabs, Uzbeks, and Mughals who surrounded Iran.

The Ottoman sultans vigorously fought the spread of his Sufi-inspired Shi’ite monarchy into eastern Anatolian lands widely populated by other Sufi orders.

20.2.2 Shah Abbas I •

Shah Abbas I (r. 1588–1629) brought real leadership to Safavid Iran. He regained provincial land for the state not only pushed the Ottomans out of Azerbaijan and Iraq but also repelled new Uzbek invasions in Khorasan and sought alliances with the Ottomans’ European enemies.

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• •

The enduring result of Safavid consolidation of power was the replacement in Iran of Sunni with Shi’ite Islam as the majority faith.

His reign brought considerable prosperity to Iran, symbolized by the magnificent capital he built at Isfahan, which epitomized Safavid grandeur and vision.

20.2.3 Safavid Decline •

• •

After Shah Abbas, the empire rarely again enjoyed able leadership. This lack of competent leadership contributed finally to decline and collapse.

The Safavid empire was weakened by diverse causes: continued two-front pressure from Ottoman and Uzbek forces, economic decline, social unrest among the provincial elites, and the increasing landholding power of the Shi’ite ulama.

The conservative ulama introduced a form of Islamic legalism and emphasized their own authority as interpreters of the law over that of the monarch.

20.2.4 Culture and Learning • • •

The most impressive achievement of Safavid times beyond the conversion of Iran to Shi’ite Islam was the cultural and intellectual renaissance of the sixteenth and seventeenth centuries.

The lasting visible legacies of Safavid rule are its cultural artifacts, buildings, roads, town squares, homes, gardens, and bridges.

The Safavid age also saw a distinctively Shi’ite and Sufi piety develop to give a firmly Shi’ite character to Iranian culture and traditions.

20.3 The Mughals 20.3.1 Origins •

•

In the early sixteenth century, following an age-old pattern of Indian history, invaders from northwest of the Oxus River entered and initiated a new era in the subcontinent.

These invaders were of Mongol-Turkish descent, and from their advent in the subcontinent they are known to history as the Mughals (a Persianate form of Mongol).

20.3.2 Akbar’s Reign •

•

Akbar, “the Great” (r. 1556–1605) added North India and the northern Deccan to the Mughal dominions. Even more significant were his governmental reforms, cultural patronage, and religious toleration. He completely reorganized central and provincial government and rationalized the tax system.

Akbar’s marriages with Rajput princesses and his appointment of Hindus to positions of power eased Muslim–Hindu tensions. Under his leadership the Mughal Empire became a truly Indian empire.

20.3.3 The Last Great Mughals •

•

The problems of sustaining an Indian empire gradually undercut Mughal strength, the costs of new building, military campaigns, and the erosion of Akbar’s administrative and tax reforms brought economic decline.

Religious toleration retreated; the narrow religious conservatism, all but reversed Akbar’s earlier policies. Non-Muslims were persecuted, destroying Hindu temples, and reimposing the poll tax (1679), and alienating the Rajput leaders.

20.3.4 Sikhs and Marathas •

In the late sixteenth and early seventeenth centuries the Sikhs, who trace their origins to the irenic

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• •

teachings of Guru Nanak (d. 1538), became a distinctive religious movement. Neither Muslim nor Hindu, they had their own scripture, ritual, and moralistic, reformist ideals.

The Hindu Marathas, led by the charismatic Shivaji (d. 1680), rose in religious and nationalistic fervor to found their own regional empire around 1646.

After about 1740, while formally acknowledging Mughal sovereignty, the Marathas actually controlled far more of India than did the Mughals.

20.3.5 Political Decline.

•

By 1819 the dominance of the British East India Company had eclipsed Mughal, as it did Maratha and almost all regional Indian power, even though the Mughal line did not officially end until 1858.

20.3.6 Religious Developments •

• • • •

A number of religious figures preached a spiritually or mystically oriented piety that transcended the legalism of both the ulama and the Brahmans and rejected caste distinctions. In these ideas, we can see both Muslim Sufi and Hindu bhakti influences at work.

Guru Nanak, spiritual father of the Sikh movement, took up Kabir’s ideas and preached faith and devotion to one loving, merciful God—a message repeated by his successors.

There was also an upsurge of bhakti devotionalism that amounted to a Hindu revival.

Muslim eclectic tendencies came primarily from Sufis.

The possibilities for Hindu–Muslim rapprochement in Akbar’s time gradually waned, presaging the communal strife that has afflicted South Asia in recent times.

20.4 Central Asia: Islamization in the Post-Timur Era •

•

We can trace the solid footing of Islam in Central Asia to the post-Timur era of the fifteenth century.

Islamization by Sunni and Shi’ite Sufis, traders, and tribal rulers went on apace thereafter, even as far as western China and Mongolia.

20.4.1 Uzbeks and Chaghatays • •

An Uzbek leader descended from Genghis Khan, Muhammad Shaybani (d. 1510), invaded Transoxiana (1495–1500). There he founded a new Uzbek Islamic empire.

Of the other Central Asian Islamic states after 1500, the most significant was ruled by Chaghatay Turks.

20.4.2 Consequences of Shi’ite Rift • •

The deep religious division between the Shi’ite Safavids and all their Sunni neighbors proved stronger than their common bonds. The result was a serious geographic division that isolated Central Asian Muslims.

Central Asia was ultimately the Islamic region most decisively affected by the Shi’ite presence in Iran, isolating it the rest of the Muslim world. Political, economic, cultural, and religious interchange with other Islamic lands became increasingly difficult after 1500. However healthy Islam remained in this region, its contact with the original Islamic heartlands and India shrank.

20.5 Power Shifts in the Southern Seas 20.5.1 Southern-Seas Trade •

Along the southern rim of Asia, from East Africa to present-day Indonesia, the period from 1000 to 1500 witnessed a gradual spread of Islamic religion and culture to new regions and peoples.

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• •

The international trade network Muslims inherited from the Indian Ocean to the South China Sea was ancient.

Hindu culture, along with an Indonesian language, had been carried as far west as Madagascar in the first millennium C.E. Hindus were the chief religious community the Muslims displaced.

20.5.2 Control of the Southern Seas •

• •

In the sixteenth century the Europeans began to displace by force the Muslims who, by 1500, dominated the maritime southern rim of Asia. European success was based on two key factors: the national support systems that backed their naval and commercial ventures, and their superior warships.

However, in the southern-seas trade centers, Islamization continued, even in the face of Christian proselytizing and growing European political and commercial presence.

Thus, while European gunboat imperialism had considerable military and economic success, often at the expense of Islamic states, European culture and Christianity made little headway against Islam.

20.5.3 The East Indies: Acheh •

Several substantial Islamic sultanates arose in the sixteenth and seventeenth centuries in the Indonesian archipelago, even as Europeans were carving out economic empires in the region. The most powerful Islamic state was Acheh, in northwestern Sumatra (ca. 1524–1910).

Documents The Distinctiveness of Ottoman Identity and Culture •

Compare the two passages. What common themes emerge?

Guru Arjun’s Faith •

Why might syncretic teachings, such as those of the Sikhs, have been appealing in seventeenthcentury India?

A Closer Look The Mughal Emperor Jahangir Honoring a Muslim Saint over Kings and Emperors 1. What allegorical meaning might Jahangir’s elevated seat above the hourglass, the royal rulers, and even the Muslim saint suggest here?

2. The radiant sun disk combined with the crescent moon is clearly symbolic or allegorical as well, and one of the inscriptions speaks of Jahangir as “light of the faith.” What might Bichitr be saying with these about Jahangir’s exalted status?

3. What do the various elements of the painting tell us about international contacts and awareness at the Indian court in the early 1600s?

Summary 203 ..

The last Islamic Empires from the Mediterranean Sea to the Indian Ocean. The period from 1500 to 1800 marks the cultural and political bloom and gradual demise of the last Islamic empires. Islamic social, economic, political, and military vitality in the first half of this period was exemplified in the Ottoman, Safavid, and Mughal empires. All three built vast bureaucracies and arguably the greatest cities in the world at the time. They patronized the arts. Yet they were conservative societies. Economically they remained tied to agricultural production, local trade, and land taxation. They did not undergo the social or religious-political revolutions or changes in material and intellectual life that rocked Western Europe after 1500. There was no compelling challenge to traditional Islamic ideals, even though numerous eighteenth-century Islamic reform movements did arise.

Decline. By the latter half of this period, these empires were in economic, political, and military decline, even if intellectual and artistic vigor held on.

Thus, it is not surprising that in these three centuries European expansionist intrusion into Africa, the Islamic heartlands, India, and the islands of present-day Indonesia largely precipitated the decline of these global regions rather than the reverse. None of the Islamic states fared well in their clashes with Europeans in this age. Their growing domination of the world’s seas and continents allowed the Europeans to contain or bypass the major Islamic lands in their quest for the gold, silver, spices, and plantation cash crops that were fueling their economic empires.

By the early 1800s industrial development had joined economic wealth, social privilege, and political stability to give Europe global military supremacy for the first time. Before 1850, Europeans were able to bring only minor Islamic states under colonial administration. However, the footholds they gained in Africa, India, and Southeast Asia laid the groundwork for rapid colonial expansion after 1850. The age of the last great Islamic empires was also the age that marked the beginning of the first great modern European empires.

Key Terms ayan, p. 564 Grand Mufti, p. 563 Janissaries, p. 563 millets, p. 564 pirs, p. 567

devshirme, p. 563 harem, p. 562 Mahdi, p. 567 Mughals, p. 571 Qanun, p. 563

REVEL Writing Exercises Journal Writing 20.1 The Distinctiveness of Ottoman Identity and Culture What common themes emerge within these two passages?

20.3 Guru Arjun’s Faith Why might these teachings, which blend the ideas of many religions, have been appealing in seventeenth-century India?

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Shared Writing What were Akbar’s main policies toward Hindus and his main governmental reforms? Why did he succeed and his successors fail in these policies?

Internet Resources Ottoman Empire: http://www.theottomans.org/english/index.asp has images, maps, and articles on a wide variety of topics covering the 700-year span of the Empire.

Ottoman Empire: http://www.bbc.co.uk/religion/religions/islam/history/ottomanempire_1.shtml offers the BBC’s well-organized overview of Ottoman Empire, with a variety of high-quality links.

Maps of the Ottoman Empire: http://www.pbs.org/wgbh/globalconnections/mideast/maps/pol.html shows the extent of the empire at various periods.

The Age of Suleyman “the Magnificent”: http://www.metmuseum.org/toah/hd/suly/hd_suly.htm offers beautiful images of art and architecture, as well as essays.

Safavid Empire: http://www.bbc.co.uk/religion/religions/islam/history/safavidempire_1.shtml is the BBC’s introduction to the Safavid Empire.

Safavid Architecture: http://archnet.org/ offers an extensive array of images.

Mughal India: http://www.mughalindia.co.uk/room.html has been set up by the British Museum and is a treasure trove of information.

Suggested Maps Prentice Hall Atlas of World History, Second Edition • The Mughal Empire • Safavid Persia • The Height of Ottoman Power

Suggested Films The Fall of Constantinople. British Broadcasting Company (34 minutes).

Afghanistan. University Film Library Holder (15 minutes).

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They Surveyed the World: Exploring the Arab Empire and Beyond. FHS (26 minutes).

Splendors of the Ottoman Sultans. Kultur (60 minutes).

Sultan’s Lost Treasure. PBS Home Video. Underwater archaeology confirms the nautical superiority of early Ming dynasty ships (60 minutes).

The Ottoman Empire. FHS.

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Chapter 21—The Age of European Enlightenment Learning Objectives 21.1 The Scientific Revolution Discuss the major figures in the scientific revolution and the position of women in it.

21.2 The Enlightenment Analyze the influence of the philosophes and the Encyclopedia in the Enlightenment.

21.3 The Enlightenment and Religion Discuss the philosophes’ critique of religion, the belief in deism, the call for religious toleration, and the prevailing attitude toward Islam.

21.4 The Enlightenment and Society Analyze Enlightenment social thought.

21.5 Enlightened Absolutism Discuss enlightened absolutism as expressed in the rules of Joseph II and Catherine the Great and in the partitions of Poland.

Introduction • • •

•

No single intellectual force during the past three centuries has so transformed every region of the world as has Western science and the technology that has flowed from its understanding of nature.

The movement that fostered such thinking is called the Enlightenment.

Enlightenment thinkers believed that human beings could comprehend nature and mold it to the ends of material and moral improvement. The rationality that science had discovered in the operations of the physical universe became a standard against which the customs and traditions of society could be measured and criticized.

This outlook would become perhaps the most important European cultural export to the rest of the world.

Global Perspective The European Enlightenment • •

The writers of the Enlightenment provided a pattern that has been used ever since by intellectuals who wish to make their societies more rational, scientific, economically productive, reform minded, and religiously tolerant, an ensemble of ideas that became synonymous with “modern.”

In terms of political thought, the heritage of the Enlightenment was complex, with different strands of political thought often in tension or outright conflict with each other. Virtually all Enlightenment writers believed in some form of religious toleration or recognition of religious pluralism, but beyond that there was much disagreement.

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•

Europeans’ treatment of non-Europeans, as well as their warfare against each other in this era, often belied the principles of the Enlightenment.

Focus Questions 1. How did Enlightenment values as well as Enlightenment admiration of science become one of the chief defining qualities of societies regarded as advanced, progressive, and modern?

2. How has the political thought of the Enlightenment influenced the development of modern political philosophies and modern governments?

3. How could modes of thought developed to criticize various aspects of eighteenth-century European society be transferred to other traditions of world civilizations?

Key Points 21.1 The Scientific Revolution •

• •

The sixteenth and seventeenth centuries witnessed a sweeping change in the scientific view of the universe.

In the Western world, science and the scientific method became so impressive and so influential that they set a new standard for evaluating knowledge.

The process that established the new view of the universe is normally termed the Scientific Revolution.

21.1.1 Nicolaus Copernicus •

• •

Nicolaus Copernicus (1473–1543) provided an intellectual springboard for a complete criticism of the then-dominant view of the position of Earth in the universe.

Copernicus set out to achieve new intelligibility and mathematical elegance for astronomy.

The Copernican system did not immediately replace the old astronomy, but it prompted other people discontented with the Ptolemaic view to think in new directions.

21.1.2 Tycho Brahe and Johannes Kepler •

•

The next major step toward the conception of a Sun-centered system was taken by Danish astronomer Tycho Brahe (1546–1601). Brahe constructed the most accurate tables of observations that had been drawn up for centuries.

Johannes Kepler (1571–1630) solved the problems of planetary orbits by using Copernicus’s Suncentered universe and Brahe’s empirical data.

21.1.3 Galileo Galilei •

Galileo Galilei’s (1564–1642) most important achievement was to articulate the concept of a universe totally subject to mathematical laws. More than any other writer of the century, he argued that nature in its most minute details displayed mathematical regularity.

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•

Galileo stood as one of the foremost champions of the application of mathematics to scientific investigation and of the goal of reducing phenomena to mathematical formulas.

21.1.4 Francis Bacon •

• •

Francis Bacon (1561–1626) advocated a completely empirical approach to understanding nature, based solely on observation, experimentation, and inductive reasoning.

Bacon believed that human knowledge should produce useful results—deeds rather than words.

In particular, knowledge of nature should be brought to the aid of the human condition.

Bacon believed that science had a practical purpose and its goal was human improvement. Bacon in this manner linked science and material progress in the public mind. This was a powerful idea and has continued to influence Western civilization to the present day.

21.1.5 Isaac Newton •

Isaac Newton (1642–1727) described gravitational force mathematically, deriving what is known as the law of universal gravitation. This work, along with his work on the laws of motion and on optics, established a basis for physics that endured for more than two centuries.

21.1.6 Women in the World of the Scientific Revolution •

By the early eighteenth century, despite isolated precedents of women pursuing natural knowledge, reading scientific literature, and engaging socially with natural philosophers, it had become a fundamental assumption of European intellectual life that the pursuit of natural knowledge was a male vocation.

21.1.7 John Locke •

•

•

John Locke (1632–1704) attempted to achieve for philosophy a lawful picture of the human mind similar to that which Newton had presented of nature.

For Locke, human nature was changeable, capable of being molded by changes in the surrounding physical and social environment. Locke also, in effect, rejected the Christian view that human beings were creatures permanently flawed by original sin. Human beings, he proposed, do not need to wait for the grace of God or other divine aid to better their lives. They can take charge of their own destiny.

Locke argued that rulers are not absolute in their power, people enter political contracts, empowering legislatures and monarchs to judge their disputes in order to preserve their natural rights (which include the possession of property) but not to give rulers an absolute power over them. Locke also contended that a monarch who violated the trust that had been placed in him could be overthrown.

21.2 The Enlightenment • •

The eighteenth-century movement that came to be known as the Enlightenment included a number of writers (philosophes) living at different times in various countries.

They worked to expose contemporary social and political abuses and argued that reform was necessary and possible.

21.2.1 Voltaire •

François-Marie Arouet, known to posterity as Voltaire (1694–1778) wrote famous satire is Candide (1759), in which he attacked war, religious persecution, and what he regarded as

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•

unwarranted optimism about the human condition.

Like most of the philosophes, Voltaire believed that human society could and should be improved. But he was never certain that reform, if achieved, would be permanent.

21.2.2 The Encyclopedia •

• • •

The midcentury witnessed the publication of the Encyclopedia, one of the greatest monuments of the Enlightenment, but one that reached fruition only after numerous attempts to censor it and to halt its publication.

When completed in 1772, it numbered seventeen volumes of text and eleven of plates. The Encyclopedia was the product of the collective effort of more than 100 authors, including articles from all the major French philosophes.

The project had been designed to secularize learning and to undermine the intellectual assumptions remaining from the Middle Ages and the Reformation. The encyclopedists looked to antiquity rather than to the Christian centuries for their intellectual and ethical model.

With the publication of the Encyclopedia, enlightened thought became more fully diffused across the Continent, including in German and Russian intellectual and political circles.

21.3 The Enlightenment and Religion •

•

In the eyes of many philosophes, the chief enemy of the improvement of humankind and the enjoyment of happiness was the church.

Intellectually, Christianity perpetuated a religious rather than a scientific view of humankind and physical nature.

21.3.1 Deism •

• •

The philosophes believed that religion should be reasonable and lead to moral behavior. These considerations gave rise to a movement for enlightened religion known as deism.

The deists’ believed that the existence of God could be empirically deduced from the contemplation of nature, that nature provided evidence that God is rational, and that a rational deity must also favor rational morality.

Deism was empirical, tolerant, reasonable, and capable of encouraging virtuous living. It was the major positive religious component of the Enlightenment.

21.3.2 Toleration •

Enlightenment thinkers called for religious toleration. All such calls for toleration stated, in effect, that human life should not be subordinated to dogmatic religion. Secular values and considerations were more important than religious ones.

21.3.3 Islam in Enlightenment Thought • • • •

Enlightenment philosophes spoke with two voices regarding Islam.

For Voltaire, Muhammad and Islam in general represented simply one more example of the religious fanaticism he had so often criticized among Christians.

Some Enlightenment writers spoke well of the Islamic faith, approved of Islam’s tolerance and the charitable work of Muslims.

European voices demanding fairness and expressing empathy for Islam were nonetheless rare throughout the eighteenth century.

21.4 The Enlightenment and Society 210 ..

• •

Although the philosophes wrote much about religion, humanity was the center of their interest.

The philosophes believed that the application of human reason to society would reveal laws in human relationships similar to those found in physical nature. Although the term did not appear until later, the idea of social science originated with the Enlightenment.

21.4.1 Montesquieu and The Spirit of the Laws •

• •

Montesquieu’s (1689–1755) The Spirit of the Laws (1748), was perhaps the single most influential book of the century.

One of Montesquieu’s most influential ideas was that of division of power. He took Great Britain for his model of a government with power wisely separated among different branches.

Montesquieu’s strong sense of the need to limit the exercise of power through a constitution and of the need for legislatures, not monarchs, to make laws had a profound and enduring effect on the liberal democracies of the next two centuries.

21.4.2 Adam Smith and the Wealth of Nations •

•

• • •

The most important economic work of the Enlightenment was Adam Smith’s (1723–1790) Inquiry into the Nature and Causes of the Wealth of Nations (1776).

Smith believed that economic liberty was the foundation of a natural economic system. As a result, he urged that the mercantile system of England—including the navigation acts, the bounties, most tariffs, special trading monopolies, and the domestic regulation of labor and manufacture—be abolished.

Smith maintained that the best way to encourage economic growth was to unleash individuals to pursue their own selfish economic interests.

Smith is usually regarded as the founder of laissez- faire economic thought and policy, which favors a limited role for the government in economic life.

In The Wealth of Nations, Smith, like other Scottish thinkers of the day, embraced an important theory of human social and economic development, known as the four-stage theory.

21.4.3 Jean-Jacques Rousseau •

•

•

•

Jean-Jacques Rousseau (1712–1778), perhaps more than any other writer of the mid-eighteenth century, transcended the thought and values of his own time.

Rousseau blamed much of the evil in the world on maldistribution of property. Human beings dwelling in what his contemporaries regarded as normal social relations involving private property and various kinds of social inequality had in Rousseau’s view departed from the natural goodness of humanity that had existed in a presocial state of nature.

Rousseau sought to project the vision of a society in which each person could maintain personal freedom while also behaving as a loyal member of the larger community. He drew on the traditions of Plato and Calvin to define freedom as obedience to law. In his case, the law to be obeyed was that created by the general will.

Rousseau believed that the general will must always be right and that to obey the general will was to be free. This argument led him to the notorious conclusion that some people must be forced to be free. His politics thus constituted a justification for radical direct democracy and for collective action against individual citizens.

21.4.4 Enlightenment Critics of European Empire •

•

Most European thinkers associated with the Enlightenment favored the extension of European empires across the world.

There were, however, a few Enlightenment voices critical of the European empires, most frequently around the issues of the European conquest of the Americas, the treatment of Native

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• • •

Americans, and the enslavement of Africans on the two American continents, among them Denis Diderot.

The Enlightenment critics of empire argued for the existence of a form of shared humanity that the sixteenth-century European conquerors and their successors in the Americas and in other areas of imperial conquest had ignored.

A second of these critical ideas was the conviction that the cultures of the people whom Europeans had encountered in the Americas should have been respected and understood rather than destroyed.

A third idea, closely related to the second, was that human beings may develop distinct cultures with intrinsic values that cannot be directly compared, one to the detriment of another.

21.4.5 Women and the Enlightenment • • •

Women, especially in France, helped significantly to promote the careers of the philosophes.

The philosophes were nonetheless on the whole not strong feminists. Although many criticized the education women received as overly religious and tended to reject ascetic views of sexual relations, the philosophes advocated no radical changes in the social condition of women.

In A Vindication of the Rights of Woman (1792), Mary Wollstonecraft (1759–1797) argued that to confine women to the separate domestic sphere because of their supposed physiological limitations was to make them the sensual slaves of men. Wollstonecraft was demanding for women the kind of intellectual liberty that male writers of the Enlightenment had been championing for men for more than a century.

21.5 Enlightened Absolutism • • •

During the last third of the century it seemed that several European rulers had embraced many of the reforms set forth by the philosophes. Enlightened absolutism is the term used to describe this phenomenon.

The monarchs most closely associated with it—Frederick II of Prussia, Joseph II of Austria, and Catherine II of Russia—often found that the political and social realities of their realms caused them to moderate both their enlightenment and their absolutism.

The search for new revenues and for more political support for their rule led these monarchs to make “enlightened” reforms. Consequently, they and their advisers used rationality to pursue many goals admired by the philosophes but also to further what the philosophes considered irrational militarism.

21.5.1 Joseph II of Austria •

• •

• •

No eighteenth-century ruler so embodied rational, impersonal force as the emperor Joseph II of Austria.

He sought to overcome the pluralism of the Habsburg holdings by increasing the power of the central monarchy in areas of political and social life.

Joseph extended freedom of worship to Lutherans, Calvinists, and the Greek Orthodox. From 1781 through 1789 Joseph relieved the Jews of certain taxes and signs of personal degradation and gave them the right of private worship. Above all, Joseph sought to bring the various institutions of the Roman Catholic Church directly under his control.

He abolished the legal status of serfdom defined in terms of servitude to another person. He gave peasants much more personal freedom.

In 1789 Joseph proposed a new and daring system of land taxation. All proprietors were to be taxed, regardless of social status. No longer were the peasants alone to bear the burden of taxation.

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21.5.2 Catherine the Great of Russia •

Catherine the Great (r. 1762–1796) carried out limited, Enlightenment-inspired reforms while supporting the rights and local power of the nobility

21.5.3 The Partitions of Poland •

The partition of Poland demonstrated the degree to which even those monarchies supposedly influenced by Enlightenment ideas were most concerned with aggrandizing power.

Documents The Encyclopedia Praises Mechanical Arts and Artisans •

How does D’Alembert defend the importance of the mechanical arts? Why does he think they have not always received proper attention and appreciation? How did the authors of the Encyclopedia familiarize themselves with such work? What kind of conversation might have occurred between one of those authors and a skilled artisan operating his machinery?

Denis Diderot Condemns European Empires •

What is the basis for Diderot’s view that Europeans have behaved tyrannically? How does he portray the behavior of Europeans once they have left their own native countries and find themselves in foreign areas? What are the specific social results he associates with European greed?

Rousseau Argues for Separate Spheres for Men and Women •

How does Rousseau move from the physical differences between men and women to an argument for distinct social roles and social spheres? What would be the proper kinds of social activities for women in Rousseau’s vision? What kind of education would he think appropriate for women?

Mary Wollstonecraft Criticizes Rousseau’s View of Women •

What specific criticisms does Wollstonecraft direct against Rousseau’s views? Why does Wollstonecraft put so much emphasis on a new kind of education for women?

A Closer Look An Eighteenth-Century Artist Appeals to the Ancient World 1. The Enlightenment is usually associated with modern or progressive ideas. How and why did enlightened writers and readers still find the ancient world important to their reformist agendas?

2. How does the portrayal of women in this painting enter into the contemporary debate over the role of women in public life as seen in the Rousseau and Wollstonecraft documents in this chapter? How might Wollstonecraft have commented on this painting?

3. Do you think this painting and similar images of ancient virtue would have effectively undermined social respect and confidence in the eighteenth-century French aristocracy, or was the audience for such paintings too small?

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Summary The Scientific Revolution. The scientific ideas of the sixteenth and seventeenth centuries changed the way Western intellectuals thought about the world and humankind. Instead of a view of nature and humanity based on Scripture and divine revelation, Western thinkers came to rely on mathematical laws, empirical data, and experimentation. Copernicus, Kepler, and Galileo overturned the ancient idea, sanctioned by the Bible, that Earth was the center of the universe and that the Sun and the planets revolved around it. Galileo maintained that the world was governed by mathematical laws. Francis Bacon urged the necessity for observation and experimentation. Newton formulated the law of universal gravitation and established an enduring basis for physics. Locke argued that human beings are shaped by their sense experiences and are hence creatures of their environment subject to reform and possible progress.

The Enlightenment. The Enlightenment philosophes used reason as a basis for reform and to advocate progressive social, economic, and political movements. Voltaire attacked religious intolerance and advocated strong central government to impose rational solutions to social and political problems. Montesquieu and other philosophes argued for limited, constitutional government. Rousseau wished to reform society in the name of virtue rather than material happiness. He maintained that in the pursuit of virtue the needs of society were more important than those of the individual. The competing strands of the Enlightenment continue to pervade Western society.

Enlightened Absolutism. Enlightened absolutism was a form of monarchical government dedicated to the rational strengthening of the central government. Many of the reforms enlightened monarchs imposed were influenced by the ideas of the philosophes, but the chief goal of these rulers was to increase their own authority and military strength, as witnessed by the partitions of Poland among Russia, Prussia, and Austria at the end of the eighteenth century. The most important enlightened monarchs were Frederick II of Prussia, Joseph II of Austria, and Catherine the Great of Russia.

Key Terms deism, p. 591 Enlightenment, p. 581 philosophes, p. 588 scientific revolution, p. 582

empiricism, p. 585 laissez-faire, p. 595 Ptolemaic system, p. 582

REVEL Writing Exercises Journal Writing 21.2 The Encyclopedia Praises Mechanical Arts and Artisans What does this passage reveal about how the authors of the Encyclopedia familiarized 214 ..

themselves with their topics?

21.4 Denis Diderot Condemns European Empires What is the basis for Diderot’s view that Europeans have behaved tyrannically around the globe?

21.5 Rousseau Argues for Separate Spheres for Men and Women According to Rousseau, how do the physical differences between men and women support women having distinct social roles and their own social spheres?

Shared Writing What was the relationship of the Enlightenment to the scientific revolution? How did the Enlightenment further the idea of progress and the superiority of European civilization?

Internet Resources Scientific Revolution: http://web.clas.ufl.edu/users/rhatch/pages/03-Sci-Rev/SCI-REV-Home/ is University of Florida Professor Robert A. Hatch’s web page that includes primary texts, biographies, scholarly sources, links, and a wealth of information.

The Galileo Project: http://galileo.rice.edu/index.html at Rice University is an incredibly rich resource on the leading scientists, institutions, and ideas of Galileo’s era.

Johannes Kepler: http://www-groups.dcs.stand.ac.uk/~history/Biographies/Kepler.html is a biography of the astronomer, with many links.

Kepler’s Laws: http://hyperphysics.phy-astr.gsu.edu/hbase/kepler.html features simple sketches and explanations for Kepler’s laws.

Isaac Newton: http://scienceworld.wolfram.com/biography/Newton.html provides a detailed, idiosyncratic biography.

Enlightenment Documents: http://www.fordham.edu/halsall/mod/modsbook10.html links to a wide variety of primary source documents relating to the Enlightenment.

Jean Jacques Rousseau: http://plato.stanford.edu/entries/rousseau/ is the Stanford Encyclopedia of Philosophy’s extensive biography of Rousseau; Voltaire is among the other philosophes one can find on this site.

Suggested Maps Prentice Hall Atlas of Western Civilization, Second Edition • The Enlightenment in Europe • Europe in the 18th century 215 ..

Suggested Films The Majestic Clock Work. British Broadcasting Corporation Time-Life. Ascent of Man Series (52 minutes).

Voltaire Presents Candide: An Introduction to the Age of Enlightenment. Encyclopaedia Britannica (34 minutes).

Catherine the Great–A Profile in Power. Learning Corporation of America (26 minutes).

Civilisation X: The Smile of Reason. Time-Life (52 minutes).

Genius Galileo. Kultur (50 minutes).

Just the Facts: The Age of Enlightenment. Goldhil Video (50 minutes).

Just the Facts: The Scientific Revolution. Goldhil Video (60 minutes).

Adam Smith: The Wealth of Nations. FHS (25 minutes).

Jean-Jacques Rousseau: Retreat to Romanticism. FHS (25 minutes).

Just the Facts: The Age of Enlightenment. Goldhil Video (50 minutes).

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Chapter 22—Revolutions in the Transatlantic World

Learning Objectives 22.1 Revolution in the British Colonies in North America Trace the course of the American Revolution, from early resistance, through the war years, to the Treaty of Paris.

22.2 Revolution in France, Napoleon, and the Congress of Vienna Discuss the French Revolution, the rise and fall of Napoleon, and the results of the Congress of Vienna.

22.3 Wars of Independence in Latin America Discuss the major events in the wars of independence in Latin America.

22.4 Toward the Abolition of Slavery in the Transatlantic Economy Analyze the background and progress of the forces leading to the abolition of slavery in the transatlantic economy.

Introduction • • • • •

Between 1776 and 1824 a world-transforming series of revolutions occurred in France and the Americas.

All the revolutionary leaders sought to establish new governments based largely, though never entirely, on Enlightenment principles.

The transatlantic revolutions, despite their individual characters and developments, were interconnected events in world history The era also witnessed the commencement of a vast international crusade, first to abolish the slave trade and then to abolish slavery in the transatlantic world.

The political and economic dislocations of the revolutionary era helped the antislavery forces achieve their goals.

Global Perspective The Transatlantic Revolutions •

• • •

The revolutions and the crusade against slavery that occurred throughout the transatlantic world between 1776 and the 1830s transformed the political, social, and economic life of three continents.

As a result of the events of this age of transatlantic revolution, the largest republic since ancient times was established in North America.

In Europe, absolutist governments were overthrown across the continent by the impact of the French Revolution and the armies of Napoleon.

By the close of the first quarter of the nineteenth century, wars of independence across Latin America had closed the era of European empire with the establishment of republics everywhere

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•

except Brazil.

The age of transatlantic revolutions saw the emergence of nationalism as a political force, the revolutions had given power to the idea of nations defined by their own character and historical past rather than by dynastic rulers.

Focus Questions 1. What is the relationship between the Enlightenment and the transatlantic revolutions? Between the Enlightenment and the crusade against slavery?

2. How did the transatlantic revolutions fundamentally alter the relationship between Europe and the Americas?

3. What is the relationship between the transatlantic revolutions and nationalism? Why did such a relationship exist?

Key Points 22.1 Revolution in the British Colonies in North America 22.1.1 Resistance to the Imperial Search for Revenue •

• • •

The British drive for revenue to administer its expanded empire began in 1764 with the Sugar Act, which attempted to produce more revenue from imports into the colonies by the rigorous collection of what was actually a reduced tax on sugar.

The next year, Parliament passed the Stamp Act, which put a tax on legal documents and certain other items, including newspapers.

In October 1765 the Stamp Act Congress met in America and drew up a protest to the crown.

In 1766 Parliament repealed the Stamp Act but, through the Declaratory Act, claimed the power to legislate for the colonies.

22.1.2 American Political Ideas •

•

The political ideas of the American colonists had largely arisen from the struggle of seventeenthcentury English aristocrats and gentry against the absolutism of the Stuart monarchs. The American colonists believed that the English revolution of 1688 had established many of their own fundamental political liberties.

More radical republican ideas had become influential over the course of the eighteenth century, many of those emanating from England as well.

22.1.3 Crisis and Independence •

•

•

The British prime minister, Lord North (1732–1792), was determined to assert the authority of Parliament over the resistant colonies.

In 1774 Parliament passed a series of laws known in American history as the Intolerable Acts.

These measures closed the port of Boston, reorganized the government of Massachusetts, allowed troops to be quartered in private homes, and removed the trials of royal customs officials to England.

In April 1776 the Continental Congress opened American ports to the trade of all nations. Finally, on July 4, 1776, the Continental Congress adopted the Declaration of Independence.

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•

The 1783 Treaty of Paris concluded the conflict, and the thirteen American colonies had established their independence.

22.2 Revolution in France, Napoleon, and the Congress of Vienna 22.2.1 Revolutions of 1789 • • • •

•

In July 1788, Louis XVI agreed to convene the Estates General the next year to discuss the monarchy’s request for new taxes.

The Third Estate invited the clergy and the nobles to join it in organizing a new legislative body.

A few of the lower clergy did so. On June 17, 1789 that body declared itself the National Assembly, the National Assembly became the National Constituent Assembly.

Most of the National Constituent Assembly wished to create some form of constitutional monarchy, but from the start Louis’s refusal to cooperate thwarted that effort.

The fall of the Bastille by an angry mob signaled that the political future of the nation would not be decided solely by the National Constituent Assembly, peasant rebellion in the countryside (the Great Fear) likewise indicated there was now a social component to the rebellion against the monarchy.

On August 26, 1789, the assembly issued the Declaration of the Rights of Man and Citizen. This declaration drew together much of the political language of the Enlightenment and was also influenced by the Declaration of Rights adopted by Virginia in America in June 1776.

22.2.2 Reconstruction of France •

• • •

The National Constituent Assembly was determined to protect property and to limit the impact on national life of small-property owners as well as of the unpropertied elements of the nation. While championing civic equality before the law, the assembly spurned social equality and extensive democracy.

The 1791 Constitution created a constitutional monarchy but with greatly restricted voting rights, only about 50,000 citizens of the French nation of 26 million could actually vote for candidates for the Legislative Assembly or serve in it. Women were excluded altogether.

In July 1790 the National Constituent Assembly issued the Civil Constitution of the Clergy, which transformed the Roman Catholic Church in France into a branch of the secular state.

In February 1791 the pope condemned not only the Civil Constitution of the Clergy but also the Declaration of the Rights of Man and Citizen. That condemnation marked the opening of a Roman Catholic offensive against liberalism in Europe and revolution throughout the world that continued for over a century.

22.2.3 A Second Revolution • •

• • • •

The second revolution overthrew the constitutional monarchy and established a republic.

The Paris Commune compelled the Legislative Assembly to call for the election, by universal manhood suffrage, of a new assembly to write a democratic constitution. That body, called the Convention after its American counterpart of 1787, met on September 21, 1792.

As its first act the Convention declared France a republic, that is, a nation governed by an elected assembly without a king.

War broke out between France and the other European nations, the latter determined to uphold the principle of monarchy.

By a narrow majority, Louis was convicted of conspiring against the liberty of the people and the security of the state. Condemned to death, he was beheaded on January 21, 1793.

In March 1793 aristocratic officers and priests commenced a royalist revolt in the Vendée, in western France, and roused much local popular support.

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22.2.4 The Reign of Terror and its Aftermath • • • • • •

• • •

The Reign of Terror is the name given to the months of quasi-judicial executions and murders stretching from the autumn of 1793 to the midsummer of 1794.

The Terror can be understood only in the context of the internal and external wars, on the one hand, and the revolutionary expectations of the Convention and the sans-culottes, on the other.

In April 1793 the Convention established a Committee of General Security and a Committee of Public Safety to perform the executive duties of the government. The Committee of Public Safety eventually enjoyed almost dictatorial power.

Revolutionary women established their own distinct institutions to fight the internal enemies of the revolution.

By October 1793 the Jacobins in the Convention had begun to fear the turmoil the society was causing and banned all women’s clubs and societies.

In November 1793 the convention decreed the Cathedral of Notre Dame to be a Temple of Reason. The legislature then sent trusted members, known as deputies, on missions into the provinces to enforce dechristianization by closing churches, persecuting clergy and believers, and, occasionally, forcing priests to marry.

During late 1793 and early 1794 Maximilien Robespierre (1758–1794) emerged as the chief figure on the Committee of Public Safety. The Jacobin Club provided his primary forum and base of power.

In Paris during the late winter of 1794 Robespierre turned the terror against republican political figures of the left and right.

The Reign of Terror claimed as many as 40,000 victims. Most were peasants and sansculottes who had rebelled against the revolutionary government.

22.2.5 The Napoleonic Era • • •

•

• •

• •

Napoleon Bonaparte’s military victories led to his rising political influence.

Bonaparte issued a new Constitution in December 1799, establishing himself as the First Consul.

Napoleon established a highly centralized administration in which all departments were managed by prefects directly responsible to the central government in Paris. He employed secret police. He stamped out, once and for all, the royalist rebellion in the west and moved against other royalist plots.

In 1802 another plebiscite appointed Napoleon consul for life, and he soon produced still another new constitution, which granted him what amounted to full power. He transformed the basic laws and institutions of France on the basis of both liberal principles derived from the Enlightenment and the early years of the revolution and conservative principles.

In 1804 Bonaparte seized on a bomb attack on his life to make himself emperor. He argued that the establishment of a dynasty would make the new regime secure and make further attempts on his life useless.

Between his coronation as emperor and his final defeat at Waterloo (1815), Napoleon conquered most of Europe in military campaigns that astonished the world. France’s victories changed the map of Europe, ended the Old Regime and its feudal trappings in Western Europe, and forced the central and eastern European states to reorganize themselves to resist Napoleon’s armies.

In 1807, as part of the strategy of crippling the British economy, a French army invaded the Iberian Peninsula to force Portugal to abandon its traditional alliance with Britain. The army stayed in Spain to protect lines of supply and communication.

An unsuccessful invasion of Russia and subsequent military defeats led to Napoleon’s abdication in 1814.

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22.2.6 The Congress of Vienna and the European Settlement • • •

The Congress of Vienna constructed a series of states to serve as barriers to any new French expansion.

The Congress established the rule of legitimate monarchs and rejected any hint of the republican and democratic politics that had flowed from the French Revolution.

The Congress produced a settlement for Europe that succeeded in preventing future French aggression and resulted in a long-lasting peace.

22.3 Wars of Independence in Latin America •

The wars of the French Revolution, particularly those of Napoleon, sparked movements for independence throughout Latin America. Three centuries of Iberian colonial government over the South American continent ended.

22.3.1 Eighteenth Century Developments • •

After the Seven Years’ War ended in 1763, the Spanish king Charles III (r. 1759–1788) and government circles in Spain were convinced that the American colonial system had to be changed and undertook a series of reforms affecting trade, taxation and administration.

These reforms, which took place during the same years as the unsuccessful British effort to reorganize its authority in its North American colonies, largely succeeded in returning the empire to direct Spanish control, causing discontent among the creoles.

22.3.2 Revolution in Haiti • • •

Between 1791 and 1804, the French colony of St. Domingue (present-day Haiti) achieved independence. This event was of key importance for two reasons. First, it was sparked by policies of the French Revolution overflowing into its New World empire.

Second, the Haitian Revolution demonstrated that slaves of African origins could lead a revolt against white masters and mulatto freemen.

The Haitian slave-led rebellion became the first successful assault on colonial government in Latin America.

22.3.3 First Movements toward Independence on the South American Continent •

• •

Generally speaking, on the South American continent it was the creole elite—merchants, landowners, and professional people—who led the movements against Spain and Portugal. While many Indians, blacks, mestizos, mulattos, and slaves fought in the revolutionary armies of this elite, few benefited from the end of Iberian rule.

Creole complaints resembled those of the American colonists against Great Britain. Latin American merchants wanted to trade more freely, they wanted commercial regulations that would benefit them rather than Spain.

Creoles also feared that Spanish imperial regulations might affect landholdings, access to commissions in the army, local government policy, and the treatment of slaves and Indians in ways that would harm their interests.

22.3.4 San Martín in Río de la Plata • • •

The first region of South America to assert its independence was the Río de la Plata, or modern Argentina By 1814 José de San Martín (1778–1850), the leading general of the Río de la Plata forces, had organized and led a disciplined army in a daring march over the Andes Mountains. By early 1817 he had occupied Santiago in Chile.

San Martín then constructed a naval force that in 1820 transported his army to Peru. The next

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year, he drove royalist forces from Lima and assumed the title of Protector of Peru.

22.3.5 Simón Bolívar •

•

• •

While San Martín had been liberating the southern portion of the Continent, Simón Bolívar (1783–1830) had been pursuing a similar task in the north.

In 1816, with help from Haiti, he launched a new invasion against Venezuela. He first captured Bogotá, capital of New Granada (including modern Colombia, Bolivia, and Ecuador), and used that as a base for attacking Venezuela. By the summer of 1821 his forces had captured Caracas and he had been named president.

A year later, in July 1822, the armies of Bolívar and San Martín joined to liberate Quito.

On December 9, 1824, at the battle of Ayacucho, the Spanish royalist forces suffered a major defeat at the hands of the liberating army. The battle marked the conclusion of Spain’s effort to retain its American empire.

22.3.6 Independence in New Spain •

• •

The drive for independence in New Spain, which included present-day Mexico as well as Texas, California, and the rest of the southwestern United States, clearly illustrates the socially conservative outcome of the Latin American colonial revolutions.

The initial popular insurrection led by two priests, Hidalgo and Morelos, which included demands for land reform were harshly repressed.

Conservative Mexicans feared that the new liberal monarchy in Spain would attempt to impose liberal reforms on Mexico. Therefore, for the most conservative of reasons, they rallied to a former royalist general, Agustín de Iturbide (1783–1824), who in 1821 declared Mexico independent of Spain. Shortly thereafter, Iturbide was declared emperor.

22.3.7 Brazilian Independence • • • • •

Brazilian independence, in contrast to that of Spanish Latin America, came simply and peacefully.

After Napoleon’s invasion of Portugal, the Portuguese royal family, along with several thousand government officials and members of the court, took refuge in Brazil in 1807. Rio de Janeiro was immediately transformed into a court city.

In 1815 Brazil was made a kingdom, which meant that it was no longer to be regarded merely as a colony of Portugal.

The regent in Brazil, Pedro, son of the Portuguese king embraced Brazilian independence against Portugal’s attempt reassert colonial rule. By the end of 1822, he had become emperor of an independent Brazil, which remained a monarchy until 1889.

Another factor aided the peaceful transition to independence in Brazil. The political and social elite there were determined to preserve slavery against the forces that were challenging that institution.

22.4 Towards the Abolition of Slavery in the Transatlantic Economy • • • •

Before 1750 almost no one seriously questioned the institution of slavery; by 1888 slavery no longer existed in the transatlantic economy.

This vast transformation of economic and social life occurred as the result of an international effort, first to abolish the slave trade and then to abolish the institution of slavery itself.

The eighteenth-century crusade against slavery in the plantation economy that stretched from Maryland south to Brazil originated among writers of the Enlightenment and religious critics of slavery.

The initial religious protest against slavery originated among English Quakers, a radical

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• •

•

• • •

Protestant religious group founded by George Fox in the seventeenth century.

These American developments were significant, but Great Britain became and remained the center for the anti-slavery movement.

During the early 1780s anti-slavery reformers in Great Britain decided to focus their work on ending the slave trade its attendant horrors, rather than the institution of slavery itself. For the reformers, attacking the trade rather than the institution appeared a less radical and more achievable reform.

While the British reformers worked for the abolition of the slave trade, slaves themselves in certain areas took matters into their own hands. Indeed, the largest emancipation of slaves to occur in the eighteenth century came as a result of the slave revolt of 1794 in St. Domingue (Haiti).

Some British West Indies planters, for reasons that had nothing to do with religion or enlightened humanitarianism, began to favor curtailing the slave trade because, without new slaves, competing French planters would lack the labor they needed to exploit their islands.

Despite the gradual nature of this abolition, slavery would disappear from all nations of Latin America by the middle of the century, with the important exception of Brazil and the Spanish Caribbean.

During the first thirty years of the nineteenth century, however, despite the widespread antislavery movement, the institution of slavery actually achieved new footholds in the transatlantic world: in the lower south of the United States for the cultivation of cotton, in Brazil for the cultivation of coffee, and in Cuba for the cultivation of sugar.

Documents The Stamp Act Congress Addresses George III •

Why does the Congress insist on the same rights for subjects born in the colonies as those born in England? On what grounds does the Congress declare that Parliament may not levy taxes in the colonies? Why is the Congress so concerned about what courts may try cases arising from the Stamp Act?

Olympe de Gouges Issues the Declaration of the Rights of Woman and the Female Citizen •

What are the specific parallels that de Gouges drew between the rights of man and the rights of woman? How does her declaration suggest civic responsibilities for women as well as rights?

How does her language suggest her familiarity with Enlightenment writers?

A Free Person of Color from St. Domingue Demands Recognition of His Status •

How does Raymond portray himself as free but still clearly victimized by the assembly in St. Domingue, which is composed only of white members? In a slave society such as that on St. Domingue, how might a person such as Raymond be legally free but still subject to various modes of discrimination? How can he invoke the principles of the Declaration of the Rights of Man and Citizen to apply pressure on the French National Constituent Assembly?

The Paris Jacobin Club Alerts the Nation to Internal Enemies of the Revolution •

How did the Jacobins use the war to call for actions against their own domestic political enemies?

What real and imagined forces did they see threatening the revolution?

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A Closer Look Challenging the French Political Order 1. This image points to the monarchy, the aristocracy, and the established French Roman Catholic Church as political units in conflict with each other. How did they come into conflict?

How did their conflicts allow the poor French citizens shown here at the bottom of the heap to come to the fore as agents of social and political change?

2. Does this cartoon illustrate all of the political and social tensions ready to erupt in France at the time of the revolution? What others emerged? Why did all of these conflicts then lead to the intervention of foreign powers against the revolution? Why are no foreign powers portrayed in this cartoon?

3. If leaders of the American Revolution had viewed this cartoon and then wanted to draw one of their own, how might theirs have appeared? How might one drawn by the leaders of the Haitian Revolution have drawn it? What common forces did all of the revolutions of the day seek to overturn—or were there no common forces?

Summary The Transatlantic Revolutions. The revolutions and the crusade against slavery that occurred throughout the transatlantic world between 1776 and the 1830s transformed three continents. In North America, in France and other parts of Europe, and in South America, political experiments challenged government and the rule of monarchies and aristocracies. The foundations of modern liberal democracy were laid. The largest republic since ancient times was established in North America. In Latin America, republicanism triumphed everywhere except Brazil. Thereafter, government in these regions always included some form of participation by the governed.

Economic and Social Liberalization. The expanding forms of political liberty found their counterparts in an economic life freed from the constraints of the old colonial empires and the slavery that marked their plantations. The new American republic constituted a vast free-trade zone. Its commerce was open to the world. And for the first time since the encounter with Europe, Latin Americans could trade freely among themselves and with the rest of the world. In France and Europe, where the Napoleonic armies had carried the doctrines of the rights of man, economic life had been rationalized and freed from the domination of local authorities and local weights and measures. National law formed the framework for economic activity. The movement to abolish slavery fostered a wage economy of free laborers. That kind of economy would generate its own set of problems and social dislocations, but it was nonetheless an economy of free human beings.

Nationalism. Finally, the age of transatlantic revolutions saw the emergence of nationalism as a political force, a development that is more fully discussed in Chapter 23. All of the revolutions, because of their popular political base, had given power to the idea of nations defined by their own character and historical past rather than by dynastic rulers. The Americans saw themselves 224 ..

as forming a new kind of nation. The French had demonstrated the power of a nation mobilized for military purposes. In turn, the aggression of France had aroused national sentiment, especially in Great Britain, Spain, and Germany. The new nations of Latin America also sought to define themselves by their heritage and historical experience rather than by their past in the Spanish and Portuguese empires.

These various revolutions, their political doctrines, and their social and economic departures provided examples to peoples elsewhere in the world. But even more important, the transatlantic revolutions and eventual abolition of slavery meant that new political classes and independent nations would become actors on the world scene. Europeans would have to deal with a score of new nations in the Americas. The rest of the world confronted new nations freed from the direction and authority of European powers.

The political changes in Europe meant that those nations and their relationships with the rest of the world would be directed by a broader range of groups than in the past.

Key Terms assignats, p. 616 Convention, p. 617 Jacobins, p. 617 mestizos, p. 631 peninsulares, p. 629 sans-culottes, p. 618 Third Estate, p. 613

Consulate, p. 623 creoles, p. 629 levée en masse, p. 620 mulattos, p. 631 Reign of Terror, p. 619 Thermidorean Reaction, p. 622

REVEL Writing Exercises Journal Writing 22.1 The Stamp Act Congress Addresses George III What does this address from the Congress state about the colonists’ rights as English subjects and about taxation?

22.2 Olympe de Gouges Issues the Declaration of the Rights of Woman and the Female Citizen What are the specific parallels that de Gouges drew between the rights of man and the rights of woman?

Shared Writing A motto of the French Revolution was “liberty, equality, and fraternity.” How might one compare the American Revolution, the French Revolution, and the Latin American wars of independence in regard to the achievement of these goals? Which groups in each country or region benefited from the revolution, and which gained little or nothing?

Internet Resources 225 ..

French Revolution: http://chnm.gmu.edu/revolution/ is housed at George Mason University and contains essays, images, and a variety of media that cover the revolution, the Napoleonic era, and more.

Marie Antroinette and the French Revolution: http://www.pbs.org/marieantoinette/index.html is the online supplement to a PBS series; it includes timelines, timelines, correspondence, images, and quizzes.

Paris in the 19th Century: http://gallery.sjsu.edu/paris/ has a beautiful site that explores culture, politics, art, class, and many other subjects.

Haitian Revolution: http://www.pbs.org/wgbh/aia/part3/3p2990.html provides a brief overview of events, and links to biographies and other relevant information.

Latin America in the 19th Century: http://www.fordham.edu/halsall/mod/modsbook32.html provides links for many significant primary source documents.

Simon Bolivar: http://www.time.com/time/world/article/0,8599,2004526,00.html is a Time magazine article from 2010, reflecting the general’s ongoing relevance.

Abolition of Slavery: http://www.bbc.co.uk/history/british/abolition/ contains essays and links, focusing on the British role in abolition.

Suggested Maps Prentice Hall Atlas of Western Civilization, Second Edition • The French Revolution Prentice Hall Atlas of World History, Second Edition • An Era of Revolution • The Napoleonic Empire

Suggested Films Civilisation XI: The Worship of Nature (Time-Life. 52 minutes).

French Revolution. Coronet (16 minutes).

The French Revolution: The Bastille. Learning Corporation of America (28 minutes).

French Revolution: Death of The Old Regime. Encyclopaedia Britannica (17 minutes).

Napoleon: The Making of a Dictator. Lutheran Church in America (28 minutes).

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Napoleon: The End of a Dictator. Lutheran Church in America (27 minutes).

The Hundred Days: Napoleon–From Elba to Waterloo. Time-Lifev40 minutes).

The Napoleonic Era. Coronet (14 minutes).

Goya: The Disasters of War. Radim Films (20 minutes).

Civilisation XII: The Fallacies of Hope. Time-Life (52 minutes).

Amistad. (Dreamworks Video (155 minutes).

The French Revolution: Impact and Sources. FHS (25 minutes).

Napoleon. FHS (53 minutes).

Napoleon: An Empires Special. PBS Home Video (216 minutes).

Simón Bolivar: The Liberator. FHS (30 minutes).

Quills. 20th Century Fox. Set in the furor of the French Revolution, this movie provides a disturbing portrayal of the Marquis de Sade in all his perversity (124 minutes).

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Chapter 23—Political Consolidation in Nineteenth-Century Europe and North America Learning Objectives 23.1 Nationalism and Liberalism in Early-Nineteenth-Century Europe Discuss nineteenth-century European nationalism and liberalism and their impact on global history.

23.2 Efforts to Liberalize Early Nineteenth-Century European Political Structures Discuss the liberal–conservative conflict in nineteenth-century Europe as expressed in the Decembrist revolt in Russia, the 1830 revolution in France, the British reform bills, and the Revolutions of 1848.

23.3 Testing the New American Republic Analyze the sectional conflict and the Civil War in terms of North–South economic differences and the institution of slavery.

23.4 The Canadian Experience Trace the Canadian path toward self-government in the nineteenth century.

23.5 Midcentury Political Consolidation in Europe Discuss midcentury political consolidation in Europe, with a focus on the Crimean War, Italian and German unification, and the Franco-Prussian War. 23.6 Unrest of Nationalities in Eastern Europe Discuss the effects of nationalistic unrest in later nineteenth-century Europe within and outside the Austrian Habsburg Empire.

23.7 Racial Theory and Anti-Semitism Discuss nineteenth-century racial theory, anti-Semitism, and the birth of Zionism.

Introduction • • • •

During the nineteenth century two fundamental long-term developments occurred in the northern transatlantic world that would have a profound impact over the decades in every nation on the face of the earth.

First, in both Europe and North America a process of political consolidation took place that made the nation-states of that region the strongest of the period.

Second, there emerged in Europe and North America powerful, new industrial economies with a new kind of society no longer based primarily on the land.

As a direct result of this political consolidation and industrialization, the nations of the northern transatlantic became the world’s major military powers.

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Global Perspective European and North American Political Consolidation •

• • • •

Great Britain, France, Germany and the United States emerged in the nineteenth century as the world’s most industrialized and powerful nations.

The movement toward strong, centralized national states in Europe and North America during the nineteenth century had counterparts elsewhere in the world. In Asia during this same period, Japan sought to imitate the military and economic power of the European states.

The last half of the century also saw various national and ethnic groups use the power of the national state to repress or dominate other minority groups.

The militarily and economically strong states of Europe soon turned to foreign adventures that subjugated vast areas of Africa and Asia.

During the first quarter of the twentieth century, the nationalistic principle that less than fifty years earlier had dominated European politics began to influence the politics of the peoples on whom Europeans had imposed their government and administration.

Focus Questions 1. What role has military and economic power played in strengthening nation-states?

2. Why do most nation-states have ethnic minorities? Why have these minorities tended to be oppressed?

3. How did the rivalry among the European nation-states affect other regions of the world? What relationship did it have on the development of nationalism outside of Europe?

Key Points 23.1 Nationalism and Liberalism in Early Nineteenth-Century Europe • •

•

Nationalism proved to be the single most powerful political ideology in Europe during the nineteenth and early twentieth centuries.

As a political idea, nationalism is based on the relatively modern concept that a nation is composed of people who are joined together by the bonds of common language, customs, culture, and history, and who, because of those bonds, should share the same government. That is to say, political and ethnic boundaries should coincide.

Early nineteenth-century nationalists directly opposed the principle upheld at the Congress of Vienna in 1814—that legitimate monarchies or family dynasties, rather than ethnicity, should provide the basis for political unity.

23.1.1 Creating Nations •

•

During the first half of the century various writers from various scholarly fields used the printed word to spread a nationalistic concept of the nation.

In time schoolteachers, by imparting a nation’s official language and history, spread nationalistic ideas.

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The language to be used in the schools and in government offices was always a point of contention for nationalists.

The growth of a uniform language helped to persuade people who had not thought of themselves as constituting a nation that they were a nation.

23.1.2 Meaning of Nationhood •

•

•

A significant difficulty associated with nationalism was, and is, determining which ethnic groups could be considered nations, with claims to territory and political autonomy.

Nationhood came to be associated with groups that were large enough to support a viable economy, that had a history of significant cultural association, that possessed a cultural elite that could nourish and spread the national language, and that could exert enough military force to establish and protect their own independence.

Smaller ethnic groups had a difficult time establishing nations.

23.1.3 Regions of Nationalistic Pressure in Europe •

Ireland, Italy, Poland, Eastern Europe, the Balkans and the German-speaking peoples of central Europe were all regions of intense nationalistic sentiment during the nineteenth Century.

21.1.4 Liberalism •

• • •

•

In the present-day United States, the word liberal carries connotations that have little or nothing to do with its significance for nineteenth-century Europeans.

European liberalism derived from the Enlightenment, the example of English liberties and the socalled principles of 1789 as embodied in the French Declaration of the Rights of Man and Citizen.

Liberals sought to establish a framework of legal equality, religious toleration, and freedom of the press. They sought to limit the arbitrary power of the government against the persons and property of individual citizens.

Liberals transformed the eighteenth-century concept of aristocratic privilege into a new concept of privilege based on wealth and property instead of birth. By midcentury this widely shared attitude meant that throughout Europe, liberals had separated themselves from both the rural and the urban working class.

In the first half of the nineteenth century political liberals did not generally support the extension of political rights to women.

23.1.5 Relationship of Nationalism and Liberalism •

Nationalism was not necessarily or logically linked to liberalism, and some conservative nationalists, for example, ignored the rights of national minorities. Nonetheless, liberalism and nationalism were often complementary.

23.1.6 Liberalism and Nationalism in Modern World History •

In time those liberal ideals as well as those of nationalism would spread around the globe. It is for this reason that what began as a European development was so important not just for Europe but also for global history.

23.2 Efforts to Liberalize Early Nineteenth-Century European Political Structures 23.2.1 Russia: The Decembrist Revolt of 1825 and the Autocracy of Nicholas I •

In the process of driving Napoleon’s army across Europe and then occupying defeated France, many officers in the Russian army were introduced to the ideas of the French Revolution and the

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Enlightenment. They realized how economically backward and politically stifled Russia was.

A failed revolt by reform-minded officers was bloodily repressed by the Czar Nicholas in December 1825.

The immediate result of the revolt was the crushing of liberalism as even a moderate political influence in Russia.

23.2.2 Revolution in France (1830) •

• • • •

Charles X (r. 1824–1830). The new king considered himself a monarch by divine right, and he also moved to restore lands that the French aristocrats had lost during the revolution.

In 1830 Charles X called for new elections, in which the liberals scored a stunning victory.

Instead of attempting to accommodate the new Chamber of Deputies, the king and his ministers decided to undertake a royalist seizure of power.

Charles X issued the Four Ordinances, which restricted freedom of the press, dissolved the recently elected Chamber of Deputies, and called for new elections under a franchise restricted to the wealthiest people in the country.

On August 2, 1830 as a result of the revolutionary disturbances, Charles X abdicated and left France for exile in England.

Under what became known as the July monarchy, Louis Philippe was called the king of the French rather than of France. The king had to cooperate with the Chamber of Deputies; he could not dispense with laws on his own authority. The revolutionary tricolor replaced the white flag of the Bourbons. The franchise, though still restricted, was extended.

23.2.3 The Great Reform Bill in Britain (1832) •

•

• • • •

In 1829 the Catholic Emancipation Act meant Roman Catholics could now become members of Parliament. This measure, together with the repeal in 1828 of restrictions against Protestant nonconformists, ended the monopoly held by members of the Church of England on British political life.

In 1832 a major reform bill that became law had two broad goals. The first was to replace “rotten” boroughs, which had few voters, with representatives for the previously unrepresented manufacturing districts and cities. The second was to increase the number of voters in England and Wales.

The Great Reform Act expanded the size of the English electorate, but it was not a democratic measure. Although the electorate was increased by over 200,000 persons, or by almost 50 percent, the basis of voting remained a property qualification.

The most important example of the opening of parliamentary processes was the Second Reform Act, passed by a Conservative government in 1867.

Ireland remained a major issue for the British government. From the late 1860s onward, Irish nationalists had sought to achieve home rule for Ireland.

The Irish proved a profoundly disruptive force in British politics, as did the Hungarians and Czechs in the Habsburg Empire.

23.2.4 Revolutions of 1848 in Europe • •

• •

In 1848 a series of liberal and nationalistic revolutions and revolts spread across Europe.

The dynamic for change in 1848 originated not with the working classes but with the political liberals, who were generally drawn from the middle classes. Throughout the Continent liberals were pushing for more representative governments, civil liberty, and unregulated economic life.

The liberals refused to follow political revolution with social reform and thus isolated themselves from their temporary working-class allies.

Once separated from potential mass support, the liberal revolutions became easy prey to the

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armies of reactionary governments. As a result, the revolutions of 1848 failed to establish genuinely liberal or national states.

From the standpoint of world history, the chief importance of the failed liberal and national Revolutions of 1848 was the emergence on the European continent of strongly conservative governments that would dominate the scene for the next quarter century.

The defeat of liberal political forces in 1848 and the triumph of conservative powers also influenced the modernization of Japan. After the Meiji Restoration the new leaders of Japan looked to European examples of successful modern nations. The nation they would most clearly copy was the conservative, militaristic Germany that emerged after the defeat of the liberals of 1848.

23.3 Testing the New American Republic 23.3.1 Toward Sectional Conflict •

• • • • • •

African slavery was the most polarizing issue in the first half of the nineteenth century in the United States.

The economies of the North, increasingly industrial and with free wage labor, and the South, agrarian and heavily dependent on slave labor, were rapidly diverging.

During the second quarter of the century innovations in transportation (canals and railroads) led to the fuller integration of different parts of the Northern economy.

The South profited from growing the cotton, New England from shipping it, and other parts of the North from supplying the manufactured goods the South needed. The South had virtually no incentive to diversify its agriculture.

In the South, the expansion of the cotton empire in the Mississippi Delta in the early nineteenth century gave slavery a new lease.

Slaves were regarded as chattel property; that is, they could be sold, given away, or even gambled away like any other piece of property.

Some elements of African culture persisted in the slave communities. African legends were passed on orally. Religion proved extraordinarily important.

23.3.2 The Abolitionist Movement • • • • • • •

During the 1830s a militant antislavery movement emerged in the North.

The antislavery movement, which was initially only one of many American reform movements, gained new adherents during the 1840s as the question of extending slavery into the new territories came to the fore, especially in 1847 toward the end of the Mexican War (1846–1848).

In 1854 the introduction of the Kansas-Nebraska Bill renewed the formal national political debate over slavery and galvanized the antislavery forces.

In December 1860 Southern states began to secede and formed the Confederate States of America, leading to the outbreak of the American Civil War. The Civil War lasted almost exactly four years, and a different nation emerged from the violence.

The Thirteenth, Fourteenth, and Fifteenth amendments to the Constitution largely recast the character of the Union. The Thirteenth abolished slavery, the Fourteenth granted citizenship to the former slaves, and the Fifteenth allowed them to vote.

Within the context of world history, the American Civil War is important for several reasons: its high number of casualties, the ending of slavery, and creation of a free labor market, as the takeoff point from the United States’ economic development.

23.4 The Canadian Experience •

Under the Treaty of Paris of 1763, all of Canada came under the control of Great Britain. Canada

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•

then, as now, included both an English-speaking and a French-speaking population.

In the early nineteenth century Canada’s relations with the United States were often tense. There were local disputes over the fur trade, and there was fear that the United States would dominate Canada. That apprehension, along with the Anglo–French ethnic divisions, came to constitute two of the major themes of Canadian history.

23.4.1 Road to Self-Government •

Britain devolved a considerable amount of power leading to self-government in Canada. The Canadian experience thus had a considerable impact throughout the world. Britain sought to foster responsible self-government to other settler colonies in Australia, New Zealand, and South Africa.

23.4.2 Keeping a Distinctive Culture •

The British North America Act of 1867 created a Canadian federation. Canadians hoped to avoid what they regarded as flaws in the Constitution of the United States. The Canadian system of government was to be federal, but with much less emphasis on states’ rights than in the United States and with a parliamentary system of government.

23.5 Midcentury Political Consolidation in Europe 23.5.1 The Crimean War •

•

The Crimean War shattered the image of an invincible Russia that had prevailed since the close of the Napoleonic Wars.

It also shattered the power of the agreements made at the Congress of Vienna to settle international disputes on the Continent. The major European powers were no longer willing to cooperate to maintain the existing borders between themselves and their neighbors.

23.5.2 Italian Unification •

• •

Italian nationalists had long wanted to unite the small absolutist principalities of the peninsula into a single state but could not agree on how to do it.

Under Cavour, Piedmont joined the French and British side in the Crimean War so that he would be able to raise the question of Italian unification at the peace conference.

In late 1860 Naples and Sicily voted to join the northern union forged by Piedmont, and in March 1861 Victor Emmanuel II was proclaimed king of Italy.

23.5.3 German Unification •

• •

A united German nation was the single most important political development in Europe between 1848 and 1914.

Germany was united by the conservative army and monarchy of Prussia and by Prussia’s conservative prime minister, Bismarck, who sought to outflank the Prussian liberals.

War between Prussia and Austria broke out in the summer of 1866. This Seven Weeks’ War led to the decisive defeat of Austria at Koniggratz. The Prussian victory and the consequent Treaty of Prague excluded the Habsburgs from German affairs. Prussia became the only major power among the German states.

23.5.4 The Franco-Prussian War and the German Empire • •

To complete unification and bring the states of southern Germany into the confederation, Bismarck provoked a war with France.

Once the war began, the states of southern Germany supported Prussia.

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France was defeated and the German Empire proclaimed. The rulers of the states of south Germany had requested William I to accept the imperial title. They, in turn, retained their thrones.

The unification of Italy and Germany proved to many people that nationalistic goals could only be achieved by armed force.

23.6 Unrest of Nationalities in Eastern Europe •

• • •

In the age of national states, liberal institutions, and industrialism, the Habsburg domains remained primarily dynastic, absolutist, and agrarian.

Many of the other national groups within the empire—including the Czechs, the Romanians, the Serbs, and the Croats—had nationalist aspirations.

Nationalist unrest within the Habsburg Empire not only caused internal political difficulties, but also constituted one of the major sources of political instability for all of central and eastern Europe.

Nationality problems touched each of the three great central and eastern European empires—the German, the Russian, and the Austrian. The stirrings of nationalism affected the fate of all three empires from the 1860s through the outbreak of World War I.

23.7 Racial Theory and Anti-Semitism •

•

Articulated racial theory constituted a new component of late-century nationalistic unrest and n the late nineteenth century the concept of race emerged as a single dominant explanation of the history and the character of large groups of people.

Anti-Semitism was closely linked to the new racial theories and racism.

23.7.1 Social Darwinism • • •

During the late nineteenth century and the early twentieth, racial thinking became associated with the competitive ideas of social Darwinism.

Racial thinking embraced two interwoven images of biological determinism: race as a biological reality and competition as a reality of biological development. The result of this combination was a deadly vision of competition among races and nations for survival and domination.

These ideas could and did support an image of Western superiority over non-Western peoples during the era of colonialism. Within Europe the same ideas could and did support policies of racial conflict and superiority.

23.7.2 Anti-Semitism and the Birth of Zionism •

•

• •

Political and racial anti-Semitism, which cast such dark shadows across the twentieth century, emerged in part from this atmosphere of racial thought.

During the last third of the century, as finance capitalism changed the economic structure of Europe, people pressured by the changes became hostile toward the Jewish community. In Austria, Germany, and France various political leaders and parties used such anti-Semitism for their own considerable political advantage.

An important Jewish response to this new, rabid outbreak of anti-Semitism was the launching in 1896 of the Zionist movement to found a separate Jewish state.

The original call to Zionism thus combined a rejection of the anti-Semitism of Europe with a desire to establish some of the ideals of both liberalism and socialism in a state outside Europe.

Documents

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Parnell Calls for Home Rule for Ireland •

How does Parnell say the Act of Union affected Irish sentiment toward England? What parallel does he draw with Hungary and Austria? Why might Parnell be regarded as a moderate nationalist?

Daniel A. Payne Denounces American Slavery •

On what grounds does Payne condemn slavery? What examples of moral brutalization does Payne associate with slavery? How does he bring in religious arguments against the evils of slavery?

Lord Acton Condemns Nationalism •

Why does Acton see the principle of nationality as dangerous to liberty? Why does he see nationalism as a threat to minority groups? Why does he see nationalism as a threat to democracy?

Herzl Calls for the Establishment of a Jewish State •

Why does Herzl define what he calls the Jewish Question as a national question? What objections does he anticipate to the founding of a Jewish state? Why does he believe that a Jewish state will prevent anti-Semitism?

A Closer Look The Crimean War Recalled 1. Lady Butler had herself never witnessed war. How do you think she was able to portray this and other war scenes?

2. Do you view this painting as a realistic image of the experience of soldiers, or do you think it represents Lady Butler’s interpretation?

3. How might one conclude that this painting represents warfare during an era of growing democratization?

4. Why do you think such paintings fell from favor by the early twentieth century?

Summary Nationalism. Nationalism is the modern concept that people who share the same customs, culture, language, and history should also share the same government. It became the most powerful European political ideology of the nineteenth and early twentieth centuries. Nationalists challenged both the domestic and the international order of the Vienna settlement in the decades after 1815.

Liberalism. Politically, nineteenth-century liberals sought to establish constitutional governments that recognized civil liberties and made the executive responsible to a legislature elected by men of wealth and property. Economically, liberals wanted a laissez-faire economy 235 ..

with minimal government involvement. People should be free to use their talents and property to enrich themselves without the state intervening to protect the working classes or the poor.

Liberals often supported nationalists’ efforts to create a single national state that could function as a more efficient economic unit. Although efforts to liberalize tsarist Russia failed, liberalism largely triumphed in France after the Revolution of 1830 and in Britain after the passage of the Great Reform Bill. The British were, however, unable to resolve the problem of Irish nationalism in the nineteenth century.

Italian and German Unification. With French assistance, Piedmont and its premier Count Camillo Cavour managed to unite most of the Italian peninsula by 1860. The new Kingdom of Italy was formed from the northern Italian duchies, Austrian Lombardy, the Papal States, and the Kingdom of the Two Sicilies. Austrian Venetia was added in 1866, and Italy occupied Papal Rome in 1870.

Prussia achieved German unification under the leadership of Otto von Bismarck between 1864 and 1871. In three victorious wars against Denmark, Austria, and France, Bismarck forged the German states into a German Empire dominated by Prussia. Germany was henceforth the dominant power on the European continent.

North America. In the United States, westward expansion and war against Mexico brought vast new territories under the republic from the Mississippi River to the Pacific, but sectional conflict between North and South over economic issues and slavery led to the outbreak of the Civil War in 1861. Northern victory led to the abolition of slavery, the creation of a continent-wide free labor market, and enormous economic development that would make the United States the world’s leading industrial power in the twentieth century.

Canada in these years achieved self-government from Britain and created a united Canadian federation in 1867. However, Canada remained part of the British Empire and retained its connection with the British monarchy.

Eastern Europe. Nationalism created problems for the three eastern European empires— Germany, Russia, and Austria—but Habsburg Austria faced the greatest challenge from nationalism because it was a dynastic, not a national, state. Eleven different nationalities made up the Habsburg monarchy, each with its own national aspirations. In 1867 the Habsburgs worked out the Ausgleich (“compromise”) with the Magyars, by which Hungary became an autonomous kingdom under the Habsburg emperor. Thereafter the Habsburg monarchy became known as Austria-Hungary. However, Czechs, Croats, and other Slavs in the monarchy became increasingly dissatisfied.

Racism and Anti-Semitism. In the late nineteenth century, biological determinism, the concept that some peoples or races were inherently superior to others, took root in Western thought. In Germany, Austria, and France, some nationalists used the concept of race to blame the Jews for their countries’ economic and political problems. Part of the Jewish response was the launching of the Zionist movement to found a separate Jewish state.

Key Terms

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anti-Semitism, p. 666 Catholic emancipation, p. 646 Great Reform Bill, p. 646 July Monarchy, p. 646 liberalism, p. 642 racism, p. 665

Ausgleich, p. 663 Chartism, p. 647 home rule, p. 647 kleindeutsch, p. 661 nationalism, p. 639 Zionism, p. 667

REVEL Writing Exercises Journal Writing 23.2 Parnell Calls for Home Rule for Ireland According to Parnell, how has Irish sentiment toward England changed since the Act of Union in 1800?

23.3 Daniel A. Payne Denounces American Slavery On what grounds does Payne condemn slavery?

23.6 Lord Acton Condemns Nationalism Why does Acton see the principle of nationality as dangerous to liberty and democracy?

23.7 Herzl Calls for the Establishment of a Jewish State Why does Herzl define what he calls the Jewish Question as a national question?

Shared Writing Define nationalism. What were the goals of nationalists and what difficulties did they face while trying to realizing those goals?

Internet Resources Russian Empire: http://www.friesian.com/russia.htm is a great resource for factual information and a brief narrative history that runs from 862 C.E. to the present.

The British Empire: http://www.britishempire.co.uk/ is loaded with images, articles, and links to other sites.

The Long 19th Century: http://legacy.fordham.edu/halsall/mod/modsbook3.html includes a wide variety of primary and secondary sources.

Bismarck and German Unification: http://www.bbc.co.uk/scotland/learning/bitesize/higher/history/nationalism/unification _rev1.shtml is a clear and well-organized site featuring useful maps.

American Civil War: http://www.civilwarphotogallery.com/index.php. has Civil War–era photographs.

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Suggested Maps Prentice Hall Atlas of Western Civilization, Second Edition • German and Italian Unification Prentice Hall Atlas of World History, Second Edition • Europe after the Congress of Vienna 1815–1852 • Early European Impact in Australia • North America 1783–1905

Suggested Films English History: Nineteenth Century Reforms. Coronet (13 minutes).

Revolts and Reforms in Europe (1815–1848). Coronet (16 minutes).

Revolutions of 1848. Radim Films Inc. (22 minutes).

America: 6. A Firebell in the Night. British Broadcasting Corporation/ Time-Life (52 minutes).

America: 7. Domesticating a Wilderness. British Broadcasting Corporation/Time-Life (52 minutes).

Slavery. National Educational Television (30 minutes).

Bismarck: Germany from Blood and Iron. Learning Corporation of America (30 minutes).

Germany: Feudal States to Unification. Coronet (13 minutes).

Unification of Italy. Coronet (14 minutes).

Myth of Nationalism. Berlet, Walter H. Films (30 minutes).

The Civil War: Anguish of Emancipation. Learning Corporation of America (27 minutes).

The Civil War: Promise of Reconstruction. Learning Corporation of America (27 minutes).

The Road to Gettysburg–Civil War. National Broadcasting Company (24 minutes).

Reconstruction–A Changing Nation (1865–1880). National Broadcasting Company ( 24 minutes).

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Chapter 24—Northern Transatlantic Economy and Society, 1815–1914 Learning Objectives 24.1 European Factory Workers and Urban Artisans Describe the process of proletarianization of European factory workers and urban artisans.

24.2 Nineteenth-Century European Women Analyze the social, legal, and economic conditions of women in nineteenth-century Europe.

24.3 Jewish Emancipation Analyze the social, legal, and economic conditions of Jews in nineteenth-century Europe.

24.4 European Labor, Socialism, and Politics to World War I Trace the development of socialism and Marxism and their expression in Germany, Great Britain, and Russia in the late nineteenth and early twentieth century.

24.5 North America and the New Industrial Economy Trace the course of industrialization, immigration, labor organization, and progressivism in the United States prior to World War I. 24.6 The Emergence of Modern European Thought Discuss the emergence of modern European thought in biology with the work of Darwin, in physics, in philosophy with the work of Nietzsche, and in psychology with the work of Freud.

24.7 Islam and Late-Nineteenth-Century European Thought Discuss late-nineteenth-century European thought about Islam, and the Islamic response.

Introduction • • • • • •

During the nineteenth century northwestern Europe and the United States developed major industrial economies that produced more goods and services than had ever before been produced by any other economies in world history.

The first half of the nineteenth century witnessed in Europe and to a lesser extent in the United States the emergence of a new kind of labor force, industrial laborers who worked in factories rather than in their homes or in small artisan workshops.

It was out of the social and political experience of this workforce that the political movement known as socialism arose.

In Europe, nation-states emerged with large electorates, political parties, centralized bureaucracies, and universal military service. In the United States, the politics associated with the Progressive movement brought the presidency to the center of American political life.

During this period, too, women began to assert new political awareness and to become politically active in both Europe and America.

Theories of evolution in biology, quantum theory and relativity in physics, philosophy’s focus on

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the irrational, and psychoanalysis in psychology came to the fore, shaping much of the intellectual outlook for the next century.

Global Perspective The Building of Northern Transatlantic Supremacy • •

• • • •

Between 1850 and 1914 Europe had more influence throughout the world than it had had before or has had since.

European banks exercised vast influence across the globe. Europeans financed the building of railways in Africa, Asia, and the Americas. Financial power brought political influence. The armaments industry gave European armies and navies predominant power over the peoples of Africa and Asia.

During these years European culture was probably also enjoying its greatest influence. The rest of the world regarded the advanced industrial and urban civilization of Europe as a model.

Another cultural feature of Western Europe and the United States that affected the rest of the world during the era was the emerging role of women.

The non-European nation that most clearly understood the nature of European power, and emulated it, was Japan.

In contrast to Japan, China, India, the countries of the Middle East, and Africa were overwhelmed

by Europe’s economic and military power.

Focus Questions 1. What was the relationship between nineteenth-century Europe’s economic power and its political hegemony around the globe?

2. How did European colonies use ideologies fostered in Europe against their colonial rulers?

Key Points 24.1 European Factory Workers and Urban Artisans •

•

• •

By midcentury, the revolution in landholding had led to greater agricultural production, but it also resulted in a vast uprooting of people from the countryside, who migrated into cities and from Europe into the rest of the world.

In much of northern Europe both artisans and factory workers underwent a process of proletarianization—that is, the entry of workers into a wage economy and their gradual loss of significant ownership of the means of production, such as tools and equipment, and loss of control over the conduct of their own trades. The process occurred rapidly wherever the factory system arose.

Urban artisans in the nineteenth century experienced proletarianization more slowly than did factory workers, and the use of machinery in factory production had little to do with this difference.

In the nineteenth century the situation of the urban artisan changed. It became increasingly difficult for artisan guilds to continue to exercise direction and control over their trades. Where

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•

the urban artisans encountered difficulty, and found their skills and livelihood threatened, was in the organization of production.

The dilution of skills and lower wages, caused not by machinery but by changes in the organization of artisan production, made it much more difficult for urban journeymen to become masters with their own workshops.

24.2 Nineteenth-Century European Women 24.2.1 Women in the Early Industrial Revolution •

• • • •

The industrial economy ultimately produced an immense impact on the home and on family life.

First, it took virtually all productive work out of the home and allowed many families to live on the wages of the male spouse alone, preparing the way for a new concept of gender-determined roles in the home and in general domestic life.

Industrialization created new modes of employment that allowed many young women to earn enough money to marry or, if necessary, to support themselves independently.

Industrialism, though fostering more employment for women, lowered the skills required of them.

Because the early industrial revolution had begun in textile production, women and their labor were deeply involved from the start.

Generally all work done by women commanded low wages, involved low-level skills and offered women virtually no way to protect themselves from exploitation.

24.2.2 Social Disabilities Confronted by All Women •

• • • • • •

During the nineteenth century European women, like European men, led lives that reflected their social rank. Yet within each rank, the experience of women was distinct from that of men.

Women remained, generally speaking, economically dependent and legally inferior, whatever their social class.

Until the last quarter of the nineteenth century in most European countries no married women, whatever their social class, could own property in their own names.

European family law also worked to the disadvantage of women. Legal codes required wives to obey their husbands. The Napoleonic Code and the remnants of Roman law made women legal minors throughout Europe. Divorce was difficult for most of the century.

The authority of husbands also extended to children. In cases of divorce and separation, the husband normally assumed authority over children no matter how he had treated them previously.

University and professional education remained reserved for men until at least the third quarter of the century.

The absence of a system of private or public secondary education for women prevented most of them from gaining the qualifications they would have needed to enter a university even if entry were possible.

24.2.3 New Employment Patterns for Women •

• •

During the late nineteenth century two major developments affected the economic lives of women. The first was an expansion in the variety of jobs available outside the better-paying learned professions. The second was a withdrawal of married women from the workforce.

New jobs opened (secretaries, store clerks, schoolteachers) and with often better employment opportunities for women, but they required low-level skills, involved minimal training, and were occupied primarily by unmarried young women or widows.

The industrial occupations that women had filled in the mid-nineteenth century, especially textile and garment making, were shrinking. Those industries thus offered fewer jobs for either married or unmarried women.

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• •

The real wages paid to male workers increased during this period, thus reducing families’ need for a second income.

After marriage, or certainly after the birth of her first child, a woman normally withdrew from the labor force. She either did not work or she worked at home.

24.2.4 Late-Nineteenth-Century Working-Class Women •

The expectation of separate social and economic spheres for men and women and the definition of women’s chief work as pertaining to the home contributed mightily to the exploitation of European women workers outside the home.

24.2.5 The Rise of Political Feminism •

• • •

The various social and tactical differences among women often led to sharp divisions within the feminists’ own ranks.

The socialist criticism of capitalist society often, though by no means always, included a harsh indictment of the social and economic position to which women had been relegated.

Europe’s most advanced women’s movement was in Great Britain. Yet only in 1918, and then as a result of their contribution to the war effort, did some British women receive the vote, and not until 1928 were British women given the same voting rights as men.

Women received the vote in Germany only in 1918 under the constitution of the Weimar Republic. Before World War I, only in Norway (as of 1907) could women vote on national issues.

24.3 Jewish Emancipation 24.3.1 Early Steps to Equal Citizenship • • •

Jewish emancipation, slow and never fully completed until after World War II, began in the late eighteenth century and continued throughout the nineteenth. It moved at different paces in different countries.

By the first half of the nineteenth century, Jews in Western Europe and to a much lesser extent in Central and Eastern Europe had begun to acquire equal or nearly equal citizenship.

In Russian, Jews were treated as aliens under Russian rule until World War I. The police and others were allowed to conduct pogroms—organized riots— against Jewish neighborhoods and villages.

24.3.2 Broadened Opportunities •

• •

From approximately 1850 to 1880 there was relatively little organized or overt prejudice toward Jews in most of Western Europe.

Jews entered the professions, politics and cultural life and intermarried freely with non-Jews, as legal prohibitions against such marriages were repealed during the last quarter of the century.

That began to change during the last two decades of the nineteenth century. In the 1870s antiSemitic sentiments attributing the economic stagnation of that decade to Jewish bankers and financial interests began to be voiced.

24.4 European Labor, Socialism, and Politics to World War I 24.4.1 The Working Classes in the Late Nineteenth Century • •

Workers turned to new institutions and ideologies. Chief among them were trade unions, democratic political parties, and socialism.

The midcentury organizational efforts of the unions aimed to improve the wages and working

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• • •

conditions of skilled workers. By the close of the century large industrial unions for unskilled workers were also being organized.

Despite the advances of unions and the growth of their membership in 1910 to approximately 3 million in Britain, 2 million in Germany, and 977,000 in France, they never included a majority of the industrial labor force.

The advent of democracy witnessed the formation, for the first time in Europe, of organized mass political parties, such as had existed throughout the nineteenth century in the United States.

The democratic franchise gave workers direct political influence, which meant they could no longer be ignored.

24.2.2 Marxist Critique of the Industrial Order • •

•

• •

During the 1840s Karl Marx (1818–1883) produced the most influential of all critiques of the newly emerged industrial order.

The Communist Manifesto, published in German, appeared early in 1848. Marx used the term “communist” because it was more self-consciously radical than “socialist.” “Communism” implied the outright abolition of private property rather than some less extensive rearrangement of society.

In Marx’s eyes, during the nineteenth century the class conflict that had characterized previous Western history had become a struggle between the bourgeoisie and the proletariat—that is, between the middle class and the workers. The character of capitalism ensured the sharpening of the struggle.

Proletarian revolution was inevitable, according to Marx.

Within a generation—even as more and more people came to benefit from the industrial system— Marxism had captured the imagination of many socialists and large segments of the working class.

24.4.3 Germany: Social Democrats and Revisionism •

• •

The thought of Karl Marx ultimately came to exercise such vast influence because his ideas were adopted by the German Social Democratic Party (SPD).

The SPD advocated legal political participation rather than by revolutionary activity. Since the revolution was inevitable, it was argued, the immediate task of socialists was to improve workers’ lives.

Eduard Bernstein (1850–1932) argued that a humane socialist society required not revolution, but more democracy and social reform. Bernstein’s doctrines, known as revisionism, were widely debated among German socialists and were finally condemned as theory, although the SPD actually pursued a peaceful, reformist program.

24.4.4 Great Britain: The Labour Party and Fabianism • •

No form of socialism made significant progress in Great Britain, the most advanced industrial society of the day. British socialism itself remained primarily the preserve of intellectuals. The socialists who exerted the most influence were from the Fabian Society, founded in 1884.

In 1901, a decision by the House of Lords removed the legal protection previously accorded union funds. The Trades Union Congress responded by launching the Labour Party, which sent twenty-nine members to Parliament in the election of 1906.

24.4.5 Russia: Industrial Development and Birth of Bolshevism • •

By 1900 Russia had approximately 3 million factory workers, whose working and living conditions were bad by any standard.

The Russian Social Democratic Party, established in 1898, was Marxist, and its members greatly

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• •

admired the German SPD, but tsarist repression meant that it had to function in exile.

Lenin rejected the concept of a mass party composed of workers, arguing that revolutionary consciousness would not arise spontaneously from the working class but must be carried to the proletariat by a small, elite party.

Lenin’s two principles of an elite party and a dual social revolution allowed the Bolsheviks, in late 1917, to capture the leadership of the Russian Revolution and to transform the political face of the modern world.

24.4.6 European Socialism in World History •

European socialist ideas spread from Europe to the Americas and to the then colonial world in Africa and Asia.

24.5 North America and the New Industrial Economy • •

The United States industrialized considerably later than Great Britain. Its major expansion in iron and steel took place after the Civil War and was thus approximately contemporary to the economic rise of the newly united Germany.

The United States had a relative shortage of labor and consequently relatively high wages, and these were the factors that attracted so many immigrants to the industrial sector during the second half of the century.

24.5.1 European Immigration to the United States •

• •

The social and economic structures of the United States allowed for assimilation and remarkable upward social mobility for many of them and their children. This was especially true of those immigrants, mostly from northern and western Europe, who arrived between approximately 1840 and 1890—the great period of German, English, Welsh, Scottish, and Irish immigration.

Toward the end of the century and well into the next—in what is sometimes known as the New Immigration—millions of people arrived from the Mediterranean, eastern Europe, and the Balkans.

These new immigrants, who generally came to work in the growing industrial cities, were perceived as fundamentally different from those who had come before them. They were seen and treated as a lower class and inherently more difficult to assimilate than the earlier immigrants.

Predominately Roman Catholic, Orthodox, and Jewish, they encountered much intolerance.

24.5.2 Unions: Organization of Labor •

• •

The first effort at labor organization occurred in the 1860s and 1870s with the National Labor Union and railroad unions. In 1881, the American Federation of Labor (AFL) was founded.

Socialism was a path not taken by American labor and one not allowed to be taken. The United States thus became a nation where many social issues tended to be addressed by trade unions rather than by socialist parties.

Urban reformers believed that the politics of bosses and patronage robbed cities of the money needed to make them livable places. In place of patronage, they demanded social and municipal services to clean up the cities.

24.5.3 The Progressives •

•

Much of the power in American politics in the decades after the Civil War, especially in cities, often lay in the hands of political bosses. Government was a vehicle for distributing spoils.

Toward the close of the century, reform-minded political figures began to emerge at the city and state levels. They wanted to see more efficient and less corrupt government. They also wanted the government to become a direct agent of change and reform. Pursuing these goals, they ushered in

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•

what has been called the progressive era, which lasted from approximately 1890 through 1914.

Urban reformers believed that the politics of bosses and patronage robbed cities of the money needed to make them livable places. In place of patronage, they demanded social and municipal services to clean up the cities.

24.5.4 Social Reform •

•

Beginning in the mid-1890s, progressivism began to affect state governments. There the impulse toward reform involved various attempts to protect whole classes of persons who were perceived as unable to protect themselves against exploitation, especially women and children working under unwholesome conditions for low wages.

Virtually all of the reformers involved in these efforts were influenced by the late-nineteenthcentury cult of science. They believed that scientific, rational management could solve the problems of society and replace special interests with the general public interest.

24.5.5 The Progressive Presidency •

• • •

Under Theodore Roosevelt, the presidency became the most important and powerful branch of government.

A Progressive reformer, Roosevelt attempted to assert the public interest over that of the various powerful special interests, including big business.

Roosevelt supported government mediation in labor disputes as the guarantor of fairness in economic relations and regulation of business interest to protect the consumer.

Roosevelt was also associated with a vigorous, imperialistic foreign policy that had roots in the 1890s.

24.6 The Emergence of Modern European Thought 24.6.1 Darwin’s Theory of Natural Selection •

• •

In 1859, Charles Darwin (1809–1882) published On the Origin of Species, which carried the mechanical interpretation of physical nature into the world of living things.

Earlier writers had believed evolution might occur; Darwin explained how it could occur.

The theory of evolution through natural selection not only contradicted the biblical narrative of the Creation, but it also undermined both the deistic argument for the existence of God from the design of the universe and the whole concept of fixity in living nature or in the universe at large.

24.6.2 The Revolution in Physics •

•

The discovery of radioactivity and discontent with the existing mechanical models led to revolutionary theories in physics.

In 1905, Albert Einstein (1879–1955) published his first epoch-making papers on relativity, in which he contended that time and space are not separate but are bound together in a space–time continuum, and that the measurement of space–time is different relative to different observers.

24.6.3 Friedrich Nietzsche and the Revolt against Reason •

•

During the second half of the nineteenth century, philosophers began to question the adequacy of rational thinking to address the human situation. No writer better exemplified this new attitude than the brilliant German philosopher Friedrich Nietzsche (1844–1900).

Nietzsche insisted on the positive function of instinct and ecstasy in human life. To limit human activity to strictly rational behavior was to impoverish human life, the strength for the heroic life and the highest artistic achievement arises from sources beyond rationality.

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24.6.4 The Birth of Psychoanalysis •

•

• •

A determination to probe beneath the surface, beneath outward appearances, united the major figures of late-nineteenth-century science, art, and philosophy. No intellectual development more exemplified this trend than psychoanalysis as it developed through the work of Sigmund Freud (1856–1939).

Freud believed the seemingly irrational content of dreams must have a reasonable, scientific explanation. His research led him to reconsider the general nature of the human mind. He concluded that dreams allow unconscious wishes, desires, and drives that have been excluded from everyday conscious life to enjoy freer play in the mind.

In later books and essays, Freud developed a new model of the internal organization of the mind as an arena of struggle and conflict among three entities: the id, the superego, and the ego.

Despite his interest in the nonrational forces in human life and thought, Freud was a son of the Enlightenment. Like the philosophes, he was a realist who wanted human beings to live free of fear and illusions by rationally understanding themselves and their world.

24.7 Islam and Late Nineteenth-Century European Thought • • •

The European racial and cultural outlooks that denigrated nonwhite peoples and their civilizations were also directed toward the Arab world.

Within the Islamic world, and especially in the decaying Ottoman Empire, as political leaders continued to champion Western scientific education and technology, they confronted a variety of responses from religious thinkers.

Some within the Muslim world advocated rejecting western influences altogether.

Documents English Women Industrial Workers Explain Their Economic Situation •

What reasons do these women give to prove the necessity of their holding manufacturing jobs?

What changes in production methods have led women from the home to the factory? How does the situation of these women relate to the possibility of their marrying?

Karl Marx and Friedrich Engels Describe the Class Struggle •

Whom do Marx and Engels portray as the previous enemies of the bourgeoisie? How did bourgeois economic development and dominance lead to a society based on the “cash nexus”?

Why is the bourgeoisie responsible for the emergence of the proletariat? Why is the victory of the proletariat inevitable?

Lenin Argues for the Necessity of a Secret and Elite Party of Professional Revolutionaries •

What does Lenin mean by “professional revolutionaries”? Why does Russia need such revolutionaries? How does Lenin reconcile his antidemocratic views with the goal of aiding the working class?

Theodore Roosevelt States His Progressive Creed •

Why does Roosevelt attack the old established parties? What political reforms does he advocate?

What social reforms? Why have some people seen Roosevelt as one of the first presidents to be concerned with the environment?

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Darwin Defends a Mechanistic View of Nature •

Why does Darwin believe a mechanistic creation suggests no less dignity than creation by God? How does the insertion of the term Creator change this passage? What is the grandeur that Darwin finds in his view of life?

A Closer Look Bloody Sunday, Saint Petersburg, 1905 1. How did the invention of photography and the making of movies transform the recording and interpretation of the past?

2. Do you think the firing on the crowd in 1905 was as orderly an affair as this still from a later Bolshevik film makes it appear?

3. How did the ongoing recollection and reenactment of this dramatic, violent moment in the Revolution of 1905 serve to continue to discredit the tsarist government and to support the 1917 Bolshevik revolution?

Summary Workers. During the course of the nineteenth century, European workers underwent a process of proletarianization as industrialization spread across the Continent. To protect their interests, European workers joined trade unions and socialist parties, such as the Labour Party in Britain.

The Marxist critique of modern capitalism strongly influenced European socialism after the German Social Democratic Party adopted the ideas of Karl Marx. In Russia, Lenin founded the Bolsheviks as an elite Marxist party that advocated the overthrow of the tsarist regime through a revolution of workers and peasants.

Women. Nineteenth-century women were divided along class lines. Unlike working-class women, most women of the upper and middle classes adopted a cult of domesticity and did not work outside the home. Most jobs available to women were low paying and insecure. Women of all classes faced social, political, and legal barriers that were only gradually removed in the late nineteenth and early twentieth centuries. Before World War I, only Norway allowed women to vote, and few women could earn university degrees or enter the professions.

Jewish Emancipation. With the exception of Russia, European countries had abolished their legal restrictions on Jews by the mid-nineteenth century. Jews became more fully integrated into European political and economic life. After 1880, however, anti-Semitism increased as Jews were blamed for economic and social problems.

The United States. By 1914, the United States had become the world’s leading industrial power.

However, despite the creation of a mass industrial workforce, socialism did not take root in the United States. Under presidents Theodore Roosevelt and Woodrow Wilson, a number of 247 ..

progressive social and political reforms were enacted. The United States also embarked on a more aggressive foreign policy with the Spanish–American War, the acquisition of a colonial empire, interventions in Latin America, and, under Wilson, participation in World War I. Modern European Thought. In 1850, learned Europeans regarded the physical world as rational, mechanical, and predictable. By the first decades of the twentieth century, philosophers, scientists, psychologists, and artists began to portray physical reality, human nature, and society in ways that seem familiar to us today. Physicists probed the mysteries of the atom and recast physics in terms of probability and relativity. The theories of evolutionary biology contended that human nature is part of the order of nature and does not stand apart from nature. Traditional morality and the primacy of reason were challenged by Nietzsche and Freud. Within the Islamic world, modern European thought produced a variety of often conflicting responses.

Key Terms Bolsheviks, p. 687 ego, p. 700 id, p. 700 Mensheviks, p. 687 pogroms, p. 681 relativity, p. 699 suffragettes, p. 680

Duma, p. 688 Fabians, p. 687 Marxism, p. 684 natural selection, p. 697 proletarianization, p. 673 revisionism, p. 686 superego, p. 700

REVEL Writing Exercises Journal Writing 24.2 English Women Industrial Workers Explain Their Economic Situation What reasons do these women give to prove the necessity of their holding manufacturing jobs?

24.4 Karl Marx and Friedrich Engels Describe the Class Struggle According to Marx and Engels, why is the bourgeoisie responsible for the emergence of the proletariat?

24.5 Theodore Roosevelt States His Progressive Creed What political and social reforms does Roosevelt support?

24.6 Darwin Defends a Mechanistic View of Nature Why does Darwin believe a mechanistic creation suggests no less dignity than creation by God?

Shared Writing What were the major changes in science in the late nineteenth century? How did Darwin, Einstein, and Freud challenge earlier assumptions and ideas?

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Internet Resources Victorian Age: http://www.victorianweb.org/index.html contains an enormous amount of information on the late 19th century.

Socialism: http://www.fordham.edu/HALSALL/MOD/modsbook33.html contains a large number of excellent primary sources on socialism and Marxism; see also http://www.fordham.edu/HALSALL/MOD/modsbook36.html for links to documents relating to Darwin and Freud, and http://www.fordham.edu/HALSALL/MOD/modsbook28.html for U.S. Immigration.

Karl Marx: http://plato.stanford.edu/entries/marx/ provides a detailed biography, focusing on his ideas.

Heisenberg and the Uncertainty Principle: http://www.aip.org/history/heisenberg/ is a site created by the American Institute of Physics; there is a lot of information here, after a fun opening page.

Charles Darwin: http://www.amnh.org/exhibitions/darwin/ is based on an exhibit at the American Museum of Natural history, and contains rich details on science and context; http://www.lucidcafe.com/library/96feb/darwin.html contains a biography and further links.

Suggested Maps Prentice Hall Atlas of Western Civilization, Second Edition • The Industrial Revolution in Britain Prentice Hall Atlas of World History, Second Edition • Industrial Development in Europe 1850–1914 • The World: 1800–1850 • The Economic Revolution • Global Migration

Suggested Films Europe the Mighty Continent: Social Classes, 1900–A World to Win. Time-Life (26 minutes).

Karl Marx–The Massive Dissent. British Broadcasting Corporation (60 minutes).

Paris, 1900. Macmillan (72 minutes).

The Gay Metropolis. Radim Films (15 minutes).

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Marxism and the Communist Manifesto. National Educational Television (29 minutes).

Marxism: The Theory that Split the World. Learning Corporation of America (25 minutes).

Marxism: The Theory that Split a World Apart. International Cinemedia Center (26 minutes).

America: 8. Money on the Land. British Broadcasting Corporation/Time-Life (52 minutes).

America: 9. The Huddled Masses. British Broadcasting Corporation/Time-Life (52 minutes).

Andrew Carnegie: The Gospel of Wealth. Learning Corporation of America (25 minutes).

The Industrial Revolution. Goldhil (50 minutes).

What the Industrial Revolution Did for Us is a six-part series of 30-minute episodes that include Material World, Working Wonders, The Meiji Period , On the Move, Modern Medicine, War Machine, and City Living. FHS (180 minutes).

Karl Marx and Marxism. FHS (52 minutes).

Genius Charles Darwin. Kultur (50 minutes).

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Chapter 25—Latin America from Independence to the 1940s Learning Objectives 25.1 Independence without Revolution Summarize the social, political, and economic conditions that prevailed in Latin America after the wars of independence.

25.2 Economy of Dependence Discuss the economy of dependence in terms of resource exploitation, foreign influence, and the effects of economic crises.

25.3 Search for Political Stability Discuss the influence of caudillos in Latin American political life.

25.4 Three National Histories Trace the postindependence histories of Argentina, Mexico, and Brazil.

Introduction • • • • •

Though rich in natural resources, Latin America did not achieve widespread prosperity and longlasting political stability after independence.

Whereas previously the Latin American colonies had been dependent on the ruling European powers (mainly Spain) for their exports and financial credits, the newly independent nations of Latin America now became dependent on Great Britain and later on the United States.

During the nineteenth and early twentieth centuries, post-independence Latin America had much in common with other regions of the world—Africa and Asia, for example.

In all three regions, particular nations or areas would specialize in particular niches of the increasingly integrated world economy.

Virtually all such enterprises were dominated by Europeans or North Americans.

Global Perspective Latin American History •

• • •

For almost two centuries after independence, poverty and social inequality, authoritarian regimes, uncertain democracy, and a general tendency toward instability characterized Latin American political life.

Three major explanations have been set forth to account for Latin America’s difficulties.

The first and most widely accepted view—called dependency theory, proponents of this view argue that the colonial framework was never abolished and the Latin American economies were undiversified and inherently volatile.

A second explanation emphasizes the Iberian heritage. Its advocates contend that Latin America should be viewed as a region on the periphery of the Western world, just as Spain, Portugal, and Italy lie on the Mediterranean periphery of Europe.

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•

A third explanation emphasizes conscious political, economic, and cultural decisions the Latin American creole elite took after independence.

Focus Questions 1. What is dependency theory? How can it help to understand the history of Latin America since independence?

2. Is Latin America’s Iberian heritage a likely explanation of why Latin America has developed along such different lines from the United States and the countries of northern Europe?

3. What role did the creole elite play in the economic and political instability that has characterized Latin America in the modern era?

Key Points 25.1 Independence without Revolution 25.1.1 Immediate Consequences of Latin American Independence •

• • •

By the late 1820s the wars of independence had left Latin America liberated from direct European control, but economically exhausted and politically unstable.

Economic life on the continent contracted: In 1830 overall production was lower than it had been in 1800.

Independence itself also created several new sources of discontent. There was much disagreement about the character of the future government, even among those who had most wanted to oust the Spanish.

Communities of indigenous peoples, which had also been somewhat protected by paternalistic colonial policies, found themselves subject to new exploitation once they were made equal citizens under the law.

25.1.2 Absence of Social Change •

• •

All the elite groups opposed substantial social reform. The creole elite generally discriminated against the peoples of color in their midst.

Most important, no major changes in landholding accompanied the wars of independence; the ruling classes of all the newly independent nations protected the interests of landholders.

Except for Mexico in 1910, no Latin American nation, from the wars of independence until the 1950s, experienced a fundamental revolution that overthrew the social and economic structures dating from the colonial period.

25.1.3 Control of the Land • • •

Most Latin Americans during the nineteenth century lived in the countryside. Agriculture continued to be dominated by large haciendas and plantations. The latifundia (the large rural estates) actually grew larger during the nineteenth century.

The landowners lived well and comfortably, though often on isolated estates. Most of the rural workforce was socially and economically dependent on them.

Debt peonage was widespread and often tied a peasant to the land and slavery continued to exist

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in Brazil and Cuba.

By the end of the nineteenth century, the growth of the urban centers shifted political influence somewhat from the countryside to the cities and gave rise to an urban working class.

25.1.4 Submissive Political Philosophies •

• • • •

As in Europe, liberalism protected property and tended to ignore the social problems of the poor and propertyless. Latin American liberals championed the extension of great landed estates and all the forms of social dependence associated with them Economic liberalism and the need for British investment led to the championing of free trade.

During the second half of the century, positivism— the political ideas stemming from the thought of French philosopher Auguste Comte (1798–1857)—swept across Latin America.

Late-nineteenth-century European theories of “scientific” racism were used to preserve the Latin American social status quo and the dominance of those of white or more nearly white complexions.

From the 1920s onward, in Latin America as in Europe, the fear of communism brought support to conservative governments, whether civilian or military.

25.2 Economy of Dependence •

•

The character of the demand for Latin American commodities by other nations continued to shape economic life in the most fundamental manner.

Trade after independence flowed in the same direction that trade had flowed before independence because Europe remained the source of imports of finished goods.

25.2.1 New Exploitation of Resources •

• • • •

The wars of independence severely disrupted the Latin American economy. In both Mexico and Peru, mines were flooded, machinery fell into disrepair, and labor became dispersed. Agricultural production was also disrupted throughout the region.

Between 1825 and 1850 the new nations attempted to set their economic houses in order, but with mixed results.

Both to restore old industries, such as mining, and to have access to modern transport, such as steamships and railroads, Latin Americans had to turn to Europe and North America. For many decades Britain exercised the predominant economic influence over Latin America.

The desire to pour manufactured goods into Latin America led Britain to discourage the development of manufacturing industries there.

The period from approximately 1870 through 1930 came to be seen as a kind of golden age for the Latin American economy. There was more prosperity than ever before, especially in Chile, Argentina, Brazil, and Mexico. The economies of the Latin American nations grew because industrial production in Europe and the United States created a demand for three broad varieties of exports.

25.2.2 Increased Foreign Ownership and Influence • • • •

During the late nineteenth century the relative prosperity of the export sector increased the degree of economic dependence.

The vast profits to be made through mining and agricultural exports discouraged investment in local industry, except as it served the export economy. Land still remained the most favored form of domestic investment.

Foreign capital gained control of mining and transportation, especially railroads.

By the 1920s U.S. investments had become dominant as a result of two decades of “dollar diplomacy” exercised through economic influence and intervention. During that decade, largely

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as a result of economic dislocations arising from World War I, the United States generally replaced Great Britain as the dominant trading partner of Latin American nations.

An economy heavily dependent on trade was vulnerable to fluctuations in international demand and technological changes taking place in the industrial economies of the North Atlantic.

25.2.3 Economic Crises and New Directions •

•

•

The Great Depression turned the difficult economic conditions of the 1920s into a genuine crisis.

Commodity prices virtually collapsed.

The Depression led eventually to the beginning of a new economic era in Latin America. The new era, which really began after the conclusion of World War II, was marked by strong economic nationalism and a determination to create sectors of the various national economies that were not wholly dependent on events and wealth outside Latin America.

Various nations pursued different policies of what was called import substitution industrialization, with an emphasis on light consumer goods industries such as textiles and food processing.

25.3 Search for Political Stability •

Strong leaders, caudillos, rather than strong institutions characterized Latin American political life through the nineteenth century.

25.4 Three National Histories 25.4.1 Argentina • • • • • •

Conflict between Buenos Aires and the provinces dominated the first century of Argentina’s independence.

From 1853 until 1916 Argentina experienced extraordinary economic expansion and large-scale immigration from Europe, which transformed its society and its position in the world.

The development of the pampas and the vastly increased production of beef and wheat made Argentina one of the wealthiest nations of Latin America and a major agricultural rival of the United State.

The urban middle and professional classes, whose members wanted a greater share in political life and an end to political corruption, demanded political reform. In 1890 these groups founded the Radical Party, winning election in 1916.

In 1930 the Radical Party fell from power in a military coup, militarism and rightwing nationalism would characterize Argentine political life for the next two decades.

Between 1943 and 1946 Juan Perón (1895–1974), one of the colonels involved in a 1943 coup, forged this social discontent and these authoritarian political attitudes into a remarkable political movement known as Peronism. It was authoritarian, initially militaristic, anticommunist, and socially progressive. Perón would be president from 1946 to 1955.

25.4.2 Mexico • •

•

Mexican liberalism was associated primarily with anticlericalism, confiscation of church lands, and opposition to military influence in national life and politics.

Political weakness and economic disarray invited foreign intervention. The territorial ambitions of the United States impinged on Mexico in two ways: the annexation of Texas and the MexicanAmerican War in which the United States gained a vast portion of Mexican territory, including what is now New Mexico, Arizona, and California.

Mexico during the dictatorship of Porfirio Díaz (1876-1911), grew economically and attracted much foreign investment, but the condition of the peasantry and small urban working class

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•

•

• •

•

became worse.

The Mexican Revolution (1910–1920) began as a political revolt in favor of democracy but soon incorporated demands for social reform, especially land reform. In late 1911 Emiliano Zapata proclaimed his Plan of Ayala, which in effect set forth a program of large-scale peasant confiscation of land. Much of the struggle during the next ten years would be between supporters and opponents of such agrarian reform.

The Constitution of 1917 set forth a program for ongoing social revolution—never pursued with any vigor—and political reform. Perhaps its two most famous provision was Articles 27. Article 27 provided for the government, on behalf of the nation, to become the owner of water and mineral rights and other subsoil property rights. This article abrogated all prerevolutionary contracts with foreign companies in regard to oil and minerals.

In 1929 Plutarco Elías Calles (1877–1945) organized the National Revolutionary Party (PNR), later renamed the Institutional Revolutionary Party (PRI), which quickly became the most important political force in the nation.

In 1934 Lázaro Cárdenas (1895–1970) was elected president. More than any of the other leaders to emerge after the revolution, he moved directly to fulfill the promises and programs of 1917. He turned tens of millions of acres of land over to peasant villages. In 1938, when Mexico was the third-largest producer of petroleum, he expropriated the oil industry.

With the election of Manuel Ávila Camacho (1897–1955) in 1940, the era of revolutionary politics ended. Thereafter, the major issues in Mexico were those generally associated with postwar economic development.

25.4.3 Brazil •

• • • • • • •

For the first sixty-seven years of its independence Brazil had a relatively stable monarchical government. And most distinctively, it retained the institution of slavery until 1888.

By 1870, Brazil and the Spanish colonies of Puerto Rico and Cuba were now the only slaveholding countries in the hemisphere.

Throughout the 1870s and 1880s the abolition movement gathered momentum in Brazil. Public figures from across the entire political spectrum called for an end to slavery.

The abolition of slavery in 1888 brought to a head other issues that in 1889 caused the collapse of the monarchy.

The Brazilian republic lasted from 1891 to 1930. Like the monarchy, it was dominated by a small group of wealthy persons, the most dominant of whom were the coffee planters.

Coffee had ruled as the economic “king” of the Brazilian republic, and its collapse brought the republic down with it. In 1929 coffee prices hit record lows; currency exchange rates fell; and foreign loans were unavailable.

In October 1930 a military coup installed Getulio Vargas (1883–1954) in the presidency. Vargas governed Brazil until 1945, under Vargas Brazil industrialized while granting rights to organized labor.

Brazil continued to grapple with issues of poverty and great income inequality.

Documents Eva Perón Explains the Sources of Her Popularity •

Why was Eva Perón’s acceptance of the name “Evita” a political act? How did her use of this name separate her from the ruling elites of Argentina? What is the role she projects for herself in her relationship to various social groups in Argentina? Do you believe her discussion of herself to be sincere or politically opportunistic?

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A Brazilian Liberal Denounces Slavery •

What values and outlooks does Nabuco associate with the expansion of commerce? Why does he see slavery as undermining those values? How and why does he see slavery inhibiting progressive social and intellectual forces? In this passage, what are some possible arguments against slavery that Nabuco does not raise?

A Closer Look Benito Juárez 1. How does Rivera’s portrayal of Juárez present Juárez as a particular kind of Mexican patriot?

2. Looking at the portrait, could one discern that it had been painted after the violence of the Mexican Revolution and that it might be idealizing a Mexican leader of the third quarter of the nineteenth century?

3. Why might Rivera have wanted to trace the ideal of national and economic independence of Mexico to the middle of the previous century?

Summary Economic Dependence. In the 1820s, Latin America threw off Spanish and Portuguese rule, but the traditional elites—landowners, military officers, the church—remained in control. A series of strongmen called caudillos dominated most Latin American republics. Nor did independence bring economic prosperity. Because Latin American economies remained dependent on producing agricultural commodities for export, foreign nations, particularly Britain, dominated Latin American economic life. When commodity prices collapsed during the Great Depression, Latin American economies were devastated. The crisis did, however, lead to the beginnings of manufacturing in many Latin American countries in an effort to avoid dependence on imports.

Argentina. After independence, Buenos Aires came to dominate Argentina economically and politically. Agricultural exports, the growth of industry, and large-scale European immigration contributed to a strong export economy. However, urban social discontent and the growth of nationalism in the 1930s led to military intervention in politics and the populist government of Juan Perón from 1946 to 1955.

Mexico. In the first decades after independence Mexico was politically and economically unstable. Mexico lost half its territory to the United States and was invaded by France in the 1860s. The long-lasting dictatorship of Porfirio Díaz brought political stability but led to increasing discontent. The Mexican Revolution that began in 1911 produced cautious social and economic reform under the one-party rule of the PRI, the Institutional Revolutionary Party, which remained in power until the end of the century.

Brazil. Brazil was a stable constitutional monarchy after its independence until 1889. It also 256 ..

retained slavery until 1888. The establishment of a republic did not change Brazil’s economic dependence on coffee exports, however, and the collapse of coffee prices in 1929 led to the dictatorship of Getulio Vargas. Though politically repressive, Vargas instituted social reforms and promoted industrial development, which continued to expand in the decade after his death in 1954.

Key Terms caudillos, p. 713 Estado Novo, p. 725 La Reforma, p. 716 neocolonial economy, p. 712 Peronism, p. 715 PRI, p. 720

dependency theory, p. 705 import substitution, p. 712 nacionalismo, p. 715 pampas, p. 714 positivism, p. 709

REVEL Writing Exercises Journal Writing 25.4 Eva Perón Explains the Sources of Her Popularity How was Eva Perón’s acceptance of the name “Evita” a political act? How did she use this name to separate herself from the ruling elites of Argentina?

Shared Writing Why did so many Latin American nations struggle to develop stable political regimes? What role did the military play?

Internet Resources Latin America: http://lanic.utexas.edu/la/region/history/ is an extensive index of online sources for research on LatinAmerica; another impressive collection of links is available at http://lib.nmsu.edu/subject/bord/laguia/.

Mexico: http://www.history.com/topics/mexico includes links, articles, images and video on many aspects of Mexican history.

Panama Canal: http://www.sil.si.edu/Exhibitions/Make-the-Dirt-Fly/whybuild.html documents a Smithsonian Institution exhibit on the construction of the Panama Canal.

Evita Peron: http://www.evitaperon.org/video_eva_peron.htm is the “official” website, maintained by her family; includes an audio clip.

Suggested Maps 257 ..

Prentice Hall Atlas of World History, Second Edition • South America 1830–1920 • Political Change in South America since 1930

Suggested Films Latin-America–Intervention in Our Own Back Yard. Alan Lansburg Productions (29 minutes).

Latin-America–Neighbors to the South. Universal Education and Visual Arts Division (17 minutes).

Latin America, Part 1: Its Countries. National Film Board of Canada (26 minutes).

Latin America, Part 2: Its History, Economy and Politics. National Film Board of Canada (33 minutes).

Introducing the Latin Americas. Teaching Films Custodians (29 minutes).

Nationhood for Mexico and Brazil. Teaching Films Custodians (29 minutes).

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Chapter 26—India, the Islamic Heartlands and Africa, 1800–1945 Learning Objectives The Indian Experience 26.1 British Dominance and Colonial Rule Discuss British dominance in India during the first half of the nineteenth century and British–Indian relations during the rule of the East India Company and then during the Raj. 26.2 From British Crown Raj to Independence Discuss the major factors, events, and leaders involved in the struggle for Indian independence and the creation of an independent Pakistan.

The Experience in the Islamic Middle East 26.3 Islamic Responses to Declining Power and Independence Discuss Islamic reform movements and other responses to the declining power of Muslim empires.

26.4 Western Political and Economic Encroachment Trace the struggle among European powers for dominance in the Middle East.

26.5 The Western Impact: The Case of Iran Discuss Qajar rule in Iran and the Western impact on Iranian society.

26.6 Islamic Responses to Foreign Encroachment Discuss the main types of Islamic responses to Western encroachment.

The African Experience 26.7 New States and Power Centers Discuss the rise and fall of new states in southern Africa and trade relations in East, Central, and West Africa in the first half of the nineteenth century.

26.8 Islamic Reform Movements in Africa Trace the history of Islamic reform movements in Africa in the nineteenth century.

26.9 Increasing European Involvement: Exploration and Colonization Summarize the effects on Africa of European explorers and missionaries and the European colonial scramble.

26.10 Patterns in European Colonial Rule and African Resistance

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Describe the different patterns of European colonial rule in Africa and some examples of African resistance to that rule.

26.11 The Rise of African Nationalism Discuss the rise of African nationalism.

Introduction • • • • • •

The European encroachment on the rest of the world from the late fifteenth century onward brought radical, often devastating changes.

The dominance of the West in recent centuries has identified modernity with a novel set of ideas and institutions that evolved in Europe between the Renaissance and the early twentieth century, then were gradually exported to, or imposed upon, other societies around the world.

The consequences of the spread of Western culture have been so massive that non-Western peoples are often seen as merely its passive recipients The impingement of the West has been significant in the recent history of African, Asian, and Indian civilizations.

The spectrum of postcolonial experience ranges from the largely positive Japanese response or the mixed Chinese experience to the painful, often destructive African experiences, with those of India, Latin America, and the Islamic heartlands somewhere in between.

In all regions, Western modernity entered cultures that had their own flourishing social, religious, and political traditions.

Global Perspective The Challenge of Modernity: India, Islam, and Africa • • • •

The period from 1800 to World War II was hard on the fortunes of South Asia, Africa, and the Islamic heartlands.

The Middle East, Africa, Iran, Central Asia, India, and Southeast Asia, along with Central and Latin America—later the—so-called Third World of “developing nations”—were most drastically affected by European imperialism and colonialism.

The vitality of many of the cultures and traditions that bore the brunt of the Western onslaught has been striking. Arab, Iranian, Indian, African, and other encounters with Western material and intellectual domination produced differing, often very creative responses.

One widespread result of the imperial–colonial experience has been to sharpen the cultural selfconsciousness and self-confidence of those peoples most adversely affected by Western dominance.

Focus Questions 1. How did Western domination affect South Asia, the Islamic heartlands, and Africa in the nineteenth century?

2. How did these societies develop ideologies of resistance that helped them achieve independence?

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Key Points The Indian Experience 26.1 British Dominance and Colonial Rule •

By the early nineteenth century the British had built the largest colonial empire in the Afro-Asian world. India, the greatest non-Western traditional civilization to come under direct European colonial rule, was the “jewel in the crown” of that empire.

26.1.1 Building the Empire: The First Half of the Nineteenth Century • • • • • • • •

As early as half a century before the British Crown assumed direct rule over India in 1858, the British wielded effective imperial control of India through the East India Company.

The India that resulted was a mixture of small and large tributary states and provinces directly administered by the British.

The economic impact of Company rule was extensive, affecting land tenancy and peasant economies.

British “pacification” involved clearing land to deny natural cover to military enemies and often forced resettlement of peasants to pioneer farming in new regions.

Early in the nineteenth century European entrepreneurs also undertook massive commercial logging. These activities caused extensive deforestation throughout the subcontinent.

The first half of the nineteenth century saw almost constant revolt in one place or another.

They culminated in a watershed event, the Indian Uprising of 1857 (the so-called Sepoy Mutiny, or Sepoy Rebellion).

In 1858 the East India Company was dissolved, and India came under direct rule of the British Crown, a period of ninety years known as the British Raj.

26.1.2 British–Indian Relations •

•

• •

The overall impact of the British presence on the Indian masses, under Company and Crown rule, was brutal but impersonal, being largely economic.

India was effectively integrated into Britain’s economy, becoming a market for British goods and providing Britain with raw materials and other products. Britain’s involvement in India’s internal affairs touched politics, education, the civil service, communications, and transportation, but the consequences of its domination and exploitation of India’s labor and resources were even more far-reaching.

The ethos of the British rulers included the understanding that their job was governing an inferior “race” that could not manage on their own.

Most Indians resented their subordinate status. Their late-nineteenth-century nationalist movement extended to the grassroots level—among tribal groups, peasant farmers, and home or small-industry workers.

26.2 From British Crown Raj to Independence 26.2.1 The Burden of Crown Rule •

British economic policies and the accelerating growth in India’s population put great strains on India’s poor.

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Cheap British machine-made goods were exchanged for Indian raw materials and home-industry products, which harmed or even destroyed Indian craft industries and forced multitudes into poverty or onto the land.

Cantonments segregating whites from “untrustworthy” natives became the rule in Indian towns and cities. Despite just intentions in royal statements and the opening of the civil service, at least nominally, to Indian candidates, the Raj discouraged equality between Indians and British.

26.2.2 Indian Resistance •

• • •

In 1885 modernists formed the Indian National Congress to reform traditional Hindu and Muslim practices that did not match up to their liberal ideals and to change British Indian policies.

Indian internal divisions were a major obstacle to achieving independence.

The Muslim League developed as a counterbalance to the Hindu-dominated Congress. The League eventually made common cause with the Congress in seeking home rule but ultimately worked for, and gained, a separate Muslim state, Pakistan.

Mohandas K. Gandhi (1869–1948) was the major Indian leader after World War I who directed the all-India movement that finally drove the British out.

26.2.3 Hindu–Muslim Friction on the Road to Independence •

•

In the twentieth century the rift between Indian Muslims and Hindus grew wider, despite periods of cooperation against the British.

The independence of India and Pakistan was achieved only with violence and suffering. Much blood was spilled in the long battle with the British and communal violence among Indians themselves—especially that between Hindus and Muslims.

The Experience in the Islamic Middle East 26.3 Islamic Responses to Declining Power and Independence • • • • • •

As with India, the decline of Islamic preeminence was due both to the rise of the modern West and to internal problems.

By the nineteenth century, Muslim empires—Mughal, Ottoman, Safavid/Qajar, Moroccan, and Central Asian—had declined politically, militarily, and economically in relation to Western European empires.

In the twentieth century, the Middle Eastern world (including Iran) became enmeshed in European imperial competition for resources such as oil, and most of it came under Western political and economic domination.

During the eighteenth and nineteenth centuries a variety of reform movements, mostly urban based, sought to revive Islam as a comprehensive guide for living and to purify it of the more stultifying Islamic societal developments in preceding centuries.

In the more rural areas, where neither urban Muslim ideas nor European power had penetrated to the same extent, other reformers stressed rejection of more flexible forms of Islam and of any Western or other values that might be held up as model.

The most famous movement that emphasized a strict construction of what “true” Islam entails was that of the Wahhabis, the followers of Ibn Abd al-Wahhab (1703–1792) in Arabia.

26.4 Western Political and Economic Encroachment •

•

From the late 1700s until World War II the political fortunes of Arab, Turkish, Persian, Indian, Southeast Asian, and African Muslim-majority states were increasingly dictated externally by Western powers.

These capitulations granted commercial concessions, protection, and “extra- territorial” legal

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status to European merchant enclaves, eventually providing Western powers with pretexts for direct intervention in Ottoman, Iranian, Indian, and African affairs.

The Ottoman Empire suffered from internal disunity; its provincial rulers, or pashas, were virtually independent, making it the “sick man of Europe” and vulnerable to British, French and Russian encroachments.

26.5 The Western Impact: The Case of Iran •

• • •

Beyond the overt European political and commercial impact, Western political ideology, culture, and technology proved to be critical factors motivating change in Islamic societies.

Of all the Islamic states, including those in Africa and India, the ones least and last affected by Western “modernity” were Iran, Afghanistan, and the Central Asian khanates.

The Shi’ite ulama in Iran became strong critics of Western influence and imperialism.

Subject as it was to the machinations of outside powers such as Russia, Britain, and France, Iran inevitably felt the impact of Western ideas about education, science, law, and government.

26.6 Islamic Responses to Foreign Encroachment •

The Islamic world responded three ways to Western influences (1) emulation of Western ideas and institutions; (2) efforts to join Western innovations with traditional Islamic institutions; and (3) traditionalist rejection of things Western in favor of the status quo or a return to a purified Islamic umma.

26.6.1 Emulation of the West •

•

•

•

The career of the virtually independent Ottoman viceroy Muhammad Ali (ca. 1769–1849), pasha of Egypt from 1805 to 1849, exemplifies a strategy of emulation. Ali set out to rejuvenate Egypt’s failing agriculture, introduce modern mechanized industry, modernize the army with European help, and introduce European education and culture in government schools.

Several Ottoman sultans and viziers tried to appropriate Western experience and success after Russia’s devastating defeat of the Turks in 1774. Most notable were the reforms of Selim III (r.

1762–1808), Mahmud II (r. 1808–1839), and the so-called Tanzimat (beneficial “legislation” or, literally, “[re]ordering”) era, from about 1839 to 1880.

The creation of the Turkish republic from the ashes of the Ottoman state after World War I probably represents the most extreme effort to modernize and nationalize an Islamic state on a Western model. Others would argue that it represents the most successful integration of Western models and Islamic institutions.

The reforms in Turkey ranged from introduction of a European-style code of civil law to abolition of the caliphate, Sufi orders, Arabic script, and the Arabic call to prayer.

26.6.2 Integration of Western and Islamic Ideas •

•

The attempt to join modernization with traditional Islamic institutions and ideas argued for progressive Islam rather than materialist Western secularism as the best answer for life in the modern world.

Pan-Islamism, and on a populist, constitutionalist approach to political order.

26.6.3 Women and Reform in the Middle East •

•

Although the discussion of reform, religion, and modernity in the Middle East was dominated by men, there were also a number of Middle Eastern women who addressed the status of women in modern society.

Most important were those who demanded political involvement for women in their countries’ affairs.

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There emerged in the late nineteenth and early twentieth centuries a number of journals and magazines devoted to women’s concerns. Some sought to enlarge the domain of women and their role in the public sphere, with articles that stressed that women were essential to society and not to be excluded from commercial or political participation

26.6.4 Purification and Revival of Islam.

•

•

A third kind of Muslim reaction to Western domination has emphasized Islamic values and ideals to the exclusion of “outside” force.

Both conservative and revivalist Muslim thinkers share the conviction that the answers to the questions facing modern Muslims are to be found within, not outside, the Islamic tradition.

26.6.5 Nationalism •

• •

Nationalist movements in the Islamic world, though internally driven, have often been influenced

by Western models or arisen in reaction to Western imperialism and colonial occupation.

Nation-states were often the artificial creations of European imperialism, which nonetheless gained legitimacy with the passing of time.

Nationalism has been an important aspect of the response to Western domination in the Islamic heartlands as in India. In Turkey in the 1920s it took a secularist form; in Libya, Iran, and elsewhere since the 1970s and 1980s it has taken an Islamic-revivalist form.

The African Experience 26.7 New States and Power Centers 26.7.1 Southern Africa •

• •

Zulu conquest of a vast dominion in southeastern Africa and led to the virtual depopulation of some 15,000 square miles.

The Great Trek of Boer voortrekers between 1835 and 1841. This migration brought about 6,000 Afrikaners from the eastern Cape Colony northeastward into the more fertile regions of southern Africa, Natal, and especially the high veld above the Orange River.

It resulted in the creation after 1850 of the Afrikaner republics of the Orange Free State, between the Orange and Vaal rivers, and the South African Republic, north of the Vaa.

26.7.2 East and Central Africa • •

Farther north in East Africa and eastern Central Africa, increasing external trade led to the formation of several strong regional states.

The chief traffic in this east–west commerce across Central Africa involved slaves, ivory, copper, and, from the outside, Indian cloth, firearms, and other manufactured goods.

26.7.3 West Africa •

Protracted wars and dislocations gave rise to regional kingdoms, such as those of Asante and Dahomey (modern Benin), which flourished before succumbing to internal dissension and British and French colonial ambitions.

26.8 Islamic Reform Movements in Africa •

The expansive vitality of Islam was one significant agent of change in sub-Saharan Africa before the European rush for colonies in the 1880s. It has remained a factor on the wider African scene ever since.

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•

The nineteenth century is notable for the number and strength of a series of militant Islamic revivalist and reform movements of jihad. Aimed at a more fully Muslim society and wider allegiance to Muslim values, these movements both fixed and spread Islam as a lasting part of the African scene.

The most important of these jihad movements was led by Usman Dan Fodio (1754–1817), a Fulbe Muslim scholar from Hausa territory in the central Sahel.

26.9 Increasing European Involvement: Exploration and Colonization •

•

During the nineteenth century, Europe’s growing involvement ended in its domination of African politics and the African economy.

Ironically, the gradual elimination of the slave trade (largely through the efforts of British abolitionists) was accompanied by increased European exploration and more intense Christian missionary activity in Africa, which ushered in imperial and colonial ventures.

26.9.1 Explorers •

The history of European exploration is one of fortune-hunting, self-promotion, violence, and mistakes as well as patience, perseverance, bravery, and dedication.

26.9.2 Christian Missionaries •

• • •

The latter part of the nineteenth century saw a mounting influx of Protestant and Catholic missionaries (by 1900, some 10,000).

They vied—with one another or with Muslims—for African souls.

Part of their motivation was eradication of the remaining slave trade, especially in East Africa run

by Arabs from Zanzibar.

Although their settlements, often in remote areas, provided European governments with convenient pretexts for intervention in African tribal and state affairs, the missionaries were often idealists rather than opportunists and equally often found themselves at odds with colonial officers.

26.9.3 The Colonial “Scramble for Africa” •

•

•

By World War I virtually the whole continent (Ethiopia and Liberia were the only exceptions) was divided into a patchwork of territories under European colonial administrations.

This foreign takeover of Africa was supported by the Europeans’ mounting popular and commercial interests, which were fueled by publicity given African exploration and missionizing.

European desire for Africa’s industrial markets and natural resources, together with intraEuropean competition for power and prestige.

Great Britain and France were the vanguard of European nations seeking African additions to their colonies or markets.

26.10 Patterns in European Colonial Rule and African Resistance •

• • •

European colonial rule in Africa is one of the uglier chapters of modern history. If German, French, Belgian, Portuguese, and Boer rule were notoriously brutal and produced worse atrocities than did British rule, Britain was not exempt from oppressive misrule and exploitation.

African states were not, however, simply passive objects of European manipulation and conquest.

Many astute native rulers sought, by diplomacy, trade, and warfare, to use the European presence to their advantage.

Africans resisted European domination in all its guises throughout the continent. Sometimes this resistance involved defensive battle against overt European aggression, as in the 1879 “Zulu war.”

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Often the most efficient resistance was simply disengagement, shirking payment of colonial taxes or participation in forced labor, though protest marches, riots and rebellions were frequent.

26.11 The Rise of African Nationalism • •

•

The key factor in European colonialism’s demise was the rise of nationalism across Africa, especially after World War I. Despite the artificial national boundaries drawn by colonialism, a “national” consciousness of diverse peoples in a given colonial unit was fueled by shared opposition to foreign rule. It was also fed by the use of a common European tongue and through the assimilation of European thought by a growing educated native elite.

African independence movements were based on modern nationalist models from Europe and America rather than ancient ones derived from native tradition.

Documents Macaulay Writes on Indian Education •

When Macaulay writes, “English is better worth knowing than Sanscrit or Arabic,” is he being objective or is he engaging in “cultural imperialism”? In your view, which are laudable, and which problematic, intentions of the writer?

Gandhi on Passive Resistance and Svarāj •

How does Gandhi relate passive resistance and svarāj to his theory of Indian self-rule? What are the advantages/ disadvantages of his strategy for effecting political and social change? How does this document compare with others concerned with movements of independence and nationalism, such as “The Stamp Act Congress Addresses George III” (Chapter 22) and “Mazzini Defines Nationality” (Chapter 23)?

Tâhâ Hussein, “The Future of Culture in Egypt” •

What is Hussein trying to achieve by emphasizing Egypt’s historic ties to Europe?

Usman Dan Fodio on Evil and Good Government •

What does the first principle, that “authority shall not be given to one who seeks it,” mean? What government abuses listed by Dan Fodio might be most appalling to the average Muslim? Why?

Oginga Odinga on European Influences •

What made the strongest impression on Odinga? What overall attitude does he evidence toward Europeans? What can you infer here about Luo culture?

A Closer Look Gandhi and His Spinning Wheel 1. Why do you think the emphasis, by the educated Gandhi and other members of the independence-movement elite, on the importance of simple work, such as spinning for one’s own clothing, had such resonance for millions of Indians under British rule on the subcontinent?

2. What elements might have made the identification of the charkha as a spinning wheel with the 266 ..

Ashokan and Buddhist chakra so compelling as a conjoined symbol for India as a nation?

3. How might spinning one’s own cloth relate to nonviolence (ahimsa) as well as to economic resistance to the British?

Summary Western Encroachment. The century and a half that began in 1800 was a bleak one for Africa, the Indian subcontinent, and the Islamic heartlands. For centuries there had been a rough balance in material and intellectual culture, commerce, and political stability among the major regions of the world. Suddenly, over 150 years, the European sector of the global community came to dominate the rest of the world.

The Middle East, Africa, Iran, Central Asia, India, and the regions of modern-day Indonesia and Malaysia, along with Latin America—the so-called Third World of “developing nations”—were drastically affected by European imperialism and colonialism. Regardless of indigenous developments in these regions, the decisive reality in this era was unprecedented domination by a single segment of the global community. Western dominance, some- times positive, often sordid and ugly, was by no means synonymous with “progress,” as Westerners have typically liked to think. Nevertheless, it has been a hallmark of “modernity” in most of Asia, Africa, and Latin America.

Indigenous Reactions. The vitality of many of the cultures and traditions that bore the brunt of the Western onslaught has been striking. Arab, Iranian, Indian, African, and other encounters with Western material and intellectual domination produced varied responses and initiatives.

These have played out in political, economic, and intellectual independence only since 1945; however, most encounters began much earlier, some well before 1800. Thus modern Islamic reform and resurgence began in the eighteenth century, although it has become a major global factor only in recent decades. Indian national consciousness developed from the eighteenth century onward in response to British domination, even though national union and independence came only after World War II.

Key Terms bazaari, p. 740 Great Trek, p. 746 Mau Mau uprising, p. 752 mujtahid, p. 740 pan-Islamism, p. 742 Raj, p. 731 Tanzimat, p. 741

cantonments, p. 734 indirect rule, p. 752 mfecane, p. 745 Negritude, p. 754 protectorate, p. 750 scramble for Africa, p. 751 Wahhabis, p. 738

REVEL Writing Exercises 267 ..

Journal Writing 26.1 Macaulay Writes on Indian Education In your view, which of the intentions of Macaulay are laudable and which are problematic?

26.2 Gandhi on Passive Resistance and Svarāj What are the advantages and disadvantages of Gandhi's strategy for effecting political and social change?

26.6 Tâhâ Hussein, “The Future of Culture in Egypt” What is Hussein's goal in emphasizing Egypt’s historic ties to Europe?

26.8 Usman Dan Fodio on Evil and Good Government Which of the government abuses listed by Dan Fodio do you think would be most appalling to the average Muslim? Why? 26.10 Oginga Odinga on European Influences What is the overall attitude toward Europeans that Odinga reveals?

Shared Writing Discuss the new African states and power centers of sub-Saharan Africa before 1870. Why did no modern nation-state develop in the area? How did Islam affect the development of new entities? What role did trade play?

Internet Resources Nineteenth-Century Egypt: http://memory.loc.gov/frd/cs/egtoc.html The U.S. Library of Congress’s Country Studies contains useful discussions of history and context for national development; unfortunately, specific passages cannot be bookmarked. From this index, however, one can link to essays on, for example “Social Change in the Nineteenth Century: Towns and Cities.” There is also coverage of Iran, Saudi Arabia, South Africa, and many other countries.

Development and Dependency in Iran: http://www.iranchamber.com/history/articles/origin_development_imperialist_contention_iran1. php is a reasonably accessible scholarly article about the history of economic development in Iran.

Art in Nineteenth-Century Iran: http://www.metmuseum.org/toah/hd/crir/hd_crir.htm demonstrates in essays and amazing images that continuity and revivalism were themes in the arts of Iran in this period.

Napoleon in Egypt: http://www.pbs.org/empires/napoleon/n_war/campaign/page_3.html offers a comprehensive view of Napoleon in battle.

268 ..

The Mahdi’s Return: http://www.time.com/time/magazine/article/0,9171,854292,00.html is an article from Time magazine in 1947, reflecting the enduring fascination with Sudan’s Mahdi.

Suggested Maps Prentice Hall Atlas of World History, Second Edition • South and Southeast Asia 1765 • The Scramble for Africa

Suggested Films India: Introduction to its History. Encyclopaedia Britannica (16 minutes).

India – The Brightest Jewel. British Broadcasting Corporation (21 minutes).

The Colonial Idea. British Broadcasting Corporation (56 minutes).

European Expansion: Its Influence on Man. American Broadcasting Company (19 minutes).

They Called it White Man’s Burden. Contemporary Films (27 minutes).

Turkey: Emergence of a Modern Nation. Encyclopaedia Britannica (17 minutes).

Afghanistan. University Film Library (15 minutes).

Africa: An Introduction. Film Library Holder (16 minutes).

Africa: Historical Heritage. Encyclopaedia Britannica (9 minutes).

Africa: People of the Chad. Association Films (13 minutes).

Africa: West Africa. National Educational Television (29 minutes).

African Carving: A Dogon Kanaga Mask. Film Library Holder (18 minutes).

The African Queen. Fleetwood Films (103 minutes).

African Religions and Ritual Dances. WCAU-TV (19 minutes).

African Sanctus. Time-Life (47 minutes).

African Tribes. Hoefler, Paul, Productions (11 minutes).

Colonial Expansion of European Nations. Coronet (13 minutes).

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Colonialism: Ogre or Angel. McGraw-Hill (20 minutes).

The Dream of the Wanderer. Time-Life (52 minutes).

Discovery and Betrayal. Time-Life (53 minutes).

Gandhi. McGraw-Hill (25 minutes).

Mahatma Gandhi. Encyclopaedia Britannica (19 minutes).

Mahatma Gandhi: Soul Force. Learning Corporation of America (24 minutes).

Nehru: Man of Two Worlds. McGraw-Hill (25 minutes).

The Secret Fountains. Time-Life (52 minutes).

The Great Debate. Time-Life (52 minutes).

Find Livingstone. Time-Life (53 minutes).

Conquest and Death. Time-Life (53 minutes).

The Afrikaaner Experience: Politics of Exclusion. Learning Corporation of America (35 minutes).

The Story of A Continent, Africa. Home Vision Select (456 minutes).

Gandhi. This Oscar-winning film provides excellent material for discussions about imperialism, racism, decolonization, non-violent protest, and war. Columbia Pictures (190 minutes).

270 ..

Chapter 27—Modern East Asia Learning Objectives Modern Japan (1853–1945) 27.1 Overthrow of the Tokugawa Bakufu (1853–1868) Summarize the events and other factors leading to the overthrow of the Tokugawa bakufu.

27.2 Building the Meiji State (1868–1890) Discuss the Meiji Restoration, including the centralization of power, the development of political parties, and the structure of government.

27.3 Growth of a Modern Economy Trace the course of economic development in Japan during the Meiji Restoration.

27.4 The Politics of Imperial Japan (1890–1945) Discuss Japanese politics in the period 1890–1945 and the road to war against the United States.

27.5 Japanese Militarism and German Nazism Compare and contrast Japan and Nazi Germany politically and in their path to war.

Modern China (1839–1949) 27.6 Close of Manchu Rule Trace the history of China from the Opium War of 1839–1842 to 1895.

27.7 From Dynasty to Warlordism (1895–1926) Discuss Chinese history during the period 1895–1926.

27.8 Cultural and Ideological Ferment: The May Fourth Movement Analyze the dominant modes of thought in China in the century after the Opium War and particularly in the May Fourth Movement.

27.9 Nationalist China Discuss the Guomindang unification of China, the war with Japan, and the civil war that ended in 1949 with the establishment of the People’s Republic of China.

Introduction • •

Japan and China were both relatively successful in their responses to the West, for neither became a colony.

In both Japan and China, though much more rapidly in Japan, the leading intellectuals abandoned Confucianism in favor of Western secular doctrines.

271 ..

• • •

In Japan the old Tokugawa regime collapsed, and the Japanese built a modern state. Economic growth followed.

After the Great Depression, Japan, like Italy and Germany, became an aggressive and militarized state and was eventually defeated in World War II. China failed to modernize along Japanese lines, the Manchu dynasty fell but this was followed by a period of warlordism and revolution.

Global Perspective Modern East Asia •

• • •

Three stages may be noted in Japan’s development as the world’s first and most advanced nonWestern modernizer: preconditions, Westernization, and assimilation.

Japan had some of the preconditions needed for industrialization: a fairly literate people, an ethic of duty and hard work, a market economy, secular thought, some bureaucracy, and a protonationalism.

Communism stressed science, materialism, and class conflict. It broke with the Chinese past.

At the level of doctrine, Mao Zedong modified Lenin’s ideas only slightly—by theorizing that “progressive” peasants were a part of the proletariat. But he went beyond this theory in practice, virtually ignoring city workers while relying on China’s villages for recruits for his armies, who were then indoctrinated using Leninist techniques.

Focus Questions 1. What are the preconditions necessary for modernization along Western lines? Why are they so important?

2. Compare and contrast the process of modernization in Japan and China in the twentieth century. Which country was more successful? Why?

Key Points Modern Japan (1853–1945) 27.1 Overthrow of the Tokugawa Bakufu (1853–1868) • • • •

From the seventeenth century into the nineteenth, the natural isolation of the islands of Japan was augmented by its policy of seclusion, making Japan into a little world of its own.

The 260-odd domains were the states of this world, the bakufu in Edo was its hegemon, and the imperial court in Kyoto provided a sacerdotal or religious sanction for the bakufu-domain system.

In 1853 and 1854, the American ships of Commodore Perry came and forced Japan to sign the Treaty of Friendship, opening it to foreign intercourse. Fourteen years later the entire bakufudomain system collapsed, and a new group of unusually talented leaders seized power.

The Tokugawa elites had seen themselves as civilized Confucians. They viewed the rest of the world, with the exception of China and Korea, as barbarian. But in the face of Western

272 ..

technology, this view became untenable. In 1868 Fukuzawa Yukichi (1835–1901), a student of Western Studies and a bakufu translator, introduced a Western theory of history: The West, with its technology, science, and humane laws, was “civilized and enlightened.”

27.2 Building the Meiji State (1868–1890) • •

The years from 1868 to 1912 are referred to as the “Meiji period,” after the era name of the new emperor. It was characterized by an attempt to modernize and build a strong state along Western lines.

The announcement of the restoration of rule by an emperor was made on January 3, 1868.

27.2.1 Centralization of Power • • •

A small group of Samurai led the process of political centralization.

Having centralized political authority, in 1871 about half of the most important Meiji leaders went abroad for a year and a half—ostensibly to revise the unequal treaties of 1854 and 1858, but in fact to study the West.

In 1873 the government raised a conscript army and subsequently abolished the samurai class.

27.2.2 Political Parties •

•

With the government’s formation of prefectural assemblies in 1878, what had been in fact unofficial pressure groups became true political parties. Many farmers joined, wanting their taxes cut; the poor joined too, hoping to improve their condition.

The parties were given another boost after a political crisis in 1881, when the government promised a constitution and a national assembly within ten years.

27.2.3 The Constitution •

• • •

As promulgated in 1889, the Meiji Constitution was notable for the extensive powers granted to the emperor and for the severely limited powers it granted to the lower house in the Diet (the English term for Japan’s bicameral national assembly).

The emperor was sovereign. According to the constitution, he was “sacred and inviolable.” The sacredness was defined in Shintō terms. As in Prussia, the emperor was given direct command of the armed forces.

The emperor had the right to name the prime minister and to appoint the cabinet. He could dissolve the lower house of the Diet and issue imperial ordinances when the Diet was not in session.

To ensure that the parties themselves would represent the stable and responsible elements of Japanese society, the vote was given only to adult males paying 15 yen or more in taxes. In 1890 this was about 5 percent of the adult male population.

27.3 Growth of the Modern Economy.

•

• •

Early Meiji reforms unshackled the late Tokugawa economy. Occupations were freed, which meant that farmers could trade and samurai could farm. Barriers on roads were abolished, as were the monopolistic guilds that had restricted access to central markets Silk was the wonder crop. The government introduced mechanical reeling, enabling Japan to win markets previously held by the hand-reeled silk of China.

Rice production rose from 149 million bushels a year during 1880–1884 to 316 million during 1935–1937. More food, combined with a drop in the death rate—the result of better hygiene—led to population growth.

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27.3.1 First Phase: Model Industries •

•

With military strength a goal, the Meiji government expanded the arsenals and the shipyards that it had inherited from the Tokugawa. It also built telegraph lines, made a start on railroads, developed coal and copper mines, and established factories for textiles, cement, glass, tools, and other product.

Just as important to economic development was a variety of other new institutions such as banks, post offices, ports, roads, commercial laws, a system of primary and secondary schools, and a government university.

27.3.2 Second Phase: 1880s–1890s •

• •

Substantial growth in the modern sector took place during the 1880s and 1890s. It was marked by the appearance of what would later become the great industrial combines known as zaibatsu (“moneyed cliques”).

After the turn of the century cotton cloth replaced yarn as the focus of growth in Japan: Production rose more than 100-fold, from 22 million square yards in 1900 to 2,710 million in 1936.

Cotton textiles and railroads were followed during the 1890s by cement, bricks, matches, glass, beer, chemicals, and other private industries.

27.3.3 Third Phase: 1905–1929 • • • •

The economy continued to grow after the Russo-Japanese War in 1905 and spurted ahead during World War I. Light industries and textiles were central, but iron and steel, shipping, coal mining, electrical power, and chemicals also grew.

By the 1920s Japanese society, especially in the cities, was becoming modern. The Japanese ate better, were healthier, and lived longer. Personal savings rose with the standard of living.

During the 1920s, the 1930s, and the war years, increasing numbers of primary school graduates went on to middle and higher schools, or entered the new technical colleges.

Because textiles played a large role in the early phase of growth, well into the twentieth century women accounted for more than half of the industrial labor force.

27.3.4 Fourth Phase: Depression and Recovery •

•

The 1927 Japanese bank crisis and the 1929 worldwide Great Depression plunged Japan into unemployment and suffering.

An export boom and military procurements at home fueled the recovery. During the 1930s the production of pig iron, raw steel, and chemicals doubled. Japan constructed complete electricpower stations and became self-sufficient in machine tools and scientific instruments.

Shipbuilding forged ahead.

27.4 The Politics of Imperial Japan (1890–1945).

•

•

In terms of an ideal democracy, Japanese society certainly had many weaknesses: a small middle class, weak trade unions, an independent military under the emperor, and a strong emperorcentered nationalism, among others.

These weaknesses, others note, did not prevent the Diet from growing in importance, nor did they block the transfer of power from the bureaucratic Meiji leaders to political party leaders. The transfer clearly fell short of full parliamentary government.

27.4.1 From Confrontation to the Founding of the Seiyūkai (1890–1900) 274 ..

•

•

In 1890 the Meiji leaders—sometimes called oligarchs, the few who rule—were concerned with nation-building, not politics. They viewed the political parties as noisy, ineffective, and irresponsible. They saw the lower house of the Diet as a safety valve, a place to let off steam without interfering in the government’s serious work of building a new Japan.

The authority of the lower house to reject a budget made that body more powerful than they had intended. This drew the oligarchs, willy-nilly, into the political struggles they had hoped to avoid.

27.4.2 The Golden Years of Meiji •

•

•

The years before and after the turn of the century represented the culmination of what the government had striven for since 1868 and witnessed the emergence of Japan as a world power.

Japan waged a war with China—the Sino- Japanese War of 1894–1895—over conflicting interests in Korea. From its victory Japan secured Taiwan, the Pescadores Islands, the Kwantung Peninsula in southern Manchuria, an indemnity, and a treaty giving it the same privileges in China as those enjoyed by the Western powers.

The Russo-Japanese War, which began in 1904 when Japanese torpedo boats launched a surprise attack on the Russian fleet at Port Arthur, witnessed a Japanese victory, which led to a recognition of Japan’s “paramount interest” in Korea, which Japan annexed in 1910.

27.4.3 Rise of the Parties to Power • •

Political parties grew stronger in the first decades of the twentieth century.

A parallel development was the liberalism that blossomed during World War I and culminated in the period of party governments from 1924 to 1932. Japan had joined the Allies in World War I and was influenced by democratic ideas from England and America.

27.4.4 Militarism and War (1927–1945) •

• • •

• •

The military’s growing political influence characterized Japanese politics from the late 1920s through the 1930s.

The armed services had their own schools, which inculcated the values of discipline, bravery, loyalty, and obedience. Soldiers saw themselves as the true heirs of those who had founded the modern Japanese state and as the true guardians of Japanese tradition.

In 1931 the army provoked a crisis and took over Manchuria, and then made it an independent state in 1932. In 1933, after the League of Nations condemned Japan for violating the open door, Japan withdrew from the league.

During the 1930s, however, new right-wing organizations appeared and challenged the status quo. Civilian ultranationalists used Shintō myths and Confucian values to attack Western liberalism. Some bureaucrats looked to Nazi Germany and argued for the exclusion of party politicians from government.

They argued for military expansion and an autarchic empire insulated from the uncertainties of the world economy. Young officers of the revolutionary right advocated “direct action” against the elites of the parliamentary coalition and called for a second restoration of imperial power.

In June 1940, following Germany’s defeat of France, Japanese troops had moved into northern French Indochina. The United States retaliated by limiting strategic exports to Japan. When Japanese troops took southern Indochina in July 1941, the United States embargoed all exports to Japan.

27.5 Japanese Militarism and German Nazism •

In Germany the Nazis rose as a mass party, created a totalitarian state, and then made war. The authority of the Nazi Party lasted until Hitler died in a Berlin bunker. In Japan there was neither a mass party nor a single group of leaders in continuous control of the government.

275 ..

•

In Japan it was not the totalitarian state that made war as much as it was war that made the state totalitarian.

Modern China (1839–1949) 27.6. Close of Manchu Rule 27.6.1 The Opium War •

• • •

The Chinese government banned opium in 1836, closed the dens where it was smoked, and executed Chinese dealers, leading to tensions with the British who controlled the trade.

The Opium War (1839–1842) ended in August 1842 with the Treaty of Nanjing, the first of what became known as the “unequal treaties.”

The treaty with Britain was followed in 1844 by similar treaties with the United States and France.

While the British fought China for trading rights, the Russians encroached on China’s northern frontier.

27.6.2 Rebellion against the Manchu •

•

•

Far more immediate a threat to Manchu rule than foreign gunboats were the Taiping, Nian, and Muslim rebellions that convulsed China between 1850 and 1873.

Estimates of those killed during the twenty years of the Taiping Rebellion range from 20 to 30 million (ironically, taiping means “great peace”). Adding in losses due to other rebellions, droughts, and floods, China’s population dropped by 60 million and did not recover to prerebellion levels until almost the end of the dynasty in 1912.

The Taipings collapsed when Nanjing was captured in 1864. Zeng and Li suppressed the Nian by 1868, and Muslim rebellions were put down five years later. Scholar-officials, relying on local gentry, had saved the dynasty.

27.6.3 Self-Strengthening and Decline (1874–1895) • •

•

The situation at the court helps explain China’s inability to act effectively.

The empress dowager acquired this power by forging a combine of conservative bureaucrats, military commanders, and eunuchs, and by maintaining a balance between the court and the regional strength of the powerful governors’ general. The court had limited power to govern effectively.

The effects of the treaty ports on China were largely negative. The low tariffs mandated by the treaties gave Chinese industries little protection. Native cotton-spinning was almost destroyed by imports of yarn. Chinese tea lost ground to Indian tea and Chinese silk to Japanese silk.

27.6.4 The Borderlands: The Northwest, Vietnam and Korea •

• •

A treaty signed with Russia in 1881 restored most of the Ili region in western Mongolia to Chinese control. These victories strengthened court conservatives who wished to take a stronger stance toward the West.

In 1885 China was forced to sign a treaty abandoning claims to Vietnam. By 1893, France had joined Vietnam, Cambodia, and Laos to form the Federation of Indochina, which remained a French colony until 1940.

In 1894 war broke out between China and Japan. Japan won handily. After this war, Taiwan became Japan’s first colony. Defeat by Japan convinced many throughout China that basic changes were inevitable.

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27.7 From Dynasty to Warlordism (1895–1926) •

• • •

• •

China’s defeat by Japan, another Asian nation and one for which China had little regard, came as a shock. China responded with a new wave of reform proposals.

The response of the Western powers to China’s 1895 defeat has been described as “carving up the melon.” Each nation defined a sphere of interest—usually a leasehold with railway rights and special commercial privileges.

The United States, busy acquiring the Philippines and Guam, was in a weaker position in China, so it enunciated an “open door” policy: equal commercial opportunities for all nations and the preservation of China’s territorial integrity.

The defeat of the Boxer Rebellion (1898–1900) convinced even conservative Chinese leaders of the futility of old ways. A more powerful reform movement began, with the empress dowager herself in its vanguard. But as the movement gained momentum, the dynasty could not stay far enough in front and eventually fell.

During the first decade of the twentieth century the three vital components of the imperial system—Confucian education, the bureaucracy, and the gentry—were changed in ways that a few decades earlier would have been unimaginable.

These changes sparked the 1911–1912 revolution, China fell into the hands of warlord armies.

27.8 Cultural and Ideological Ferment: The May Fourth Movement •

•

• •

A period of freedom and vigorous experimentation with new doctrines began in 1914 and extended into the 1920s. It is called the May Fourth Movement after an incident in Beijing in 1919 in which thousands of students protested the Versailles settlement that awarded former German possessions in Shandung to Japan.

Chen Duxiu, a Francophile, had studied in Japan. In 1915 he launched New Youth, a magazine that played a role in the intellectual revolution of early twentieth-century China comparable to the cahiers in the French Revolution or the pamphlets of Thomas Paine in the American Revolution.

In his magazine Chen blamed Confucius for Chinese ills. He called for a generation of progressive, cosmopolitan, and scientific youth who would uphold the values of liberty, equality, and fraternity.

As the May Fourth Movement developed, ideas propounded in Beijing quickly spread to the rest of China, especially to its urban centers.

After the Russian Revolution of 1917, Marxism-Leninism entered China. The Leninist definition of imperialism as the crisis stage of capitalism had an immediate appeal; it blamed the West for China’s ills and offered “feudal” China the possibility of leapfrogging over capitalism to socialism.

27.9 Nationalist China 27.9.1 Guomindang Unification of China and the Nanjing Decade (1927–1937) • •

• •

Despite his immense attractiveness of Sun Yat-sen as a leader he was a poor organizer, and his Guomindang (GMD)—Nationalist Party—made little headway.

Sun sent his loyal lieutenant Jiang Jieshi (Chiang Kai-shek) (1887–1975) to the Soviet Union for study. Jiang returned after four months with a cadre of Russian advisers and in 1924 established a military academy at Huangpu to the south of Guangzhou. The Huangpu cadets were to form a “party army.”

The Chinese Communist Party (CCP) also grew, and by 1926 it had 20,000 members. The party was influential in student organizations, labor unions, and even within the GMD. It was during the Long March that Mao Zedong wrested control of the CCP from the Moscowtrained, urban-oriented leaders and established his unorthodox view that a revolutionary Leninist

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•

party could base itself on the peasantry.

In 1937 China and Japan go to war over the issue of Manchuria.

27.9.2 War and Revolution (1937–1949).

•

•

•

•

In 1937 the GMD controlled most of China and was recognized as its government, whereas the CCP survivors of the Long March had just begun to rebuild their strength in arid Shaanxi, a remote area beyond the reach of Jiang’s army. But by 1949 CCP forces had conquered China, including border areas never under GMD rule, and Jiang and the GMD had fled to Taiwan.

The war with Japan was critical. For the communists, the Japanese occupation was an opportunity. Headquartered at Yan’an, they consolidated their base in Shaanxi province. They began campaigns to promote literacy and production drives to promote self- sufficiency. CCP membership expanded from 40,000 in 1937 to 1.2 million in 1945.

Civil war broke out early in 1946. Until the summer of 1947 GMD armies were victorious—even capturing Yan’an. But the tide turned in July as CCP armies went on the offensive in north China.

They captured American military equipment left by the GMD forces, and by October 1948 the GMD forces had been driven from Manchuria. In January 1949 Beijing and Tianjin fell.

Many Chinese fled with Jiang to Taiwan or escaped to Hong Kong: they included not only GMD officials and generals, but entrepreneurs and academics as well.

Documents On Wives and Concubines •

Think of comparable instances in American or European history where new ideas led to dramatic social change. How long did the changes last, and how deeply rooted did they become?

Natsume Sōseki on the Costs of Rapid Modernization •

What were the costs of Japan’s rapid modernization? Was the uneasiness experienced by only a few advanced thinkers, or did it cut across the society? Was it different from alienation in the modern West?

Commissioner Lin Urges Morality on Queen Victoria •

What does this document suggest about the Qing Dynasty’s view of China’s place in the world in 1839? Does the dynasty still view China as a universal empire? Do Lin’s arguments leave the British queen any ground to stand on?

Liang Qichao Urges the Chinese to Reform (1896) •

What kind of reform program is Liang advocating? Compare his response to the challenge of the West with that by a Japanese commentator in the Document, “A Japanese View of the Inventiveness of the West.”

Chen Duxiu’s “Call to Youth” in 1915 •

How does Chen’s “Call to Youth” relate to the political conditions in China in 1915?

A Closer Look 278 ..

East Meets West 1. What did Perry have in mind during this meeting? What did the bakufu representatives want?

2. How did so innocuous a meeting lead fifteen years later to the overthrow of Tokugawa rule?

Summary Japan. The old Tokugawa regime collapsed quickly, just 15 years after the arrival of Perry in 1853. Samurai rebellions attempted to preserve vested interests in the decade after 1868, but they lost every battle. The new Meiji government began sweeping Westernizing reforms in every field. Japan received international recognition for its military victories in 1895 and 1905. Modern economic growth went hand in hand with universal education. In 1890, a parliament (the Diet) was formed, which made steady gains through the 1920s. But the Great Depression and a crisis in Manchuria led to the rise of militarism in the 1930s and eventually to war with the United States in 1941.

China. In the nineteenth century the Qing Dynasty was in decline. The Taiping and other rebellions threatened its existence. “Gentry armies” that combined modern weapons and traditional values put down the rebellions.

Not until 1912, seventy years after the Opium War, did the Qing collapse. After that, China was ruled for a decade and a half by warlords, a pattern not unlike that seen in the aftermaths of previous dynasties. But China’s defeat by Japan in 1895, the flood of Western ideas that entered during the decades after 1900, and a rising nationalism prevented the rise of a new dynasty. Instead, the Nationalist Party (Guomindang) of Sun Zhongshan and Jiang Jieshi was formed. It built an army, marched north, and unified China. Its new capital was Nanjing.

Chinese communists, who had organized in the early 1920s, were forced to flee to the arid northwest. But the Japanese invasion in the late 1930s destroyed the Nationalists’ base in eastern China. Consequently, the communists resurged and won the 1945–1949 civil war.

Key Terms Boxers, p. 785 Guomindang (GMD), p. 788 Meiji Restoration, p. 763 Taiping Rebellion, p. 779 Tripartite Pact, p. 774 zaibatsu, p. 766

Diet, p. 765 Long March, p. 790 self-strengthening, p. 781 treaty ports, p. 782 unequal treaties, p. 763

REVEL Writing Exercises Journal Writing 27.2 On Wives and Concubines When dramatic social changes, comparable to those discussed in this document, were introduced 279 ..

in America or Europe, how long did the changes last and how deeply rooted did they become?

27.3 Natsume Sōseki on the Costs of Rapid Modernization What were the costs of Japan’s rapid modernization? Any connections to the cost of modernization in the West?

27.6 Commissioner Lin Urges Morality on Queen Victoria What does this document reveal about how the Chinese viewed their place in the world in 1839?

27.7 Liang Qichao Urges the Chinese to Reform (1896) What kind of reform program is Liang supporting?

Shared Writing Which had the greater impact on China, the Opium War or the Taiping Rebellion? Why?

Internet Resources Meiji Restoration: http://afe.easia.columbia.edu/special/japan_1750_meiji.htm provides a brief narrative and the text of the Meiji Constitution.

Japanese Prelude to World War II: http://worldwar2database.com/node/942 provides an essay and links about events in Japan leading up to World War II.

Science in China: http://www.stanford.edu/dept/HPS/RethinkingSciCiv/etexts/Elman/Chinese_Sciences.html is an accessible scholarly paper on the entry and gradual acceptance of Western science into China.

The Long March: http://www.chinadaily.com.cn/english/doc/2004-06/25/content_342539.htm is an annotated timeline of milestones on the Long March, according to the China Daily.

Suggested Maps Prentice Hall Atlas Of World History, Second Edition • Foreign Imperialism in East Asia • Imperialism in the Pacific • Japanese Modernization

Suggested Films The Boxer Rebellion. Films Library Holder (21 minutes).

Battle of China. Films Library Holder (64 minutes).

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China: A Revolution Revisited. Films, Inc. (83 minutes).

China: An Open Door? Part 2–The Past is Prologue. Associated Press (20 minutes).

China: Agonies of Nationalism, 1800–1927. Wolper Productions (24 minutes).

China: Search for National Unity, 1800–1927. Wolper Productions (29 minutes).

China: Civil War and Invasion: 1927–1941. Wolper Productions (22 minutes).

China: Enemies Within and Without, 1927–1944. Wolper Productions (26 minutes).

China: 1932–1945. CBA (30 minutes).

China: The Awakening Giant. McGraw-Hill (17 minutes).

Chinese History, No. 11–China: The Manchu Rule. Teaching Films Custodians (19 minutes).

Chinese History, No. 12–China: Coming of the West. Teaching Films Custodians (20 minutes).

Chinese History, No. 13–China: The Enduring Heritage. Teaching Films Custodians (19 minutes).

The Emperor and a General. Teaching Films Custodians (29 minutes).

Imperial Sunset. National Film Board of Canada (18 minutes).

Imperialism and European Expansion. Coronet (13 minutes).

Mao vs. Chiang. Films, Inc. 25 minutes).

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Chapter 28—Imperialism and World War I Learning Objectives 28.1 Expansion of Western Power Analyze the “new imperialism” of the Western powers and its expression in the scramble for colonies.

28.2 Emergence of the German Empire Trace the rise of the German Empire under Bismarck and the shifting patterns of European alliances between 1873 and 1907.

28.3 World War I: From the Coming of War to the U.S. Entrance Discuss the factors and events leading to the outbreak of World War I and the course of the war up to the U.S. entrance.

28.4 The Russian Revolution Describe the course of the 1917 revolutions in Russia and the civil war of 1918–1921.

28.5 World War I: The End of War and the Aftermath Analyze the military resolution of World War I and the peace settlement.

Introduction • • •

By the beginning of the twentieth century, European dominance had brought every part of the globe into a single world economy.

These developments helped foster competition and hostility among the great powers of Europe and to bring on a terrible war that undermined Europe’s strength and its influence in the world.

The frenzy for imperial expansion that had seized Europeans in the late nineteenth century had done much to destroy Europe’s peace and prosperity and its dominant place in the world.

Global Perspective Imperialism and the Great War • European imperialism in the last part of the nineteenth century brought Western countries into contact with almost all the inhabited areas of the world and intensified their activity in places where they had already been interested.

• The emergence of a new, powerful German state at the center of Europe upset the old balance of power and threatened the peace established in 1815.

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• • •

•

The result was a new system of alliances that divided Europe into two armed camps and greatly increased the chances of a general war.

As the terrible war of 1914–1918 dragged on, the real motives that had driven the European powers to fight gave way to public affirmations of the principles of nationalism and self-determination.

Peoples under colonial rule took seriously the public statements, and sometimes the private promises, made to secure their cooperation in supplying the war effort and sought to win their independence and nationhood. For the most part they were disappointed by the peace settlement.

Tension between colonies and their ruling nations was one cause of the instability in the world created by the Paris treaties of 1919.

Focus Questions 1. Why were Western powers eager to obtain colonies?

2. Why is World War I a turning point in history?

3. How did World War I alter the relationship between imperial powers and colonized peoples?

Key Points 28.1 Expansion of Western Power 28.1.1 The “New Imperialism” • In the last third of the century, the European states swiftly spread their control over perhaps 10 million square miles and 150 million people—about one-fifth of the world’s land area and one-tenth of its population. The movement has been called the “New Imperialism.”

• The usual pattern of the new imperialism was for a European nation to invest capital in a “less industrialized” country, to develop its mines and agriculture; to build railroads, bridges, harbors, and telegraph systems; and to employ many natives in the process.

• Economic motives certainly played a part, but a full understanding of the new imperialism requires a search for other motives.

• Racial and religious motivations also influenced imperialism.

28.1.2 The “Scramble for Africa” • After the abolition of the slave trade, Africa became an important supplier of raw materials, such as ivory, rubber, minerals, and notably, diamonds and gold, to the West.

• African colonies had become both trophies for European powers and possible bargaining chips in their economic and political competition with each other.

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• • • •

By 1914, European powers controlled all of North Africa, supplanting the Ottoman Empire.

Given the strategic importance of the Suez Canal, the British established control over Egypt without making it a formal colony.

In the Belgian Congo, millions of Africans died of murder, exploitation, starvation, and disease under colonial rule.

In British South Africa, Africans and people of mixed race whom the British referred to as “colored” were forbidden to own land, denied the right to vote, racially segregated, and excluded from positions of power.

28.1.3 Asia, the Americas, the Pacific and the Emerging U.S. Role • Fearing that China, its markets, and its investment opportunities would soon be closed to U.S. citizens, the United States proposed the Open Door Policy in 1899.

This policy opposed foreign annexations in China and advocated that entrepreneurs of all nations be allowed to trade there on equal terms.

• A burst of activity after the Spanish-American War (acquiring the Philippine Islands form Spain, the annexation of Hawaii) made the United States an imperial and Pacific power.

28.2 Emergence of the German Empire 28.2.1 Formation of the Triple Alliance (1873–1890) • Prussia’s victories over Austria-Hungary and France and its creation of a large, powerful German Empire in 1871 revolutionized European diplomacy.

• By 1870 the balance of power that had been created at the Congress of Vienna in 1815 had altered radically.

28.2.2 Bismarck’s leadership (1873-1890) • Bismarck (1815–1898) continued to guide German foreign policy until 1890 • Bismarck concluded a secret treaty with Austria-Hungary in 1879. The resulting Dual Alliance provided that if either Germany or Austria was attacked by Russia, the ally would help the attacked party. And if either was attacked by someone else, each promised at least to maintain neutrality. The treaty was renewed every five years until 1918.

28.2.3 Forging the Triple Entente (1890–1907) • Within a decade of William II’s accession, Germany had become the enemy in the minds of the British. The problem lay in the foreign and naval policies of the German emperor and his ministers.

• The threat posed by the German navy did more to antagonize British opinion than anything else. As the German navy grew and German policies seemed to become more threatening, the British were alarmed enough to abandon their traditional attitudes and policies.

• The Triple Entente, an informal but powerful association of Britain, France, and Russia, was now ranged against the Triple Alliance.

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28.3 World War I: From the Coming of the War to the U.S. Entrance 28.3.1 The Road to War (1908–1914) • Except for the Greeks and the Romanians, most of the inhabitants of the Balkans spoke variants of the same Slavic language and felt a cultural and historical kinship with one another and with Russia.

• For centuries they had been ruled by Austrians, Hungarians, or Turks, and the growing nationalism that characterized late-nineteenth-century Europe made many of them eager for liberty or at least autonomy.

• Austria-Hungary’s annexation of Bosnia and Herzegovina in 1908 heightened tensions in the Balkans.

28.3.2 Sarajevo and the Outbreak of War (June–August 1914) • On June 28, 1914, a young Bosnian nationalist shot and killed Archduke Francis Ferdinand (1863–1914), heir to Austria-Hungary’s throne, and his wife as they drove through the Bosnian capital of Sarajevo.

• As Austria-Hungary prepared for war against Serbia, with Germany encouragement and support, the countries of the Triple Entente prepared for war.

• The Germans invaded Luxembourg on August 1, 1914 and Belgium on August 3.

The invasion of Belgium violated the treaty of 1839, in which the British had guaranteed Belgian neutrality. This factor undermined the considerable sentiment in Britain for neutrality and united the nation against Germany. World War I had begun.

28.3.3 Strategies and Stalemate (1914–1917) • The French and the British were able to stop the Germans at the battle of the Marne in September 1914.

• Thereafter, the war in the west became one of position instead of movement. Both sides dug in behind a wall of trenches protected by barbed wire that stretched from the North Sea to Switzerland.

• Italy withdrew from its alliance with Germany and Austria-Hungary and Turkey (because of its hostility to Russia) joined the Central Powers.

• In the Far East, Japan honored its alliance with Britain and entered the war. The Japanese quickly overran the German colonies in China and the Pacific and used the opportunity to improve their own position against China.

• On all fronts the losses were great and the results meager. The war on land dragged on with no end in sight.

• On April 6 the United States declared war on Germany, largely due to Germany’s resumption of unrestricted submarine warfare.

28.4 The Russian Revolution • The March 1917 revolution in Russia was neither planned nor led by any political faction. It was the result of the collapse of the monarchy’s ability to govern in the face of military defeat, catastrophic casualties and growing unrest among the urban working class and peasantry.

• Among the diverse revolutionary factions, the Bolsheviks eventually prevailed.

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• •

•

The Bolshevik government also took Russia out of the war, which they believed benefited only capitalism, signing an armistice with Germany in December 1917.

Until 1921 the new Bolshevik government confronted massive domestic resistance. A civil war erupted between the “Red” Russians supporting the revolution and the “White” Russians, who opposed the Bolshevik triumph. In the summer of 1918 the tsar and his family were murdered.

Led by Trotsky, the Red Army eventually overcame the domestic opposition. By 1921 Lenin and his supporters were in firm control.

28.5 World War I: The End of War and Aftermath 28.5.1 Military Resolution • In 1918 the Germans, persuaded chiefly by Ludendorff—second in command to Hindenburg, but the real leader of the army—decided to gamble everything on one last offensive. The German army pushed forward and even reached the Marne again but got no farther.

• The Allies, on the other hand, were bolstered by the arrival of American troops in ever-increasing numbers, leading to the collapse of the German military effort • The casualties on all sides came to over 9 million dead and over 14 million wounded. The economic and financial resources of the European states were badly strained. The victorious Allies, formerly creditors to the world, became debtors to the new American colossus, itself barely touched by the calamities of war.

• The old international order, moreover, was dead. Russia was ruled by a Bolshevik dictatorship that preached world revolution and the overthrow of capitalism everywhere. Germany was in chaos. Austria-Hungary had disintegrated into a swarm of small states competing for the remains of the ancient empire.

28.5.2 Settlement at Paris •

• • • •

The continuing national goals of the victors presented further obstacles to an idealistic “peace without victors.”

France was eager to achieve a settlement that would permanently weaken Germany and preserve French political and military superiority.

The notion of “a peace without victors” became a mockery when the Soviet Union (as Russia was now called) and Germany were excluded from the peace conference.

The terms of the peace treaties proved particularly onerous for Germany which loss considerable territory, all of its colonies, faced limits on the size of its military, and owed billions of dollars in war reparations.

Many new nations came into being in Europe and the old Ottoman Empire also disappeared.

The new Republic of Turkey was limited to little more than Constantinople and Asia Minor.

Palestine and Iraq came under British control and Syria and Lebanon under French control as mandates of the League of Nations.

28.5.3 Evaluation of the Peace •

In England and the United States, liberals complained that the treaty violated the idealistic and liberal aims and principles that the Western leaders had professed. It was not a peace without victors. It did not end imperialism but attempted to promote the national interests of

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the winning nations. It violated the principles of national self-determination by leaving significant pockets of minorities outside the borders of their national homelands.

Complaints against the peace should also be measured against the peace the victorious Germans had imposed on Russia at Brest-Litovsk and their plans for a European settlement in case of victory. Both were far more severe than anything enacted at Versailles.

The tragedy of the Treaty of Versailles was that it was neither conciliatory enough to remove the desire for change, even at the cost of war, nor harsh enough to make another war impossible.

Documents Social Darwinism and Imperialism •

How does the author connect Darwin’s ideas to the concept of human progress? Is it reasonable to equate biological species with human societies, races, or nations? How do the author’s ideas justify imperial expansion? What arguments can you make against the author’s assertions?

Bismarck Explains His Foreign Policy •

What alliances made up Bismarck’s systems? How were they meant to preserve the peace? What is Bismarck’s stated purpose for avoiding a war in Europe? Were there other reasons too?

A Closer Look The Development of the Armored Tank 1. What technological developments prior to World War I made tank warfare possible? What military developments made it desirable?

2. What advantages does tank warfare offer?

3. How do tanks interact with other military units to achieve success?

4. What devices and tactics have modern armies developed to combat the tank?

Summary The New Imperialism. European imperialism in the last part of the nineteenth century brought the Western countries into contact with most of the world. By 1914, European nations had divided Africa among themselves and controlled large parts of Asia and the islands of the Pacific. Much of the Middle East was under the nominal control of the Ottoman Empire, which was in its death throes and under European influence. The Monroe Doctrine made Latin America a protectorate of the United States. Japan had become an imperial power at the expense of China and Korea.

World War I. The emergence of a new, powerful German state at the center of Europe upset the old balance of power. Bismarck, however, preserved the peace for as long as he remained in power. The new German emperor, William II, abandoned the policy of restraint and sought more 287 ..

power and influence for his country. The result was a system of alliances that divided Europe into two armed camps. What began as yet another Balkan war involving the European powers became a world war, with global consequences. As the devastating war of 1914–1918 dragged on, the real motives that had driven the European powers to fight gave way to public affirmations of the principles of nationalism and self-determination.

The Peace Settlement. The peoples under colonial rule took these statements seriously and sought to win their own independence and nationhood. For the most part they were disappointed by the peace settlement. The British and French empires became larger than ever. The Americans added to the islands they controlled in the Pacific. Japanese imperial ambitions were rewarded at the expense of China.

However, the old imperial nations, especially Britain and France, had paid an enormous price in lives, money, and will for their victory in the war. Colonial peoples pressed for the rights that were proclaimed as universal by the West but denied to their colonies; influential minorities in the countries that ruled them sympathized with colonial aspirations for independence. Tension between colonies and their ruling nations was a cause of instability in the world created by the Paris treaties of 1919.

Key Terms Fourteen Points, p. 816 League of Nations, p. 818 new imperialism, p. 796 reparations, p. 820 soviets, p. 814 “White” Russians, p. 815

Italia Irredenta, p. 811 mobilization, p. 809 pan-Slavic movement, p. 803 Schlieffen Plan, p. 809 war guilt clause, p. 820

REVEL Writing Exercises Journal Writing 28.1 Social Darwinism and Imperialism How do the author’s ideas justify imperial expansion?

28.2 Bismarck Explains His Foreign Policy How were the alliances established by Bismarck meant to preserve the peace?

Shared Writing Which had the greater impact on China, the Opium War or the Taiping Rebellion? Why?

Internet Resources Imperialism: http://www.fordham.edu/halsall/mod/modsbook34.html has many useful links to primary documents.

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Queen Victoria and Imperialism: http://www.pbs.org/empires/victoria/history/scramble.html is an attractive site, with evocative text and images.

First World War: http://www.firstworldwar.com/ provides articles, images, and further links.

Trench Warfare Redux: http://news.bbc.co.uk/2/hi/in_depth/5102512.stm is a BBC Special Feature documenting how “wars of attrition” are still with us, almost a century after World War I. Versailles Treaty: http://www.ushmm.org/wlc/en/article.php?ModuleId=10005425, from the Holocaust Museum, provides an excellent overview essay as well as many links to additional information, photographs, and even historical film footage; http://www.fordham.edu/halsall/mod/1919versailles.html is the treaty text, while http://www.foundingdocs.gov.au/item.asp?dID=23 offers images of the signed treaty and interesting background from the Australia National Archives.

Suggested Maps Prentice Hall Atlas of World History, Second Edition •

Movements Against Colonial Rule 1880–1920

•

The World: 1900

•

World War I

•

Russian Revolution

Suggested Films Europe the Mighty Continent: The Ruling House, 1900–Day of Empire Has Arrived.

Time-Life (52 minutes).

Colonialism: Ogre or Angel? McGraw-Hill (30 minutes).

Europe the Mighty Continent: The Years 1904–1914–The Drums Begin to Roll.

Time-Life (52 minutes).

Doomed Dynasties of Europe. Radim Films (16 minutes).

Turn of the Century. Columbia Broadcasting System (25 minutes).

Last Years of the Tsars. Films, Inc. (19 minutes).

Nicholas and Alexandra. Prelude to Revolution (1904–1905). Learning Corporation of America (30 minutes).

Lenin and Trotsky. McGraw-Hill (27 minutes).

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Lenin Prepares For Revolution. Films, Inc. (21 minutes).

Revolution in Russia. Films, Inc. (19 minutes).

Assassination at Sarajevo-Pretext for War. Films, Inc. (16 minutes).

Europe the Mighty Continent: The Great War–This Generation Has No Future. TimeLife (52 minutes).

The Great War. National Broadcasting Company (54 minutes).

The Great War. McGraw-Hill. 52 minutes).

Verdun. Indiana University (30 minutes).

Verdun: End of a Nightmare. Macmillan (26 minutes).

The Yanks Are Coming. Films, Inc. (50 minutes).

World War I: A Documentary of the Role of the U.S.A. Encyclopaedia Britannica (27 minutes).

Gallipoli. Cinema Epoch (114 minutes).

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Chapter 29—Depression, European Dictators, and the American New Deal Learning Objectives 29.1 After Versailles: Demands for Revision and Enforcement Summarize the political effects of the Treaty of Versailles.

29.2 Toward the Great Depression in Europe Discuss the factors leading to the Great Depression in Europe.

29.3 The Soviet Experiment Analyze the economic policies, power struggles, and purges that characterized the Soviet experiment in the period between the world wars.

29.4 The Fascist Experiment in Italy Discuss the conditions and events leading to Mussolini’s dictatorial rule in Italy.

29.5 German Democracy and Dictatorship Trace the course of economic and political events in Germany leading to Hitler’s dictatorship.

29.6 The Great Depression and the New Deal in the United States Discuss the conditions leading to the Great Depression in the United States and the government attempts under Franklin Delano Roosevelt to deal with it.

Introduction • • •

In the two decades that followed the conclusion of the Treaty of Versailles in 1919, the Western world saw a number of experiments in politics and economic life.

The Russian Revolution, and the peace treaty had transformed the political face of Europe. New political regimes had emerged in the wake of the collapse of the monarchies of Germany, AustriaHungary, and Russia.

Beginning in the early 1920s, economic dislocations that led to the economic downturn known as the Great Depression began to spread across the world, leading to political changes in both Europe and the United States.

Global Perspective The Interwar Period in Europe and the United States •

•

The two decades between the great wars marked a period of immense political and economic transition around the globe.

Many regions endured political turmoil and economic instability, followed by the establishment

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• • • •

of militaristic authoritarian regimes.

In Italy, it was the Fascists; in Germany, the Nazis; in the Soviet Union, Stalin’s communist regime.

In East Asia, Japan came into the grip of a right-wing militaristic government. China saw more than twenty years of civil war and revolution that would culminate with the communists’ rise to power under Mao Tse-tung.

The Russian Revolution was a pivotal factor in the rise of right- wing and fascist dictators, who often justified their power on the basis of their firm opposition to the “red menace.”

The interwar period also departed from the nineteenth- century ideal of laissez-faire economics, in which central governments assumed little responsibility for guiding the economies of their countries.

Focus Questions 1. Why did many people in the 1930s lose faith in liberal democracy and laissez-faire economics?

2. What led many countries to embrace authoritarian regimes during this period? Why did authoritarian governments seem to offer a solution to economic hardship and social instability?

3. What was the relationship between extreme nationalism and the outbreak of World War II?

Key Points 29.1 After Versailles: Demands for Revision and Enforcement •

The Paris settlement fostered both resentment and discontent, which counted among the chief political factors in Europe for the next two decades.

29.2 Toward the Great Depression in Europe •

Three factors combined to bring about the intense severity and the extended length of the Great Depression: a financial crisis, a crisis in the production and distribution of goods in the world market, and the lack of leadership to resolve the crisis.

29.2.1 Financial Tailspin •

• •

The quest for payment of German reparations caused one of the major diplomatic crises of the 1920s, which itself resulted in further economic upheaval.

The crash of Wall Street in October 1929—the result of virtually unregulated financial speculation—saw the loss of large amounts of money.

As credit for Europe began to run out, a major financial crisis struck the Continent.

29.2.2 Problems in Agricultural Commodities •

•

The 1920s witnessed a contraction in the market demand for European goods relative to the Continent’s productive capacity. This problem originated both within and outside Europe. In both instances the difficulty arose from agriculture.

A glut of major world commodities involved the supplies of wheat, sugar, coffee, rubber, wool, and lard. The people who produced these goods in underdeveloped nations could no longer make

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•

enough money to buy finished goods from industrial Europe.

The results of the collapse in the agricultural sector of the world economy and the financial turmoil were stagnation and depression for European industry.

29.2.3 Depression and Government Policy • •

The government response to the economic crisis depended largely on the severity of the Depression in a particular country and on the self-confidence of the nation’s political system.

The political experiments of the 1920s and 1930s that reshaped world history and civilization: the establishment of a Soviet government in Russia, a Fascist regime in Italy, and a Nazi dictatorship in Germany.

29.3 The Soviet Experiment •

• •

The consolidation of the Bolshevik revolution in Russia established the most extensive and durable of all twentieth-century authoritarian governments. The Communist Party of the Soviet Union retained power from 1917 until the end of 1991, and its presence influenced the political history of Europe, and much of the rest of the world, as did no other single factor.

The Marxist-Leninist ideology was broader than the nationalism of the Fascists and the racism of the Nazis. Communism was an exportable commodity.

Fear of communism and determination to stop its spread became one of the leading political forces in Western Europe and the United States for most of the rest of the century.

29.3.1 War Communism •

•

Under the economic policy of war communism, the revolutionary government confiscated and then operated the banks, the transport facilities, and heavy industry. The state also forcibly requisitioned grain and shipped it from the countryside to feed the army and the workers in the cities.

War communism helped the Red Army defeat its opponents. The revolution had survived and triumphed. The policy, however, generated domestic opposition to the Bolsheviks.

29.3.2 The New Economic Policy •

•

Under difficult conditions (food shortages, social protest) Lenin made a crucial strategic retreat.

In March 1921, he outlined the New Economic Policy (NEP). Apart from what he termed “the commanding heights” of banking, heavy industry, transportation, and international commerce, considerable private economic enterprise was allowed.

Peasants could farm for a profit. They would pay taxes like other citizens, but they could sell their surplus grain on the open market.

29.3.3 Stalin versus Trotsky •

• •

The NEP caused sharp disputes within the Politburo, the highest governing committee of the Communist Party. To some members the partial return to capitalism seemed nothing less than a betrayal of sound Marxist principles.

After Lenin’s death, an intense struggle for leadership of the party commenced, during which two factions emerged. One was led by Trotsky; the other by Josef Stalin (1879–1953), who had become general secretary of the party in 1922.

Trotsky, speaking for what became known as the left wing, urged rapid industrialization and looked to voluntary collectivization of farming by poor peasants as a means of increasing agricultural production. Trotsky further argued that the revolution in Russia could succeed only if new revolutions took place elsewhere.

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Stalin’s position was that socialism could be achieved in Russia alone; Russian success did not depend on the fate of the revolution elsewhere. Stalin thus nationalized the previously international scope of the Marxist revolution.

Stalin was the ultimate victor in these intraparty rivalries.

29.3.4 Decision for Rapid Industrialization •

• • • •

•

While the capitalist economies of Western Europe floundered during the Depression, the Soviet Union registered tremendous industrial advances.

Stalin came to a momentous decision: Russia must industrialize rapidly to match the economic and military power of the West. Agriculture must be collectivized to produce sufficient grain for food and export and to free peasant labor for the factories.

The drive to collectivize agriculture came with a high cost. As many as 10 million peasants were killed, and millions of others were sent forcibly to collective farms or labor camps.

Stalin also used the drive to collectivization as a device to eradicate possible centers of antiRussian nationalism within the Soviet Union. His chief area of concern was Ukraine.

The Soviet Union’s industrial achievement between 1928 and World War II was one of the most striking accomplishments of the twentieth century. Russia made a more rapid advance toward economic growth than any other nation in the Western world has ever achieved during any similar period of time.

The organizational vehicle for industrialization was a series of Five-Year Plans first begun in 1928.

29.3.5 The Purges •

• •

Sometime in 1933 Stalin began to fear that he would lose control over the party apparatus and that effective rivals might emerge. These fears resulted in the so-called great purges, which are among the most horrendous, yet mysterious, political events of the twentieth century.

Between 1936 and 1938 spectacular show trials were held in Moscow. Previous high Soviet leaders, including former members of the Politburo, publicly confessed political crimes and were convicted and executed.

Despite the purges, during at least the first fifty years of its existence the Soviet Union managed to capture the imagination of some intellectuals in the West and those in other parts of the globe who hoped for a utopian egalitarian transformation of society. Anti-fascists and anti-colonial leaders were attracted to the Soviet experiment with communism.

29.4 The Fascist Experiment in Italy •

• • •

The first authoritarian political experiment in Western Europe that arose in part from fears of the spread of bolshevism occurred in Italy, Benito Mussolini’s (1883–1945) fascist regime.

Fascist governments were antidemocratic, anti-Marxist, antiparliamentary, and frequently antiSemitic. They hoped to hold back the spread of bolshevism, which seemed a real threat in the years after the Russian Revolution.

The fascist regimes rejected the political inheritance of the French Revolution and of nineteenthcentury liberalism.

Fascist governments were usually single-party dictatorships characterized by terrorism and police surveillance. These dictatorships were rooted in the base of mass political parties.

29.4.1 Rise of Mussolini •

In 1921 Mussolini and thirty-four of his followers were elected to the Chamber of Deputies. Their importance grew as the local Fascists gained more direct power. The Fascist movement now had hundreds of thousands of supporters.

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In October 1922 the Fascists, dressed in their characteristic black shirts, began a march on Rome.

By early 1922 the Fascists controlled local governments in many parts of northern Italy.

29.4.2 The Fascists in Power •

In the election of 1924 the Fascists won a great victory and complete control of the Chamber of Deputies. They used that majority to end legitimate parliamentary life. A series of laws passed in 1925 and 1926 permitted Mussolini, in effect, to rule by decree. In 1926 all other political parties were dissolved, and Italy was transformed into a single-party, dictatorial state.

29.5 German Democracy and Dictatorship 29.5.1 The Weimar Republic •

• • • • • •

Throughout the 1920s the government of the Weimar Republic was required to fulfill the economic and military provisions imposed by the Versailles treaty. It became all too easy for nationalists and military figures whose policies had brought on the tragedy and defeat of the war to blame the young republic and the socialists for the results of the conflict.

Inflation brought on the major crisis of this period. The financing of the war and continued postwar deficit spending generated an immense rise in prices. Consequently, the value of German currency fell.

To the middle class and the lower middle class the inflation was yet one more trauma coming hard on the heels of the military defeat and the peace treaty.

Late in 1923 Adolf Hitler (1889–1945) made his first significant appearance on the German political scene.

Hitler became associated with a small nationalistic, anti-Semitic political party that in 1920 adopted the name of National Socialist German Workers Party, better known simply as the Nazis.

This definition had nothing to do with traditional German socialism. The “socialism” that Hitler and the Nazis had in mind was not state ownership of the means of production but the subordination of all economic enterprise to the welfare of the nation.

The ongoing Nazi demand for revision of the Versailles Treaty appealed to a broad spectrum of economic groups as well as the disaffected war veterans.

29.5.2 Depression and Political Deadlock •

•

In the election of 1928 the Nazis had won only twelve seats in the Reichstag, and the communists had won fifty-four seats. Two years later, after the election of 1930, the Nazis held 107 seats and the communists seventy-seven.

The Nazis gained powerful supporters and sympathizers in the business community, in the military, and among newspaper publishers. Some intellectuals were also sympathetic. The Nazis transformed this discipline and enthusiasm born of economic despair and nationalistic frustration into impressive electoral results.

29.5.3 Hitler Comes to Power •

• •

Hitler came into office by legal means. All the proper forms and procedures had been observed. It permitted the civil service, the courts, and the other agencies of the government to support him in good conscience. He had forged a rigidly disciplined party structure and had mastered the techniques of mass politics and propaganda.

Hitler promised them security against communists and socialists, effective government in place of the petty politics of the other parties, and an uncompromising nationalist vision of a strong, restored Germany.

The Nazis won out over other conservative nationalistic parties because, unlike those

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conservatives, the Nazis did address the problem of social insecurities.

29.5.4 Hitler’s Consolidation of Power •

• •

Once in office, Hitler moved with almost lightning speed to consolidate his control. This process had three facets: the capture of full legal authority, the crushing of alternative political groups, and the purging of rivals within the Nazi Party itself.

On March 23, 1933, the Reichstag passed an Enabling Act that permitted Hitler to rule by decree.

In late June 1933 and early July, the other German political parties were outlawed. By July 14, 1933, the National Socialists were the only legal party in Germany. By the close of 1933 all major institutions of potential opposition had been eliminated.

29.5.5 The Police State and the Persecution of the Jews •

•

•

The police character of the Nazi regime was all-pervasive, but the people who most consistently experienced its terror were the German Jews.

In 1935 the Nuremberg Laws robbed German Jews of their citizenship. All persons with at least one Jewish grandparent were defined as Jews. The professions and the major occupations were closed to Jews. Marriage and sexual intercourse between Jews and non-Jews were prohibited.

Legal exclusion and humiliation of the Jews became the order of the day.

Through this persecution the Nazis inculcated the rest of the population with the concept of a master race of pure German “Aryans” while also displaying their own contempt for civil liberties.

29.5.6 Women in Nazi Germany • •

The Nazis believed in separate social spheres for men and women. Men belonged in the world of action, women in the home, and the two spheres should not mix. Respect for women, the Nazis believed, should arise from their function as wives and mothers.

The Nazi discussion of the role of women was also deeply rooted in Nazi racism. Nazi writers argued that the superiority of the pure German race depended on the purity of the blood of each and every individual. It was the special task of German mothers to preserve racial purity.

29.6. The Great Depression and the New Deal in the United States 29.6.1 Economic Collapse •

•

On October 29, 1929, the New York stock market crashed. The other financial markets also went into a tailspin. During the next year the stock market continued to fall. The banks that had loaned people money with which to speculate in the market suffered great losses and began to fail.

The most pervasive problem of the Great Depression was the spread of unemployment.

Joblessness hit poor unskilled workers most rapidly but then worked its way up the job ladder to touch factory and white-collar workers.

29.6.2 New Role for Government •

• •

During the administration of Franklin Delano Roosevelt (1882–1945), the government closed all the banks and permitted only sound institutions to reopen. Congress convened in a special session and rapidly passed a new banking act. Shortly thereafter, Congress enacted the Agricultural Adjustment Act and the Farm Credit Act to aid the farm sector of the economy.

To provide jobs, Roosevelt’s administration sponsored the Civilian Conservation Corps. The Federal Emergency Relief Act provided funding for state and local relief agencies.

The programs of the New Deal years also involved the federal government directly in economic development rather than leaving such development to private enterprise. For example, through the

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Tennessee Valley Authority (TVA), the government became directly involved in the economy of the four states of the Tennessee River Valley.

Another major new function for the government was providing security for the elderly, through the establishment of the Social Security Administration in 1935.

Documents Stalin Calls for the Liquidation of the Kulaks as a Class •

What were the goals of the collectivization of farms in the Soviet Union? How did the kulaks stand in the way of collectivization? How does Stalin dehumanize the kulaks by discussing them entirely as a class and as part of the capitalistic system?

Hitler Denounces the Versailles Treaty •

How might the French invasion of the Ruhr and the resulting inflation have made this speech particularly effective? To what extent was Hitler’s condemnation of the control the Versailles Treaty imposed on Germany correct? How does Hitler contrast his young Nazi movement with the young Weimar Republic? Why does the one appear a strong and the other a weak supporter of German national goals?

The Nazis Pass Their Racial Legislation •

How would this legislation have affected the normal daily interaction between Jews and non-Jews in Germany? Why are there specific prohibitions against mixed marriages and sexual relations between Jews and non-Jews? How does this legislation separate German Jews from the symbols of German national life?

A Closer Look The Nazi Party Rally 1. How might the holding of rallies serve to give the sense that loyalty to the Nazi Party and the nation overrode all other social and political loyalties?

2. How could the experience of attending Nazi rallies or viewing them through movies or newsreels convey to the German and non-German public throughout Europe a sense of inevitable Nazi success and widespread support?

3. What events or experiences at Nazi rallies might not have been captured in photographs? How could photographs be used to shape the news in the 1930s and later?

Summary Postwar Problems. The Versailles settlement bred political discontent and resentment throughout Europe among both victors and the defeated. In the 1920s there were endless wrangles over reparations between Germany and the Allied powers. After World War I, Europe never recovered its prewar prosperity or stability. The onset of the Great Depression in 1929 297 ..

caused severe problems in both Europe and the United States and led to the Nazi seizure of power in Germany and FDR’s New Deal in the United States.

The Soviet Union. Following the Russian Revolution, the Bolsheviks expected communist revolutions to break out across Europe. When that did not happen, they focused on consolidating their regime within Russia. Lenin’s New Economic Policy gave the state control over heavy industry, transportation, and international commerce but allowed for small-scale private enterprise and peasant farms. Stalin abandoned this policy to push for rapid industrialization. He abolished private enterprise, collectivized agriculture, and eliminated his opponents in a series of purges in which millions were imprisoned or killed. Despite the violence and oppression, Marxist parties around the world were subservient to the Soviet Union as the world’s only communist state and the enemy of fascism.

Fascist Italy. Benito Mussolini came to power in Italy in 1922. Many Italians were dissatisfied with the terms of the Versailles Treaty and frightened by the social unrest that followed World War I. Mussolini promised order and a strong state. Although he achieved power by legal means, he soon transformed Italy into a single-party dictatorship. In 1929 he came to terms with the Catholic Church by negotiating the Lateran Accord, which recognized the pope as the independent ruler of Vatican City.

Nazi Germany. The postwar Weimar Republic in Germany was buffeted by social, political, and financial instability. Many Germans refused to accept Germany’s defeat in World War I or the terms of the Versailles Treaty. Rampant inflation destroyed the savings of the middle class. The Great Depression brought financial collapse and massive unemployment. Many Germans looked to Adolf Hitler and the Nazi Party for solutions. Once Hitler came to power in 1933, he quickly established a one-party dictatorship based on police terror, propaganda, racial anti-Semitism, and the cult of Hitler as supreme leader. The Jews, in particular, were persecuted. Hitler also formed an alliance with the German army and began a program of rapid rearmament.

The United States. The United States emerged from World War I as a world power but retreated into isolation during the 1920s. The prosperity of the 1920s ended in the Great Depression.

Franklin Delano Roosevelt’s New Deal greatly expanded the power of the federal government in social and economic affairs and preserved capitalism in a democratic setting.

Key Terms collectivization, p. 829 fascism, p. 833 Great Depression, p. 824 Kristallnacht, p. 843 Nazis, p. 837 Popular Front, p. 827 SA, p. 837 war communism, p. 828 Works Progress Administration, p. 847

Duce, p. 834 Führer, p. 841 great purges, p. 832 Mein Kampf, p. 837 New Economic Policy (NEP), p. 828 Reichstag, p. 835 SS, p. 842 Weimar Republic, p. 835

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REVEL Writing Exercises Journal Writing 29.3 Stalin Calls for the Liquidation of the kulaks as a Class How and why does Stalin dehumanize the kulaks by discussing them entirely as a class and as part of the capitalistic system?

29.5 Hitler Denounces the Versailles Treaty To what extent was Hitler’s condemnation of the penalties the Versailles Treaty imposed on Germany correct?

Shared Writing Compare the authoritarian regimes in the Soviet Union, Italy, and Germany. What characteristics did they have in common and what role did terror play in each?

Internet Resources Marxists Online: http://www.marxists.org/index.htm, the Marxists Internet Archive, allows you to “Select Author” to learn about Lenin, Trotsky, Stalin, or any of hundreds of other Marxists. Trotsky.Net, at http://www.trotsky.net/ focuses on Lenin’s nemesis.

Nazism: http://www.fordham.edu/halsall/mod/modsbook43.html offers many links to primary sources on Nazism,while http://www.fordham.edu/halsall/mod/modsbook42.html does the same for fascism in Europe.

New Deal: http://newdeal.feri.org/ is a rich resource of archival sources, images, discussions, and other features.

Living New Deal: http://livingnewdeal.berkeley.edu/map/ allows visitors to view sites throughout the state of California that were built or improved thorugh New Deal projects. Most include “then and now” photographs, and some feature oral histories or other supplementary information.

Suggested Maps Prentice Hall Atlas of Western Civilization, Second Edition • Road to War Prentice Hall Atlas of World History, Second Edition • Europe During the Great Depression

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Suggested Films Europe the Mighty Continent: Results of War–Are We Making a Good Peace? Time-Life (52 minutes).

The Jazz Age. McGraw-Hill (50 minutes).

Two Decades of History. Teaching Film Custodians. 22 minutes).

Causes and Immediate Effects of the First World War. International Geographic Pictures (22 minutes).

The Day the Guns Stopped Firing. Films, Inc. (16 minutes).

From Kaiser to Fuhrer. McGraw-Hill (26 minutes).

League of Nations: The Hope of Mankind. Time-Life (52 minutes).

Lenin’s Revolution. Time-Life (20 minutes).

Stalin vs. Trotsky. Films, Inc. (25 minutes).

Benito Mussolini. McGraw-Hill (26 minutes).

Mussolini. Columbia Broadcasting System (27 minutes).

Fascist Revolution. National Educational Television (30 minutes).

The Rise of Hitler. Time-Life (20 minutes).

The Rise of Adolph Hitler. McGraw-Hill (27 minutes).

Hitler: Anatomy of a Dictatorship. Lutheran Church in America (22 minutes).

Stalin’s Revolution. Time-Life (20 minutes).

Nightmare in Red. McGraw-Hill (55 minutes).

The Twisted Cross. McGraw-Hill (55 minutes).

Nazi Germany: Years of Triumph. Films, Inc. (28 minutes).

Rise of Hitler. Films, Inc. (28 minutes).

Turn of the Century. McGraw-Hill (26 minutes).

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Triumph of the Will. Images (55 minutes).

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Chapter 30—World War II Learning Objectives 30.1 Again the Road to War (1933–1939) Discuss the events and conditions leading to World War II. 30.2 Global War and Total War (1939–1945) Summarize the military course of World War II. 30.3 The Domestic Fronts Compare and contrast the experience on the domestic fronts of Germany, France, Great Britain, the United States, and the Soviet Union.

30.4 Preparations for Peace Analyze the agreements reached in the Atlantic Charter and at Tehran, Yalta, and Potsdam.

Introduction • •

In World War II, the democracies were allied with the communist Soviet Union, against militaristic, nationalistic, authoritarian, and totalitarian states in Europe and Asia.

The defeat of the militarists and dictators would not bring the longed-for peace, but rather a Cold War in which the European states became second-class powers, subordinate to the two new great powers, partially or fully non-European: the Soviet Union and the United States.

Global Perspective World War II • • • •

The second great war of the twentieth century (1939–1945) grew out of the unsatisfactory resolution of the first.

The world suffered an even more terrible war than the first as a result of failures of judgment and will on the part of the victorious democratic powers, including a short-sighted policy on the issues of debts and reparation payments from World War I. The Second World War itself was plainly a global war, European colonies or former colonies, such as Australia, the Philippines, other South Pacific islands, and regions of the Middle East and North Africa, became theaters of war.

The use of atomic weapons brought the frightful struggle to a close, but so-called conventional weapons did far greater damage overall, while state-sponsored genocide—the Holocaust inflicted on Jews and the organized slaughter of members of other ethnic groups—killed millions of civilians.

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Focus Questions 1. What was the relationship between World War I and World War II? Why was the isolationism of the United States after World War I such an important factor in the advent of World War II? 2. Why was World War II truly a global war?

3. What lessons did the world learn from the experiences of World War I and World War II?

Key Points 30.1 Again the Road to War (1933–1939) •

•

Throughout the late 1920s Adolf Hitler and the Nazi Party had never ceased denouncing Versailles as the source of all Germany’s trouble.

The Nazi destruction of the Weimar Republic and of political opposition meant that German foreign policy lay solely in Hitler’s hands.

30.1.1 Hitler’s Goals •

• • •

Hitler’s racial theories and related expansionist goals held the central place in his thought. He meant to go far beyond Germany’s 1914 boundaries, which were the limit of the vision of his predecessors.

Hitler intended to bring the entire German people, understood as a racial group (the Volk), together into a single nation. The new Germany would include all the Germanic parts of the old Habsburg Empire, including Austria.

This virile and growing nation would need more space to live (Lebensraum), which would be taken from the Slavs. The plan required the conquest of Poland and Ukraine as the primary areas for the settlement of Germans and for the provision of badly needed food.

The new Germany would be purified by the removal of the Jews, the most inferior race according to Nazi theory.

30.1.2 Destruction of Versailles • • •

In October 1933 Germany withdrew from an international disarmament conference and also from the League of Nations.

In March 1935 Hitler formally renounced the disarmament provisions of the Versailles Treaty; he began the formation of a German air force, and soon he reinstated conscription, which aimed at an army of half a million men.

Britain soon made a separate naval agreement with Hitler, allowing him to rebuild the German fleet to 35 percent of the British navy.

30.1.3 Italy Attacks Ethiopia • •

Using a border incident as an excuse, Mussolini attacked Ethiopia in October 1935.

The League of Nations failed to respond effectively as did the British and French, and Mussolini turned to Germany. By November 1, 1936, he could speak publicly of a Rome–Berlin Axis.

30.1.4 Remilitarization of the Rhineland •

In violation of the Versailles treaty, on March 7, 1936 Hitler sent a small armed force into the demilitarized Rhineland and occupied it.

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The response of Britain and France was the policy of “appeasement.” It was based on the assumption that Germany had real grievances, that Hitler’s goals were limited and ultimately acceptable, and that the correct policy was to negotiate and make concessions before a crisis could lead to war. Behind this approach was general horror of another war.

30.1.5 The Spanish Civil War •

• •

The Spanish Civil War (1936-39) killed hundreds of thousands, and provided a training ground for World War II. Germany and Italy aided Franco with troops and supplies, and the Soviet Union sent equipment and advisers to the Republicans. Liberals and leftists from Europe and America volunteered to fight in the Republican ranks against fascism.

The civil war, was fought on blatantly ideological lines and profoundly affected world politics.

30.1.6 Austria and Czechoslovakia •

Hitler, invaded Austria on March 12, 1938, thereby annexing Austria. This Anschluss, the union of Germany and Austria, had great strategic significance, especially for Czechoslovakia, which contained about 3.5 million ethnic Germans who lived in the Sudetenland near the German border.

30.1.7 Munich •

• • •

The British prime minister, Neville Chamberlain (1869– 1940), was thoroughly committed to the policy of appeasement and was determined not to allow Britain to go to war again.

At the September 29, 1938 conference in Munich. Hitler received almost everything he had demanded. The Sudetenland, the key to Czech security, became part of Germany.

Chamberlain told a cheering crowd that he had brought “peace with honour.”

On March 15, 1939, Hitler broke his promise and occupied Prague, putting an end to Czech independence and to illusions that his only goal was to restore Germans to the Reich.

30.1.8 The Nazi–Soviet Pact •

The Nazi–Soviet pact (1939) sealed Poland’s fate, and the Franco-British commitment guaranteed a general war. On September 1, 1939, the Germans invaded Poland. Two days later Britain and France declared war on Germany. World War II had begun.

30.2 Global War and Total War (1939–1945) 30.2.1 German Conquest of Europe •

•

In April, 1940 without warning and with swift success, the Germans invaded Denmark and Norway. Hitler now had both air and naval bases closer to Britain. A month later a combined land and air attack struck Belgium, the Netherlands, and Luxembourg.

Hitler then invaded France. The terms of the armistice, signed on June 22, 1940, allowed the Germans to occupy more than half of France, including the Atlantic and English Channel coasts.

30.2.2 Battle of Britain •

The Royal Air Force (RAF), aided by the newly developed radar and an excellent system of communications, inflicted heavy losses on the German air force (Luftwaffe.) Hitler lost the Battle of Britain in the air and was forced to abandon his plans for invasion.

30.2.3 German Attack on Russia 304 ..

• •

•

Operation Barbarossa, the code name for the invasion of Russia, was aimed at knocking Russia out of the war before winter set in.

Operation Barbarossa was launched against Russia on June 22, 1941, and it almost succeeded.

Stalin panicked: He had not fortified his frontier or ordered his troops to withdraw when attacked.

Two thousand Soviet planes were destroyed on the ground. By November Hitler had advanced farther into Russia than Napoleon had.

In November and December the Russians counterattacked. The war had turned into one of attrition.

30.2.4 Hitler’s Europe •

•

To give Lebensraum to the Germans at the expense of people he deemed inferior, Hitler planned to establish colonies of Germans in Poland, driving the local people from their land and using them as cheap labor. The Russians would be driven to Central Asia and Siberia, where they would be kept in check by frontier colonies of German war veterans. Germans would settle the more desirable lands of European Russia.

Hitler regarded the conquered lands merely as a source of plunder. From Eastern Europe he removed everything useful, including entire industries. In Russia and Poland the Germans simply confiscated the land.

30.2.5 Racism and the Holocaust •

• •

The most horrible aspect of Nazi rule in Europe arose from the inhumanity and brutality inherent in Hitler’s racial doctrines.

Hitler had special plans for the Jews. He meant to make all Europe Judenrein (“free of Jews”).

For a time he thought of sending them to Madagascar but later decided on the “Final Solution of the Jewish problem”: extermination.

The Nazis built extermination camps in Germany and Poland and developed technology to facilitate the mass killing of millions of men, women, and children, just because they were Jews.

Before the war was over, 6 million Jews had died in what has come to be called the Holocaust.

30.2.6 The Road to Pearl Harbor • •

The war took on truly global proportions in December 1941 with Japan’s attack on Pearl Harbor.

Japan’s war with China, then alliance with Germany and finally rising tensions with the United States over Japan’s actions in Asia, including the occupation of French Indochina, had persuaded the Japanese high command to decide to undertake a preemptive strike against American forces.

30.2.7 America’s Entry into the War •

On Sunday morning, December 7, 1941, even while Japanese representatives were discussing a settlement in Washington, Japan launched an air attack on Pearl Harbor, Hawaii, the chief American naval base in the Pacific. The next day, the United States and Britain declared war on Japan.

30.2.8 The Tide Turns •

• •

The tide turned at the battle of Midway in June 1942. At Midway, American planes destroyed four Japanese aircraft carriers. Soon American Marines landed on Guadalcanal in the Solomon Islands and began to reverse the momentum of the war.

In November 1942, an Allied force landed in French North Africa. The German army was trapped in Tunisia and crushed. The Mediterranean was now under Allied control, and southern Europe was exposed. In July and August 1943 the Allies took Sicily.

In the Soviet Union, the Battle of Stalingrad raged for months. Because Hitler overruled his

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generals and would not allow a retreat, an entire German army, some 740,000 men, was lost.

Stalingrad marked the turning point of the Russian campaign.

Massive American and British aerial bombardments devastated Germany.

30.2.9 Defeat of Nazi Germany • •

On June 6, 1944 (D-Day), in one of the greatest amphibious assaults ever attempted, Allied troops landed in force on the coast of Normandy. By the beginning of September France had been liberated.

In the East, the Russians were within reach of Berlin by March 1945. Because the Allies insisted on unconditional surrender, the Germans fought on until May. Hitler com- mitted suicide in an underground hideaway in Berlin on May 1, 1945.

30.2.10 Fall of the Japanese Empire •

• •

Beginning in 1943 American forces began a campaign of “island hopping,” selecting major bases and places strategically located along the enemy supply line. American bombers launched a terrible wave of bombings that destroyed Japanese industry and disabled the Japanese navy.

On August 6, 1945, an American plane dropped an atomic bomb on the city of Hiroshima. More than 70,000 of Hiroshima’s 200,000 residents were killed. The next day a second atomic bomb fell, this time on Nagasaki.

Japan surrendered and a peace agreement was formally signed on September 2, 1945.

30.2.11 The Cost of War •

World War II was the most terrible war in history. Military deaths are estimated at 15 million, and at least as many civilians were killed. If deaths linked indirectly to the war are included, as many as 40 million may have died.

30.3 Domestic Fronts •

World War II represented an effort of total war by all the belligerents. Never before in world history had so many men and women and so many resources been devoted to military effort.

30.3.1 Germany: From Apparent Victory to Defeat • • • •

Beginning in 1942 everyday products became scarce. Prices and wages were controlled, but the German worker’s standard of living fell. Burdensome food rationing began in April 1942, and shortages were severe until the Nazi government seized food from occupied Europe.

By 1943 there were also serious labor shortages. The Nazis required German teenagers and retired workers to work in the factories, and increasing numbers of women joined them. The Nazis also forced thousands of people from conquered lands to labor in Germany.

The war years also saw an intensification of political propaganda on the domestic front beyond what occurred in other countries.

World War II brought increased power to the Nazi Party in Germany. Every area of the economy and society came under the direct influence or control of the party.

30.3.2 France: Defeat, Collaboration, and Resistance.

•

•

The Vichy regime embraced an intense, chauvinistic nationalism. It encouraged the long-standing prejudice against foreigners working in France and it persecuted those who were not regarded as genuinely and thoroughly French .

The chief victims were French Jews. Anti-Semitism was not new in France. Even before Germany undertook Hitler’s “Final Solution” in 1942, the French had begun to remove Jews from government, education, and publishing.

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• •

As long as it appeared that the Germans would win the war, moreover, resistance seemed imprudent and futile. In all, less than 5 percent of the adult French population appear to have been involved in the Resistance.

Hostility and bitter quarrels over who had done what during the occupation and the Vichy period would divide France for decades.

30.3.3 Great Britain: Organization for Victory • • •

On May 22, 1940, the British Parliament gave the government emergency powers. The government could now institute compulsory military service, food rationing, and various controls over the economy.

The “blitz”—the bombing of British targets by the German Luftwaffe in the winter and spring of 1940–1941—was the most immediate and dramatic experience of the war for the British people.

The British established their own propaganda machine to influence the Continent. The British Broadcasting Company (BBC) sent programs to every country in Europe in the local language to encourage resistance against the Nazis.

30.3.4 The United States: American Women and African Americans in the War Effort • •

The demand for labor, especially in the defense industries, was filled by millions of women leaving the home to enter the labor force, some of them taking jobs in defense plants doing work usually done only by men, symbolized by the symbol “Rose the Riveter.”

African Americans also entered the industrial labor force in large numbers.

30.3.5 The Soviet Union: “The Great Patriotic War” • • • •

No nation suffered greater loss of life or more extensive physical destruction during World War II than the Soviet Union. Perhaps as many as 16 million people were killed.

Stalin conducted the war as virtual chief of the armed forces, and the State Committee for Defense provided strong central coordination.

Soviet propaganda emphasized Russian patriotism, not Marxist class conflict. The struggle was called “The Great Patriotic War.” As the Soviet armies reclaimed the occupied areas and then moved across Eastern and Central Europe, the Soviet Union established itself as a world power second only to the United States.

30.4 Preparations for Peace • • •

The Soviet Union was openly dedicated to the overthrow of the capitalist nations, although this message was muted during the war.

On the other side, the Western allies were no less open about their hostility to communism and its chief purveyor, the Soviet Union.

Differences in historical development and ideology, as well as traditional conflicts over political power and influence, soon dashed hopes of a mutually satisfactory peace settlement and continued cooperation to uphold it.

30.4.1 The Atlantic Charter •

In August 1941, even before America entered the war, Roosevelt and Churchill had met off Newfoundland and agreed to the Atlantic Charter.

30.4.2 Tehran •

•

The first meeting of the Roosevelt, Churchill, and Stalin leaders took place at Tehran, the capital of Iran, in 1943.

The most important decision was for the Western Allies to attack Germany from Europe’s west

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• •

coast instead of from southern Europe by way of the Mediterranean.

The three powers easily agreed on Germany’s disarmament and denazification and on its division into four zones of occupation by France and the Big Three (the USSR, Britain, and the United States).

The settlement of Eastern Europe remained a problem. Everyone agreed that the Soviet Union deserved to have friendly neighboring governments, but the West insisted that they also be independent, autonomous, and democratic.

30.4.3 Yalta • •

The next meeting of the Big Three was at Yalta, in the Crimea, in February 1945.

Roosevelt, faced with the prospect of an invasion of Japan and heavy losses, was eager to bring the Russians into the Pacific war as soon as possible, granted extensive concessions to Russia in Asia.

30.4.4 Potsdam •

• •

The Big Three met for the last time in the Berlin suburb of Potsdam in July 1945. Much had changed since the last conference. Germany was defeated, and news of the successful test of an atomic weapon reached the American president during the meetings.

The cast of characters was also different: President Truman had replaced Roosevelt, and Clement Attlee (1883–1967), leader of the Labour Party, replaced Churchill during the conference.

Russia’s western frontier was moved far into what had been Poland and included part of German East Prussia.

Documents Winston Churchill Warns of the Effects of the Munich Agreement •

What was decided at Munich? Why were the representatives of Czechoslovakia not at the meeting? Why did Chamberlain think the meeting was successful? Munich was the high point of the policy of appeasement: How would its advocates defend this policy? Churchill was a leading opponent of appeasement: What are his objections to it?

Mass Murder at Belsen •

What were the reasons for Hitler’s policy of exterminating millions of people? Why did many Germans take part in the process? Why did Colonel Gerstein not resist?

A Closer Look Rosie the Riveter 1. Why was it necessary to bring great numbers of women into industrial jobs?

2. What is the significance of Rosie’s footrest?

3. Based on what you have read about the years prior to U. S. involvement in World War II, how much of a departure is this image from the “traditional” picture of the role of women at the time?

Was this the precursor to a new direction for women in U.S. society or did things return to the 308 ..

way they had been once the war ended?

Summary The Coming of War. The second great war of the twentieth century (1939–1945) grew out of the unsatisfactory resolution of the first. In retrospect, the two wars appear to some people to be one continuous conflict, with the two main periods of fighting separated by an uneasy truce. To others, that point of view distorts the situation by implying that the second war was the inevitable result of the first and its inadequate peace treaties.

The latter opinion seems more sound. Whatever the flaws of the treaties of Paris, the world suffered an even more terrible war than the first as a result of failures of judgment and will on the part of the victorious democratic powers. The United States, which had become the wealthiest and potentially the strongest nation in the world, disarmed almost entirely and withdrew into foolish isolation; it could play no important part in restraining the ambitious dictators who would bring on the war. Britain and France refused to face the threat posed by the Axis powers until the deadliest war in history was required to put it down. If the victorious democracies had remained strong, responsible, and realistic, they could have remedied whatever injustices or mistakes arose from the treaties without endangering the peace.

World War II. The Second World War itself was plainly a world war. The Japanese occupation of Manchuria in 1931 was a precursor. Other precursors were Italy’s attack on Ethiopia in 1935; the intervention of Italy, Germany, and the Soviet Union in the Spanish Civil War (1936–1939); and Japan’s attack on China in 1937. These developments revealed that aggressive forces were on the march around the globe and that the defenders of the world order lacked the will to stop them. The formation of the Axis among Germany, Italy, and Japan guaranteed that the war would be fought around the world. Fighting and suffering took place in Asia, Africa, the islands of the Pacific, and Europe. The use of atomic weapons brought the struggle to a close, but conventional weapons did almost all the damage. The survival of civilization was threatened even without the use of nuclear devices.

This war was ended not with unsatisfactory peace treaties but with no treaty at all in the European area where it had begun. The world quickly split into two unfriendly camps: the Western led by the United States and the Eastern led by the Soviet Union. This division hastened the liberation of former colonial territories

Key Terms Anschluss, p. 854 Axis, p. 853 Holocaust, p. 861 Luftwaffe, p. 858

appeasement, p. 853 blitzkrieg, p. 857 Lebensraum, p. 851

REVEL Writing Exercises 309 ..

Journal Writing 30.1 Winston Churchill Warns of the Effects of the Munich Agreement How would supporters of appeasement try to defend the policy? What objections did the opponents of appeasement, including Churchill, have against it?

30.2 Mass Murder at Belsen What were the reasons for Hitler’s policy of exterminating millions of people? Why did so many Germans take part and not resist?

Shared Writing Some historians have looked at the twentieth century and have seen a period of great destruction as well as of great progress. Was the twentieth century truly a “century of Holocaust”? Discuss the ramifications of these questions.

Internet Resources World War II Documents: http://avalon.law.yale.edu/subject_menus/wwii.asp contains links to many significant primary sources.

World War II Military Maps: http://memory.loc.gov/ammem/collections/maps/wwii/index.html offers a selection of military situation maps.

World War II Oral Histories: http://www.eyewitnesstohistory.com/w2frm.htm provides texts of interviews with participants in a great variety of events during World War II. The Perilous Fight: http://www.pbs.org/perilousfight/ accompanies a PBS series and includes photographs, film footage, podcasts, and many other materials on many aspects of the war, including the home front.

Africa and Africans in World War II: http://www.bbc.co.uk/worldservice/africa/features/storyofafrica/13chapter11.shtml addresses the impact of World War II on African history.

The Imperial War Museum: http://www.iwm.org.uk/ offers a variety of high quality resources relating to both military and social history.

Holocaust: http://www.ushmm.org/wlc/en/article.php?ModuleId=10005143 The United States Holocaust Memorial Museum offers an impressive array of essays, images, and links.

Suggested Maps Prentice Hall Atlas of Western Civilizaton, Second Edition • Blitzkrieg in Europe

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Prentice Hall Atlas of World History, Second Edition • World War II

Suggested Films Chamberlain vs. Hitler. Films, Inc. (25 minutes).

Hitler–A Profile in Power. Learning Corporation of America (26 minutes).

Adolf Hitler, Part II: The Fall of the Third Reich. McGraw-Hill (27 minutes).

Gotterdammerung: Fall of the Third Reich. Films, Inc. (30 minutes).

In Search of Nazi Plunder. Pyramid Films (24 minutes).

The Spanish Civil War. Films, Inc. (26 minutes).

Rise of the Dictators: Form, Rifleman, Form. Time-Life (52 minutes).

Total War. Learning Corporation of America (25 minutes).

Victory at Sea. Encyclopaedia Britannica (84 minutes).

Nuremburg Trials. Films, Inc. (31 minutes).

Failure of American Neutrality: 1933–1939. Encyclopaedia Britannica (17 minutes).

The Spanish Turmoil. Time-Life (64 minutes).

Battle of Britain. Films, Inc. (51 minutes).

Memorandum. Deals with concentration camps. McGraw-Hill (58 minutes).

Minister of Hate. McGraw-Hill (27 minutes).

Night and Fog. Deals with concentration camps. McGraw-Hill (31 minutes).

The Remnant. Deals with concentration camps. Films, Inc. (60 minutes).

Trial at Nuremberg. Columbia Broadcasting System (28 minutes).

The Decision to Drop the Bomb. Films, Inc. (35 minutes).

Tale of Two Cities (Hiroshima and Nagasaki). U.S. War Department (28 minutes).

War and Peace in Europe: Hitler’s War. Time-Life (20 minutes).

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War and Peace in Europe: The New Europe. Time-Life (20 minutes).

World at War: 1–26. Thames Television (51 minutes).

Uniting of Nations. Time-Life (20 minutes).

The Spanish Civil War: Parts 1 & 2. History Film (61 minutes).

Aftermath of World War II. McGraw-Hill (25 minutes).

A Midnight Clear. Out of the myriad of documentaries and movies about the Second World War this film stands out because of its portrayal of humanity amid inhumanity. Sony Pictures (108 minutes).

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Chapter 31—The West since World War II Learning Objectives 31.1 The Cold War Era Discuss the major events in the Cold War from the end of World War II until the dissolution of the Soviet Union.

31.2 Toward Western European Unification Trace the steps toward European unification from 1950 to the present.

31.3 European Society in the Second Half of the Twentieth Century and Beyond Discuss the European welfare state, migration into and out of Europe, the Muslim population of Europe, and the position of European women from the end of World War II until the present.

31.4 The American Domestic Scene since World War II Trace the course of U.S. social and political history since World War II. 31.5 The Soviet Union to 1989 Discuss the major political events in the Soviet Union and Poland from the Khrushchev years to the election of Gorbachev as Soviet president.

31.6 1989: Year of Revolutions in Eastern Europe Summarize the revolutionary events of 1989 in Poland, Hungary, East Germany, Czechoslovakia, and Romania.

31.7 The Collapse of the Soviet Union Trace the events leading to the dissolution of the Soviet Union.

31.8 The Collapse of Yugoslavia and Civil War Describe the breakup of Yugoslavia and the ensuing conflicts in that region.

31.9 Challenges to the Atlantic Alliance Summarize the security, environmental, economic, and foreign policy challenges facing the nations of the Atlantic alliance.

Introduction • •

In the more than half a century since the conclusion of World War II, Europe’s influence on the world scene has been transformed. The destruction and financial strains of the war left Europe exhausted and incapable of exercising the kind of power it had formerly exerted Almost immediately after the war, the Cold War developed between the United States and the Soviet Union. Europe along with other parts of the world became a divided and contested

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• • • •

territory, with America dominant in Western Europe and the Soviets dominant in Eastern Europe Within both the world context and the more narrow Western context, the greatest change that took place after 1945 was the emergence of the United States as a fully active great power From the late 1970s onward there were political stirrings and economic stagnation in Eastern Europe and the Soviet Union. These stirrings culminated in 1989 with revolutions throughout Eastern Europe and in 1991 with the collapse of communist government in the Soviet Union itself The attacks of September 11, 2001, on the United States and the international events flowing from them have challenged the post–World War II Western alliance The world financial crisis that began in 2008 has brought serious challenges to Western economic life

Global Perspective The West since 1945 • • • • •

Immediately after 1945 the nations of the West entered the Cold War. That ideological, economic, and military rivalry between the United States and the Soviet Union dominated political struggles throughout the world for almost half a century.

The Cold War forced nations outside of Europe, in Asia, Africa, and Latin America, to side with one or the other of the superpowers. A neutral stance in this conflict became extremely difficult for any nation to sustain.

In the later 1980s, however, the Cold War unexpectedly ended, the United States has emerged from the Cold War as the single remaining superpower.

Western Europe has achieved a new level of economic and political unity under the auspices of the European Union, although its peoples and governments are hesitant to press the process too far too rapidly.

Another important factor in the history of both the United States and Europe since World War II has been the rising immigration from the rest of the world.

Focus Questions 1. What was the Cold War, and why can we rightly call it a world war?

2. How has the relationship between the United States and Europe changed since World War II? How might it develop in the future?

3. What immediate and long-term factors accounted for the collapse of the Soviet Union?

4. How has immigration changed the face of Europe since 1945? What is the religious dimension of that immigration?

Key Points 31.1 The Cold War Era

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31.1.1 Areas of Early Cold War Conflict •

• • • • •

The tense relationship between the United States and the Soviet Union that dominated world history during the second half of the twentieth century originated in the closing months of World War II. The attempt to deal cooperatively with the problem of atomic energy was an early victim of the Cold War. In what became known as the Truman Doctrine, the American president advocated a policy of supporting “free people who are resisting attempted subjugation by armed minorities or by outside pressures,” by implication anywhere in the world.

For Western Europe, where the menacing growth of communist parties was fueled by postwar poverty and hunger, the Americans devised the European Recovery Program, named the Marshall Plan.

Stalin replaced all multiparty governments in Eastern Europe with thoroughly communist regimes completely under his control.

Soviet and U.S. relations were especially tense on the issue of Germany in the postwar order.

31.1.2 NATO and the Warsaw Pact •

• •

In 1949, the United States along with allies in Europe formed the North Atlantic Treaty Organization (NATO). NATO committed its members to mutual assistance in case any of them was attacked.

US policies assumed that the Soviet Union by its fundamental political character sought to be an expansionist power the extension of which must be resisted or contained.

The Warsaw Pact of May 1955 served as the Soviet Union’s counterpart to NATO.

31.1.3 Crisis of 1956 •

• •

The Suez intervention proved that without the support of the United States the nations of Western Europe could no longer undertake meaningful military operations to impose their will on the rest of the world.

Soviet actions in Poland and Hungary likewise proved the limitations on independent action on the part of the Eastern European countries.

The events of 1956 ended the era of fully autonomous action by the European nation-states.

31.1.4 The Cold War Intensified • • •

After 1956 the Soviet Union began to talk about “peaceful coexistence” with the United States. In 1958 negotiations began between the two countries for limitations on the testing of nuclear weapons.

By 1960 the communist world itself had become split between the Soviets and the Chinese. The Chinese accused the Russians of lacking revolutionary zeal.

The Berlin Wall and Cuban Missile Crisis were high points in Cold War tensions.

31.1.5 Détente and Afterward • • •

In 1963 the two powers concluded the Nuclear Test Ban Treaty. This agreement marked the start of a lessening in the sharp tensions between the United States and the Soviet Union that had commenced just after the end of World War II. During the presidency of Richard Nixon (1913–1994) the United States embarked on a policy of détente, or reduction of tension, with the Soviet Union. This policy involved trade agreements and mutual reduction of strategic armaments.

The administration of President Ronald Reagan (1911–2004) initially slowed arms limitation

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negotiations and successfully deployed a major new missile system in Europe.

In December 1987, the United States and the Soviet Union agreed to dismantle over 2,000 medium- and shorter-range missiles. This action represented the most significant agreement since World War II between the two superpowers.

Thereafter, the political upheavals in Eastern Europe and the Soviet Union overwhelmed the issues of the Cold War. The Soviet Union abandoned its support for communist governments in Eastern Europe. By the close of 1991 the Soviet Union itself had collapsed.

31.2 Toward Western European Unification •

• •

•

• •

Since 1945, the nations of Western Europe have taken unprecedented steps toward economic cooperation.

In 1950 France, West Germany, Italy, and the “Benelux” countries (Belgium, the Netherlands, and Luxembourg) organized the European Coal and Steel Community.

In 1957, through the Treaty of Rome, the six members of the Coal and Steel Community agreed to form a new organization: the European Economic Community. The members of the Common Market, as the EEC soon came to be called, sought to achieve the eventual elimination of tariffs, a free flow of capital and labor, and similar wage and social benefits in all the participating countries.

In 1991 the leaders of the EEC signed the Treaty of Maastricht, which made a series of specific institutional proposals that would lead to a unified currency and a strong central bank. When the treaty finally went into effect in November 1993, the EEC was renamed the European Union (EU), the name it continues to carry.

In 2007 the heads of state of the EU signed the Lisbon Treaty. The purpose of this agreement was to create new institutions within the union that would allow it to function more nearly as a unitary body on the world scene.

The Roman Catholic Church has vigorously asserted the role of Christianity in the formation of European identity and has urged the recognition of religious freedom as a human right.

31.3 European Society in the Second Half of the Twentieth Century and Beyond 31.3.1 Toward a Welfare State Society •

• •

European governments began to spend more on social welfare than they did on the military. This reallocation of funds was a reaction to the state violence of the first half of the century and was possible because the NATO defense umbrella, which the United States primarily staffed and funded, protected Western Europe.

After World War II, the concept emerged that social insurance against predictable risks was a social right and should be available to all citizens.

The spread of welfare legislation (including unemployment insurance) within Western Europe was related to both the Cold War and domestic political and economic policy.

31.3.2 Resistance to the Expansion of the Welfare State •

•

The government-furnished welfare services now found across continental Europe began to encounter new challenges. The funding on which they are based assumed a growing population and low unemployment. The leveling-off of population growth in Europe imperiled the benefits of the welfare state.

Governments across the Continent, including those normally associated with left-of-center politics, such as the British Labour Party and the German Social Democratic Party, have limited further growth of the welfare state.

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31.3.3 The Movements of People •

• • •

In the decade and a half after 1945 approximately half a million Europeans each year settled elsewhere in the world. This was the largest outward migration since the 1920s.

World War II and its aftermath also created a vast refugee problem within Europe itself, with large-scale migrations of Europeans from one region to another.

Decolonization in the postwar period contributed to an inward flow of European colonials from overseas. Decolonization also provoked a migration of non-European inhabitants of the former colonies to Europe. This influx caused social tension and conflict.

As a result of this external migration into Europe, large Islamic populations now exist in several European nations and have become political factors in France and Germany.

31.3.4 The New Muslim Population • • • • •

The immigration of Muslims into Europe and particularly Western Europe arose from two chief sources: European economic growth and decolonization.

After World War II, a labor shortage developed in Europe. To fill this demand, Western Europe imported laborers, many of who came from Muslim nations. For example, Turkish “guest workers” were invited to move to West Germany.

The various Muslim communities have generally remained unassimilated and self-contained. This apartness has provided internal community support for Muslim immigrants but prevented them from fully engaging with the societies in which they live.

European Muslims have become the target of politicians who seek to blame the immigrants for a host of problems, from crime to unemployment.

The radicalization of parts of the Islamic world has also touched the Muslim communities in Europe.

31.3.5 New Patterns in the Work and Expectations of Women •

•

• •

Gender inequality remained a major characteristic of the social life of Europe at the opening of the twenty-first century as reflected in divorce and family law. On the other hand, women have entered the learned professions and are filling more major managerial positions than ever before in European history.

The number of married women in the workforce has risen sharply. Both middle-class and working-class married women have sought jobs outside the home. Consumer conveniences (such as domestic appliances) and improvements in health care also made it easier for married women to enter the workforce by reducing the demands of childcare on their time.

Within Europe the age at which women have decided to bear children has risen.

Both men and women continue to expect to marry, but the new careers open to women and the desire of couples to maintain as high a standard of living as possible have contributed to a declining birthrate.

31.4 The American Domestic Scene since World War II •

Three major themes have characterized the postwar American experience: an opposition to the spread of communism, an expansion of civil rights to African Americans and other minorities at home, and a determination to achieve ongoing economic growth.

31.4.1 Truman and Eisenhower Administrations •

•

Domestically, the Truman administration pursued what may be regarded as a continuation of the New Deal. However, Truman encountered considerable opposition from conservative Republicans.

Senator Joseph McCarthy (1909–1957) of Wisconsin led the campaign against the perceived

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communist danger within the ranks of American citizens and government agencies.

During the Eisenhower presidency, the country was generally prosperous. Home-building increased dramatically, and the vast interstate highway system was initiated. Eisenhower was less activist than either Roosevelt or Truman had been.

Anticommunism was a major influence in domestic politics under both Truman and Eisenhower.

31.4.2 Civil Rights • • • •

In 1954 the United States Supreme Court, in the decision of Brown v. Board of Education of Topeka, declared unconstitutional the segregation of African American and white children in public schools. Shortly thereafter the Court ordered the desegregation of schools.

While the battle raged over the schools, African Americans began to protest segregation in other areas. In 1955 the Reverend Martin Luther King, Jr. (1929–1968) organized a boycott in Montgomery, Alabama, against segregated buses.

The Montgomery bus boycott marked the beginning of the use of civil disobedience to fight racial discrimination in the United States.

The greatest achievements of the movement were the Civil Rights Act of 1964, which desegregated public accommodations, and the Voting Rights Act of 1965, which cleared the way for African Americans to vote.

31.4.3 New Social Programs •

Lyndon Johnson set forth a bold domestic program known as the War on Poverty, which established major federal programs to create jobs and provide job training. Furthermore, new entitlements were added to the Social Security program, including Medicare, which provides medical ser- vices for the elderly and disabled.

31.4.4 The Vietnam War and Domestic Turmoil •

• •

Johnson’s activist domestic vision quickly was overshadowed by the U.S. involvement in Vietnam. By 1965 Johnson had decided to send tens of thousands of Americans to Vietnam. This policy led to the longest of American wars to that point in U.S. history.

At home, the war and particularly the draft provoked vast public protests. Most young American men who were drafted went into the armed forces, but significant numbers, especially college and university students, resisted.

The national unrest led Lyndon Johnson to decide not to seek reelection in 1968. Richard Nixon led the Republicans to victory. His election marked the beginning of an era of American politics dominated by conservative policies.

31.4.5 The Watergate Scandal •

The Watergate scandal further shook public confidence in the government. It also served as a distraction from the major problems facing the country, especially inflation, which had resulted from fighting the war in Vietnam while expanding federal domestic expenditures.

31.4.6 The Triumph of Political Conservatism •

•

In 1980 Ronald Reagan was elected president by a large majority and reelected four years later.

Reagan, the first president with a fully conservative ideology to be elected in the postwar era, sought to reduce the role of the federal government in American life.

In 1994, in one of the most far-reaching changes in recent American politics, the Republican Party won majorities in both houses of Congress. The new Republican-controlled Congress undertook major changes in the funding of welfare, taxation, and government regulation. This Congress continued the conservative redirection of federal policy that had begun with the election

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•

of Ronald Reagan.

On September 11, 2001, a surprise terrorist attack on New York City and Washington, D.C., transformed the political life of the United States, leading to wars in Afghanistan and Iraq.

31.5 The Soviet Union to 1989 31.5.1 The Khrushchev Years •

• • •

In 1956, at the Twentieth Congress of the Communist Party, Khrushchev made a secret speech (later published outside the Soviet Union) in which he denounced Stalin and his crimes against socialist justice during the purges of the 1930s.

In economic policy Khrushchev made moderate efforts to decentralize economic planning and execution.

The ever-growing defense budget and the space program that successfully launched the first human-engineered Earth satellite, Sputnik, in 1957 made major demands on the nation’s productive resources.

By 1964 high Communist Party leaders and many people lower in the party had concluded that Khrushchev had tried to do too much too soon and had done it poorly and he was forced to resign.

31.5.2 The Brezhnev Years • • •

Domestically the Soviet government became markedly more repressive after 1964.

Growing Soviet spending on defense, and particularly on naval expansion, put ongoing pressures on the consumer side of the economy.

In December 1979 the Soviet Union invaded Afghanistan. The Soviet government clearly lost internal support as its army became bogged down and suffered steady losses.

31.5.3 Communism and Solidarity in Poland • •

In the summer of 1981, for the first time in any European communist state, secret elections for the Polish party congress permitted real choices among the candidates. Poland remained a nation governed by a single party, but real debate was temporarily permitted within the party congress.

In December 1981 martial law was declared. The government arrested several Solidarity leaders.

Martial law would continue until the late 1980s.

31.5.4 Gorbachev Attempts to Redirect the Soviet Union •

• •

In 1985 Mikhail S. Gorbachev (b. 1931) came to power. In what proved to be the last great attempt to reform the Soviet system and eliminate its repressive Stalinist heritage, Gorbachev immediately set about making the most remarkable changes that the Soviet Union had witnessed since the 1920s.

Under the policy of perestroika (“restructuring”), Gorbachev proposed major economic and political reforms. The centralized economic ministries were reduced in size. A larger role was allowed for private enterprise on the local level.

Gorbachev also allowed, within the Soviet context, an extraordinarily broad public discussion and criticism of Soviet history and Soviet Communist Party policy. This development was termed glasnost (“openness”).

31.6 1989: Year of Revolution in Eastern Europe •

In 1989 Soviet domination and communist rule in Eastern Europe came to an abrupt end. For the first time since the end of World War II the peoples of Eastern Europe could shape their own political destiny.

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31.6.1 Solidarity Reemerges in Poland •

•

During the mid-1980s, Poland’s government relaxed martial law. By 1984 several leaders of Solidarity had been released from prison and began again to work for free-trade unions and democratic government.

On August 24, 1989, after negotiating with Lech Walesa, leader of the Solidarity movement, Tadeusz Mazowiecki (1927–2013) was named the first noncommunist prime minister of Poland since 1945.

31.6.2 Hungary Moves toward Independence •

•

In early 1989, as events unfolded in Poland, the Hungarian communist government began to take independent actions. In January its parliament permitted independent political parties.

By 1990 a coalition of democratic parties controlled the parliament and governed the country.

31.6.3 The Breach of the Berlin Wall and German Reunification •

•

•

In the autumn of 1989 popular demonstrations erupted in many East German cities with people demanding democracy and an end to Communist Party rule In November 1989, in one of the most emotional moments in European history since 1945, the government of East Germany ordered the opening of the Berlin Wall. Tens of thousands of East Berliners crossed into West Berlin to celebrate, to visit families, and to shop with money provided by the West German government.

By early 1990 the communist government of East Germany, after failing to reorganize itself, had been swept away in free elections.

31.6.4 The Velvet Revolution in Czechoslovakia • •

Late in 1989, in the “velvet revolution,” communist rule in Czechoslovakia quickly unraveled.

The popular new Czech leader who led the forces against the party was Václav Havel (1936– 2011), a playwright and philosopher of international standing whom the government had frequently imprisoned. Havel and the group he represented, which called itself the Civic Forum, negotiated changes with the government. These included an end to the political dominance of the Communist Party.

31.6.5 Violent Revolution in Romania •

• •

The most violent upheaval of 1989 occurred in Romania, where President Nicolae Ceausescu (1918–1989) had governed without opposition for almost a quarter century.

A revolution against the regime became increasingly violent, culminating in Ceausescu and his wife’s attempt to flee the country who were captured, tried, and executed by firing squad.

Ceausescu’s death ended the shooting between the army and security forces. The provisional government in Bucharest announced that the first free elections since the end of World War II would take place in the spring of 1990.

31.7 Collapse of the Soviet Union 31.7.1 Renunciation of Communist Political Monopoly •

•

In early 1990 Gorbachev formally proposed to the Central Committee of the Soviet Communist Party that the party abandon its monopoly of power.

After intense debate the committee adopted his proposal, abandoning the Leninist position that only a single elite party could act as the vanguard of the revolution and forge a new Soviet society.

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•

Opposition from both conservative hardliners and liberal reformers as well as intense regional unrest, with satellite states attempting to assert their independence, weakened Gorbachev’s position.

31.7.2 The August 1991 Coup •

• •

The turning point in all of these events came in August 1991 when the conservative forces that Gorbachev had brought into the government attempted a coup. Armed forces occupied Moscow, and Gorbachev himself was placed under house arrest.

In the months immediately after the coup the Communist Party, compromised by its participation in the coup, totally collapsed.

On December 25, 1991, the Soviet Union ceased to exist, Gorbachev left office, and the Commonwealth of Independent States came into being.

31.7.3 The Yeltsin Years •

•

As president of Russia, Boris Yeltsin faced challenges from hardline communists, rightwing nationalists, and regional separatist movements such as in Chechnya.

The economic life of the nation remained stagnant at best. In 1998 Russia defaulted on its debt payments.

31.7.4 The Putin Years •

• •

•

Vladimir Putin, elected president in 2001, renewed the war against the rebels in Chechnya, which not only resulted in heavy casualties and enormous destruction there, but also strengthened Putin’s political support in Russia itself.

Putin sought to diminish local autonomy and centralize power in his own hands. Putin also imprisoned political critics and opponents as well as moved against independent newspapers and television stations.

In 2008 Putin left the elected presidency at the end of his second four-year term, turning the office over to his own handpicked successor, Dmitri Medvedev (b. 1965). At the same time, however, Putin assumed the office of prime minister and clearly remained the chief political figure in the country.

Putin has also been sharply critical of the ongoing expansion of NATO, which has embraced nations directly bordering the Russian Federation. His government has continued to attempt to exert influence in some of the new nations, such as the former Soviet republics of Ukraine and Georgia.

31.8 The Collapse of Yugoslavia and Civil War •

• • •

Yugoslavia’s first communist leader, Marshal Tito (1892–1980), had acted independently of Stalin in the late 1940s and pursued his own foreign policy. He succeeded in muting ethnic differences by encouraging a cult of personality around him and by engaging in complex political powersharing.

In the late 1980s the old ethnic differences came to the fore again in Yugoslav politics. Ethnic tension and violence soon resulted.

The Serbs in particular, pursuing a policy called ethnic cleansing, a euphemism redo- lent of some of the worst horrors of World War II, killed or forcibly moved many Bosnian Muslims.

The events of the civil war came to a head in 1995 when NATO forces carried out strategic air strikes. Later that year, under the leadership of the United States, the leaders of the warring forces completed a peace agreement in Dayton, Ohio.

31.9 Challenges to the Atlantic Alliance 321 ..

31.9.1 Challenges on the International Security Front • • • •

The exact present purpose of NATO remains ill defined. Although initially taking a reluctant role in settling the civil war in the former Yugoslavia, NATO eventually attempted to assume the role of internal peacekeeper in the new Europe.

The September 11, 2001 attacks on the United States transformed and redirected American foreign policy into what the Bush administration termed “a war on terrorism.”

Following the Afghan campaign, the Bush administration set forth a policy of preemptive strikes and intervention against potential enemies of the United States.

In the years following the American invasion of Iraq profound divisions arose between the United States and many of its historic postwar allies. Many Europeans saw themselves, their values, and their emerging political community as different from those of the Americans.

31.9.2 Strains over Environmental Policy •

• • •

Beginning in the 1960s and growing in intensity over the past two decades, significant concern has arisen in all the major industrialized countries over the impact of economic development on the environment.

In 1997 various members of the United Nations signed the Kyoto Protocol on Climate Change.

This treaty set specific mandatory goals for reduction of the emission of greenhouse gases in the most developed industrial countries against 1990 benchmarks.

The United States has not ratified the protocol; indeed, in 2001 it withdrew entirely from the protocol. The Bush administration indicated that it feared implementation of the treaty would harm economic growth in the United States.

The U.S. stance on the treaty put it at odds with traditional European allies as well as with Japan.

Moreover, as the United States pursued its intervention in Iraq, numerous European governments saw American government as pressing unilateral policies on a number of fronts.

31.9.3 Strains over Economic and Foreign Policy •

•

•

•

In recent years, the limits of European unity have been exposed in the EU’s faltering response to the economic crisis triggered by the 2008 global financial collapse and in foreign affairs.

Rancorous disagreements erupted among EU members about how to deal with the crisis, with some countries, led by Germany, demanding austerity measures and fiscal discipline while others, particularly the deficit-burdened nations, in favor of economic stimulus and measures of the kind adopted in the United States during the administration of Barack Obama.

The EU’s disunity has been revealed in even more stark terms in foreign policy. The inability to forge a common EU policy for the volatile and nearby Muslim world, including crises in Libya and Syria, or even to reach a consensus on the proposed membership of Turkey in the EU, demonstrates the EU’s continuing political weakness.

Separatist movements in places like Catalonia (Spain) and Scotland (United Kingdom) reveal the degree to which a common European identity has not replaced nationalism and the fact that the EU remains a collection of nation-states.

Documents The United States National Security Council Proposes to Contain the Soviet Union •

How did the National Security Council characterize Soviet policy? How did the council actively encourage U.S. engagement with the rest of the world? What were the goals of containment?

Why did the council urge that the Soviet Union always be given the opportunity to save face and

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to back down with dignity?

Pope Benedict XVI Calls for the Recognition of Religious Freedom as a Human Right •

How did Pope Benedict XVI define religious freedom as a human right? How did he portray the relationship of the exercise of religious freedom to secular values and secular social institutions?

How did he relate religious freedom to human betterment?

Tony Blair Seeks to Redefine the British Welfare State •

How is it clear in this speech that Blair is trying to lead a traditional party of the left toward a new understanding of government social responsibility? What does Blair portray as duties of government? How does he seek to promote government help for individuals while still assigning responsibility to the individuals receiving that help?

Vladimir Putin Outlines a Vision of the Russian Future •

How does Putin seem to embrace democratic reform? What are the limits that he places on democratic activity? How might those limits lead to government interference with the activity of political parties? What are Putin’s concerns regarding NATO and the place of the Russian Federation in world affairs?

A Closer Look Collapse of the Berlin Wall 1. How did the vast numbers of photographs of this event, as well as amateur movies and videos, illustrate that the government could no longer control the manner in which information was dispersed?

2. In June 1989, the Chinese government had violently suppressed a vast rally in Tiananmen Square in Beijing. How does this picture from Berlin about six months later illustrate the decision of the Soviet and East German governments to behave differently in the face of popular opposition?

3. What does this picture both reveal and fail to reveal about the motives of the East Germans who crossed the Berlin Wall in November 1989?

Summary The Cold War. U.S.–Soviet cooperation did not survive World War II. After 1945 Europe was divided into a Soviet-dominated zone in the East (the Warsaw Pact) and a U.S.-led zone in the West (NATO). U.S.–Soviet rivalry played out around the world from the 1950s to the 1980s, although gradually a spirit of détente arose between the two powers, especially under President Ronald Reagan and Soviet leader Mikhail Gorbachev. The Cold War ended with the collapse of communist rule in Eastern Europe in 1989 and the disappearance of the Soviet Union in 1991.

Postwar European Society. Since World War II, European society has been marked by a rise in prosperity and consumerism, more rights and opportunities for women, moves toward political 323 ..

and economic unification symbolized by the adoption of a common currency, the euro, in 2002, and the publication of a draft constitution for a united Europe in 2003.

The United States. The major themes in postwar American history were opposition to communism at home and abroad, the expansion of civil rights to African Americans, and economic prosperity. Politically, the relatively liberal years from the late 1950s through the 1970s were succeeded by a growing conservatism, especially under the presidencies of Ronald Reagan, George H. W. Bush, and George W. Bush. Even Democratic President Bill Clinton was more a centrist than a liberal. After the terrorist attacks of September 11, 2001, the United States embarked on a war on terrorism that led to wars in Afghanistan and Iraq.

Eastern Europe. The failure of the communist regimes in Eastern Europe and the Soviet Union to produce economic prosperity or political liberalization led to their growing unpopularity.

Soviet economic difficulties led Mikhail Gorbachev to institute liberal reforms that led to the collapse of communist rule, first in Eastern Europe, then in the Soviet Union itself. The disappearance of the Soviet Union led to independence for much of the former Soviet empire.

Russia itself has experienced social, economic, and political turmoil under presidents Boris Yeltsin and Vladimir Putin.

In the former Yugoslavia, the end of communist rule led to dismemberment and civil war.

In the 1990s the NATO powers, led by the United States, intervened to halt the fighting and end a pattern of ethnic atrocities.

Key Terms Cold War, p. 878 European Economic Community, p. 886 glasnost, p. 900 perestroika, p. 900

euro, p. 886 European Union (EU), p. 886 Marshall Plan, p. 880

REVEL Writing Exercises Journal Writing 31.1 The United States National Security Council Proposes to Contain the Soviet Union What were the goals and potential benefits of the policy of containment?

31.2 Pope Benedict XVI Calls for the Recognition of Religious Freedom as a Human Right How did Pope Benedict XVI define religious freedom as a human right?

31.3 Tony Blair Seeks to Redefine the British Welfare State How does Tony Blair seek to promote government help for individuals while still assigning responsibility to the individuals receiving that help?

31.7 Vladimir Putin Outlines a Vision of the Russian Future How does Putin seem to both embrace democratic reform and also place limits on democratic 324 ..

activity?

Shared Writing What were the causes for the collapse of the Soviet Union? What role did Gorbachev play in that process?

Internet Resources Noam Chomsky: http://www.chomsky.info/ is the official Web site of the eclectic intellectual who might be described as, among other things, a philosopher of the Cold War. Cold War: http://www.coldwar.org/ is hosted by the Cold War Museum and contains many useful links, images, and articles.

Atomic Archive: Cold War History: http://www.atomicarchive.com/History/coldwar/index.shtml offers a variety of resources on Cold War history.

Revolutions of 1989: http://chnm.gmu.edu/1989/ is a well-organized and attractive mainstream historical site. http://www.libraries.iub.edu/index.php?pageId=8342 offers links to reputable scholarly sources; http://www.gwu.edu/~nsarchiv/news/19991105/index.html features relevant transcripts from the U.S. National Security Archive; while http://socialistworker.org/2009/11/12/revolutions-of-1989 offers a dissenting (Socialist) view of events.

U.S. Civil Rights Movement: http://www.pbs.org/wgbh/amex/eyesontheprize/ is the website of the renowned PBS documentary, Eyes on the Prize; http://www.cnn.com/EVENTS/1997/mlk/links.html is a timeline of civil rights events; http://www.nps.gov/nr/travel/civilrights/ offers the U.S. National Park Service’s interpretation of sites associated with the Civil Rights Movement; http://www.sitins.com/index.shtml focuses on the Greensboro sit-in; and http://www.crmvet.org/ emphasizes oral histories from participants in civil rights campaigns.

Suggested Maps Prentice Hall Atlas of Western Civilization, Second Edition • Soviet Expansion Prentice Hall Atlas of World History, Second Edition • The Cold War • The Collapse of Communism and the EU

Suggested Films 325 ..

Charles De Gaulle. McGraw-Hill (26 minutes).

The Cold War. McGraw-Hill (20 minutes).

The Cold War. Time-Life (20 minutes).

Russia: The Unfinished Revolution. Indiana University (60 minutes).

The Russians: People of Influence. Lutheran Church of America (29 minutes).

History of U.S. Foreign Relations: Part 4–The Road to Interdependence. U.S. Department of State (30 minutes).

Vietnam: A Television History, 1–13. Films, Inc. (60 minutes each).

Vietnam: An Historical Document. Columbia Broadcasting System (56 minutes).

Vietnam–Journal of a War. Time-Life (52 minutes).

Hungary and Communism–Eastern Europe in Change. Encyclopaedia Britannica (17 minutes).

Khrushchev and the Thaw. Time-Life (20 minutes).

Go Tell the Spartans. A greatly underappreciated film about Vietnam that examines how the United States became involved and why it lost. HBO Home Video (114 minutes).

The Ideas of Chomsky FHS (47 minutes).

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Chapter 32—East Asia in Recent Decades Learning Objectives 32.1 Japan Discuss the postwar Occupation in Japan and subsequent Japanese political, economic, and social developments.

32.2 China Trace the course of Chinese history from the Soviet period through the Cultural Revolution and in the period after Mao. 32.3 Taiwan Summarize developments in Taiwan under Japanese domination, after the takeover by the Guomindang, and in its relations with China.

32.4 Korea Discuss Korea as a Japanese colony, the division into north and south, and the Korean War, and compare North Korea and South Korea politically and economically.

32.5 Vietnam Trace Vietnamese history from French colonial Indochina to the ensuing wars and recent developments.

Introduction • •

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East Asia has been the most economically dynamic area of the world since World War II. Its history divides into two phases. In the first, from 1945 to 1980, Japan, and then South Korea and Taiwan (along with Singapore and Hong Kong), demonstrated amazing growth. In stark contrast, those East Asian nations that became communist—China, Vietnam, and North Korea— did poorly.

In the second phase, the most striking change was transformation was in China, which in 1978 shifted to a semicapitalist market economy. Within a few decades, China became an important player in global markets. Chinese society, too, was transformed.

Only North Korea resisted the changes sweeping the rest of the communist world. The rigidities of its singular brand of communism inflicted hunger and misery on its people.

Global Perspective Modern East Asia • •

Since the 1960s, Taiwan, South Korea, Hong Kong, and Singapore have achieved modern growth in high technological fields well before their wages reached Western levels. Since the late 1980s, China has done the same.

Competition with the West over scarce resources such as oil is reshaping international relations.

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Japan’s population quadrupled in the course of industrialization and then leveled off. Its pattern resembled that of Western Europe. China, in contrast, had a huge population when it began industrialization. Since it could ill afford a further quadrupling, it adopted tough policies to limit births.

Politically East Asia in recent decades has had regimes that are democratic and others that are authoritarian.

As East Asia industrializes, environmental issues such as air pollution, particularly severe in China, have grown worse.

Focus Questions 1. What is the impact of East Asian economic growth on the world’s natural resources? On international relations?

2. Does recent history suggest that the Chinese government will become more democratic as its citizens become more prosperous?

Key Points 32.1 Japan •

After military defeat, the Japanese expected a harsh and vindictive occupation; when they found it constructive, they turned to positive cooperation. Their receptivity to new democratic ideas and their repudiation of militarism led one Japanese writer to label the era “the second opening of Japan.”

32.1.1 The Occupation • •

• • •

The first phase of the Occupation focused on demilitarization and democratization.

Ultranationalist organizations were dissolved, and the Home Ministry was abolished. The police were decentralized, and political prisoners were freed. Following the model of the Nuremberg trials in Germany, wartime leaders were brought to trial for crimes against humanity. In addition, 210,000 officers, businessmen, teachers, and officials—the leaders of wartime Japan—were purged from office.

The most radical undertaking was a land reform that expropriated landlord holdings and sold them to landless tenants at a fractional cost.

Reforms in education and a new constitution were adopted.

Military expenditures were greatly reduced and Japan signed a security treaty with the United States, which provided for American bases and committed the United States to Japan’s defense.

32.1.2 Parliamentary Politics • • •

Japan’s postwar politics can be divided into three periods. The first, from 1945 to 1955, was the continuation of prewar party politics as modified by the new political environment.

The second period, from 1955 to 1993, has been called the one-and-a-half-party system. The “one” party was the Liberal Democratic Party (LDP), formed by a merger of the two conservative parties in 1955.

From 1955 to 1960, Japanese politics was marked by ideological strife. The LDP was led by

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wartime figures who had been purged after the war but had then resumed their political careers.

Marxist Socialists, some of whom had been jailed during the war, led the opposition.

A third era of politics began in 1993, when the left collapsed. The collapse of the left inaugurated a new era of multiparty conservative politics.

32.1.3 Economic Growth •

• • • • • •

Japanese economic growth after 1955 forged ahead and continued at a double-digit pace for almost two decades. Shipbuilding, machine tools, steel, heavy chemicals, automobiles, consumer electronics, and optics led the way.

The government aided manufacturers with tariff protection, foreign exchange, and special depreciation allowances.

Industries in advanced technologies got cheap loans, subsidies, and the products of government research laboratories. Small budgets for defense spending and welfare kept corporate taxes low.

By 1973 the Japanese economy was “mature.” Double-digit growth gave way to 4 percent growth. Labor became expensive, research budgets grew as the backlog of cheap technology declined, welfare costs rose, and tough but costly antipollution policies were implemented.

Smokestack industries declined while service industries, pharmaceuticals, specialty chemicals, scientific equipment, computers, and robots grew. Japan’s trade, hitherto balanced, began to generate huge surpluses, which led to friction with the United States and Europe.

In 1991 the “bubble” burst: The price of land and stocks plummeted. Japanese who had bought shares of stock or real estate at exaggerated prices were hard hit; banks incurred huge losses. As banks and individuals retrenched, the economy slowed.

Mixed trends appeared during the first decade of the twenty-first century, increased trade with China has helped the economy recover though government debt remains high.

32.1.4 Society and Culture • • • • •

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In 1945, almost half of the population lived in villages organically rooted in the past; seventy years later most Japanese lived in cities.

In 1945 the three-generation extended family of grandparents, parents, and children was the ideal, and most marriages were arranged. Fifty years later the nuclear family of parents and children was the norm, and most marriages were “love matches.”

The status of women rose. Occupation reforms had given women the vote, legal equality, and an equal share of the family inheritance. Most women worked for a few years after completing their education and married later: The average age of marriage rose from 24 in 1970 to 29 in 2013.

In the new Japan, getting ahead depended more than ever on education. Middle school was compulsory, and by 2007 over half of high school graduates—about the same percentage as in the United States—went on to some form of higher education.

As the new millennium began, aging became a serious economic problem. In 1980, there were five workers for every retired person; by 2010 there were fewer than two. The birthrate in Japan in 2014 was 8.39 children per 1,000 population, slightly higher than Germany, Hong Kong, and Singapore, but substantially lower than China and the United States. Its population overall is declining slowly.

Infant mortality in Japan is the lowest in the world and longevity the highest. Japan has less crime; big cities are safe at night; drugs are only a small problem; and murders are far fewer.

32.1.5 Japan and the World •

Toward the wider world, Japan was a trading partner and, as it described itself, a “UN nation.” It has given more foreign aid to developing countries than other nations. It has been a member of major international economic organizations.

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Japan’s relations with China, South Korea, and Taiwan have improved somewhat during recent decades, though wartime grievances linger, and occasionally issues surface, as in the disputes over barren islands in East Asian seas.

The United States and Japan remain political allies and major trading partners and share security concerns.

32.2 China •

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A population increase occurred from 550 million in 1949 to nearly a billion in 1981. Real growth occurred in the Chinese economy during the 1960s and 1970s, but extra mouths ate up the gains.

In the face of this crisis, in 1981 the post-Mao government adopted a national policy of one child per family. Population will peak, it is predicted, in 2030, and then very slowly decline.

32.2.1 Soviet Period (1950–1960) • • • •

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The decade from 1950 to 1960 is appropriately called the “Soviet period” because the Soviet model was adopted for the government, the army, the economy, and higher education.

First Five-Year Plan for economic development began in 1953. The Soviet Union sent financial aid as well as engineers and planners.

Rural society underwent two fundamental changes: land redistribution and collectivization, all lands were seized by the state and collectivized.

In the late 1950s, Mao scrapped the Soviet model in favor of a mass mobilization to unleash the productive energies of the people. He called it the Great Leap Forward. The results were disastrous. Scholars estimate that between 1958 and 1962 as many as 20–30 million Chinese starved to death.

Sino–Soviet relations deteriorated. Disputes arose over borders. China was dissatisfied with the level of Soviet aid. The Sino–Soviet split was the single most important development in postwar international politics.

32.2.2 The Great Proletarian Cultural Revolution (1965–1975) •

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Mao feared that the Chinese revolution—his revolution—would end up as a Soviet-style bureaucratic communism run for the benefit of officials, so he called for a new revolution to create a truly egalitarian culture.

Obtaining army support, Mao urged students and teenage youth to form bands of Red Guards. In the early feverish phase of this Cultural Revolution (in full, the Great Proletarian Cultural Revolution), the Guards invoked Mao’s sayings contained in the “Little Red Book” almost as holy scripture.

Books and artworks were destroyed in a campaign against “the four olds.” Stone Buddhas that had endured since the Song Dynasty were smashed or defaced. Things foreign also came under attack.

Red Guards attacked local party headquarters and beat to death persons they regarded as reactionaries, including some party cadres. High officials were purged Eventually Mao tired of the violence and near anarchy. In 1968 and 1969 he called in the army to take over the revolutionary committees.

32.2.3 China after Mao • •

After Mao’s death in 1976, Deng Xiaoping (1904–1997) emerged as the dominant figure in Chinese politics.

During the late 1980s, the ferment that marked Eastern Europe and the Soviet Union under Gorbachev also appeared in China.

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Student demands came to a head in April and May 1989, when hundreds of thousands of students, workers, and people from all walks of life demonstrated for democracy in Tiananmen Square in Beijing and in dozens of other cities. Hundreds of students were killed, and leaders who did not escape abroad were jailed.

In the decades after 1978, the results of Deng’s policies demonstrated the superiority of market incentives to central planning. During the 1990s, joint ventures with foreign firms also became increasingly prominent as investments poured in from Taiwan, Japan, South Korea, and the United States.

Trade rose from $100 billion in 1988 to $9.2 trillion in 2014. The national product rose from $300 billion in 1980 to an estimated $9.2 trillion in 2014. In 2010, China passed Japan to become the second-largest economy in the world.

A second phase of international relations, appropriate to China as an “emerging nation,” began in 1980 when China’s new policy of export-led economic growth required improved relations with the world’s nations.

Americans appreciated the flow of Chinese imports, but were critical of the extreme imbalance in trade and was critical of Chinese human rights abuses. Despite disagreements, Chinese and American presidents regularly exchanged visits.

32.3 Taiwan •

• • • •

When Jiang Jieshi (Chiang Kai-shek) and 2 million more military and civilian mainlanders fled to the island in 1949, its economy and society were in disarray. Mainlanders looked down on the Taiwanese; Taiwanese hated their new rulers With the outbreak of the Korean War in 1950, U.S. aid became substantial. Foreign investment was welcomed.

The Taiwanese GDP in 2014 was $502 billion. Taiwan had become an “advanced nation.”

Since 1949, while Taiwan has held that it is an independent sovereign nation, Beijing has maintained that Taiwan is a province of China and spoke of reclaiming the island by force.

In 1979 the United States broke off diplomatic relations with Taipei and recognized Beijing as the legitimate government of a China that included Taiwan. Nevertheless, the United States stressed that any reunion of China and Taiwan must be peaceful. Ironically, it was during the years of diplomatic limbo after 1979 that Taiwan’s economy grew and its society became democratic.

32.4 Korea 32.4.1 Korea as a Japanese Colony • • • •

Japan made Korea a protectorate in 1905 and annexed it in 1910.

Annexation was followed by efforts to make Korea a model colony. Experiencing a truncated version of Meiji-type reforms (economic modernization, industrialization, bureaucratic reform), Korea became vastly different from what it had been in 1910.

Being a Japanese colony was nonetheless a hard road to modernity. The colonial government was authoritarian. Its goal was to make Korea into a subordinate part of imperial Japan, and benefits to Koreans were incidental.

After 1937, the Japanese policy of “assimilation” grew even harsher: Koreans were pressured to adopt Japanese names, drafted to fight in Japan’s wars, and sent to labor in factories in Japan.

32.4.2 North and South •

Contributing to Japan’s defeat in 1945, Soviet troops entered the north; a month later U.S. forces occupied Korea south of the thirty-eighth parallel. Despite a promise of unification, two separate

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states developed.

In the north, the Russians established a communist government under Kim Il Sung (1912–1994).

Kim had worked with the Chinese communists during the 1930s and subsequently with the Soviet Union.

32.4.3 The Korean War and U.S. Involvement •

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In June 1950, North Korea invaded the south in an attempt to reunify Korea. Kim Il Sung, the North Korean leader, had received Stalin’s permission for the invasion and a promise from Mao to send Chinese troops if the United States entered the war.

The United States rushed troops from Japan to South Korea and obtained United Nations backing, an amphibious units led by United Nations commander General Douglas MacArthur landed at Inchon in the middle of Korea’s western coast and drove back the North Korean armies beyond the thirty-eighth parallel deep into North Korea.

China sent in “volunteers” to rescue the beleaguered North Korean forces, and pushed overextended U.N. forces back to a line close to the thirty-eighth parallel. The war stalemated in 1951 and ended with an armistice in July 1953.

32.4.4 South Korea Growth and Democracy •

• • • •

After the armistice, two intertwined stories unfolded in South Korea: stunning economic growth and the rise of a democratic polity.

Emphasizing science and technology, the government supported business and swiftly expanded higher education. Management drew on skills learned during the colonial era; labor was disciplined, hardworking, and cheap.

The United States gave large amounts of aid and provided an open market for Korean exports.

The result was several decades of double-digit growth. South Korea’s per capita income rose dramatically while North Korea’s remained abysmally low.

The industrialization and urbanization during the rule by the two generals prior to 1987 created an affluent and educated middle class that was no longer willing to tolerate authoritarian rule.

In 1997 and 2002, deeper breaks with the past occurred when liberal leaders from opposition parties were elected as presidents.

32.4.5 North Korea •

• •

By the 1970s, North Korea’s economy had stagnated, and shortages of food, clothing, and other necessities were chronic. During the 1990s and after the turn of the century, periods of famine were not uncommon.

The Korean Communist Party was Marxist-Leninist, but the kinship terminology used to describe the fatherly leader, the mother party, and the familial North Korean state gave the official state philosophy a Confucian tinge.

The North Korean record is poor in every respect, human rights in particular. Its prison camps rivaled those of the former Soviet Union.

32.5 Vietnam 32.5.1 The Colonial Background •

• •

By 1893 France had completed its conquest of Vietnam and Cambodia, formed the Indochinese Union, and added Laos to the union. Indochina was a classic case of colonial rule.

During the early decades of French rule, the Vietnamese made futile attempts to restore their dynasty.

In the early twentieth century, Vietnamese nationalists in exile in China, Japan, and France

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formed political parties. But when they tried to organize within Vietnam, the parties were suppressed and their leaders jailed or executed.

Ho Chi Minh (1892–1969), founder of the Indochinese Communist Party, formed the Viet Minh (League for the Independence of Vietnam) in 1941 as a popular front organization to resist the Japanese occupation, and proclaimed the Democratic Republic of Vietnam after Japan’s defeat in 1945 and became the preeminent nationalist leader in his country.

32.5.2 The Anticolonial War •

• •

The first war lasted from 1946 to 1954. On one side was the Viet Minh, led by Ho. On the other side were the French, who had reoccupied Vietnam immediately after the war, and their conservative (or anticommunist) Vietnamese allies.

From 1950, the French received American aid while the Viet Minh received aid from China. But when the French lost a major battle at Dien Bien Phu in 1954, with it they lost the will to continue what critics at home called the “dirty war.” They departed in defeat.

A conference at Geneva divided the country into a communist north and a noncommunist south.

32.5.3 The Vietnam War •

• • •

The second cycle of war, from 1959 to 1975, began in the southern Republic of Vietnam with guerrilla attacks against South Vietnamese troops.

At the beginning, the U.S. government saw the war as a struggle against world communism. After the Sino–Soviet split, they perceived it as a war to halt the spread of Chinese communism.

Despite massive U.S. support, South Vietnam lost the war.

After unifying the country, Hanoi sent thousands of those associated with the former South Vietnamese government to labor camps, collectivized agricultural lands, and in 1976 began a five-year plan for the economy.

32.5.4 Vietnam’s War with Cambodia •

• •

Pol Pot (1926–1998) and his radical Communist Khmer Rouge (Red Cambodia) came to power in Cambodia in 1975. During the next three years, he evacuated cities and towns, abolished money and trade, banned Buddhism, and executed or caused to die of starvation an estimated 1 million persons.

Vietnam was Cambodia’s historical enemy, as China was Vietnam’s. When Pol Pot purged the Khmer Rouge of pro-Vietnamese elements in 1978, Vietnam invaded and occupied most of Cambodia and set up a puppet government, China-supported forces of Pol Pot. Vietnam’s costly occupation of Cambodia ended in 1989 when a U.N.-sponsored government took over. Then in 1997, a pro-Vietnamese leader staged a coup.

32.5.5 Recent Developments •

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In the 1990s, Vietnam improved relations with China and it also reestablished diplomatic relations with the United States.

Vietnam followed the Chinese model. One the one hand, the communist government in Hanoi monopolized political power and controlled the army, police, and media. On the other, the leaders embraced a modified capitalism as the road to growth. In place of collective agriculture, farmers were allowed to keep the rice they grew, foreign investment poured in.

During the first fourteen years after the millennium, Vietnam may have experienced the fastest economic growth in the world.

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Two Views of the “Symbol Emperor” •

What does Yoshida mean by “as naturally,” and why does Ōe call the prewar emperor an “absolute ruler”?

U.S. Foreign Policy: A Chinese Dissident’s View •

Consider the case of 2010 Nobel Peace Prize–winner Liu Xiaobo (b. 1955), who is serving an 11-year prison sentence for advocating human rights in China: Should U.S. foreign policy be used to promote human rights even in countries with cultural traditions different from those in the West? Or should the United States avoid interference in the domestic politics of other nations and aim primarily at furthering American economic and security goals? What can foreign policy achieve? Where should the balance be struck?

A Closer Look Trial of a Landlord 1. How would you distinguish between a judicial procedure and political theater?

2. Why are army representatives present at the trial?

Summary Japan. The U.S.-led occupation after World War II established a democratic government and opened the way for Japan to its remarkable postwar prosperity. By the twenty-first century, Japan had the second largest economy in the world, until China pulled ahead. Politically, Japan is a democracy with free elections. Socially, Japan has remained stable, with the world’s highest life expectancy.

China. Communist rule was established in 1949. Until his death in 1976, Mao Zedong controlled China. Mao broke with the Soviet Union in the 1960s and launched the disastrous Cultural Revolution in 1965. After Mao’s death, Deng Xiaoping opened China’s economy to free-market reforms. The result has been surging economic growth and rising prosperity. Politically, the Communist Party has blocked any threat to its one-party rule. China has emerged as a world power.

Taiwan. The Nationalist Party (GMD) set up a separate state in Taiwan under U.S. protection after their defeat in the Chinese civil war in 1949. Since then Taiwan has moved from poverty to prosperity, from dictatorship to democracy. The Chinese government insists that Taiwan is a province of China. The United States officially agrees, but sells Taiwan arms and holds that only a peaceful reunification would be tolerable.

Korea. Postwar Korea was occupied by the Soviet Union in the north and the United States in the south. Two Koreas emerged. They fought the Korean War in 1950–1953. Since the war, South Korea has become democratic and prosperous, while North Korea is totalitarian, impoverished, and has some atomic weapons.

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Vietnam. From the end of World War II until 1954, the Vietnamese fought French colonial rule.

From 1959 to 1975, North Vietnam fought South Vietnam and the United States. North Vietnam’s victory in 1975 reunified the country. Though its government remains a single-party dictatorship, Vietnam has since 1986 embraced a market economy and begun substantial growth.

Key Terms Article 9 of the No-War Constitution, p. 917 chaebol, p. 937 Great Leap Forward, p. 926 Liberal Democratic Party (LDP), p. 918

brainwashing, p. 926 Cultural Revolution, p. 928 Khmer Rouge, p. 940 Viet Minh, p. 939

REVEL Writing Exercises Journal Writing 32.1 Two Views of the “Symbol Emperor” What are the two views presented by these two writers?

32.2 U.S. Foreign Policy: A Chinese Dissident’s View Should U.S. foreign policy be used to promote human rights, even in countries with cultural traditions different from those in the West, or should the United States avoid interference in the domestic politics of other nations and aim primarily at furthering American economic and security goals?

Shared Writing If you were the U.S. secretary of state, what long-term China policy would you propose to the president? Where would Japan fit into your policy?

Internet Resources Post-War Japan: http://www.army.mil/postwarjapan/ presents the U.S. Army view of the war’s conclusion in Japan, with archival videos, photos, and other resources.

MacArthur and the Japanese Occupation: http://www.pbs.org/wgbh/amex/macarthur/peopleevents/pandeAMEX99.html presents information on MacArthur in Japan to accompany the PBS “American Experience” documentary.

Photography and Research in Occupied Japan: http://library.osu.edu/projects/bennett-injapan/about.html is an amazing site, archiving the photographs and other documents collected by an American anthropologist.

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Korean War: http://www.history.com/topics/korean-war offers a brief essay, many links and related topics.

Images of the Cultural Revolution: http://news.bbc.co.uk/2/hi/special_report/1999/09/99/china_50_years_of_communism/460953.st m features annotated historical photographs, while http://depts.washington.edu/chinaciv/graph/9wenge.htm analyzes political graphic arts from the period.

The Cultural Revolution: http://www.sjsu.edu/faculty/watkins/cultrev.htm is a conversational essay with photos and a timeline.

Asian Tigers: http://news.bbc.co.uk/2/hi/special_report/1998/asian_economic_crises/72222.stm discusses the economic challenges faced in the late 1990s by East Asia’s economic “tigers.”

East Asian Economic Growth: http://www.imf.org/external/pubs/ft/issues1/index.htm presents the International Monetary Fund’s analysis of East Asian economic development.

Suggested Maps Prentice Hall Atlas of World History, Second Edition • Chinese Expansion since 1949 • Tiger Economies since 1960

Suggested Films China: A Class by Itself. Films, Inc. (52 minutes).

China: A Network of Communes. Encyclopaedia Britannica (15 minutes).

China: A Revolution Revisited. Films, Inc. (83 minutes).

China: An Emerging Giant. National Geographic Society (25 minutes).

China: Century of Revolution, Part 3—Communist Triumph and Consolidation, 1945– 1971. Films, Inc. (20 minutes).

Crises in Asia. Time-Life (20 minutes).

Japan: A Major Industrial Nation at Work. Academy Films (19 minutes).

Japan: The Collective Giant. Films, Inc. (20 minutes).

Emperor Hirohito. Wolper, Inc. (26 minutes).

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World History: An Overview. Coronet (16 minutes).

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Chapter 33—Postcolonialism and Beyond: Latin America, Africa, Asia and the Middle East Learning Objectives 33.1 Beyond the Postcolonial Era Discuss decolonization and the conditions faced by newly independent states, and the usefulness of the “clash of civilizations” theory in explaining contemporary global relations.

33.2 Latin America since 1945 Discuss the political, economic, and social changes in Latin America since 1945, focusing on Cuba, Chile, Nicaragua, Argentina, Brazil, and Mexico.

33.3 Postcolonial Africa Discuss the transition to independence in Nigeria, South Africa, Congo, and Rwanda, and the health, environmental, social, and economic trends and challenges in postcolonial Africa.

33.4 The Islamic Heartlands Discuss the post-1945 histories of the nations of the Islamic heartlands, focusing on Turkey, Iran, Afghanistan and the former Soviet republics, India, Pakistan and Bangladesh, and Indonesia and Malaysia.

33.5 The Postcolonial Middle East Discuss the postcolonial Middle East—the formation of nations, the Arab–Israeli conflict, the significance of oil reserves, militant Islamism, and recent events in Iraq.

Introduction • • •

The postwar decades witnessed the end of Western colonialism and challenges to European and superpower imperialism. New nations emerged in Africa and Asia.

The last significant colonial territories gained their independence in the 1970s, but the new states have seen varying degrees of success.

Some postcolonial states have managed to progress toward more truly civil societies in a rapidly changing global environment.

Global Perspective Democratization, Globalization, and Terrorism •

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Since 1970, in countries in every inhabited continent, democratic political rights have expanded.

Authoritarian regimes of both the right and the left have been reformed or have collapsed. This process of political change is usually termed democratization.

An unprecedented spread of economic linkages, generally termed globalization, has paralleled the spread of more democratic institutions. Globalization has reduced trade barriers, including tariffs

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and other regulations hindering the circulation of goods, services, and labor among nations.

The debate over globalization has made both its admirers and its detractors more aware of the vast, persistent areas of deep poverty around the world, especially in South and Central America, the Caribbean, Africa, the Middle East, and much of Asia—regions still struggling with the legacy of European colonialism.

Within the United States and also around the world, debate continues over the future role of the United States internationally.

Focus Questions 1. What are the arguments of the supporters and critics of globalization?

2. How has the legacy of European colonialism affected the Middle East, Asia, and Africa?

3. Why has the United States moved ahead of even Europe as a prime target for terrorists?

Key Points 33.1 Beyond the Postcolonial Era •

• • • • •

After 1945, in a process generally termed decolonization, various parts of Africa, Asia, and even the Americas emerged from direct colonial control by foreign powers and were reconstituted as independent states Before the breakup of the Soviet Union, the Soviet rivalry with the United States manifested itself on every continent and added to this era’s tensions and turmoil.

In the years since the Cold War’s end and the Soviet Union’s collapse, the character of the world economy in such areas as trade, investment, and resource allocation has engendered new economic, social, and cultural interdependencies, commonly termed globalization.

The ideas of civil society and participatory government, often symbolized by the democracies of the United States, Europe, Japan, and various Asian, African, and Latin American countries, have gained ground.

Forces of society, culture, and religion have asserted themselves in aggressive and dramatic ways, both regionally and internationally, around the globe.

Debates exist over the “clash of civilizations” in the new world order or the possibility of transnational cooperation.

33.2 Latin America since 1945 • • •

In the postwar period, economically and politically, Latin America, like so many other parts of the world, dwelled in the shadow of the rival Cold War superpowers and became an arena for confrontations between them.

Attempts were made to expand the industrial base and the agricultural and industrial production of the various national economies.

Enormous debts were contracted to Western banks, and these debts made Latin American economies virtual prisoners to the fluctuations of world interest rates and the international banking community.

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Subsidies and special market arrangements with the Soviet Union made a country like Cuba no less dependent on outside economic forces.

A major drug problem emerged in the region. Since the 1970s, Latin America has shipped massive amounts of cocaine to the United States and Europe.

The social structures of the Latin American nations have become more complicated since World War II, rural and urban poverty remains the dominant social characteristic of the area.

In response to the fear of revolution or communist activity, military governments have held power for long periods, sometimes punctuated by brief interludes of civilian rule, though recent decades have witnessed a return to democratic governance.

33.2.1 Revolutionary Challenges • • • • • •

• • •

There were three major attempts among the nations of Latin America in the postwar period to establish genuinely revolutionary governments pursuing major social and economic change: Cuba in 1959, Chile in 1970, and Nicaragua in 1979.

The establishment of these governments provoked active resistance and intervention by the United States.

Cuba undertook the most extensive and radical political, economic, and social reconstruction in recent Latin American history. The revolutionary government carried out major land redistribution.

After 1959 Cuba served as a center for the export of communist revolution throughout Latin America and, after it sent troops to Angola in the late 1970s, in Africa as well.

A key policy of the U.S. government, pursued with differing intensities and strategies under different administrations, was to prevent a second Cuba—that is, a second communist-dominated state—in Latin America.

In Chile, Salvador Allende (1908–1973), the candidate of the left-wing political coalition and a Marxist, was elected president with a plurality of the votes. Allende’s government expropriated foreign-owned business, undertook an extensive land reform, and engaged in a democratic experiment with socialism.

In mid-September 1973 an army coup, with US support, overthrew Allende, Chile’s short-lived experiment in Marxist socialism had ended.

In the summer of 1979 a Marxist guerrilla force, the Sandinistas, overthrew the corrupt dictatorship of the Somoza family in Nicaragua.

For the United States, the Sandinista government represented a Central American version of Castro’s Cuba and during the Reagan administration provided both direct and indirect aid to the opposition guerrillas.

33.2.2 Pursuit of Stability under the Threat of Revolution • • • • •

Military rule beginning in 1976 in Argentina focused on a clandestine campaign against the left.

There was widespread repression; thousands of citizens simply disappeared, never to be heard of again.

In 1983 civilian rule was restored, and Argentina set out on the road to democratization. Peaceful elections and transitions of governments have occurred for over three decades. During the same era, however, the economic life of the nation has continued in a state of turmoil.

In 1964 the military assumed the direct government of Brazil and did not fully relinquish it until the mid-1980s. The military government stressed order and used repression to maintain it.

The relative success of the government’s industrialization policy has also made Brazil the major industrialized nation in Latin America.

Environmental destruction such as of the Amazon rain forest has accompanies Brazil’s rapid economic development.

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Like so many other states in the region, Mexico amassed large foreign debts and, in doing so, surrendered real economic independence.

The North American Free Trade Agreement (NAFTA) created a vast free-trade area among Mexico, Canada, and the United States.

Beginning in 1994 Mexico underwent a series of political shocks. Its government had to call out troops to quell armed rebellion in Chiapas.

32.2.3 Continuity and Change in Recent Latin American History •

• •

The most striking aspect of Latin America’s history during the past six decades is its tragic continuity with its previous history.

Revolution brought moderate social change, but at the price of authoritarian government, economic stagnation, and dependence on different foreign powers.

The recent trends toward democratization and market economics may mark a break in that pattern.

33.3 Postcolonial Africa •

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Modern Africa is marked by continuity between former, arbitrarily delineated colonial units and contemporary independent states.

The rise of African nationalism can be dated to the period between the two world wars, when previously fragmented or regional opposition to colonial occupation began to be replaced by larger anti-imperialist movements.

33.3.1 The Transition to Independence •

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•

Independence came quickly. In 1950, only Egypt, Liberia, Ethiopia, and white-controlled South Africa were sovereign states. By 1980 no African territory (except two tiny Spanish holdings on the Moroccan coast) was ruled by a European state, although South Africa and Namibia continued to be white-dominated.

Much of the instability in African states is a legacy of both the colonial powers’ failure to prepare their colonial subjects for self-government and the haphazard nineteenth-century division of the continent into colonial territories, without regard for traditional tribal or linguistic boundaries.

Most dangerous and costly to the new states were the separatist struggles, civil wars, and border wars between new states that followed the independence struggles.

Nowhere was the aftermath of independence bloodier than in Nigeria, the separatist movement in Biafra there led to a million deaths.

Religious animosities and ethnic divisions continue, most seriously in the rise between 2000 and the present of the Boko Haram group.

In South Africa, in March 1992, in a whites-only referendum with over 85 percent voter turnout, 67.8 percent voted for constitutional equality for all races.

Despite substantial mineral resources and the highest GNP in Africa, South Africa’s problems are immense: high unemployment, poverty, and crime rates; extreme income inequalities; insufficient educational and economic infrastructure and one of the world’s highest rates of human immunodeficiency virus/acquired immune deficiency syndrome (HIV/AIDS) infection (18.1 percent).

Ethnic and tribal enmities are widespread. The Rwandan genocide, for example, left some 800,000 dead and created a massive refugee crisis.

33.3.2 The African Future •

Most African states have not achieved peace and prosperity. Some bloody conflicts or simply unbridled violence—most notably in the eastern Congo and the Darfur region of Sudan—are still

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• • •

ongoing.

Newer problems have emerged: public health, environmental degradation, social instability, and delayed development with which almost all African nations have to contend as they strive to build better societies.

African environmental challenges run the gamut from wildlife poaching to soil erosion to improper disposal of hazardous waste.

The explosive growth of urban centers at the expense of rural areas has disrupted the continent’s traditionally agrarian-based societies.

33.3.3 Trade and Development •

•

Starting in the 1990s, trade has been emphasized as the best mechanism for improving African economies and standards of living.

A factor of rapidly growing importance is trade with, and direct investment by, China, which is making aggressive bids for a leading economic role in Africa.

33.4 The Islamic Heartlands 33.4.1 Turkey •

• •

Of all Muslim nations, Turkey is the most democratic and the most progressive in its range of tolerated interpretations of Islam.

The longtime persecution of Turkey’s 13 million Kurds (18 percent of the population) and ongoing Turkish denial of the Armenian genocide a century ago remain obstacles to admission to the EU. Various Islamist parties have emerged in Turkey in recent years and complicated the political landscape.

33.4.2 Iran and Its Islamic Revolution •

• • •

In 1978 religious leaders and secularist revolutionaries joined forces to end the Shah’s long regime through a revolution engaging a wide spectrum of emotion, ideology, and secular as well as religious symbolism.

What had begun as an Iranian revolution ended up as an Islamic revolution, so that in 1979 the new post-Shah republic that emerged was not a secular but an Islamic one crafted under the guidance of the Shi’ite religious leader, Ayatollah Ruhollah Khomeini (1902–1989).

Subsequent years brought protracted war with Iraq (1980–1988) and the institution of repressive, violent measures against enemies of the new regime, not unlike repressive measures under the Shah.

Since the 2013 presidential election of the more moderate religious leader Hassan Rouhani (b.

1948), there has been a much more conciliatory tone to Iran’s dealing with the UN as well as with the United States and European nations.

33.4.3 Afghanistan and the Former Soviet Republics • • • •

In the 1980s both Soviet and Chinese Muslims appeared to be asserting themselves.

In the 1990s, the predominantly Islamic republics of the former Soviet Union found themselves effectively independent states, with little infrastructure to manage such a transition.

By 1998, extremist, rigorist Muslims known as the Taliban seized control. They imposed their own literalist version of Islamic law, involving strict regimentation of women and public executions or mutilations for criminal offenses.

The Taliban also allowed Muslim terrorist groups such as al-Qa’ida (“the base”) to establish training camps in Afghanistan. The al-Qa’ida terrorists who attacked targets in the United States

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on September 11, 2001 (widely known as the “9/11 attacks”), came from these camps.

33.4.4 India • • • •

India, a largely Hindu state, and Pakistan, a largely Muslim state, gained independence in 1947 after the British agreed to a partitioning of the subcontinent between them. Much of their subsequent history has been one of mutual antagonism.

The tragedy of the massive displacement of Muslims from the new India and of Hindus and Sikhs from the new Pakistan (about 8 million people in each case) was and remains immense for millions of families and individuals.

India’s problems remain large. Poverty and disease, including plague outbursts, are serious, separatist movements threaten the state.

Industrialization, agricultural modernization, and high-tech growth have recently made great strides, giving India a fast-growing economy, but runaway population growth neutralizes many of these gains.

33.4.5 Pakistan and Bangladesh •

• •

The main political divide in the subcontinent remains that between India and Pakistan, a divide made more dangerous by the nuclear capability on both sides.

Pakistan’s groping efforts to create a fully Islamic society and to solve its massive economic problems have been hampered by periodic lapses into dictatorship. Such lapses are usually punctuated by bloodshed and military coups.

Of all Central Asian governments up to 2014, that of Pakistan has confronted the most direct challenge from radical Islam. The presence of armed groups of Taliban or their sympathizers in west and northwest Pakistan continues to be a source of instability.

33.4.6 Indonesia and Malaysia •

•

Indonesia, the largest Muslim country in the world, is trying to achieve a consensus among its disparate and scattered parts.

In Malaysia (population 26 million) the overriding problem has been the cleft between the nonMuslim minority, which is largely Chinese (24 percent of the population) and partly Indian (7 percent of the population), and the largely Muslim majority of Malay and other indigenous peoples.

33.5 The Postcolonial Middle East 33.5.1 Postcolonial Nations in the Middle East •

• •

Saudi Arabia, Iraq, and Egypt became semi-independent states after World War I, and Lebanon and Syria were officially recognized as independent by France during World War II. In 1948 Britain abandoned its mandate government in Palestine; the United Nations recognized the state of Israel.

Palestinians are scattered throughout the region, including many in refugee camps.

Nationalism remains the most important ideology from Morocco to India and thus has the broadest range of support, from autocratic leaders, traditional monarchies, military juntas, and single-party dictatorships to regional factions, sectarian militias, and dissident groups.

33.5.2 The Arab-Israeli Conflict •

Nowhere in Middle East affairs has the influence of Europe and the superpowers been more sharply felt than in the 1948 creation of the state of Israel in the former British mandate territory of Palestine.

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• • •

Since 1948 there has been, at best, an armed truce between Israel and its neighbors and, at worst, open warfare. The Arab nations and the Palestinian people displaced by the new state have generally not wanted to accept Israel’s right to exist as a state.

Israel (with the support of the United States) has taken aggressive measures, often in defiance of world opinion and international law regarding the occupied territories, to ensure its survival.

Ever since the fall of 2000, the region has spiraled into an abyss of violence in the midst of the second Palestinian intifada, with repeated Israeli military assaults on towns and refugee camps in the West Bank and Gaza and regular Palestinian extremist suicide attacks on mainly Israeli civilian targets.

33.5.3 Middle Eastern Oil • •

• •

Arab and Iranian oil has been another significant factor in the region’s modern history In the mid-1970s, oil became a major bargaining chip in international diplomacy, one that the Arab and other oil-rich states—such as Venezuela, Nigeria, Iran, and Indonesia—used to their advantage.

Although the economic benefits of oil are all too obvious, this resource has not necessarily had the corresponding political remuneration for people in the Middle East Because of its importance to the world economy, Middle East oil has brought considerable foreign involvement, whether from Europe, the United States, or the former Soviet Union.

33.5.4 The Rise of Militant Islamism •

• •

In the spirit of earlier Muslim resurgences, such as those of the eighteenth century in India, Arabia, and Africa, many Muslims have sought to return to the “fundamentals” of Islamic life, faith, and society. They see this as a means of rejuvenation, of social and economic as well as political justice, and of defense against the encroachment of foreign, usually Western secularist and materialist, values and norms.

Where governments of Muslim-majority countries have repeatedly failed to provide social services such as housing, medical care, education, and jobs, Islamist groups have succeeded under the banner of a just, moral Muslim societal ideal.

Such Islamist reformism—to give it a more correct name than “Muslim fundamentalism”— motivated many of the revolutionaries who overthrew the Shah in Iran in 1978.

35.5.5 Modern Middle Eastern Background •

• • •

The background to this Islamist reform is the European expansion over much of the globe in just a few centuries. This expansion brought far more social and political change than religious or cultural change to the Islamic world. It saw the emergence globally of European-style nationalism and the nation-state idea.

With the rise and postcolonial independence of many national states and the flourishing of diverse nationalisms, politics often became theoretically as well as actually divorced from Islamic religious tradition and its norms.

When we consider Islamist movements of recent decades, we find that the calls for a congruence of religion and politics in the Islamic world trace less to some ideal Islamic model state or socalled theocracy than to a need for simple social and political justice.

As for those avowedly political reform movements, be they activist but nonviolent (the majority) or extremist and violent (the minority), they feed upon the deep socioeconomic and political injustice that citizens of most Islamic countries have endured. Often they tie Western influence or support to unjust rule of their own countries.

33.5.6 Iraq: Intervention and Occupation 344 ..

• •

The United States adopted a policy of regime change in Iraq during the last years of the Clinton administration, though it did little to carry out that policy. In the wake of the 9/11 attacks, however, the Bush administration decided to remove the government of Saddam Hussein.

The elections of 2010, which held promise of bringing a more democratic Iraqi government to power, have instead given Iraq a Shi’ite government that refuses to share any power or wealth with Iraqi Sunnis.

Documents Lourdes Arizpe Discusses the Silence of Peasant Women •

What are the factors that Arizpe cites as leading to the historical silence of peasant women? Why does she believe it is important for such women to learn to speak with their own voices? How do the stereotypes of Mexican peasant women both contribute to and arise from the silence? Why does she believe peasant women to be the most marginalized of all women?

The Pan-African Congress Demands Independence •

What are these African leaders’ social and political goals? How did World War II help such goals to be voiced? Why did these leaders believe they were entitled to use force?

A Modernist Muslim Poet’s Eulogy for His Mother •

What is the impact of addressing the poem to his own mother rather than to some other woman?

What specific things is Nesin criticizing?

The King-Crane Commission Report, August 28, 1919 •

What are some of the major political issues highlighted by the commission? Why did the commission find such a positive attitude toward the United States?

Jihad against Jews and Crusaders: World Islamic Front Statement, 1998 •

On what religious authority does bin Laden rest his claims? How does bin Laden hope to ignite a mass revolution and support for his agenda?

A Closer Look Mexican Farmers Protest the North American Free Trade Agreement 1. How can other government policies place different economic sectors at a disadvantage even when tariffs and other trade barriers are lowered? Why is agriculture especially vulnerable to this?

2. Why are Mexican farmers at a greater disadvantage in protesting policies that work to their detriment than unionized workers in manufacturing industries?

3. This picture illustrates the challenges faced by Mexican farmers. During the same period many U.S. manufacturers moved factories to Mexico, where wages are lower. How did this economic 345 ..

shift work to the disadvantage of U.S. wage earners in previously highly industrialized regions of the United States, such as Michigan and other parts of the Midwest?

4. What are the pros and cons of economic globalization?

Summary The Postcolonial World. Since 1945 European colonies have disappeared from Africa and Asia and have been replaced by independent and semi-independent states. These states have had to adjust their political and economic relations first to one or the other of the superpowers during the Cold War and then, since the disappearance of the Soviet Union, to the United States especially.

Latin America. Most Latin American countries remain politically and economically dependent on the United States. Except in Cuba, no revolutionary movement has been able to overturn the traditional structures of Latin American society. Despite social and economic problems, Argentina and Brazil have managed to move from military rule to stable democratic, civilian government. In Mexico, the long dominance of the PRI ended in 2000.

Africa. Independent Africa has faced severe problems: arbitrary boundaries, disease, economic dependence, and political instability. While Nigeria has experienced ethnic and religious strife under a succession of military dictatorships, South Africa has emerged as a stable, multiethnic, but economically challenged democracy since the end of white rule in the 1990s. The challenge for Africa as a whole is to build truly civil societies and achieve economic health and political stability.

The Middle East. World demand for oil, Arab objections to the creation of the state of Israel, and then Israel’s occupation of Palestinian lands have dominated the politics of the Middle East since the 1940s. While the possession of vast deposits of oil has made some Middle Eastern governments wealthy, it has not led to the creation of prosperous democratic societies or a reasonable distribution of wealth. The existence of Israel and the consequent displacement of Palestinian Arabs have inflamed the Middle East for more than six decades. Although U.S. and European efforts to sponsor an Israeli– Palestinian peace have made slight progress on occasion, that progress has proved ephemeral, the cycle of terror and retaliatory violence has persisted, and it is unclear whether a lasting peace between Israel and its neighbors can be achieved or a viable Palestinian state created.

Militant Islamists, though hardly a monolithic movement or a majority among Muslims, have proved increasingly disruptive to a battle-scarred region and lands beyond. In the wake of the terrorist attacks of September 11, 2001, the United States overthrew the Taliban regime in Afghanistan and in 2003 the rule of Saddam Hussein in Iraq. As a result, the United States has found itself increasingly embroiled in a chaotic and unstable region of the world, where the chaos and instability are partly the result of U.S. political and economic policies and partly the result of the social, economic, and political inequities, poor national leadership, and continued weaknesses in family-dominated centralized states that plague the region.

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Key Terms apartheid, p. 958 decolonization, p. 944 HIV/AIDS, p. 960 liberation theology, p. 950 peace process, p. 975 theocracy, p. 977

clash of civilizations, p. 946 globalization, p. 944 intifadas, p. 970 occupied territories, p. 974 Sandinistas, p. 952 Truth and Reconciliation Commission, p. 959

REVEL Writing Exercises Journal Writing 33.2 Lourdes Arizpe Discusses the Silence of Peasant Women Why does Arizpe believe it is important for peasant women to challenge their historical silence and learn to speak with their own voices?

33.3 The Pan-African Congress Demands Independence What are the social and political goals of these African leaders?

33.4 A Modernist Muslim Poet’s Eulogy for His Mother What is the impact of addressing the poem to his own mother rather than to some other woman?

33.5 The King-Crane Commission Report, August 28, 1919 What are some of the major political issues highlighted by the commission?

Shared Writing Explain the origin and course of the Arab–Israeli conflict. Have there been moments when the conflict might have reached a peaceful resolution?

Internet Resources Globalization: http://www.globalization101.org/ has many useful articles and links to further sites.

Decolonization: http://www.fordham.edu/halsall/mod/modsbook51.html has many useful links to primary documents.

Conservation: http://earthtrends.wri.org/ provides a reasonably balanced collection of articles covering many topics that concern biodiversity, the environment, and conservation hosted by the World Resources Institute.

Disease: http://www.cdc.gov/ is the site for the U.S. Centers for Disease Control and contains a wealth of balanced discussion about the health issues facing the world.

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Environment: http://www.nrdc.org/globalWarming/default.asp is hosted by the Natural Resources Defense Council and has many useful articles.

Demography: http://www.prb.org/ is the site for the Population Reference Bureau that maintains an enormous store of information about population, urbanization, and demographics around the world.

Suggested Maps Prentice Hall Atlas of World History, Second Edition • Decolonization of Africa • Decolonization of South and Southeast Asia • The Pan-Islamic World • The Modern World • Palestine and Israel 1947–2007 • The United States in the 1960s: Protests and Urban Unrest • Global Warming 1976–2006

Suggested Films Afghan Nomads: The Maldar. American University Field Staff (21 minutes).

An Afghan Village–AQ Kuprik, Northern Afghanistan. American U. Field Staff (45 minutes).

Afghan Women. Film Library Holder (17 minutes).

Africa Awakens: Modern Nigeria. Atlantis Productions (23 minutes).

Africa: Change and Challenge. Cahill, Charles & Associates, Inc. (19 minutes).

Africa Changes: A Young Leader in A Young Nation. Business Education Films (14 minutes).

Africa: East African Aristocrats–Masai. Wayne State University (28 minutes).

Africa in Search of Itself. National Nine Network (53 minutes).

Africa: West Africa. National Educational Television (29 minutes).

An African City: Contrasting Cultures. Bailey Film Assoc. Educational Media (11 minutes).

An African Community: The Masai. Bailey Film Associates Educational Media (16 minutes).

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African Drought. Film Library Holder (29 minutes).

African Odyssey: The Two Worlds of Musembe. Albert Walker (15 minutes).

Africans All. Bryan, Julian (23 minutes).

Africa’s Defiant White Tribe. Films, Inc. (52 minutes).

Afrikaaner. British Broadcasting Corporation (40 minutes).

The Afrikaaner Experience: Politics of Exclusion. Learning Corp. of America (36 minutes).

Algeria. National Film Board of Canada (28 minutes).

Brazil. Coronet (13 minutes).

Brazil: The Gathering Millions. National Educational Television (60 minutes).

Brazil: The Rude Awakening. Columbia Broadcasting System (54 minutes).

Brazil: The Troubled Land. American Broadcasting Company (25 minutes).

Brazil: The Take–Off Point. National Educational Television (59 minutes).

Brazil: The Vanishing Negro. National Educational Television (30 minutes).

Cuba: Art and Revolution. British Broadcasting Corporation (46 minutes).

Cuba: Bay of Pigs. National Broadcasting Company (29 minutes).

Cuba: The Castro Generation. American Broadcasting Company (49 minutes).

Cuba: The Missile Crisis. National Broadcasting Company (54 minutes).

Argentina. National Educational Television (29 minutes).

Chile “Agrarian Reforms” Counter Point. University of Wisconsin Bureau of Audio Visual Instruction (41 minutes).

Chile and Argentina. Claiborne, William, Inc. (19 minutes).

Chile and Costa Rica. Universal Educational and Visual Arts (17 minutes).

Iran. Pyramid Films (18 minutes).

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Gandhi’s India. Time-Life (20 minutes).

The Story of Modern Egypt. Time-Life (20 minutes).

Problems of the Middle East. Atlantis Productions (22 minutes).

Let My People Go. Films, Inc. (54 minutes).

India: The Struggle for Food. Films, Inc. (19 minutes).

India: Writings on the Sand. National Educational Television (30 minutes).

Palestinians and the P.L.O. Anti–Defamation League of B’nai B’rith (28 minutes).

Mexico: Giant of Latin America. Lemont Films (23 minutes).

Mexico the Frozen Revolution. Tricontinental Film Center (60 minutes).

The Arab Identity: Who Are the Arabs? Yorkshire Television (30 minutes).

The Arab–Israeli Conflict. Atlantis Productions (20 minutes).

Egypt: The Struggle for Stability. Learning Corporation of America. 28 minutes).

Israel. Films, Inc. (13 minutes).

Israel—20th Century Miracle. G.B. Media (55 minutes).

The Story of A Continent, Africa. Home Vision Select (456 minutes).

Modern Meat. PBS Video (60 minutes).

The Oil Curse. FHS (57 minutes).

Mandela: Son of Africa, Father of a Nation. Palm Pictures (118 minutes).

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