Lumen Learning's Boundless World History

Boundless W orld History
1. The Study of History and the Rise

of Civiliz ation
1. The Study of History
1. Splitting History
2. Dates and Calendars
3. The Imperfect Historical Record
4. Historical Bias
5. Attributions
2. Precursors to Civilization
1. The Evolution of Humans
2. The Neolithic Revolution
3. Attributions
2. Ancient Mesopotamian Civiliz ations

1. The First Urban Civilizations
1. The Sumerians
2. The Assyrians
3. Attributions
2. Akkadian Empire
1. River V alley Civilizations
2. The Akkadian Empire
3. Ur
4. Attributions
3. Babylonia
1. Babylon
2. Hammurabi's Code
3. Babylonian Culture
4. Nebuchadnezzar and the Fall of Babylon
5. Attributions
3. Early Civiliz ations

1. Ancient Societies on the Mediterranean
1. The Hittites
2. The Phoenicians
3. The Minoans
4. Attributions
2. Ancient Africa
1. Sao
2. Ancient Carthage
3. Attributions
3. The Ancient Andes
1. The Caral Civilization
2. The Chavín Civilization
3. The V aldivia Culture
4. Attributions
4. Ancient Egypt
1. Introduction to Ancient Egypt
1. The Rise of Egyptian Civilization
2. Attributions
2. The Old Kingdom
1. The Old Kingdom
2. The First Intermediate Period
3. Attributions
3. The Middle Kingdom
1. The Middle Kingdom
2. The Second Intermediate Period
3. Attributions
4. The New Kingdom
1. The New Kingdom
2. Hatshepsut
3. The Third Intermediate Period
4. The Decline of Ancient Egypt
5. Attributions
5. Ancient Egyptian Society
1. Ancient Egyptian Religion
2. Ancient Egyptian Art
3. Ancient Egyptian Monuments
4. Ancient Egyptian Trade
5. Ancient Egyptian Culture
6. Attributions
6. Nubia and Ancient Egypt
1. Nubia and Ancient Culture
2. Attributions
5. Early Chinese Dynasties

1. The Mythical Period
1. The Mythical Period
2. The X ia Dynasty
3. Attributions
2. The Shang Dynasty
1. Introduction to the Shang Dynasty
2. Society Under the Shang Dynasty
3. Shang Religion
4. Advancements Under the Shang
5. Attributions
3. The Zhou Dynasty
1. The Mandate of Heaven
2. Society Under the Zhou Dynasty
3. Art Under the Zhou Dynasty
4. The Eastern Zhou Period
5. The Warring States Period
6. Chinese Philosophy
7. Attributions
4. The Qin Dynasty
1. The Qin Dynasty
2. Attributions
5. The Han Dynasty
1. The Rise of the Han Dynasty
2. The Silk Road
3. The Eastern Han Period
4. Invention of Paper
5. The Fall of the Han and the Three Kingdoms Period
6. Attributions
6. Early Civiliz ations in the Indian

Subcontinent
1. The Indus River V alley Civilizations
1. The Indus River V alley Civilization
2. Cities of the Indus V alley Civilization
3. Harappan Culture
4. Disappearance of the Indus V alley Civilization
5. Attributions
2. Indo-European Civilizations
1. The Indo-Aryan Migration and the V edic Period
2. The Caste System
3. Sanskrit
4. The V edas
5. Attributions
3. Religion in the Indian Subcontinent
1. The Rise of Hinduism
2. The Sramana Movement
3. Buddhism
4. Jainism
5. Attributions
4. The Persian Empire
1. The Achaemenid Empire
2. Government and Trade in the Achaemenid Empire
3. Zoroastrianism
4. Attributions
5. The Maurya Empire
1. Rise of the Maurya Empire
2. Expansion of the Maurya Empire
3. Centralization in the Maurya Empire
4. Ashoka's Conversion
5. Decline of the Maurya Empire
6. Attributions
6. The Kushan Empire
1. Expansion and Decline of the Kushan Empire
2. Attributions
7. The Gupta Empire
1. Rise of the Gupta Empire
2. The Golden Age of India
3. Decline of the Gupta Empire
4. Attributions
7. Ancient Greece and the Hellenistic

W orld
1. Early Periods in Greek History
1. Greek Dark Ages
2. Archaic Greece
3. The Rise of Classical Greece
4. Attributions
2. Sparta
1. Sparta
2. Culture in Classical Sparta
3. Attributions
3. The Persian Wars
1. The Persian Wars
2. Effects of the Persian Wars
3. Attributions
4. Athens
1. Athens
2. Athenian Society
3. Attributions
5. Culture in Classical Greece
1. Classical Greek Philosophy
2. Classical Greek Poetry and History
3. Classical Greek Theater
4. Classical Greek Architecture
5. Scientific Advancements in the Classical Period
6. Attributions
6. The Peloponnesian War
1. Introduction to the Peloponnesian War
2. Effects of the Peloponnesian War
3. Attributions
7. Macedonian Conquest
1. The Rise of the Macedon
2. Alexander the Great
3. Alexander's Empire
4. The Legacy of Alexander the Great
5. Attributions
8. The Roman W orld

1. The Etruscans
1. The Origins of Etruria
2. Etruscan Artifacts
3. Etruscan Religion
4. Attributions
2. Early Rome
1. The Founding of Rome
2. The Seven Kings
3. Early Roman Society
4. Attributions
3. The Roman Republic
1. The Establishment of the Roman Republic
2. Structure of the Republic
3. Roman Society Under the Republic
4. Art and Literature in the Roman Republic
5. Republican Wars and Conquest
6. Crises of the Republic
7. Attributions
4. The Roman Empire
1. Julius Caesar
2. Founding of the Roman Empire
3. The Pax Romana
4. The Julio-Claudian Emperors
5. The Last Julio-Claudian Emperors
6. Attributions
5. The Flavian Dynasty
1. The Flavian Dynasty
2. Military Achievements of the Flavians
3. Eruptions of V esuvius and Pompeii
4. Flavian Architecture
5. Fall of the Flavian Emperors
6. Attributions
6. Nerva-Antonine Dynasty
1. The Nerva-Antonine Dynasty
2. Military Successes of the Nerva-Antonine Dynasty
3. Art and Culture Under the Nerva-Antonines
4. Attributions
7. Christianity and the Late Roman Empire
1. Crises of the Roman Empire
2. Diocletian and the Tetrarchy
3. The Rise of Christianity
4. Constantine
5. The Shift East
6. The Decline and Fall of the Roman Empire
7. Attributions
9. The Byz antine Empire

1. Byzantium: The New Rome
1. Naming of the Byzantine Empire
2. The Eastern Roman Empire, Constantine the Great,
and Byzantium
3. Justinian and Theodora
4. The Justinian Code
5. Attributions
2. The Heraclian and Isaurian Dynasties
1. Emperor Heracluis
2. The Theme System
3. The Isaurian Dynasty
4. Iconoclasm in Byzantium
5. The Emperor Irene
6. Attributions
3. The Late Byzantine Empire
1. The Macedonian Dynasty
2. The Great Schism of 1054
3. The Byzantine-Bulgarian Wars
4. The Double Disasters
5. Crisis and Fragmentation
6. The Last Byzantine Dynasty
7. The Fall of Constantinople
8. Byzantium's Legacy
9. Attributions
10. The Rise and Spread of Islam

1. Pre-Islamic Arabia
1. The Nomadic Tribes of Arabia
2. Arabian Cities
3. Culture and Religion in Pre-Islamic Arabia
4. Women in Pre-Islamic Arabia
5. Attributions
2. Muhammad and the Rise of Islam
1. Early Life of Muhammad
2. The Quran
3. Flight from Mecca to Medina
4. Islam Ascendant
5. Attributions
3. The Umayyad and Abbasid Empires
1. Muhammad's Successors
2. Expansion Under the Umayyad Caliphates
3. Spread of Islam
4. The Islamic Golden Age
5. The Abbasid Empire
6. Attributions
11. The Middle Ages in Europe

1. The Germanic Tribes
1. The Germanic Tribes
2. Odoacer and the Fall of Rome
3. Theoderic the Great
4. The V ikings
5. Attributions
2. The Catholic Church
1. The Catholic Church
2. The Development of Papal Supremacy
3. The Rise of the Monasteries
4. The Western Schism
5. Attributions
3. The Carolingian Dynasty
1. The Coronation of 800 CE
2. The Rise of Charlemagne
3. Charlemagne's Reforms
4. Charles Martel and Pepin the Short
5. The End of the Carolingians
6. Attributions
4. The Holy Roman Empire
1. Rise of the Holy Roman Empire
2. Administration of the Empire
3. The Investiture Controversy
4. Attributions
5. The Development of England
1. The Anglo-Saxons
2. The Norman Invasion of 1066 CE
3. William the Conqueror's Rule
4. The Magna Carta
5. The Hundred Years' War
6. Attributions
6. The Crusades
1. The Crusades
2. The First Crusade
3. The Second Crusade
4. The Third Crusade
5. The Fourth Crusade
6. Attributions
7. Medieval Life
1. Feudalism
2. The Manor System
3. Trade and Commerce
4. Daily Medieval Life
5. Intellectual Life
6. Arts and Sciences
7. The Black Death
8. Attributions
12. The Development of Russia

1. The Princes of Rus
1. Rurik and the Foundation of Rus'
2. V ladimir I and Christianization
3. Yaroslav the Wise
4. The Mongol Threat
5. Ivan I and the Rise of Moscow
6. Attributions
2. The Grand Duchy of Moscow
1. The Formation of Russia
2. Ivan the Terrible
3. The Time of Troubles
4. The Romanovs
5. Attributions
13. The Mongol Empire

1. The Mongol Empire
1. Overview of the Mongol Empire
2. Attributions
2. Genghis Khan
1. Genghis Khan
2. Expansion Throughout Eastern Asia
3. Expansion Throughout Central and Western Asia
4. Attributions
3. The Mongol Empire After Genghis Khan
1. The Mongols in Eastern Europe
2. Administrative Reform in the Mongol Empire
3. Kublai Khan
4. Attributions
14. Chinese Dynasties

1. The Tang Dynasty
1. Rise of the Tang Dynasty
2. Trade Under the Tang Dynasty
3. Religion Under the Tang Dynasty
4. The Literati
5. Decline of the Tang Dynasty
6. Attributions
2. The Song Dynasty
1. Origins of the Song Dynasty
2. The Northern Song Era
3. The Southern Song Era
4. Culture Under the Song Dynasty
5. Technological Advancements under the Song
6. Attributions
3. The Yuan Dynasty
1. The Mongol Invasions
2. Trade and Currency under the Yuan
3. Decline of the Yuan Dynasty
4. Attributions
4. The Ming Dynasty
1. Rise of the Ming Dynasty
2. The Economy under the Ming Dynasty
3. The Role of Foreign Trade
4. Art under the Ming Dynasty
5. Fall of the Ming Dynasty
6. Attributions
15. African Civiliz ations

1. Early Africa
1. The Bantu Migration
2. Attributions
2. Northern Africa
1. Post-Byzantine Egypt
2. Islamic Conquest of the Maghreb
3. Nubia
4. Attributions
3. Central African Empires
1. Bornu Empire
2. Attributions
4. West African Empires
1. The Ghana Empire
2. Mali
3. Songhai
4. The Yoruba States
5. Attributions
5. East African Empires
1. Kingdom of Aksum
2. The Sultanates of Somalia
3. Ethiopia and Eritrea
4. Attributions
6. Southern African States
1. Namibia
2. Great Zimbabwe
3. The Swahili Culture
4. The Kingdoms of Madagascar
5. Attributions
16. Civiliz ations in the Americas

1. South American Civilizations
1. The Moche
2. The Nazca
3. The Sicán
4. Chimú
5. Attributions
2. The Inca
1. The Inca People
2. Administration of the Inca Empire
3. Religion in the Inca Empire
4. The Spanish Conquest
5. Attributions
3. Early Civilizations of Mexico and Mesoamerica
1. The Olmec
2. The Mixtec
3. Teotihuacan
4. The Zapotec
5. Attributions
4. The Maya
1. The Preclassic Period of the Maya
2. The Classic Period of the Maya
3. The Decline of the Maya
4. Attributions
5. The Toltecs and the Aztecs
1. The Toltecs
2. The Aztec People
3. Aztec Religion
4. The Aztec in the Colonial Period
5. Attributions
6. Native American Cultures in North America
1. Great Basin Culture
2. Pacific Coast Culture
3. Eastern Woodland Culture
4. Southwestern Culture
5. Mississippian Culture
6. Attributions
17. The Renaissance

1. The Renaissance
1. Introduction to the Renaissance
2. Attributions
2. Italy During the Renaissance
1. Italian Trade Cities
2. Italian Politics
3. The Church During the Italian Renaissance
4. Attributions
3. Humanist Thought
1. Petrarch
2. Humanism
3. Education and Humanism
4. Attributions
4. Art in the Renaissance
1. The Italian Renaissance
2. Art and Patronage
3. Leonardo da V inci
4. Michelangelo
5. Mannerism
6. Attributions
5. Literature in the Renaissance
1. The Rise of the V ernacular
2. Renaissance Writers
3. Christine de Pizan
4. Machiavelli
5. Attributions
6. The Northern Renaissance
1. Erasmus
2. The Printing Revolution
3. Flemish Painting in the Northern Renaissance
4. Attributions
18. The Rise of Nation-States

1. Nation-States and Sovereignty
1. Introduction to Nation-States
2. The Peace of Westphalia and Sovereignty
3. Attributions
2. Spain and Catholicism
1. The Reconquista
2. The Spanish Habsburgs
3. Philip II and the Spanish Armada
4. The Siglo de Oro
5. Attributions
3. England and Parliamentary Monarchy
1. Elizabeth I and English Patriotism
2. The First Stuarts and Catholicism
3. Charles I and the Power to Tax
4. Cromwell and the Roundheads
5. The English Protectorate
6. Restoration of the Stuarts
7. The Glorious Revolution
8. Attributions
4. France and Authoritarianism
1. France and Cardinal Richelieu
2. Cardinal Mazarin and the Fronde
3. The Sun-King and Authoritarianism
4. Louis X IV and the Huguenots
5. Louis X IV 's Wars
6. Attributions
5. War of Spanish Succession
1. The Question of Spanish Succession
2. William of Orange and the Grand Alliance
3. The Peace of Utrecht
4. Attributions
6. The Modernization of Russia
1. Peter the Great
2. The Westernization of Russia
3. Peter's Foreign Policy
4. Peter's Domestic Reforms
5. Attributions
19. The Age of Enlightenment

1. The Enlightenment
1. Introduction to the Enlightenment
2. Rationalism
3. Natural Rights
4. Attributions
2. The Age of Discovery
1. Europe's Early Trade Links
2. Portuguese Explorers
3. Spanish Exploration
4. England and the High Seas
5. French Explorers
6. Attributions
3. The Scientific Revolution
1. Roots of the Scientific Revolution
2. Physics and Mathematics
3. Astronomy
4. The Medical Renaissance
5. Attributions
4. Enlightenment Thinkers
1. Thomas Hobbes
2. John Locke
3. Baron de Montesquieu
4. V oltaire
5. Jean-Jacques Rousseau
6. Marquis de Condorcet
7. Mary Wollstonecraft
8. Attributions
20. The Protestant Reformation

1. Protestantism
1. Discontent with the Roman Catholic Church
2. Luther and Protestantism
3. Calvinism
4. The Anabaptists
5. The Anglican Church
6. The French Wars of Religion
7. The Witch Trials
8. Attributions
2. The Thirty Years' War
1. Religious Divide in the Holy Roman Empire
2. Bohemian Period
3. Danish Intervention
4. Swedish Intervention
5. Swedish-French Intervention
6. The Peace of Westphalia
7. Attributions
21. Enlightened Despots

1. The Age of Enlightenment
1. Enlightenment Ideals
2. Scientific Exploration
3. The Popularization of Science
4. Enlightened Despotism
5. Attributions
2. Frederick the Great and Prussia
1. The Hohenzollerns
2. Frederick the Great
3. Prussia Under Frederick the Great
4. The War of Austrian Succession
5. Attributions
3. The Holy Roman Empire
1. The Structure of the Holy Roman Empire
2. The Pragmatic Sanction
3. Empress Maria-Theresa
4. Joseph II and Domestic Reform
5. Attributions
4. The Seven Years' War
1. The Diplomatic Revolution
2. Events of the Seven Years' War
3. A Global War
4. The Treaty of Paris (1763)
5. Attributions
5. Catherine the Great and Russia
1. The Triumphs of Tsarina Elizabeth I
2. The Brief Reign of Peter III
3. From German Princess to Russian Tsarina
4. Catherine's Domestic Policies
5. Attributions
22. The French Revolution

1. France under Louis X V
1. Catherine's Foreign Policy Goals
2. Louis X V
3. The Ancien Regime
4. The Rise of the Nobility
5. France's Fiscal Woes
6. Taxes and the Three Estates
7. Territorial Losses
8. The American Revolution
9. Attributions
2. Louis X V I's Early Years
1. Louis X V I
2. Marriage to Marie-Antoinette
3. The New Royals and Their People
4. Efforts at Financial Reform
5. Attributions
3. The Beginning of Revolution
1. Calling the Estates-General
2. Establishment of the National Assembly
3. The Storming of the Bastille
4. The Declaration of the Rights of Man
5. The March on V ersailles
6. Attributions
4. Constitutional Monarchy
1. The Constitution of 1791
2. Politics within the Revolutionaries
3. Foreign Intervention
4. Louis X V I and Marie-Antoinette's Attempts to Escape
5. Attributions
5. The Reign of Terror
1. The Legislative Assembly
2. The First French Republic and Regicide
3. Robespierre and the Committee of Public Safety
4. The National Convention
5. The Thermidorian Reaction
6. Structure of the Directory
7. Napoleon's Rise to Power
8. Attributions
23. Napoleon
1. The Transition to Dictatorship
1. Napoleon's Upbringing
2. Napoleon's Military Record
3. Napoleon's Marriage to Josephine
4. The First Consul
5. Early Wars with Austria and Britain
6. Napoleon's Constitution
7. Napoleon's Government
8. Napoleon and the New World
9. The Concordat of 1801
10. The Napoleonic Code
11. Attributions
2. The French Empire
1. "Emperor of the French"
2. The Confederation of the Rhine
3. Abdication in Spain
4. Italy under Napoleon
5. The Continental System
6. Napoleon's Marriage to Marie-Louise
7. Attributions
3. Napoleon's Defeat
1. The Holy Alliance
2. Invasion of Russia
3. The Fall of Paris
4. Attributions
4. The 100 Days
1. Napoleon's Exile and Return to Power
2. Napoleon's Defeat at Waterloo
3. Attributions
24. Post-Napoleonic Europe

1. The Congress of V ienna
1. The Balance of Power
2. Participants of the Congress
3. Territorial Changes in Europe
4. Diplomatic Consequences of the Congress of V ienna
5. Attributions
2. France after 1815
1. Louis X V III and the Bourbon Restoration
2. Charles X and the July Revolution
3. The July Monarchy
4. The Second French Republic
5. Napoleon III
6. Attributions
3. Russia after Napoleon
1. Alexander I's Domestic Reforms
2. Territorial Gains Under Alexander I
3. The Decembrist Revolt
4. The Wars of Nicholas I
5. The Westerners and the Slavophiles
6. The 1861 Emancipation of the Serfs
7. Attributions
4. German Unification
1. The German Confederation
2. Toward a German Identity
3. The German Revolutions of 1848
4. Otto von Bismarck and the Franco-Prussian War
5. The German Empire
6. Attributions
25. The Industrial Revolution

1. The Agricultural Revolution
1. New Agricultural Practices
2. New Agricultural Tools
3. The Enclosure Act
4. Effects of the Agricultural Revolution
5. Attributions
2. Textile Manufacturing
1. The British Textile Industry
2. Technological Developments in Textiles
3. The First Factories
4. Attributions
3. Steam Power
1. Early Steam Engines
2. Boulton and Watt
3. The Spread of Steam Power
4. Attributions
4. Iron Making
1. The Shift to Coal
2. Changes to Iron Production
3. Steel Production
4. Attributions
5. Innovations in Transportation
1. Canals
2. The First Locomotives
3. Railways
4. Attributions
6. Social Change
1. The Factory System
2. Urbanization
3. Labor Conditions
4. Child Labor
5. Organized Labor
6. Attributions
26. Change in the Americas

1. The South American Revolutions
1. The Spread of Revolution
2. Simó n Bolívar
3. Gran Colombia
4. José de San Martín
5. Attributions
2. Brazilian Independence
1. Portugese Colonization of Brazil
2. Brazil's Exports
3. Constitutionalist Movement in Portugal
4. The Brazilian Empire
5. Attributions
3. The Mexican War of Independence
1. The Effect of Events in Europe on Mexico
2. Spanish Rule in Mexico
3. Indigenous Efforts Against Colonialism
4. The Hidalgo Revolt
5. Winning Independence
6. The Archduke Maximilian in Mexico
7. Attributions
4. North America
1. The Rising Power of the United States
2. The Monroe Doctrine
3. The Canadian Confederation
4. Attributions
27. European Imperialism in East Asia

1. The Last Chinese Dynasty
1. The Qing Dynasty
2. Society Under the Qing
3. The Qing Dynasty and the West
4. The Opium Wars
5. Anti-Qing Sentiment
6. The Boxer Rebellion
7. The Open Door Policy
8. Attributions
2. From the Edo Period to Meiji Restoration in Japan
1. The Edo Period
2. Isolationism in the Edo Period
3. Art and Culture in the Edo Period
4. The Meiji Restoration
5. The Meiji Constitution
6. Japan's Industrial Revolution
7. Japanese Militarization
8. Foreign Policy in the Meiji Period
9. Attributions
3. British India
1. The East India Trading Company
2. The British Raj
3. The "Civilising Mission"
4. The Great Uprising of 1857
5. The Economy in British India
6. The Indian National Congress
7. Calls for Independence
8. Attributions
4. Indochina
1. Pre-French Indochina
2. The French Protectorate in Indochina
3. Economic and Social Impacts of Imperialism in
Indochina
4. Resistance to French Rule
5. Attributions
28. The Scramble for Africa

1. The Berlin Conference
1. European Exploration of Africa
2. Involvement in Africa before 1884
3. European Consensus of Africa
4. "The General Act of the Conference"
5. Attributions
2. The Belgian Congo
1. Administration of the Belgian Congo
2. The Rubber Industry
3. Attributions
3. France in Africa
1. French West Africa
2. The Maghreb
3. French Efforts toward Assimilation
4. Attributions
4. Africa and the United Kingdom
1. Egypt under the British Influence
2. South Africa and the Boer Wars
3. Competition with France
4. Attributions
5. German Imperalism
1. Germany and the Desire for Colonies
2. Germany and the Herero
3. Attributions
6. The Independent African States
1. Liberia
2. Ethiopia
3. Attributions
29. W orld W ar I
1. The Century of Peace
1. The European Continent After V ienna
2. Diplomacy in the 19th Century
3. The World Fairs
4. Attributions
2. The Coming of War
1. The Sick Man of Europe
2. Militarism and Jingoism
3. The Balkan Powder Keg
4. Archduke Franz Ferdinand
5. Attributions
3. Events of World War I
1. The Alliances
2. The Schlieffen Plan
3. Early Battles
4. Trench Warfare
5. Attributions
4. The End of World War I
1. American Entry into WWI
2. The Treaty of Brest-Litovsk
3. The British Naval Blockade
4. The Hundred Days Offensive
5. Attributions
5. The Treaty of V ersailles
1. Diplomatic Goals at the Paris Peace Conference
2. Wilson's Fourteen Points
3. The Final Treaty
4. The League of Nations
5. Attributions
6. The First Modern War
1. New Technology in World War I
2. Total War
3. Attributions
30. The Interwar Period

1. Rebuilding Europe
1. Reparations
2. The Weimar Republic
3. Self-Determination and New States
4. The Kellogg-Briand Pact
5. Attributions
2. The Russian Revolution
1. The Russian Revolution of 1905
2. Rising Discontent in Russia
3. The Provisional Government
4. The October Revolution
5. The Russian Civil War
6. Formation of the Soviet Union
7. Attributions
3. The Great Depression
1. The Financial Crisis of the 1930s
2. Decline in International Trade
3. Attributions
4. The Rise of Fascism
1. Mussolini and Fascist Italy
2. Fascism
3. Fascism in Japan
4. Franco's Spain
5. The Decline of European Democracy
6. Attributions
5. Hitler and the Third Reich
1. Adolf Hitler
2. The Nazi Party
3. Hitler's Rise to Power
4. Antisemitism in Nazi Germany
5. Lebensraum and Anschluss
6. Attributions
31. W orld W ar II
1. Axis Powers
1. Hitler's Germany
2. Italy Under Mussolini
3. Japanese Expansion
4. Attributions
2. The Allied Powers
1. The USSR
2. France at the End of the Interwar Period
3. The United Kingdom and Appeasement
4. American Isolationism
5. Attributions
3. Hostilities Commence
1. September 1, 1939
2. German–Soviet Treaty of Friendship
3. Dunkirk and V ichy France
4. Attributions
4. The European Front
1. The Battle of Britain
2. Conflict in the Atlantic
3. Operation Barbarossa
4. The Holocaust
5. Attributions
5. The Pacific War
1. Pearl Harbor
2. The Battle of Midway
3. The Guadalcanal Campaign
4. Attributions
6. The Allies Gain Ground
1. The Battle of Stalingrad
2. The North African Front
3. The Sicilian Campaign
4. The Tehran Conference
5. Attributions
7. The End of the War
1. The Invasion of Normandy
2. The Yalta Conference
3. The Allied Push to Berlin
4. Okinawa and Iwo Jima
5. The Potsdam Conference
6. The Bombing of Hiroshima and Nagasaki
7. Attributions
8. Impact of War World II
1. Terms of Surrender
2. Casualties of World War II
3. The Atlantic Charter
4. The Universal Declaration of Human Rights
5. Attributions
32. The Cold W ar

1. The Beginning of the Cold War
1. Europe After World War II
2. The Long Telegram
3. The Iron Curtain
4. Attributions
2. Life in the USSR
1. Marxism-Leninism
2. The Soviet Socialist Republics
3. Culture of the Soviet Union
4. Famine and Oppression
5. Attributions
3. Containment
1. The Truman Doctrine
2. The Marshall Plan and Molotov Plan
3. The Berlin Blockade
4. NATO and the Warsaw Pact
5. Attributions
4. Competition between East and West
1. The Atomic Race
2. The Space Race
3. Influence Abroad
4. The Propaganda War
5. Attributions
5. Crisis Points of the Cold War
1. The 1956 Suez Crisis
2. The Hungarian Uprising
3. The Korean War
4. The Building of the Berlin Wall
5. The Cuban Missile Crisis
6. Attributions
33. Post-Colonial Africa

1. Independence in the Maghreb
1. French West Africa's Move Toward Independence
2. The Algerian War of Independence
3. Moroccan Independence
4. The Libyan Arab Republic
5. Attributions
2. The Democratic Republic of the Congo
1. Independence from Belgium
2. Lumumba and the Congo Crisis
3. Mobutu and Zaire
4. Cold War Politics in Zaire
5. Attributions
3. Zimbabwe
1. The Unilateral Declaration of Independence
2. The Bush War
3. Mugabe and the Republic of Zimbabwe
4. Attributions
4. South Africa
1. Imperialism in South Africa
2. The Union of South Africa
3. Apartheid
4. Attributions
5. Egypt
1. Egypt's First Revolution
2. British Involvement in Egypt Post-Independence
3. The Egyptian Revolution of 1952
4. The United Arab Republic
5. Sadat and Cold War Influences
6. Attributions
34. The Middle East after the Ottoman

Empire
1. The Ottoman Empire
1. Decline of the Ottoman Empire
2. European Influence on the Ottomans
3. Ataturk and Turkish Independence
4. The Armenian Genocide
5. Attributions
2. Partition of the Ottoman Empire
1. The Sykes-Picot Agreement
2. The United Kingdom in the Middle East
3. France in the Middle East
4. The Discovery of Oil in the Middle East
5. Attributions
3. Israel and Palestine
1. Zionism
2. The Partitioning of Palestine
3. The Jewish State
4. Palestinian Refugees
5. The Six-Day War
6. Attributions
4. The Monarchies of the Middle East
1. Saudi Arabia
2. Jordan
3. The Emirates of the Arabian Peninsula
4. OPEC
5. Attributions
5. Iran
1. Iran under the Shah
2. The Iranian Revolution
3. The Islamic Republic of Iran
4. The Iran-Iraq War
5. Attributions
6. Afghanistan
1. Afghanistan and the Cold War
2. Rise of Anti-Soviet Sentiment
3. The Soviet Invasion of Afghanistan
4. The United States and the Mujahideen
5. Emergence of Extremism
6. Attributions
35. East Asia after W orld W ar II

1. Communist China
1. The Republic of China
2. China in WWII
3. The Chinese Civil War
4. Chairman Mao and the People's Republic
5. The Cultural Revolution
6. The Sino-Soviet Split
7. Deng X iaoping and the Economic Reform
8. Taiwan's Precarious Position
9. Attributions
2. Japanese Recovery
1. The 1947 Japanese Constitution
2. Economic Growth after WWII
3. The American-Japanese Relationship
4. Japan and Reckoning with History
5. Attributions
3. The Koreas
1. Korea under Japanese Rule
2. Occupation by the US and USSR
3. The Outbreak of the Korean War
4. Foreign Intervention in Korea
5. A Divided Korea
6. Communism in the DPRK
7. South Korea's Economic Growth
8. Attributions
4. The Indian Subcontinent
1. The Indian Independence Movement
2. Partition and Religious Tensions
3. The Green Revolution
4. The World's Largest Democracy
5. India's Growing Economy
6. Kashmir and Territorial Disputes
7. Attributions
5. Indochina
1. France and Indochina
2. Independence in Indochina
3. The Geneva Agreements
4. The V ietnam War
5. Cambodia and the Khmer Rouge
6. Attributions
36. South America and Latin America

in the Cold W ar
1. Mexico
1. The Porfiriato
2. The Mexican Revolution
3. The National Revolutionary Party
4. The Mexican Economic Miracle
5. Art and Culture in 20th-Century Mexico
6. Attributions
2. Argentina
1. Argentina Before the Great Depression
2. The Infamous Decade
3. Peronism
4. National Reorganization and the Dirty War
5. Alfonsín's Presidency
6. Attributions
3. Chile
1. Chile's Presidential Era
2. Instability and Coups
3. Allende and Popular Unity
4. The Pinochet Years
5. The Chilean Constitution of 1988
6. Attributions
4. Brazil
1. The Old Republic
2. Years Under the Military Regime
3. Brazil's Growing Economy
4. Attributions
5. Conflict Across Latin America
1. Cuba and the Castros
2. The Guatemalan Civil War
3. From the Somozas to the Sandinistas in Nicaragua
4. Colombia and the FARC
5. Attributions
37. The Long Decade ( 198 9-2001)

1. European Unification
1. The European Coal and Steel Community
2. The European Economic Community
3. The European Union
4. Attributions
2. Fall of the Soviet Union
1. The Soviet Union's Aging Leadership
2. Gorbachev and Perestroika
3. Unrest in the Soviet Union
4. Fall of the Berlin Wall
5. Dissolution of the USSR
6. Attributions
3. Apartheid Repealed
1. Institutional Racism in South Africa
2. The African National Congress
3. Nelson Mandela and the African National Congress
4. Attributions
4. The Rwandan Genocide
1. Composition of the Rwandan Population
2. Imperialism and Racial Divisions
3. 100 Days of V iolence
4. Aftermath and Reconciliation in Rwanda
5. The Lack of International Response
6. Attributions
5. The Yugoslav War
1. Populations of the Former Yugoslavia
2. NATO and UN Intervention
3. The Bosnian War
4. Prosecution in the International Criminal Court
5. Attributions
6. Globalization
1. The Development of the Internet
2. Ease of Movement
3. International Trade
4. Globalization and Democracy
5. Attributions
38. The 21st Century

1. Europe in the 21st Century
1. Move to the Euro
2. Russian Aggression in Georgia and Ukraine
3. The Financial Crisis of 2008
4. Austerity Measures
5. The Refugee Crisis
6. The Future of the European Union
7. Attributions
2. The Middle East and North Africa in the 21st Century
1. Democracy and Authoritarianism in the Middle East
2. The Rise of Islamism
3. The Wars in Iraq and Afghanistan
4. The Arab Spring
5. The Syrian Civil War
6. The Iranian Nuclear Deal
7. Attributions
3. East Asia in the 21st Century
1. The Rising Economies of East Asia
2. Tensions in the South China Sea
3. The Koreas in the Modern Day
4. India under Modi
5. Attributions
4. Africa in the 21st Century
1. Sudan and the Conflict in Darfur
2. Nigeria and Boko Haram
3. Somalia's Challenges
4. South Africa's Economic Growth
5. Health Crises
6. Attributions
5. The Americas in the 21st Century
1. Brazil's Economic Success and Corruption Woes
2. V enezuela and Chavismo
3. Democracy in Chile and Argentina
4. Mexico's Transition to True Democracy
5. Drug Cartels
6. The United States in the 21st Century
7. Attributions
6. Global Concerns
1. The International Framework in the 21st Century
2. The Environment
3. Nuclear Proliferation
4. The Developing World
5. Reactions against Globalization
6. Attributions
1: The Study of History and the
Rise of Civiliz ation
1.1: The Study of History
1.1.1: Splitting History
Periodization—the process of categorizing the past into discrete,
quantified, named blocks of time in order to facilitate the study and
analysis of history—is always arbitrary and rooted in particular
regional perspectives, but serves to organize and systematize
historical knowledge.
Learning Objective
Analyze the complications inherent to splitting history for the purpose
of academic study
Key Points
The question of what kind of inquiries historians pose, what
knowledge they seek, and how they interpret the evidence that
they find remains controversial. Historians draw conclusions
from the past approaches to history but in the end, they always
write in the context of their own time, current dominant ideas of
how to interpret the past, and even subjective viewpoints.
All events that are remembered and preserved in some original
form constitute the historical record. The task of historians is to
identify the sources that can most usefully contribute to the
production of accurate accounts of the past. These sources,
known are primary sources or evidence, were produced at the
time under study and constitute the foundation of historical
inquiry.
Periodization is the process of categorizing the past into
discrete, quantified named blocks of time in order to facilitate the
study and analysis of history. This results in descriptive
abstractions that provide convenient terms for periods of time
with relatively stable characteristics. All systems of periodization
are arbitrary.
The common general split between prehistory, ancient history,
Middle Ages, modern history, and contemporary history is a
Western division of the largest blocks of time agreed upon by
Western historians. However, even within this largely accepted
division the perspective of specific national developments and
experiences often divides Western historians, as some
periodizing labels will be applicable only to particular regions.
The study of world history emerged as a distinct academic field
in order to examine history from a global perspective rather than
a solely national perspective of investigation. However, the field
still struggles with an inherently Western periodization.
World historians use a thematic approach to look for common
patterns that emerge across all cultures. World history's
periodization, as imperfect and biased as it is, serves as a way
to organize and systematize knowledge.
Key Terms
world history
(Also global history or transnational history): emerged as a

distinct academic field in the 1980s. It examines history from a
global perspective. World history should not be confused with
comparative history, which, like world history, deals with the
history of multiple cultures and nations, but does not do so on a
global scale. World history identifies common patterns that
emerge across all cultures.
periodization
The process or study of categorizing the past into discrete,

quantified named blocks of time in order to facilitate the study
and analysis of history. This results in descriptive abstractions
that provide convenient terms for periods of time with relatively
stable characteristics. However, determining the precise
beginning and ending to any period is usually arbitrary.
primary sources
Original sources of information about a topic. In the study of

history as an academic discipline, primary sources include
artifact, document, diary, manuscript, autobiography, recording,
or other source of information that was created at the time under
study.
How Do W e W rite History?

The word history comes ultimately from Ancient Greek historí a,
meaning "inquiry," "knowledge from inquiry," or "judge." However, the
question of what kind of inquiries historians pose, what knowledge
they seek, and how they interpret the evidence that they find remains
controversial. Historians draw conclusions from past approaches to
history, but in the end, they always write in the context of their own
time, current dominant ideas of how to interpret the past, and even
subjective viewpoints. Furthermore, current events and
developments often trigger which past events, historical periods, or
geographical regions are seen as critical and thus should be
investigated. Finally, historical studies are designed to provide
specific lessons for societies today. In the words of Benedetto Croce,
Italian philosopher and historian, "All history is contemporary
history."
All events that are remembered and preserved in some original form
constitute the historical record. The task of historians is to identify
the sources that can most usefully contribute to the production of
accurate accounts of the past. These sources, known are primary
sources or evidence, were produced at the time under study and
constitute the foundation of historical inquiry. Ideally, a historian will
use as many available primary sources as can be accessed, but in
practice, sources may have been destroyed or may not be available
for research. In some cases, the only eyewitness reports of an event
may be memoirs, autobiographies, or oral interviews taken years
later. Sometimes, the only evidence relating to an event or person in
the distant past was written or copied decades or centuries later.
Historians remain cautious when working with evidence recorded
years, or even decades or centuries, after an event; this kind of
evidence poses the question of to what extent witnesses remember
events accurately. However, historians also point out that hardly any
historical evidence can be seen as objective, as it is always a
product of particular individuals, times, and dominant ideas. This is
also why researchers try to find as many records of an event under
investigation as possible, and it is not unusual that they find
evidence that may present contradictory accounts of the same
events. In general, the sources of historical knowledge can be
separated into three categories: what is written, what is said, and
what is physically preserved. Historians often consult all three.
Periodiz ation
Periodization is the process of categorizing the past into discrete,
quantified, named blocks of time in order to facilitate the study and
analysis of history. This results in descriptive abstractions that
provide convenient terms for periods of time with relatively stable
characteristics. To the extent that history is continuous and cannot
be generalized, all systems of periodization are arbitrary. Moreover,
determining the precise beginning and ending to any period is also a
matter of arbitrary decisions. Eventually, periodizing labels are a
reflection of very particular cultural and geographical perspectives,
as well as specific subfields or themes of history (e.g., military
history, social history, political history, intellectual history, cultural
history, etc.). Consequently, not only do periodizing blocks inevitably
overlap, but they also often seemingly conflict with or contradict one
another. Some have a cultural usage (the Gilded Age), others refer
to prominent historical events (the inter-war years: 1918–1939), yet
others are defined by decimal numbering systems (the 1960s, the
17th century). Other periods are named after influential individuals
whose impact may or may not have reached beyond certain
geographic regions (the V ictorian Era, the Edwardian Era, the
Napoleonic Era).
W estern Historical Periods

The common general split between prehistory (before written
history), ancient history, Middle Ages, modern history, and
contemporary history (history within the living memory) is a Western
division of the largest blocks of time agreed upon by Western
historians and representing the Western point of view. For example,
the history of Asia or Africa cannot be neatly categorized following
these periods.
However, even within this largely accepted division, the perspective

of specific national developments and experiences often divides
Western historians, as some periodizing labels will be applicable
only to particular regions. This is especially true of labels derived
from individuals or ruling dynasties, such as the Jacksonian Era in
the United States, or the Merovingian Period in France. Cultural
terms may also have a limited, even if larger, reach. For example,
the concept of the Romantic period is largely meaningless outside of
Europe and European-influenced cultures; even within those areas,
different European regions may mark the beginning and the ending
points of Romanticism differently. Likewise, the 1960s, although
technically applicable to anywhere in the world according to
Common Era numbering, has a certain set of specific cultural
connotations in certain countries, including sexual revolution,
counterculture, or youth rebellion. However, those never emerged in
certain regions (e.g., in Spain under Francisco Franco's authoritarian
regime). Some historians have also noted that the 1960s, as a
descriptive historical period, actually began in the late 1950s and
ended in the early 1970s, because the cultural and economic
conditions that define the meaning of the period dominated
longer than the actual decade of the 1960s.
Petrarch by Andrea del Castagno.
Petrarch, Italian poet and thinker, conceived of the idea of a
European "Dark Age," which later evolved into the tripartite
periodization of Western history into Ancient, Middle Ages and
Modern.
While world history (also referred to as global history or transnational

history) emerged as a distinct academic field of historical study in the
1980s in order to examine history from a global perspective rather
than a solely national perspective of investigation, it still struggles
with an inherently Western periodization. The common splits used
when designing comprehensive college-level world history courses
(and thus also used in history textbooks that are usually divided into
volumes covering pre-modern and modern eras) are still a result of
certain historical developments presented from the perspective of
the Western world and particular national experiences. However,
even the split between pre-modern and modern eras is problematic
because it is complicated by the question of how history educators,
textbook authors, and publishers decide to categorize what is known
as the early modern era, which is traditionally a period between
Renaissance and the end of the Age of Enlightenment. In the end,
whether the early modern era is included in the first or the second
part of a world history course frequently offered in U.S. colleges is a
subjective decision of history educators. As a result, the same
questions and choices apply to history textbooks written and
published for the U.S. audience.
World historians use a thematic approach to identify common

patterns that emerge across all cultures, with two major focal points:
integration (how processes of world history have drawn people of the
world together) and difference (how patterns of world history reveal
the diversity of the human experiences). The periodization of world
history, as imperfect and biased as it is, serves as a way to organize
and systematize knowledge. Without it, history would be nothing
more than scattered events without a framework designed to help us
understand the past.
1.1.2: Dates and Calendars

While various calendars were developed and used across millennia,
cultures, and geographical regions, Western historical scholarship
has unified the standards of determining dates based on the
dominant Gregorian calendar.
Learning Objective
Compare and contrast different calendars and how they affect our
understanding of history
Key Points
The first recorded calendars date to the Bronze Age,
including the Egyptian and Sumerian calendars. A larger
number of calendar systems of the Ancient Near East became
accessible in the Iron Age and were based on the Babylonian
calendar. A great number of Hellenic calendars also developed
in Classical Greece and influenced calendars outside of the
immediate sphere of Greek influence, giving rise to the various
Hindu calendars, as well as to the ancient Roman calendar.
Despite various calendars used across millennia, cultures, and
geographical regions, Western historical scholarship has unified
the standards of determining dates based on the dominant
Gregorian calendar.
Julius Caesar effected drastic changes in the existing
timekeeping system. The New Year in 709 AUC began on
January first and ran over 365 days until December 31. Further
adjustments were made under Augustus, who introduced the
concept of the leap year in 737 AUC (4 CE). The resultant Julian
calendar remained in almost universal use in Europe until 1582.
The Gregorian calendar, also called the Western calendar and
the Christian calendar, is internationally the most widely used
civil calendar today. It is named after Pope Gregory X III, who
introduced it in October, 1582. The calendar was a refinement to
the Julian calendar, amounting to a 0.002% correction in the
length of the year.
While the European Gregorian calendar eventually dominated
the world and historiography, a number of other calendars have
shaped timekeeping systems that are still influential in some
regions of the world. These include the Islamic calendar, various
Hindu calendars, and the Mayan calendar.
A calendar era that is often used as an alternative naming of the
long-accepted anno Domini/before Christ system is Common
Era or Current Era, abbreviated CE. While both systems are an
accepted standard, the Common Era system is more neutral
and inclusive of a non-Christian perspective.
Key Terms
Mayan calendar
A system of calendars used in pre-Columbian Mesoamerica,

and in many modern communities in the Guatemalan highlands,
V eracruz, Oaxaca and Chiapas, Mexico. The essentials of it are
based upon a system that was in common use throughout the
region, dating back to at least the fifth century BCE. It shares
many aspects with calendars employed by other earlier
Mesoamerican civilizations, such as the Zapotec and Olmec,
and with contemporary or later calendars, such as the Mixtec
and Aztec calendars.
anno Domini
The Medieval Latin term, which means in the year of the

Lord but is often translated as in the year of our Lord. Dionysius
Exiguus, of Scythia Minor, introduced the system based on this
concept in 525, counting the years since the birth of Christ.
Islamic calendar
(Also Muslim calendar or Hijri calendar): A lunar calendar

consisting of 12 months in a year of 354 or 355 days. It is used
to date events in many Muslim countries (concurrently with the
Gregorian calendar), and is used by Muslims everywhere to
determine the proper days on which to observe the annual
fasting, to attend Haj j , and to celebrate other Islamic holidays
and festivals. The first year equals 622 CE, during which time
the emigration of Muhammad from Mecca to Medina, known as
the Hijra, occurred.
Gregorian calendar
(Also the Western calendar and the Christian calendar): A
calendar that is internationally the most widely used civil
calendar today. It is named after Pope Gregory X III, who
introduced it in October 1582. The calendar was a refinement to
the Julian calendar, amounting to a 0.002% correction in the
length of the year.
Julian calendar
A calendar introduced by Julius Caesar in 46 BCE (708 AUC),

which was a reform of the Roman calendar. It took effect in
45 BCE (AUC 709), shortly after the Roman conquest of Egypt.
It was the predominant calendar in the Roman world, most of
Europe, and in European settlements in the Americas and
elsewhere, until it was refined and gradually replaced by the
Gregorian calendar, promulgated in 1582 by Pope Gregory X III.
Calendars and W riting History

Methods of timekeeping can be reconstructed for the prehistoric
period from at least the Neolithic period. The natural units for
timekeeping used by most historical societies are the day, the solar
year, and the lunation. The first recorded calendars date to the
Bronze Age, and include the Egyptian and Sumerian calendars. A
larger number of calendar systems of the Ancient Near East became
accessible in the Iron Age and were based on the Babylonian
calendar. One of these was calendar of the Persian Empire, which in
turn gave rise to the Zoroastrian calendar, as well as the Hebrew
calendar.
A great number of Hellenic calendars were developed in Classical

Greece and influenced calendars outside of the immediate sphere of
Greek influence. These gave rise to the various Hindu calendars, as
well as to the ancient Roman calendar, which contained very ancient
remnants of a pre-Etruscan ten-month solar year. The Roman
calendar was reformed by Julius Caesar in 45 BCE. The Julian
calendar was no longer dependent on the observation of the new
moon, but simply followed an algorithm of introducing a leap day
every four years. This created a dissociation of the calendar month
from the lunation. The Gregorian calendar was introduced as a
refinement of the Julian calendar in 1582 and is today in worldwide
use as the de facto calendar for secular purposes.
Despite various calendars used across millennia, cultures, and

geographical regions, Western historical scholarship has unified the
standards of determining dates based on the dominant Gregorian
calendar. Regardless of what historical period or geographical areas
Western historians investigate and write about, they adjust dates
from the original timekeeping system to the Gregorian calendar.
Occasionally, some historians decide to use both dates: the dates
recorded under the original calendar used, and the date adjusted to
the Gregorian calendar, easily recognizable to the Western student
of history.
J ulian Calendar
The old Roman year had 304 days divided into ten months,
beginning with March. However, the ancient historian, Livy, gave
credit to the second ancient Roman king, Numa Pompilious, for
devising a calendar of twelve months. The extra months I anuarius
and Februarius had been invented, supposedly by Numa
Pompilious, as stop-gaps. Julius Caesar realized that the system
had become inoperable, so he effected drastic changes in the year
of his third consulship. The New Year in 709 AUC (ab urbe condita—
year from the founding of the City of Rome) began on January first
and ran over 365 days until December 31. Further adjustments were
made under Augustus, who introduced the concept of the leap year
in 737 AUC (4 CE). The resultant Julian calendar remained in almost
universal use in Europe until 1582. Marcus Terentius V arro
introduced the Ab urbe condita epoch, assuming a foundation of
Rome in 753 BCE. The system remained in use during the early
medieval period until the widespread adoption of the Dionysian era
in the Carolingian period. The seven-day week has a tradition
reaching back to the Ancient Near East, but the introduction of the
planetary week, which remains in modern use, dates to the Roman
Empire period.
Gregorian Calendar
The Gregorian calendar, also called the Western calendar and the
Christian calendar, is internationally the most widely used civil
calendar today. It is named after Pope Gregory X III, who introduced
it in October, 1582. The calendar was a refinement to the Julian
calendar, amounting to a 0.002% correction in the length of the year.
The motivation for the reform was to stop the drift of the calendar
with respect to the equinoxes and solstices—particularly the vernal
equinox, which set the date for Easter celebrations. Transition to the
Gregorian calendar would restore the holiday to the time of the year
in which it was celebrated when introduced by the early Church. The
reform was adopted initially by the Catholic countries of Europe.
Protestants and Eastern Orthodox countries continued to use the
traditional Julian calendar, and eventually adopted the Gregorian
reform for the sake of convenience in international trade. The last
European country to adopt the reform was Greece in 1923.
The first page of the papal bull " Inter
Gravissimas" by which Pope Gregory
X III introduced his calendar.
During the period between 1582, when the first countries adopted
the Gregorian calendar, and 1923, when the last European country
adopted it, it was often necessary to indicate the date of some event
in both the Julian calendar and in the Gregorian calendar. Even
before 1582, the year sometimes had to be double dated because of
the different beginnings of the year in various countries.
Calendars Outside of Europe
While the European Gregorian calendar eventually dominated the
world and historiography, a number of other calendars have shaped
timekeeping systems that are still influential in some regions of the
world. The Islamic calendar determines the first year in 622 CE,
during which the emigration of Muhammad from Mecca to Medina,
known as the Hijra, occurred. It is used to date events in many
Muslim countries (concurrently with the Gregorian calendar), and is
used by Muslims everywhere to determine the proper days on which
to observe and celebrate Islamic religious practices (e.g., fasting),
holidays, and festivals.
V arious Hindu calendars developed in the medieval period with

Gupta era astronomy as their common basis. Some of the more
prominent regional Hindu calendars include the Nepali calendar,
Assamese calendar, Bengali calendar, Malayalam calendar, Tamil
calendar, the V ikrama Samvat (used in Northern India), and
Shalivahana calendar. The common feature of all regional Hindu
calendars is that the names of the twelve months are the same
(because the names are based in Sanskrit) although the spelling and
pronunciation have come to vary slightly from region to region over
thousands of years. The month that starts the year also varies from
region to region. The Buddhist calendar and the traditional lunisolar
calendars of Cambodia, Laos, Myanmar, Sri Lanka, and Thailand are
also based on an older version of the Hindu calendar.
Of all the ancient calendar systems, the Mayan and other

Mesoamerican systems are the most complex. The Mayan calendar
had two years, the 260-day Sacred Round, or tzolkin, and the 365-
day V ague Year, or haab. The essentials of the Mayan calendar are
based upon a system that was in common use throughout the
region, dating back to at least the fifth century BCE. It shares many
aspects with calendars employed by other earlier Mesoamerican
civilizations, such as the Zapotec and Olmec, and contemporary or
later ones, such as the Mixtec and Aztec calendars. The Mayan
calendar is still used in many modern communities in the
Guatemalan highlands, V eracruz, Oaxaca and Chiapas, Mexico.
Islamic Calendar stamp issued at King

Khaled airport ( 10 Rajab 1428 / 24 J uly
2007 )
The first year was the Islamic year beginning in AD 622, during
which the emigration of Muhammad from Mecca to Medina, known
as the Hijra, occurred. Each numbered year is designated either "H"
for Hij ra or "AH" for the Latin Anno Hegirae ("in the year of the
Hijra"). Hence, Muslims typically call their calendar the Hijri calendar.
Anno Domini v. Common Era

The terms anno Domini (AD) and before Christ (BC) are used to
label or number years in the Julian and Gregorian calendars. The
term anno Domini is Medieval Latin, which means in the year of the
Lord, but is often translated as in the year of our Lord. It is
occasionally set out more fully as anno Domini nostri I esu (or J esu
Christi ("in the year of Our Lord Jesus Christ"). Dionysius Exiguus of
Scythia Minor introduced the AD system in AD 525, counting the
years since the birth of Christ. This calendar era is based on the
traditionally recognized year of the conception or birth of Jesus of
Nazareth, with AD counting years after the start of this epoch and
BC denoting years before the start of the era. There is no year zero
in this scheme, so the year AD 1 immediately follows the year 1 BC.
This dating system was devised in 525, but was not widely used until
after 800.
A calendar era that is often used as an alternative naming of the

anno Domini is Common Era or Current Era, abbreviated CE. The
system uses BCE as an abbreviation for "before the Common (or
Current) Era." The CE/BCE designation uses the same numeric
values as the AD/BC system so the two notations (CE/BCE and
AD/BC) are numerically equivalent. The expression "Common Era"
can be found as early as 1708 in English and traced back to Latin
usage among European Christians to 1615, as vulgaris aerae, and to
1635 in English as V ulgar Era. Since the later 20th century, the use
of CE and BCE have been popularized in academic and scientific
publications, and more generally by authors and publishers wishing
to emphasize secularism or sensitivity to non-Christians, because
the system does not explicitly make use of religious titles for Jesus,
such as "Christ" and Dominus ("Lord"), which are used in the BC/AD
notation, nor does it give implicit expression to the Christian
creed that Jesus is the Christ. While both systems are thus an
accepted standard, the CE/BCE system is more neutral and
inclusive of a non-Christian perspective.
1.1.3: The Imperfect Historical Record

While some primary sources are considered more reliable or
trustworthy than others, hardly any historical evidence can be seen
as fully objective since it is always a product of particular individuals,
times, and dominant ideas.
Learning Objective
Explain the consequences of the imperfect historical record
Key Points
In the study of history as an academic discipline, a primary
source is an artifact, document, diary, manuscript,
autobiography, recording, or other source of information that
was created at the time under study.
History as an academic discipline is based on primary sources,
as evaluated by the community of scholars for whom primary
sources are absolutely fundamental to reconstructing the past.
Ideally, a historian will use as many primary sources that were
created during the time under study as can be accessed. In
practice however, some sources have been destroyed, while
others are not available for research.
While some sources are considered more reliable or trustworthy
than others, historians point out that hardly any historical
evidence can be seen as fully objective since it is always a
product of particular individuals, times, and dominant ideas.
Historical method comprises the techniques and guidelines by
which historians use primary sources and other evidence
(including the evidence of archaeology) to research and write
historical accounts of the past.
Primary sources may remain in private hands or are located in
archives, libraries, museums, historical societies, and special
collections. Traditionally, historians attempt to answer historical
questions through the study of written documents and oral
accounts. They also use such sources as monuments,
inscriptions, and pictures. In general, the sources of historical
knowledge can be separated into three categories: what is
written, what is said, and what is physically preserved.
Historians often consult all three.
Historians use various strategies to reconstruct the past when
facing a lack of sources, including collaborating with experts
from other academic disciplines, most notably archaeology.
Key Terms
historical method
A scholarly method that comprises the techniques and

guidelines by which historians use primary sources and other
evidence (including the evidence of archaeology) to research
and write historical accounts of the past.
primary source
In the study of history as an academic discipline, an artifact,

document, diary, manuscript, autobiography, recording, or other
source of information that was created at the time under study. It
serves as an original source of information about the topic.
secondary source
A document or recording that relates or discusses information

originally found in a primary source. It contrasts with a primary
source, which is an original source of the information being
discussed; a primary source can be a person with direct
knowledge of a situation, or a document created by such a
person. A secondary source involves generalization, analysis,
synthesis, interpretation, or evaluation of the original
information.
Primary Sources
In the study of history as an academic discipline, a primary source
(also called original source or evidence) is an artifact, document,
diary, manuscript, autobiography, recording, or other source of
information that was created at the time under study. It serves as an
original source of information about the topic. Primary sources are
distinguished from secondary sources, which cite, comment on, or
build upon primary sources. In some cases, a secondary source may
also be a primary source, depending on how it is used. For example,
a memoir would be considered a primary source in research
concerning its author or about his or her friends characterized within
it, but the same memoir would be a secondary source if it were used
to examine the culture in which its author lived. "Primary" and
"secondary" should be understood as relative terms, with sources
categorized according to specific historical contexts and what is
being studied.
Using Primary Sources: Historical

Method
History as an academic discipline is based on primary sources, as
evaluated by the community of scholars for whom primary sources
are absolutely fundamental to reconstructing the past. Ideally, a
historian will use as many primary sources that were created by the
people involved at the time under study as can be accessed. In
practice however, some sources have been destroyed, while others
are not available for research. In some cases, the only eyewitness
reports of an event may be memoirs, autobiographies, or oral
interviews taken years later. Sometimes, the only evidence relating
to an event or person in the distant past was written or copied
decades or centuries later. Manuscripts that are sources for classical
texts can be copies or fragments of documents. This is a common
problem in classical studies, where sometimes only a summary of a
book or letter, but not the actual book or letter, has survived. While
some sources are considered more reliable or trustworthy than
others (e.g., an original government document containing information
about an event vs. a recording of a witness recalling the same event
years later), historians point out that hardly any historical evidence
can be seen as fully objective as it is always a product of particular
individuals, times, and dominant ideas. This is also why researchers
try to find as many records of an event under investigation as
possible, and attempt to resolve evidence that may present
contradictory accounts of the same events.
This wall painting ( known as The
p ortrait of Paq uius Proculo and
currently preserved at the Naples
National Archaeological Museum) was
found in the Roman city of
Pompeii and serves as a complex
ex ample of a primary source.
The fresco would not tell much to historians without corresponding
textual and archaeological evidence that helps to establish who the
portrayed couple might have been. The man wears a toga, the mark
of a Roman citizen, and holds a rotulus, suggesting he is involved in
public and/or cultural affairs. The woman holds a stylus and wax
tablet, emphasizing that she is educated and literate. It is suspected,
based on the physical features of the couple, that they are Samnites,
which may explain the desire to show off the status they have
reached in Roman society.
Historical method comprises the techniques and guidelines by which

historians use primary sources and other evidence (including the
evidence of archaeology) to research and write historical accounts of
the past. Historians continue to debate what aspects and practices of
investigating primary sources should be considered, and what
constitutes a primary source when developing the most effective
historical method. The question of the nature, and even the
possibility, of a sound historical method is so central that it has been
continuously raised in the philosophy of history as a question of
epistemology.
Finding Primary Sources

Primary sources may remain in private hands or are located in
archives, libraries, museums, historical societies, and special
collections. These can be public or private. Some are affiliated with
universities and colleges, while others are government entities.
Materials relating to one area might be spread over a large number
of different institutions. These can be distant from the original source
of the document. For example, the Huntington Library in California
houses a large number of documents from the United Kingdom.
While the development of technology has resulted in an increasing
number of digitized sources, most primary source materials are not
digitized and may only be represented online with a record or finding
aid.
Traditionally, historians attempt to answer historical questions

through the study of written documents and oral accounts. They also
use such sources as monuments, inscriptions, and pictures. In
general, the sources of historical knowledge can be separated into
three categories: what is written, what is said, and what is physically
preserved. Historians often consult all three. However, writing is the
marker that separates history from what comes before.
Archaeology is one discipline that is especially helpful to historians.
By dealing with buried sites and objects, it contributes to the
reconstruction of the past. However, archaeology is constituted by a
range of methodologies and approaches that are independent from
history. In other words, archaeology does not "fill the gaps" within
textual sources but often contrasts its conclusions against those of
contemporary textual sources.
Archaeology also provides an illustrative example of how historians

can be helped when written records are missing. Unearthing artifacts
and working with archaeologists to interpret them based on the
expertise of a particular historical era and cultural or geographical
area is one effective way to reconstruct the past. If written records
are missing, historians often attempt to collect oral accounts of
particular events, preferably by eyewitnesses, but sometimes,
because of the passage of time, they are forced to work with the
following generations. Thus, the question of the reliability of oral
history has been widely debated.
When dealing with many government records, historians usually

have to wait for a specific period of time before documents are
declassified and available to researchers. For political reasons,
many sensitive records may be destroyed, withdrawn from
collections, or hidden, which may also encourage researchers to rely
on oral histories. Missing records of events, or processes that
historians believe took place based on very fragmentary evidence,
forces historians to seek information in records that may not be a
likely sources of information. As archival research is always time-
consuming and labor-intensive, this approach poses the risk of never
producing desired results, despite the time and effort invested in
finding informative and reliable resources. In some cases, historians
are forced to speculate (this should be explicitly noted) or simply
admit that we do not have sufficient information to reconstruct
particular past events or processes.
1.1.4: Historical Bias

Biases have been part of historical investigation since the ancient
beginnings of the discipline. While more recent scholarly practices
attempt to remove earlier biases from history, no piece of historical
scholarship can be fully free of biases.
Learning Objective
Identify some examples of historical bias
Key Points
Regardless of whether they are conscious or learned implicitly
within cultural contexts, biases have been part of historical
investigation since the ancient beginnings of the discipline. As
such, history provides an excellent example of how biases
change, evolve, and even disappear.
Early attempts to make history an empirical, objective discipline
(most notably by V oltaire) did not find many followers.
Throughout the 18th and 19th centuries, European historians
only strengthened their biases. As Europe gradually dominated
the world through the self-imposed mission to colonize nearly all
the other continents, Eurocentrism prevailed in history.
Even within the Eurocentric perspective, not all Europeans were
equal; Western historians largely ignored aspects of history,
such as class, gender, or ethnicity. Until the rapid development
of social history in the 1960s and 1970s, mainstream Western
historical narratives focused on political and military history,
while cultural or social history was written mostly from the
perspective of the elites.
The biased approach to history-writing transferred also to
history-teaching. From the origins of national mass schooling
systems in the 19th century, the teaching of history to promote
national sentiment has been a high priority. History textbooks in
most countries have been tools to foster nationalism and
patriotism and to promote the most favorable version of national
history.
Germany attempts to be an example of how to remove
nationalistic narratives from history education. The history
curriculum in Germany is characterized by a transnational
perspective that emphasizes the all-European heritage,
minimizes the idea of national pride, and fosters the notion of
civil society centered on democracy, human rights, and peace.
Despite progress and increased focus on groups that have been
traditionally excluded from mainstream historical narratives
(people of color, women, the working class, the poor, the
disabled, LGBTQI-identified people, etc.), bias remains a
component of historical investigation.
Key Term
Eurocentrism
The practice of viewing the world from a European or generally

Western perspective with an implied belief in the pre-eminence
of Western culture. It may also be used to describe a view
centered on the history or eminence of white people. The term
was coined in the 1980s, referring to the notion of European
exceptionalism and other Western equivalents, such as
American exceptionalism.
Bias in Historical W riting

Bias is an inclination or outlook to present or hold a partial
perspective, often accompanied by a refusal to consider the possible
merits of alternative points of view. Regardless of whether conscious
or learned implicitly within cultural contexts, biases have been part of
historical investigation since the ancient beginnings of the discipline.
As such, history provides an excellent example of how biases
change, evolve, and even disappear.
History as a modern academic discipline based on empirical
methods (in this case, studying primary sources in order to
reconstruct the past based on available evidence), rose to
prominence during the Age of Enlightenment. V oltaire, a French
author and thinker, is credited to have developed a fresh outlook on
history that broke from the tradition of narrating diplomatic and
military events and emphasized customs, social history (the history
of ordinary people) and achievements in the arts and sciences. His
Essay on Customs traced the progress of world civilization in a
universal context, thereby rejecting both nationalism and the
traditional Christian frame of reference. V oltaire was also the first
scholar to make a serious attempt to write the history of the world,
eliminating theological frameworks and emphasizing economics,
culture, and political history. He was the first to emphasize the debt
of medieval culture to Middle Eastern civilization. Although he
repeatedly warned against political bias on the part of the historian,
he did not miss many opportunities to expose the intolerance and
frauds of the Catholic Church over the ages— a topic that was
V oltaire's life-long intellectual interest.
V oltaire's early attempts to make history an empirical, objective

discipline did not find many followers. Throughout the 18th and 19th
centuries, European historians only strengthened their biases. As
Europe gradually benefited from the ongoing scientific progress and
dominated the world in the self-imposed mission to colonize nearly
all other continents, Eurocentrism prevailed in history. The practice
of viewing and presenting the world from a European or generally
Western perspective, with an implied belief in the pre-eminence of
Western culture, dominated among European historians who
contrasted the progressively mechanized character of European
culture with traditional hunting, farming and herding societies in
many of the areas of the world being newly conquered and
colonized. These included the Americas, Asia, Africa and, later, the
Pacific and Australasia. Many European writers of this time
construed the history of Europe as paradigmatic for the rest of the
world. Other cultures were identified as having reached a stage that
Europe itself had already passed: primitive hunter-gatherer, farming,
early civilization, feudalism and modern liberal-capitalism. Only
Europe was considered to have achieved the last stage. With this
assumption, Europeans were also presented as racially superior,
and European history as a discipline became essentially the history
of the dominance of white peoples.
However, even within the Eurocentric perspective, not all Europeans

were equal; Western historians largely ignored aspects of history,
such as class, gender, or ethnicity. Until relatively recently
(particularly the rapid development of social history in the 1960s and
1970s), mainstream Western historical narratives focused on political
and military history, while cultural or social history was written mostly
from the perspective of the elites. Consequently, what was in fact an
experience of a selected few (usually white males of upper classes,
with some occasional mentions of their female counterparts), was
typically presented as the illustrative experience of the entire society.
In the United States, some of the first to break this approach were
African American scholars who at the turn of the 20th century wrote
histories of black Americans and called for their inclusion in the
mainstream historical narrative.
The title page to The Historians'
History of the World: A
C om p rehensive Narrative of the R ise
and D evelop m ent of Nations as
R ecorded by over two thousand of the
Great Writers of all A ges, 1907 .
The Historians' History of the W orld is a 25-volume encyclopedia of
world history originally published in English near the beginning of the
20th century. It is quite extensive but its perspective is entirely
Western Eurocentric. For example, while four volumes focus on the
history of England (with Scotland and Ireland included in one of
them), "Poland, the Balkans, Turkey, minor Eastern states, China,
Japan" are all described in one volume. It was compiled by Henry
Smith Williams, a medical doctor and author, as well as other
authorities on history, and published in New York in 1902 by
Encyclopæ dia Britannica and the Outlook Company.
Bias in the Teaching of History

The biased approach to historical writing is present in the teaching of
history as well. From the origins of national mass schooling systems
in the 19th century, the teaching of history to promote national
sentiment has been a high priority. Until today, in most countries
history textbook are tools to foster nationalism and patriotism and
promote the most favorable version of national history. In the United
States, one of the most striking examples of this approach is the
continuous narrative of the United States as a state established on
the principles of personal liberty and democracy. Although aspects of
U.S. history, such as slavery, genocide of American Indians, or
disfranchisement of the large segments of the society for decades
after the onset of the American statehood, are now taught in most
(yet not all) American schools, they are presented as marginal in the
larger narrative of liberty and democracy.
In many countries, history textbooks are sponsored by the national

government and are written to put the national heritage in the most
favorable light, although academic historians have often fought
against the politicization of the textbooks, sometimes with success.
Interestingly, the 21st-century Germany attempts to be an example
of how to remove nationalistic narratives from history education. As
the 20th-century history of Germany is filled with events and
processes that are rarely a cause of national pride, the history
curriculum in Germany (controlled by the 16 German states) is
characterized by a transnational perspective that emphasizes the all-
European heritage, minimizes the idea of national pride, and fosters
the notion of civil society centered on democracy, human rights, and
peace. Yet, even in the rather unusual German case, Eurocentrism
continues to dominate.
The challenge to replace national, or even nationalist, perspectives

with a more inclusive transnational or global view of human history is
also still very present in college-level history curricula. In the United
States after World War I, a strong movement emerged at the
university level to teach courses in Western Civilization with the aim
to give students a common heritage with Europe. After 1980,
attention increasingly moved toward teaching world history or
requiring students to take courses in non-western cultures. Yet, world
history courses still struggle to move beyond the Eurocentric
perspective, focusing heavily on the history of Europe and its links to
the United States.
Despite all the progress and much more focus on the groups that
have been traditionally excluded from mainstream historical
narratives (people of color, women, the working class, the poor, the
disabled, LGBTQI-identified people, etc.), bias remains a component
of historical investigation, whether it is a product of nationalism,
author's political views, or an agenda-driven interpretation of
sources. It is only appropriate to state that the present world history
book, while written in accordance with the most recent scholarly and
educational practices, has been written and edited by authors trained
in American universities and published in the United States. As such,
it is also not free from both national (U.S.) and individual (authors')
biases.
Attributions
Splitting History
"Periodization." https://en.wikipedia.org/wiki/Periodization.
Wikipedia CC BY-SA 3.0.
"World history." https://en.wikipedia.org/wiki/World_history.
"History." https://en.wikipedia.org/wiki/History. Wikipedia CC
BY-SA 3.0.
"Primary source."
https://en.wikipedia.org/wiki/Primary_source. Wikipedia CC
BY-SA 3.0.
"Historical method."
https://en.wikipedia.org/wiki/Historical_method. Wikipedia
CC BY-SA 3.0.
"Early modern period."
https://en.wikipedia.org/wiki/Early_modern_period.
"Petrarch_by_Bargilla.jpg."
https://en.wikipedia.org/wiki/Periodization# /media/File:Petra
rch_by_Bargilla.jpg. Wikipedia Public domain.
Dates and Calendars
"Julian calendar."
https://en.wikipedia.org/wiki/Julian_calendar. Wikipedia CC
BY-SA 3.0.
"Gregorian calendar."
https://en.wikipedia.org/wiki/Gregorian_calendar. Wikipedia
CC BY-SA 3.0.
"Anno Domini." https://en.wikipedia.org/wiki/Anno_Domini.
"Maya calendar."
https://en.wikipedia.org/wiki/Maya_calendar. Wikipedia CC
BY-SA 3.0.
"Calendar." https://en.wikipedia.org/wiki/Calendar.
"ab urbe condita."
https://en.wikipedia.org/wiki/Ab_urbe_condita. Wikipedia
CC BY-SA 3.0.
"Common Era." https://en.wikipedia.org/wiki/Common_Era.
"Islamic calendar."
https://en.wikipedia.org/wiki/Islamic_calendar. Wikipedia
CC BY-SA 3.0.
"History of calendars."
https://en.wikipedia.org/wiki/History_of_calendars.
"King_Khaled_airport_exit_stamp.jpg."
https://en.wikipedia.org/wiki/Islamic_calendar# /media/File:K
ing_Khaled_airport_exit_stamp.jpg. Wikipedia CC BY-SA
3.0.
"Inter-grav.jpg."
https://en.wikipedia.org/wiki/Gregorian_calendar# /media/Fil
e:Inter-grav.jpg. Wikipedia Public domain.
The Imperfect Historical Record
"Portrait of Paquius Proculo."
https://en.wikipedia.org/wiki/Portrait_of_Paquius_Proculo.
BY-SA 3.0.
"Primary source."
https://en.wikipedia.org/wiki/Primary_source. Wikipedia CC
BY-SA 3.0.
"Historical method."
https://en.wikipedia.org/wiki/Historical_method. Wikipedia
CC BY-SA 3.0.
"Secondary source."
https://en.wikipedia.org/wiki/Secondary_source. Wikipedia
CC BY-SA 3.0.
"Pompeii-couple.jpg."
https://en.wikipedia.org/wiki/Primary_source# /media/File:Po
mpeii-couple.jpg. Wikipedia Public domain.
Historical Bias
"Social history." https://en.wikipedia.org/wiki/Social_history.
"Bias." https://en.wikipedia.org/wiki/Bias. Wikipedia CC BY-
SA 3.0.
BY-SA 3.0.
"V oltaire." https://en.wikipedia.org/wiki/V oltaire# History.
"Eurocentrism." https://en.wikipedia.org/wiki/Eurocentrism.
"The Historians' History of the World."
https://en.wikipedia.org/wiki/The_Historians%27_History_of
_the_World. Wikipedia CC BY-SA 3.0.
"800px-The_Historians'_History_of_the_World_-
_Title_Page.jpg."
https://en.wikipedia.org/wiki/History# /media/File:The_Histori
ans%27_History_of_the_World_-_Title_Page.jpg. Wikipedia
Public domain.
1.2: Precursors to Civiliz ation
1.2.1: The Evolution of Humans
Human evolution is an ongoing and complex process that began
seven million years ago.
Learning Objective
To understand the process and timeline of human evolution
Key Points
Humans began to evolve about seven million years ago, and
progressed through four stages of evolution. Research shows
that the first modern humans appeared 200,000 years ago.
Neanderthals were a separate species from humans. Although
they had larger brain capacity and interbred with humans, they
eventually died out.
A number of theories examine the relationship between
environmental conditions and human evolution.
The main human adaptations have included bipedalism, larger
brain size, and reduced sexual dimorphism.
Key Terms
aridity hypothesis
The theory that the savannah was expanding due to

increasingly arid conditions, which then drove hominin
adaptation.
turnover pulse hypothesis
The theory that extinctions due to environmental conditions hurt

specialist species more than generalist ones, leading to greater
evolution among specialists.
Red Queen hypothesis
The theory that species must constantly evolve in order to

compete with co-evolving animals around them.
encephalization
An evolutionary increase in the complexity and/or size of the

brain.
sexual dimorphism
Differences in size or appearance between the sexes of an

animal species.
social brain hypothesis
The theory that improving cognitive capabilities would allow

hominins to influence local groups and control resources.
Toba catastrophe theory
The theory that there was a near-extinction event for early

humans about 70,000 years ago.
savannah hypothesis
The theory that hominins were forced out of the trees they lived
in and onto the expanding savannah; as they did so, they began
walking upright on two feet.
hominids
A primate of the family Hominidae that includes humans and
their fossil ancestors.
bipedal
Describing an animal that uses only two legs for walking.
Human evolution began with primates. Primate development

diverged from other mammals about 85 million years ago. V arious
divergences among apes, gibbons, orangutans occurred during this
period, with Homini (including early humans and chimpanzees)
separating from G orillini (gorillas) about 8 millions years ago.
Humans and chimps then separated about 7.5 million years ago.
Skeletal structure of humans and

other primates.
A comparison of the skeletal structures of gibbons, humans,
chimpanzees, gorillas and orangutans.
Generally, it is believed that hominids first evolved in Africa and then

migrated to other areas. There were four main stages of human
evolution. The first, between four and seven million years ago,
consisted of the proto hominins Sahelanthropus, Orrorin and
Ardipithecus. These humans may have been bipedal, meaning they
walked upright on two legs. The second stage, around four million
years ago, was marked by the appearance of Australopithecus, and
the third, around 2.7 million years ago, featured Paranthropus.
The fourth stage features the genus Homo, which existed between
1.8 and 2.5 million years ago. Homo habilis, which used stone tools
and had a brain about the size of a chimpanzee, was an early
hominin in this period. Coordinating fine hand movements needed
for tool use may have led to increasing brain capacity. This was
followed by Homo erectus and Homo ergaster, who had double the
brain size and may have been the first to control fire and use more
complex tools. Homo heidelbergensis appeared about 800,000 years
ago, and modern humans, Homo sapiens, about 200,000 years ago.
Humans acquired symbolic culture and language about 50,000 years
ago.
Comparison of skull features among
early humans.
A comparison of Homo habilis, Homo erectus, Homo floresiensis and
Homo naledi skull features.
Homo habilis has a rounded occipital, no transverse torus, a

relatively high and think skull, a small brain volume, large teeth, and
molars that increase towards the back of the jaw. Homo erectus has
a flexed occipital, a transverse torus, a relatively low and thick skull,
a small-medium brain volume, large teeth, and a varying molar
gradient. Homo floresiensis has a flexed occipital, a transverse torus,
a relatively low and thick skull, a small brain volume, small teeth, and
molars that decrease towards that back of the jaw. Homo naledi has
a flexed occipital, a transverse torus, a relatively high and thin skull,
a small brain volume, small teeth, and molars that increase towards
the back of the jaw.
Neanderthals
A separate species, Homo neanderthalensis, had a common
ancestor with humans about 660,000 years ago, and engaged in
interbreeding with Homo sapiens about 45,000 to 80,000 years ago.
Although their brains were larger, Neanderthals had fewer social and
technological innovations than humans, and they eventually died
out.
Theories of Early Human Evolution
The savannah hypothesis states that hominins were forced out of the
trees they lived in and onto the expanding savannah; as they did so,
they began walking upright on two feet. This idea was expanded in
the aridity hypothesis, which posited that the savannah was
expanding due to increasingly arid conditions resulting in hominin
adaptation. Thus, during periods of intense aridification, hominins
also were pushed to evolve and adapt.
The turnover pulse hypothesis states that extinctions due to

environmental conditions hurt specialist species more than generalist
ones. While generalist species spread out when environmental
conditions change, specialist species become more specialized and
have a greater rate of evolution. The Red Queen hypothesis states
that species must constantly evolve in order to compete with co-
evolving animals around them. The social brain hypothesis states
that improving cognitive capabilities would allow hominins to
influence local groups and control resources. The Toba catastrophe
theory states that there was a near-extinction event for early humans
about 70,000 years ago.
Human Adaptations
Bipedalism, or walking upright, is one of the main human
evolutionary adaptations. Advantages to be found in bipedalism
include the freedom of the hands for labor and less physically taxing
movement. Walking upright better allows for long distance travel and
hunting, for a wider field of vision, a reduction of the amount of skin
exposed to the sun, and overall thrives in a savannah environment.
Bipedalism resulted in skeletal changes to the legs, knee and ankle
joints, spinal vertebrae, toes, and arms. Most significantly, the pelvis
became shorter and rounded, with a smaller birth canal, making birth
more difficult for humans than other primates. In turn, this resulted in
shorter gestation (as babies need to be born before their heads
become too large), and more helpless infants who are not fully
developed before birth.
Larger brain size, also called encephalization, began in early

humans with Homo habilis and continued through the Neanderthal
line (capacity of 1,200 - 1,900 cm3). The ability of the human brain to
continue to grow after birth meant that social learning and language
were possible. It is possible that a focus on eating meat, and
cooking, allowed for brain growth. Modern humans have a brain
volume of 1250 cm3.
Humans have reduced sexual dimorphism, or differences between

males and females, and hidden estrus, which means the female is
fertile year-round and shows no special sign of fertility. Human sexes
still have some differences between them, with males being slightly
larger and having more body hair and less body fat. These changes
may be related to pair bonding for long-term raising of offspring.
Other adaptations include lessening of body hair, a chin, a

descended larynx, and an emphasis on vision instead of smell.
1.2.2: The Neolithic Revolution

The Neolithic Revolution and invention of agriculture allowed
humans to settle in groups, specialize, and develop civilizations.
Learning Objective
Explain the significance of the Neolithic Revolution
Key Points
During the Paleolithic Era, humans grouped together in small
societies and subsisted by gathering plants, and fishing, hunting
or scavenging wild animals.
The Neolithic Revolution references a change from a largely
nomadic hunter-gatherer way of life to a more settled, agrarian-
based one, with the inception of the domestication of various
plant and animal species—depending on species locally
available and likely also influenced by local culture.
There are several competing (but not mutually exclusive)
theories as to the factors that drove populations to take up
agriculture, including the Hilly Flanks hypothesis, the Feasting
model, the Demographic theories, the evolutionary/intentionality
theory, and the largely discredited Oasis Theory.
The shift to agricultural food production supported a denser
population, which in turn supported larger sedentary
communities, the accumulation of goods and tools, and
specialization in diverse forms of new labor.
The nutritional standards of Neolithic populations were generally
inferior to that of hunter-gatherers, and they worked longer
hours and had shorter life expectancies.
Life today, including our governments, specialized labor, and
trade, is directly related to the advances made in the Neolithic
Revolution.
Key Terms
Demographic theories
Theories about how sedentary populations may have driven

agricultural changes.
specialization
A process where laborers focused on one specialty area rather

than creating all needed items.
Feasting model
The theory that displays of power through feasting drove

agricultural technology.
Oasis Theory
The theory that humans were forced into close association with
animals due to changes in climate.
Paleolithic Era
A period of history that spans from 2.5 million to 20,000 years

ago, during which time humans evolved, used stone tools, and
lived as hunter-gatherers.
Hunter-gatherer
A nomadic lifestyle in which food is obtained from wild plants

and animals; in contrast to an agricultural lifestyle, which relies
mainly on domesticated species.
Neolithic Revolution
The world's first historically verifiable advancement in

agriculture. It took place around 12,000 years ago.
Evolutionary/Intentionality theory
The theory that domestication was part of an evolutionary

process between humans and plants.
Hilly Flanks hypothesis
The theory that agriculture began in the hilly flanks of the Taurus
and Zagros mountains, where the climate was not drier, and
fertile land supported a variety of plants and animals amenable
to domestication.
Before the Rise of Civiliz ation: The

Paleolithic Era
The first humans evolved in Africa during the Paleolithic Era, or
Stone Age, which spans the period of history from 2.5 million to
about 10,000 BCE. During this time, humans lived in small groups as
hunter-gatherers, with clear gender divisions for labor. The men
hunted animals while the women gathered food, such as fruit, nuts
and berries, from the local area. Simple tools made of stone, wood,
and bone (such as hand axes, flints and spearheads) were used
throughout the period. Fire was controlled, which created heat and
light, and allowed for cooking.
Humankind gradually evolved from early members of the genus

Homo— such as Homo habilis, who used simple stone tools— into
fully behaviorally and anatomically modern humans (Homo sapiens)
during the Paleolithic era. During the end of the Paleolithic,
specifically the Middle and or Upper Paleolithic, humans began to
produce the earliest works of art and engage in religious and spiritual
behavior, such as burial and ritual. Paleolithic humans were nomads,
who often moved their settlements as food became scarce. This
eventually resulted in humans spreading out from Africa (beginning
roughly 60,000 years ago) and into Eurasia, Southeast Asia, and
Australia. By about 40,000 years ago, they had entered Europe, and
by about 15,000 years ago, they had reached North America
followed by South America.
Stone ball from a set of Paleolithic
bolas
Paleoliths (artifacts from the Paleolithic), such as this stone ball,
demonstrate some of the stone technologies that the early humans
used as tools and weapons.
During about 10,000 BCE, a major change occurred in the way

humans lived; this would have a cascading effect on every part of
human society and culture. That change was the Neolithic
Revolution.
The Neolithic Revolution: From

Hunter-Gatherer to Agriculturalist
The beginning of the Neolithic Revolution in different regions has
been dated from perhaps 8,000 BCE in the Kuk Early Agricultural
Site of Melanesia Kuk to 2,500 BCE in Subsaharan Africa, with some
considering the developments of 9,000-7,000 BCE in the Fertile
Crescent to be the most important. This transition everywhere is
associated with the change from a largely nomadic hunter-gatherer
way of life to a more settled, agrarian-based one, due to the
inception of the domestication of various plant and animal species—
depending on the species locally available, and probably also
influenced by local culture.
It is not known why humans decided to begin cultivating plants and

domesticating animals. While more labor-intensive, the people must
have seen the relationship between cultivation of grains and an
increase in population. The domestication of animals provided a new
source of protein, through meat and milk, along with hides and wool,
which allowed for the production of clothing and other objects.
There are several competing (but not mutually exclusive) theories

about the factors that drove populations to take up agriculture. The
most prominent of these are:
The Oasis Theory, originally proposed by Raphael Pumpelly in

1908, and popularized by V . Gordon Childe in 1928, suggests
as the climate got drier due to the Atlantic depressions shifting
northward, communities contracted to oases where they were
forced into close association with animals. These animals were
then domesticated together with planting of seeds. However,
this theory has little support amongst archaeologists today
because subsequent climate data suggests that the region was
getting wetter rather than drier.
The Hilly Flanks hypothesis, proposed by Robert Braidwood in
1948, suggests that agriculture began in the hilly flanks of the
Taurus and Zagros mountains, where the climate was not drier,
as Childe had believed, and that fertile land supported a variety
of plants and animals amenable to domestication.
The Feasting model by Brian Hayden suggests that agriculture
was driven by ostentatious displays of power, such as giving
feasts, to exert dominance. This system required assembling
large quantities of food, a demand which drove agricultural
technology.
The Demographic theories proposed by Carl Sauer and adapted
by Lewis Binford and Kent Flannery posit that an increasingly
sedentary population outgrew the resources in the local
environment and required more food than could be gathered.
V arious social and economic factors helped drive the need for
food.
The Evolutionary/Intentionality theory, developed by David
Rindos and others, views agriculture as an evolutionary
adaptation of plants and humans. Starting with domestication by
protection of wild plants, it led to specialization of location and
then full-fledged domestication.
Effects of the Neolithic Revolution on

Society
The traditional view is that the shift to agricultural food production
supported a denser population, which in turn supported larger
sedentary communities, the accumulation of goods and tools, and
specialization in diverse forms of new labor. Overall a population
could increase its size more rapidly when resources were more
available. The resulting larger societies led to the development of
different means of decision making and governmental organization.
Food surpluses made possible the development of a social elite
freed from labor, who dominated their communities and monopolized
decision-making. There were deep social divisions and inequality
between the sexes, with women’s status declining as men took on
greater roles as leaders and warriors. Social class was determined
by occupation, with farmers and craftsmen at the lower end, and
priests and warriors at the higher.
Effects of the Neolithic Revolution on

Health
Neolithic populations generally had poorer nutrition, shorter life
expectancies, and a more labor-intensive lifestyle than hunter-
gatherers. Diseases jumped from animals to humans, and
agriculturalists suffered from more anaemia, vitamin deficiencies,
spinal deformations, and dental pathologies.
Overall Impact of the Neolithic

Revolution on Modern Life
The way we live today is directly related to the advances made in the
Neolithic Revolution. From the governments we live under, to the
specialized work laborers do, to the trade of goods and food,
humans were irrevocably changed by the switch to sedentary
agriculture and domestication of animals. Human population swelled
from five million to seven billion today.
Attributions
The Evolution of Humans
"Timeline of Human Evolution."
https://www.youtube.com/watch? v= hSSzn4bIwZg. YouTube
Youtube License.
"Human Evolution."
https://en.wikipedia.org/wiki/Human_evolution. Wikipedia
CC BY 3.0.
"Evolution of Human Intelligence."
https://en.wikipedia.org/wiki/Evolution_of_human_intelligen
ce. Wikipedia CC BY 3.0.
"A synthesis of the theories and concepts of early human
evolution."
http://rstb.royalsocietypublishing.org/content/370/1663/2014
0064. The Royal Society Publishing CC BY 4.0.
"Comparison_of_skull_features_of_Homo_naledi_and_othe
r_early_human_species.jpg."
https://en.wikipedia.org/wiki/Homo_naledi. Wikipedia CC
BY 3.0.
"Ape_skeletons.png." https://www.google.com/url?
sa= i& rct= j& q= & esrc= s& source= images& cd= & ved= 0ahUKE
wjS3MX Kh8vNAhX COiYKHV QwBREQjRwIBw& url= %2Furl
%3Fsa%3Di%26rct%3Dj%26q%3D%26esrc%3Ds%26sour
ce%3Dimages%26cd%3D%26ved%3D0ahUKEwjS3MX Kh
8vNAhX COiYKHV QwBREQjRwIBw%26url%3D%252Furl%
253Fsa%253Di%2526rct%253Dj%2526q%253D%2526esrc
%253Ds%2526source%253Dimages%2526cd%253D%252
6ved%253D0ahUKEwjS3MX Kh8vNAhX COiYKHV QwBREQ
jRwIBw%2526url%253D%25252Furl%25253Fsa%25253Di
%252526rct%25253Dj%252526q%25253D%252526esrc%
25253Ds%252526source%25253Dimages%252526cd%25
253D%252526ved%25253D0ahUKEwjS3MX Kh8vNAhX CO
iYKHV QwBREQjRwIBw%252526url%25253Dhttps%25252
53A%2525252F%2525252Fen.wikipedia.org%2525252Fwi
ki%2525252FHuman_evolution%252526psig%25253DAFQ
jCNGE6UxF84hKzfCy6mE_EE6SHrjOPA%252526ust%252
53D1467214896545125%2526psig%253DAFQjCNGE6UxF
84hKzfCy6mE_EE6SHrjOPA%2526ust%253D1467214896
545125%26psig%3DAFQjCNGE6UxF84hKzfCy6mE_EE6S
HrjOPA%26ust%3D1467214896545125& psig= AFQjCNGE6
UxF84hKzfCy6mE_EE6SHrjOPA& ust= 1467214896545125.
Wikipedia CC BY 3.0.
The Neolithic Revolution
"Neolithic Revolution."
http://en.wikipedia.org/wiki/Neolithic_Revolution. Wikipedia
CC BY-SA.
"Neolithic Revolution."
http://en.wikipedia.org/wiki/Neolithic%20Revolution.
"Civilization makes its d& # 233;but (8000 - 3000 BC)."
http://en.wikibooks.org/wiki/World_History/Ancient_Civilizati
ons%23Civilization_makes_its_d.C3.A9but_.288000_-
_3000_BC.29. Wikibooks CC BY-SA 3.0.
"Before the Rise of Civilization."
ons%23Before_the_Rise_of_Civilization. Wikibooks CC BY-
SA 3.0.
"Paleolithic." http://en.wikipedia.org/wiki/Paleolithic.
Wikipedia CC BY-SA.
"The Neolithic Revolution and Sumer."
http://globaleconomics.wikispaces.com/The+ Neolithic+ Rev
olution+ and+ Sumer. Global Economics CC BY 3.0.
"Paleolithic." http://en.wikipedia.org/wiki/Paleolithic_period.
Wikipedia CC BY-SA.
2: Ancient Mesopotamian
Civiliz ations
2.1: The First Urban
Civiliz ations
2.1.1: The Sumerians
The Sumerian people lived in Mesopotamia from the 27th-20th
century BCE. They were inventive and industrious, creating large
city-states, trading goods, mass-producing pottery, and perfecting
many forms of technology.
Learning Objective
To understand the history and accomplishments of the Sumerian
people
Key Points
The Sumerians were a people living in Mesopotamia from the
27th-20th century BCE.
The major periods in Sumerian history were the Ubaid period
(6500-4100 BCE), the Uruk period (4100-2900 BCE), the Early
Dynastic period (2900-2334 BCE), the Akkadian Empire period
(2334 - 2218 BCE), the Gutian period (2218-2047 BCE),
Sumerian Renaissance/Third Dynasty of Ur (2047-1940 BCE),
and then decline.
Many Sumerian clay tablets have been found with writing.
Initially, pictograms were used, followed by cuneiform and then
ideograms.
Sumerians believed in anthropomorphic polytheism, or of many
gods in human form that were specific to each city-state.
Sumerians invented or perfected many forms of technology,
including the wheel, mathematics, and cuneiform script.
Key Terms
City-states
A city that with its surrounding territory forms an independent

state.
cuneiform script
Wedge-shaped characters used in the ancient writing systems

of Mesopotamia, surviving mainly on clay tablets.
ideograms
Written characters symbolizing an idea or entity without

indicating the sounds used to say it.
pictograms
A pictorial symbol for a word or phrase. They are the earliest

known forms of writing.
pantheon
The collective gods of a people or religion.
Epic of Gilgamesh
An epic poem from the Third Dynasty of Ur (circa 2100 BCE),

which is seen as the earliest surviving great work of literature.
anthropomorphic
Having human characteristics.
"Sumerian" is the name given by the Semitic-speaking Akkadians to

non-Semitic speaking people living in Mespotamia. City-states in the
region, which were organized by canals and boundary stones and
dedicated to a patron god or goddess, first rose to power during the
prehistoric Ubaid and Uruk periods. Sumerian written history began
in the 27th century BCE, but the first intelligible writing began in the
23rd century BCE. Classical Sumer ends with the rise of the
Akkadian Empire in the 23rd century BCE, and only enjoys a brief
renaissance in the 21st century BCE. The Sumerians were
eventually absorbed into the Akkadian/Babylonian population.
Periods in Sumerian History

The Ubaid period (6500-4100 BCE) saw the first settlement in
southern Mesopotamia by farmers who brought irrigation agriculture.
Distinctive, finely painted pottery was evident during this time.
The Uruk period (4100-2900 BCE) saw several transitions. First,

pottery began to be mass-produced. Second, trade goods began to
flow down waterways in southern Mespotamia, and large, temple-
centered cities (most likely theocratic and run by priests-kings) rose
up to facilitate this trade. Slave labor was also utilized.
The Early Dynastic period (2900-2334 BCE) saw writing, in contrast

to pictograms, become commonplace and decipherable. The Epic of
Gilgamesh mentions several leaders, including Gilgamesh himself,
who were likely historical kings. The first dynastic king was Etana,
the 13th king of the first dynasty of Kish. War was on the increase,
and cities erected walls for self-preservation. Sumerian culture
began to spread from southern Mesopotamia into surrounding
areas.
Sumerian Necklaces and Headgear
Sumerian necklaces and headgear discovered in the royal (and
individual) graves, showing the way they may have been worn.
During the Akkadian Empire period (2334-2218 BCE), many in the

region became bilingual in both Sumerian and Akkadian. Toward the
end of the empire, though, Sumerian became increasingly a literary
language.
The Gutian period (2218-2047 BCE) was marked by a period of
chaos and decline, as Guti barbarians defeated the Akkadian military
but were unable to support the civilizations in place.
The Sumerian Renaissance/Third Dynasty of Ur (2047-1940 BCE)

saw the rulers Ur-Nammu and Shulgi, whose power extended into
southern Assyria. However, the region was becoming more Semitic,
and the Sumerian language became a religious language.
The Sumerian Renaissance ended with invasion by the Amorites,

whose dynasty of Isin continued until 1700 BCE, at which point
Mespotamia came under Babylonian rule.
Language and W riting

Many Sumerian clay tablets written in cuneiform script have been
discovered. They are not the oldest example of writing, but
nevertheless represent a great advance in the human ability to write
down history and create literature. Initially, pictograms were used,
followed by cuneiform, and then ideograms. Letters, receipts, hymns,
prayers, and stories have all been found on clay tablets.
Bill of Sale on a Clay Tablet
This clay tablet shows a bill of sale for a male slave and building,
circa 2600 BCE.
Religion
Sumerians believed in anthropomorphic polytheism, or of many gods
in human form, which were specific to each city-state. The core
pantheon consisted of An (heaven), Enki (a healer and friend to
humans), Enlil (gave spells spirits must obey), Inanna (love and
war), Utu (sun-god), and Sin (moon-god).
Technology
Sumerians invented or improved a wide range of technology,
including the wheel, cuneiform script, arithmetic, geometry, irrigation,
saws and other tools, sandals, chariots, harpoons, and beer.
2.1.2: The Assyrians
The Assyrians were a major Semitic empire of the Ancient Near
East, who existed as an independent state for approximately
nineteen centuries between c. 2500-605 BCE, enjoying widespread
military success in its heyday.
Learning Objective
Describe key characteristics and notable events of the Assyrian
Empire
Key Points
Centered on the Upper Tigris river in northern Mesopotamia, the
Assyrians came to rule powerful empires at several times, the
last of which grew to be the largest and most powerful empire
the world had yet seen.
At its peak, the Assyrian empire stretched from Cyprus in the
Mediterranean Sea to Persia, and from the Caucasus Mountains
(Armenia, Georgia, Azerbaijan) to the Arabian Peninsula and
Egypt. It was at the height of technological, scientific, and
cultural achievements for its time.
In the Old Assyrian period, Assyria established colonies in Asia
Minor and the Levant, and asserted itself over southern
Mesopotamia under king Ilushuma.
Assyria experienced fluctuating fortunes in the Middle Assyrian
period, with some of its kings finding themselves under the
influence of foreign rulers while others eclipsed neighboring
empires.
Assyria became a great military power during the Neo-Assyrian
period, and saw the conquests of large empires, such as
Egyptians, the Phoenicians, the Hittites, and the Persians,
among others.
After its fall in the late 600s BCE, Assyria remained a province
and geo-political entity under various empires until the mid-7th
century CE.
Key Terms
Aš š ur
The original capital of the Assyrian Empire, which dates back to

2600 BCE.
Assyrian Empire
A major Semitic kingdom of the Ancient Near East, which

existed as an independent state for a period of approximately
nineteen centuries from c. 2500-605 BCE.
The Assyrian Empire was a major Semitic kingdom, and often

empire, of the Ancient Near East. It existed as an independent state
for a period of approximately 19 centuries from c. 2500 BCE to 605
BCE, which spans the Early Bronze Age through to the late Iron Age.
For a further 13 centuries, from the end of the 7th century BCE to the
mid-7th century CE, it survived as a geo-political entity ruled, for the
most part, by foreign powers (although a number of small Neo-
Assyrian states arose at different times throughout this period).
Map of the Ancient Near East during
the 14th century BCE, showing the
great powers of the day
This map shows the extent of the empires of Egypt (orange), Hatti
(blue), the Kassite kingdom of Babylon (black), Assyria (yellow), and
Mitanni (brown). The extent of the Achaean/Mycenaean civilization is
shown in purple.
Centered on the Upper Tigris river, in northern Mesopotamia

(northern Iraq, northeast Syria, and southeastern Turkey), the
Assyrians came to rule powerful empires at several times, the last of
which grew to be the largest and most powerful empire the world had
yet seen.
As a substantial part of the greater Mesopotamian "Cradle of

Civilization," Assyria was at the height of technological, scientific,
and cultural achievements for its time. At its peak, the Assyrian
empire stretched from Cyprus in the Mediterranean Sea to Persia
(Iran), and from the Caucasus Mountains (Armenia, Georgia,
Azerbaijan) to the Arabian Peninsula and Egypt. Assyria is named
for its original capital, the ancient city of Aš ur (a.k.a., Ashur) which
dates to c. 2600 BCE and was located in what is now the Saladin
Province of northern Iraq. Ashur was originally one of a number of
Akkadian city states in Mesopotamia. In the late 24th century BCE,
Assyrian kings were regional leaders under Sargon of Akkad, who
united all the Akkadian Semites and Sumerian-speaking peoples of
Mesopotamia under the Akkadian Empire (c. 2334 BC-2154 BCE).
Following the fall of the Akkadian Empire, c. 2154 BCE, and the
short-lived succeeding Sumerian Third Dynasty of Ur, which ruled
southern Assyria, Assyria regained full independence.
The history of Assyria proper is roughly divided into three periods,

known as Old Assyrian (late 21st-18th century BCE), Middle
Assyrian (1365-1056 BCE), and Neo-Assyrian (911- 612BCE).
These periods roughly correspond to the Middle Bronze Age, Late
Bronze Age, and Early Iron Age, respectively. In the Old Assyrian
period, Assyria established colonies in Asia Minor and the Levant.
Under king Ilushuma, it asserted itself over southern Mesopotamia.
From the late 19th century BCE, Assyria came into conflict with the
newly created state of Babylonia, which eventually eclipsed the older
Sumero-Akkadian states in the south, such as Ur, Isin, Larsa and
Kish. Assyria experienced fluctuating fortunes in the Middle Assyrian
period. Assyria had a period of empire under Shamshi-Adad I and
Ishme-Dagan in the 19th and 18th centuries BCE. Following the
reigns of these two kings, it found itself under Babylonian and
Mitanni-Hurrian domination for short periods in the 18th and 15th
centuries BCE, respectively.
However, a shift in the Assyrian's dominance occurred with the rise

of the Middle Assyrian Empire (1365 BCE-1056 BCE). This period
saw the reigns of great kings, such as Ashur-uballit I, Arik-den-ili,
Tukulti-Ninurta I, and Tiglath-Pileser I. Additionally, during this period,
Assyria overthrew Mitanni and eclipsed both the Hittite Empire and
Egyptian Empire in the Near East. Long wars helped build Assyria
into a warrior society, supported by landed nobility, which supplied
horses to the military. All free male citizens were required to serve in
the military, and women had very low status.
Beginning with the campaigns of Adad-nirari II from 911 BCE,

Assyria again showed itself to be a great power over the next three
centuries during the Neo-Assyrian period. It overthrew the Twenty-
Fifth dynasty of Egypt, and conquered a number of other notable
civilizations, including Babylonia, Elam, Media, Persia,
Phoenicia/Canaan, Aramea (Syria), Arabia, Israel, and the Neo-
Hittites. They drove the Ethiopians and Nubians from Egypt,
defeated the Cimmerians and Scythians, and exacted tribute from
Phrygia, Magan, and Punt, among others.
After its fall (between 612-605 BCE), Assyria remained a province

and geo-political entity under the Babylonian, Median, Achaemenid,
Seleucid, Parthian, Roman, and Sassanid Empires, until the Arab
Islamic invasion and conquest of Mesopotamia in the mid-7th
century CE when it was finally dissolved.
Assyria is mainly remembered for its military victories, technological

advancements (such as using iron for weapons and building roads),
use of torture to inspire fear, and a written history of conquests. Its
military had not only general troops, but charioteers, cavalry,
bowmen, and lancers.
Attributions
The Sumerians
"Gutian Dynasty of Sumer."
https://en.wikipedia.org/wiki/Gutian_dynasty_of_Sumer.
"The Epic of Gilgamesh."
https://en.wikipedia.org/wiki/Epic_of_Gilgamesh. Wikipedia
CC BY-SA 3.0.
"Cuneiform Script."
https://en.wikipedia.org/wiki/Cuneiform_script. Wikipedia
CC BY 3.0.
"Sumer." https://en.wikipedia.org/wiki/Sumer. Wikipedia CC
BY 3.0.
"Bill_of_sale_Louvre_AO3765.jpg."
https://www.google.com/url?
wjakJWOwMvNAhUC7YMKHa03BbkQjRwIBw& url= https%
3A%2F%2Fen.wikipedia.org%2Fwiki%2FSumer& bvm= bv.1
25596728,d.eWE& psig= AFQjCNEusLcvhEBdzsQ5ZtrTTR7
mnoIC3w& ust= 1467227247872957. Wikipedia CC BY 3.0.
"headdress.JPG."
https://commons.wikimedia.org/wiki/File:Reconstructed_su
merian_headgear_necklaces_british_museum.JPG.
The Assyrians
"Assyria." http://en.wikipedia.org/wiki/Assyria. Wikipedia CC
BY-SA.
"History of the Assyrian People."
https://en.wikipedia.org/wiki/History_of_the_Assyrian_peopl
e. Wikipedia CC BY-SA 2.0.
"Assyrians: Cavalry and Conquests."
http://www.ushistory.org/civ/4d.asp. Ancient Civilizations CC
BY 3.0.
"The Assyrian Empire."
http://cdaworldhistory.wikidot.com/the-assyrian-empires.
CDA's World History Wiki CC BY 3.0.
"Assyria."
http://en.wikipedia.org/wiki/Assyria%23mediaviewer/File:14
_century_BC_Eastern.png. Wikipedia CC BY-SA 3.0.
2.2: Akkadian Empire
2.2.1: River V alley Civiliz ations
The first civilizations formed in river valleys, and were characterized
by a caste system and a strong government that controlled water
access and resources.
Learning Objective
Explain why early civilizations arose on the banks of rivers
Key Points
Rivers were attractive locations for the first civilizations because
they provided a steady supply of drinking water and game,
made the land fertile for growing crops, and allowed for easy
transportation.
Early river civilizations were all hydraulic empires that
maintained power and control through exclusive control over
access to water. This system of government arose through the
need for flood control and irrigation, which requires central
coordination and a specialized bureaucracy.
Hydraulic hierarchies gave rise to the established permanent
institution of impersonal government, since changes in ruling
were usually in personnel, but not in the structure of
government.
Key Terms
Fertile Crescent
A crescent-shaped region containing the comparatively moist
and fertile land of otherwise arid and semi-arid Western Asia,
and the Nile V alley and Nile Delta of northeast Africa. Often
called the cradle of civilization.
hydraulic empire
A social or governmental structure that maintains power through

exclusive control of water access.
caste
A form of social stratification characterized by endogamy

(hereditary transmission of a lifestyle). This lifestyle often
includes an occupation, ritual status in a hierarchy, and
customary social interaction and exclusion based on cultural
notions of purity and pollution.
Water crisis
There is not enough fresh, clean water to meet local demand.
Water shortage
Water is less available due to climate change, pollution, or

overuse.
Neolithic Revolution
Also called the Agricultural Revolution, this was the wide-scale

transition of human cultures from being hunter-gatherers to
being settled agriculturalists.
Water stress
Difficulty in finding fresh water, or the depletion of available

water sources.
The First Civiliz ations
The first civilizations formed on the banks of rivers. The most notable
examples are the Ancient Egyptians, who were based on the Nile,
the Mesopotamians in the Fertile Crescent on the Tigris/Euphrates
rivers, the Ancient Chinese on the Yellow River, and the Ancient
India on the Indus. These early civilizations began to form around
the time of the Neolithic Revolution (12000 BCE).
Rivers were attractive locations for the first civilizations because they
provided a steady supply of drinking water and made the land fertile
for growing crops. Moreover, goods and people could be transported
easily, and the people in these civilizations could fish and hunt the
animals that came to drink water. Additionally, those lost in the
wilderness could return to civilization by traveling downstream,
where the major centers of human population tend to concentrate.
The Nile River and Delta

Most of the Ancient Egyptian settlements occurred along the
northern part of the Nile, pictured in this satellite image taken from
orbit by NASA.
Hydraulic Empires
Though each civilization was uniquely different, we can see common
patterns amongst these first civilizations since they were all based
around rivers. Most notably, these early civilizations were all
hydraulic empires. A hydraulic empire (also known as hydraulic
despotism, or water monopoly empire) is a social or governmental
structure which maintains power through exclusive control over
water access. This system of government arises through the need
for flood control and irrigation, which requires central coordination
and a specialized bureaucracy. This political structure is commonly
characterized by a system of hierarchy and control based around
class or caste. Power, both over resources (food, water, energy) and
a means of enforcement, such as the military, are vital for the
maintenance of control. Most hydraulic empires exist in desert
regions, but imperial China also had some such characteristics, due
to the exacting needs of rice cultivation. The only hydraulic empire to
exist in Africa was under the Ajuran State near the Jubba and
Shebelle Rivers in the 15th century CE.
Karl August Wittfogel, the German scholar who first developed the
notion of the hydraulic empire, argued in his book, Oriental
Despotism (1957), that strong government control characterized
these civilizations because a particular resource (in this case, river
water) was both a central part of economic processes and
environmentally limited. This fact made controlling supply and
demand easier and allowed the establishment of a more complete
monopoly, and also prevented the use of alternative resources to
compensate. However, it is also important to note that complex
irrigation projects predated states in Madagascar, Mexico, China and
Mesopotamia, and thus it cannot be said that a key, limited economic
resource necessarily mandates a strong centralized bureaucracy.
According to Wittfogel, the typical hydraulic empire government has

no trace of an independent aristocracy— in contrast to the
decentralized feudalism of medieval Europe. Though tribal societies
had structures that were usually personal in nature, exercised by a
patriarch over a tribal group related by various degrees of kinship,
hydraulic hierarchies gave rise to the established permanent
institution of impersonal government. Popular revolution in such a
state was very difficult; a dynasty might die out or be overthrown by
force, but the new regime would differ very little from the old one.
Hydraulic empires were usually destroyed by foreign conquerors.
W ater Scarcity Today

Access to water is still crucial to modern civilizations; water scarcity
affects more than 2.8 billion people globally. Water stress is the term
used to describe difficulty in finding fresh water or the depletion of
available water sources. Water shortage is the term used when
water is less available due to climate change, pollution, or overuse.
Water crisis is the term used when there is not enough fresh, clean
water to meet local demand. Water scarcity may be physical,
meaning there are inadequate water resources available in a region,
or economic, meaning governments are not managing available
resources properly. The United Nations Development Programme
has found that water scarcity generally results from the latter issue.
2.2.2: The Akkadian Empire

The Akkadian Empire flourished in the 24th and 22nd centuries BCE,
ruled by Sargon and Naram-Sin. It eventually collapsed in 2154
BCE, due to the invasion of barbarian peoples and large-scale
climatic changes.
Learning Objective
Describe the key political characteristics of the Akkadian Empire
Key Points
The Akkadian Empire was an ancient Semitic empire centered
in the city of Akkad and its surrounding region in ancient
Mesopotamia, which united all the indigenous Akkadian
speaking Semites and the Sumerian speakers under one rule
within a multilingual empire.
King Sargon, the founder of the empire, conquered several
regions in Mesopotamia and consolidated his power by instating
Akaddian officials in new territories. He extended trade across
Mesopotamia and strengthened the economy through rain-fed
agriculture in northern Mesopotamia.
The Akkadian Empire experienced a period of successful
conquest under Naram-Sin due to benign climatic conditions,
huge agricultural surpluses, and the confiscation of wealth.
The empire collapsed after the invasion of the Gutians.
Changing climatic conditions also contributed to internal rivalries
and fragmentation, and the empire eventually split into the
Assyrian Empire in the north and the Babylonian empire in the
south.
Key Terms
Gutians
A group of barbarians from the Zagros Mountains who invaded

the Akkadian Empire and contributed to its collapse.
Sargon
The first king of the Akkadians. He conquered many of the

surrounding regions to establish the massive multilingual
empire.
Akkadian Empire
An ancient Semitic empire centered in the city of Akkad and its

surrounding region in ancient Mesopotamia.
Cuneiform
One of the earliest known systems of writing, distinguished by

its wedge-shaped marks on clay tablets, and made by means of
a blunt reed for a stylus.
Semites
Today, the word "Semite" may be used to refer to any member

of any of a number of peoples of ancient Southwest Asian
descent, including the Akkadians, Phoenicians, Hebrews
(Jews), Arabs, and their descendants.
Naram-Sin
An Akkadian king who conquered Ebla, Armum, and Magan,

and built a royal residence at Tell Brak.
The Akkadian Empire was an ancient Semitic empire centered in the

city of Akkad, which united all the indigenous Akkadian speaking
Semites and Sumerian speakers under one rule. The Empire
controlled Mesopotamia, the Levant, and parts of Iran.
Map of the Akkadian Empire
The Akkadian Empire is pictured in brown. The directions of the
military campaigns are shown as yellow arrows.
The map shows that the Akkadian Empire covered portions of

modern-day Iraq, Iran, Turkey, Syria, Kuwait, Saudi Arabia, and
Jordan. It also shows 3 military campaigns: one in the northwest,
one in the southwest, and one in the southeast.
Its founder was Sargon of Akkad (2334–2279 BCE). Under Sargon

and his successors, the Akkadian Empire reached its political peak
between the 24th and 22nd centuries BCE. Akkad is sometimes
regarded as the first empire in history.
Sargon and His Dynasty

Sargon claimed to be the son of La'ibum or Itti-Bel, a humble
gardener, and possibly a hierodule, or priestess to Ishtar or Inanna.
Some later claimed that his mother was an "entu" priestess (high
priestess). Originally a cupbearer to king Ur-Zababa of Kish, Sargon
became a gardener, which gave him access to a disciplined corps of
workers who also may have served as his first soldiers. Displacing
Ur-Zababa, Sargon was crowned king and began a career of foreign
conquest. He invaded Syria and Canaan on four different
campaigns, and spent three years subduing the countries of "the
west" to unite them with Mesopotamia "into a single empire."
Sargon's empire reached westward as far as the Mediterranean Sea

and perhaps Cyprus (Kaptara); northward as far as the mountains;
eastward over Elam; and as far south as Magan (Oman)—a region
over which he purportedly reigned for 56 years, though only four
"year-names" survive. He replaced rulers with noble citizens of
Akkad. Trade extended from the silver mines of Anatolia to the lapis
lazuli mines in Afghanistan, and from the cedars of Lebanon to the
copper of Magan. The empire's breadbasket was the rain-fed
agricultural system of northern Mesopotamia (Assyria), and a chain
of fortresses was built to control the imperial wheat production.
Sargon, throughout his long life, showed special deference to the

Sumerian deities, particularly Inanna (Ishtar), his patroness, and
Zababa, the warrior god of Kish. He called himself "the anointed
priest of Anu" and "the great ensi of Enlil. "
Sargon managed to crush his opposition even in old age. Difficulties

also broke out in the reign of his sons, Rimush (2278–2270 BCE),
who was assassinated by his own courtiers, and Manishtushu
(2269–2255 BCE), who reigned for 15 years. He, too, was likely
assassinated in a palace conspiracy.
Bronz e head of a king
Bronze head of a king, most likely Sargon of Akkad but possibly
Naram-Sin. Unearthed in Nineveh (now in Iraq).
Naram-Sin
Manishtushu's son and successor, Naram-Sin (called, Beloved of
Sin) (2254–2218 BCE), assumed the imperial title "King Naram-Sin,
King of the Four Quarters." He was also, for the first time in
Sumerian culture, addressed as "the god of Agade (Akkad)." This
represents a marked shift away from the previous religious belief that
kings were only representatives of the people toward the gods.
Naram-Sin conquered Ebla and Armum, and built a royal residence
at Tell Brak, a crossroads at the heart of the Khabur River basin of
the Jezirah. Naram-Sin also conquered Magan and created
garrisons to protect the main roads. This productive period of
Akkadian conquest may have been based upon benign climatic
conditions, huge agricultural surpluses, and the confiscation of the
wealth of other peoples.
Stele of Naram-Sin
This stele commemorates Naram-Sin's victory against the Lullubi
from Zagros in 2260 BCE. Naram-Sin is depicted to be wearing a
horned helmet, a symbol of divinity, and is also portrayed in a larger
scale in comparison to others to emphasize his superiority.
Living in the Akkadian Empire

Future Mesopotamian states compared themselves to the Akkadian
Empire, which they saw as a classical standard in governance. The
economy was dependent on irrigated farmlands of southern Iraq,
and rain-fed agriculture of Northern Iraq. There was often a surplus
of agriculture but shortages of other goods, like metal ore, timber,
and building stone. Art of the period often focused on kings, and
depicted somber and grim conflict and subjugation to divinities.
Sumerians and Akkadians were bilingual in each other's languages,
but Akkadian gradually replaced Sumerian. The empire had a postal
service, and a library featuring astronomical observations.
Collapse of the Akkadian

Empire
The Empire of Akkad collapsed in 2154 BCE, within 180 years of its
founding. The collapse ushered in a Dark Age period of regional
decline that lasted until the rise of the Third Dynasty of Ur in 2112
BCE. By the end of the reign of Naram-Sin's son, Shar-kali-sharri
(2217-2193 BCE), the empire had weakened significantly. There was
a period of anarchy between 2192 BC and 2168 BCE. Some
centralized authority may have been restored under Shu-Durul
(2168-2154 BCE), but he was unable to prevent the empire
collapsing outright from the invasion of barbarian peoples, known as
the Gutians, from the Zagros Mountains.
Little is known about the Gutian period or for how long it lasted.
Cuneiform sources suggest that the Gutians' administration showed
little concern for maintaining agriculture, written records, or public
safety; they reputedly released all farm animals to roam about
Mesopotamia freely, and soon brought about famine and rocketing
grain prices. The Sumerian king Ur-Nammu (2112-2095 BCE) later
cleared the Gutians from Mesopotamia during his reign.
The collapse of rain-fed agriculture in the Upper Country due to

drought meant the loss of the agrarian subsidies which had kept the
Akkadian Empire solvent in southern Mesopotamia. Rivalries
between pastoralists and farmers increased. Attempts to control
access to water led to increased political instability; meanwhile,
severe depopulation occurred.
After the fall of the Akkadian Empire, the Akkadian people coalesced
into two major Akkadian speaking nations: Assyria in the north, and,
a few centuries later, Babylonia in the south.
2.2.3: Ur
The city-state of Ur in Mesopotamia was important and wealthy, and
featured highly centralized bureaucracy. It is famous for the Ziggurat
of Ur, a temple whose ruins were discovered in modern day.
Learning Objective
To understand the significance of the city-state of Ur
Key Points
Ur was a major Sumerian city-state located in Mesopotamia,
founded circa 3800 BCE.
Cuneiform tablets show that Ur was a highly centralized,
wealthy, bureaucratic state during the third millennium BCE.
The Ziggurat of Ur was built in the 21st century BCE, during the
reign of Ur-Nammu, and was reconstructed in the 6th century
BCE by Nabonidus, the last king of Babylon.
Control of Ur passed among various peoples until the Third
Dynasty of Ur, which featured the strong kings Ur-Nammu and
Shulgi.
Ur was uninhabited by 500 BCE.
Key Terms
Sargon the Great
A Semitic emperor of the Akkadian Empire, known for
conquering Sumerian city-states in the 24th and 23rd centuries
BCE.
Ziggurat
A rectangular stepped tower, sometimes surmounted by a

temple.
Sumerian
A group of non-Semitic people living in ancient Mesopotamia.
Cuneiform
Wedge-shaped characters imprinted onto clay tablets, used in

ancient writing systems of Mesopotamia.
A Major Mesopotamian City

Ur was a major Sumerian city-state located in Mesopotamia, marked
today by Tell el-Muqayyar in southern Iraq. It was founded circa 3800
BCE, and was recorded in written history from the 26th century BCE.
Its patron god was Nanna, the moon god, and the city's name
literally means "the abode of Nanna."
Cuneiform tablets show that Ur was, during the third millennium

BCE, a highly centralized, wealthy, bureaucratic state. The discovery
of the Royal Tombs, dating from about the 25th century BCE,
showed that the area had luxury items made out of precious metals
and semi-precious stones, which would have required importation.
Some estimate that Ur was the largest city in the world from 2030-
1980 BCE, with approximately 65,000 people.
The City of Ur
This map shows Mesopotamia in the third millennium BCE, with Ur
in the south.
Ir was located at the side of modern-day Tell el-Muqayyar in south

Iraq's Dhi Qar Nasiriyah.
The Z iggurat of Ur
This temple was built in the 21st century BCE, during the reign of Ur-
Nammu, and was reconstructed in the 6th century BCE by
Nabonidus, the last king of Babylon. The ruins, which cover an area
of 3,900 feet by 2,600 feet, were uncovered in the 1930s. It was part
of a temple complex that served as an administrative center for the
city of Ur, and was dedicated to Nanna, the moon god.
The Z iggurat of Ur
This is a reconstruction of Ur-Nammu's ziggurat.
Ziggurats were massive structures built in the ancient Mesopotamian

valley and western Iranian plateau, having the form of a terraced
step pyramid of successively receding stories or levels.The Ziggurat
of Ur measured 64 m (210 ft) in length, 45 m (148 ft) in width and
over 30 m (98 ft) in height. The height is speculative, as only the
foundations of the Sumerian ziggurat have survived.
Control of Ur
Between the 24th and 22nd century BCE, Ur was controlled by
Sargon the Great, of the Akkadian Empire. After the fall of this
empire, Ur was ruled by the barbarian Gutians, until King Ur-Nammu
came to power, circa 2047 - 2030 BCE (the Third Dynasty of Ur).
Advances during this time included the building of temples, like the
Ziggurat, better agricultural irrigation, and a code of laws, called the
Code of Ur-Nammu, which preceded the Code of Hammurabi by 300
years.
Shulgi succeeded Ur-Nammu, and was able to increase Ur's power

by creating a highly centralized bureaucratic state. Shulgi, who
eventually declared himself a god, ruled from 2029-1982 BCE, and
was well-known for at least two thousand years after.
Three more kings, Amar-Sin, Shu0Sin and Ibbi-Sin, ruled Ur before it
fell to the Elamites in 1940 BCE. Although Ur lost its political power,
it remained economically important. It was ruled by the first dynasty
of Babylonia, then part of the Sealand Dynasty, then by the Kassites
before falling to the Assyrian Empire from the 10th-7th century BE.
After the 7th century BCE, it was ruled by the Chaldean Dynasty of
Babylon. It began its final decline around 550 BCE, and was
uninhabited by 500 BE. The final decline was likely due to drought,
changing river patterns and the silting of the Persian Gulf.
Attributions
River V alley Civilizations
"Hydraulic Empire."
http://en.wikipedia.org/wiki/Hydraulic_empire. Wikipedi CC
BY-SA.
"Water Scarcity."
https://en.wikipedia.org/wiki/Water_scarcity. Wikipedia CC
BY 3.0.
"River Civilization."
http://en.wikipedia.org/wiki/River_civilization. Wikipedia CC
BY-SA.
"caste." http://en.wiktionary.org/wiki/caste. Wiktionary CC
BY-SA 3.0.
"Nile."
http://en.wikipedia.org/wiki/File:Nile_River_and_delta_from_
orbit.jpg. Wikipedia Public domain.
The Akkadian Empire
"Akkadian Empire."
http://en.wikipedia.org/wiki/Akkadian_Empire. Wikipedia CC
BY-SA.
"Cuneiform." http://en.wikipedia.org/wiki/Cuneiform.
"Akkadian Empire."
BY-SA.
"Sargon of Akkad."
http://upload.wikimedia.org/wikipedia/commons/thumb/4/44/
Sargon_of_Akkad.jpg/253px-Sargon_of_Akkad.jpg.
"Akkadian Empire."
BY-SA.
Ur
"Ur." https://en.wikipedia.org/wiki/Ur. Wikipedia CC BY-SA
3.0.
"Ziggurat." https://en.wikipedia.org/wiki/Ziggurat. Wikipedia
CC BY-SA 3.0.
"Ziggurat of Ur."
https://en.wikipedia.org/wiki/Ziggurat_of_Ur. Wikipedia CC
BY-SA 3.0.
"Ur." https://en.wikipedia.org/wiki/Ur. Wikipedia CC BY-SA
3.0.
"Shulgi." https://en.wikipedia.org/wiki/Shulgi. Wikipedia CC
BY-SA 3.0.
"zigg.jpeg." https://www.google.com/url?
wiZhY3Th8zNAhUKrB4KHQLqDowQjRwIBw& url= https%3A
%2F%2Fen.wikipedia.org%2Fwiki%2FZiggurat_of_Ur& bvm
= bv.125801520,d.amc& psig= AFQjCNEgfbUndf-
WZX xuRMW-
7AUX HuHHGQ& ust= 1467249270371533& cad= rja.
"Meso2mil-English.JPG." https://www.google.com/url?
wicj9-
Gh8zNAhUEKB4KHTeX ABIQjRwIBw& url= https%3A%2F%
2Fen.wikipedia.org%2Fwiki%2FUr& bvm= bv.125801520,d.a
mc& psig= AFQjCNG86EuJUYhoThlxflV 3vtV 7rt6pkQ& ust= 1
467249119088837. Wikipedia CC BY-SA 3.0.
2.3: Babylonia
2.3.1: Babylon
Following the collapse of the Akkadians, the Babylonian Empire
flourished under Hammurabi, who conquered many surrounding
peoples and empires, in addition to developing an extensive code of
law and establishing Babylon as a "holy city" of southern
Mesopotamia.
Learning Objective
Describe key characteristics of the Babylonian Empire under
Hammurabi
Key Points
A series of conflicts between the Amorites and the Assyrians
followed the collapse of the Akkadian Empire, out of which
Babylon arose as a powerful city-state c. 1894 BCE.
Babylon remained a minor territory for a century after it was
founded, until the reign of its sixth Amorite ruler, Hammurabi
(1792-1750 BCE), an extremely efficient ruler who established a
bureaucracy with taxation and centralized government.
Hammurabi also enjoyed various military successes over the
whole of southern Mesopotamia, modern-day Iran and Syria,
and the old Assyrian Empire in Asian Minor.
After the death of Hammurabi, the First Babylonian Dynasty
eventually fell due to attacks from outside its borders.
Key Terms
Marduk
The south Mesopotamian god that rose to supremacy in the

pantheon over the previous god, Enlil.
Hammurabi
The sixth king of Babylon, who, under his rule, saw Babylonian
advancements, both militarily and bureaucratically.
Code of Hammurabi
A code of law that echoed and improved upon earlier written

laws of Sumer, Akkad, and Assyria.
Amorites
An ancient Semitic-speaking people from ancient Syria who also

occupied large parts of Mesopotamia in the 21st Century BCE.
The Rise of the First

Babylonian Dynasty
Following the disintegration of the Akkadian Empire, the Sumerians
rose up with the Third Dynasty of Ur in the late 22nd century BCE,
and ejected the barbarian Gutians from southern Mesopotamia. The
Sumerian "Ur-III" dynasty eventually collapsed at the hands of the
Elamites, another Semitic people, in 2002 BCE. Conflicts between
the Amorites (Western Semitic nomads) and the Assyrians continued
until Sargon I (1920-1881 BCE) succeeded as king in Assyria and
withdrew Assyria from the region, leaving the Amorites in control (the
Amorite period).
One of these Amorite dynasties founded the city-state of Babylon

circa 1894 BCE, which would ultimately take over the others and
form the short-lived first Babylonian empire, also called the Old
Babylonian Period.
A chieftain named Sumuabum appropriated the then relatively small

city of Babylon from the neighboring Mesopotamian city state of
Kazallu, turning it into a state in its own right. Sumuabum appears
never to have been given the title of King, however.
The Babylonians Under

Hammurabi
Babylon remained a minor territory for a century after it was founded,
until the reign of its sixth Amorite ruler, Hammurabi (1792-1750
BCE). He was an efficient ruler, establishing a centralized
bureaucracy with taxation. Hammurabi freed Babylon from Elamite
dominance, and then conquered the whole of southern
Mesopotamia, bringing stability and the name of Babylonia to the
region.
The armies of Babylonia under Hammurabi were well-disciplined,

and he was able to invade modern-day Iran to the east and conquer
the pre-Iranic Elamites, Gutians and Kassites. To the west,
Hammurabi enjoyed military success against the Semitic states of
the Levant (modern Syria), including the powerful kingdom of Mari.
Hammurabi also entered into a protracted war with the Old Assyrian
Empire for control of Mesopotamia and the Near East. Assyria had
extended control over parts of Asia Minor from the 21st century BCE,
and from the latter part of the 19th century BCE had asserted itself
over northeast Syria and central Mesopotamia as well. After a
protracted, unresolved struggle over decades with the Assyrian king
Ishme-Dagan, Hammurabi forced his successor, Mut-Ashkur, to pay
tribute to Babylon c. 1751 BCE, thus giving Babylonia control over
Assyria's centuries-old Hattian and Hurrian colonies in Asia Minor.
Babylonia under Hammurabi
The extent of the Babylonian Empire at the start and end of
Hammurabi's reign.
At the beginning of Hammurabi's reign, the Babylonian empire was

concentrated in the area immediately surrounding Babylon, which
was located between the Tigris and Euphrates rivers in modern-day
Hillah, Iraq, about 53 miles south of Baghdad. At the end of
Hamurrabi's reign, the Babylonian empire had extended south to the
Persian Gulf and north along the Euphrates to Mari, which was
located in modern-day Abu Kamal, Syria, near the Syria/Iraq border.
One of the most important works of this First Dynasty of Babylon

was the compilation in about 1754 BCE of a code of laws, called the
Code of Hammurabi, which echoed and improved upon the earlier
written laws of Sumer, Akkad, and Assyria. It is one of the oldest
deciphered writings of significant length in the world. The Code
consists of 282 laws, with scaled punishments depending on social
status, adjusting "an eye for an eye, a tooth for a tooth." Nearly one-
half of the Code deals with matters of contract. A third of the code
addresses issues concerning household and family relationships.
From before 3000 BC until the reign of Hammurabi, the major
cultural and religious center of southern Mesopotamia had been the
ancient city of Nippur, where the god Enlil reigned supreme.
However, with the rise of Hammurabi, this honor was transferred to
Babylon, and the god Marduk rose to supremacy (with the god Ashur
remaining the dominant deity in Assyria). The city of Babylon
became known as a "holy city," where any legitimate ruler of
southern Mesopotamia had to be crowned. Hammurabi turned what
had previously been a minor administrative town into a major city,
increasing its size and population dramatically, and conducting a
number of impressive architectural works.
The Decline of the First

Babylonian Dynasty
Despite Hammurabi's various military successes, southern
Mesopotamia had no natural, defensible boundaries, which made it
vulnerable to attack. After the death of Hammurabi, his empire
began to disintegrate rapidly. Under his successor Samsu-iluna
(1749-1712 BCE), the far south of Mesopotamia was lost to a native
Akkadian king, called Ilum-ma-ili, and became the Sealand Dynasty;
it remained free of Babylon for the next 272 years.
Both the Babylonians and their Amorite rulers were driven from
Assyria to the north by an Assyrian-Akkadian governor named
Puzur-Sin, c. 1740 BCE. Amorite rule survived in a much-reduced
Babylon, Samshu-iluna's successor, Abi-Eshuh, made a vain attempt
to recapture the Sealand Dynasty for Babylon, but met defeat at the
hands of king Damqi-ilishu II. By the end of his reign, Babylonia had
shrunk to the small and relatively weak nation it had been upon its
foundation.
2.3.2: Hammurabi's Code

The Code of Hammurabi was a collection of 282 laws, written in c.
1754 BCE in Babylon, which focused on contracts and family
relationships, featuring a presumption of innocence and the
presentation of evidence.
Learning Objective
Describe the significance of Hammurabi's code
Key Points
The Code of Hammurabi is one of the oldest deciphered writings
of length in the world (written c. 1754 BCE), and features a code
of law from ancient Babylon in Mesopotamia.
The Code consisted of 282 laws, with punishments that varied
based on social status (slaves, free men, and property owners).
Some have seen the Code as an early form of constitutional
government, as an early form of the presumption of innocence,
and as the ability to present evidence in one's case.
Major laws covered in the Code include slander, trade, slavery,
the duties of workers, theft, liability, and divorce. Nearly half of
the code focused on contracts, and a third on household
relationships.
There were three social classes: the amelu (the elite), the
mushkenu (free men) and ardu (slave).
Women had limited rights, and were mostly based around
marriage contracts and divorce rights.
A stone stele featuring the Code was discovered in 1901, and is
currently housed in the Louvre.
Key Terms
cuneiform
Wedge-shaped characters used in the ancient writing systems

of Mesopotamia, impressed on clay tablets.
ardu
In Babylon, a slave.
mushkenu
In Babylon, a free man who was probably landless.
amelu
In Babylon, an elite social class of people.
stele
A stone or wooden slab, generally taller than it is wide, erected

as a monument.
The Code of Hammurabi is one of the oldest deciphered writings of

length in the world, and features a code of law from ancient Babylon
in Mesopotamia. Written in about 1754 BCE by the sixth king of
Babylon, Hammurabi, the Code was written on stone stele and clay
tablets. It consisted of 282 laws, with punishments that varied based
on social status (slaves, free men, and property owners). It is most
famous for the "an eye for an eye, a tooth for a tooth" (lex talionis)
form of punishment. Other forms of codes of law had been in
existence in the region around this time, including the Code of Ur-
Nammu, king of Ur (c. 2050 BCE), the Laws of Eshnunna (c. 1930
BCE) and the codex of Lipit-Ishtar of Isin (c. 1870 BCE).
The laws were arranged in groups, so that citizens could easily read
what was required of them. Some have seen the Code as an early
form of constitutional government, and as an early form of the
presumption of innocence, and the ability to present evidence in
one's case. Intent was often recognized and affected punishment,
with neglect severely punished. Some of the provisions may have
been codification of Hammurabi's decisions, for the purpose of self-
glorification. Nevertheless, the Code was studied, copied, and used
as a model for legal reasoning for at least 1500 years after.
The prologue of the Code features Hammurabi stating that he wants
"to make justice visible in the land, to destroy the wicked person and
the evil-doer, that the strong might not injure the weak." Major laws
covered in the Code include slander, trade, slavery, the duties of
workers, theft, liability, and divorce. Nearly half of the code focused
on contracts, such as wages to be paid, terms of transactions, and
liability in case of property damage. A third of the code focused on
household and family issues, including inheritance, divorce, paternity
and sexual behavior. One section establishes that a judge who
incorrectly decides an issue may be removed from his position
permanently. A few sections address military service.
One of the most well-known sections of the Code was law # 196: "If a
man destroy the eye of another man, they shall destroy his eye. If
one break a man's bone, they shall break his bone. If one destroy
the eye of a freeman or break the bone of a freeman he shall pay
one gold mina. If one destroy the eye of a man's slave or break a
bone of a man's slave he shall pay one-half his price."
The Social Classes

Under Hammurabi's reign, there were three social classes. The
amelu was originally an elite person with full civil rights, whose birth,
marriage and death were recorded. Although he had certain
privileges, he also was liable for harsher punishment and higher
fines. The king and his court, high officials, professionals and
craftsmen belonged to this group. The mushkenu was a free man
who may have been landless. He was required to accept monetary
compensation, paid smaller fines and lived in a separate section of
the city. The ardu was a slave whose master paid for his upkeep, but
also took his compensation. Ardu could own property and other
slaves, and could purchase his own freedom.
W omen's Rights
Women entered into marriage through a contract arranged by her
family. She came with a dowry, and the gifts given by the groom to
the bride also came with her. Divorce was up to the husband, but
after divorce he then had to restore the dowry and provide her with
an income, and any children came under the woman's custody.
However, if the woman was considered a "bad wife" she might be
sent away, or made a slave in the husband's house. If a wife brought
action against her husband for cruelty and neglect, she could have a
legal separation if the case was proved. Otherwise, she might be
drowned as punishment. Adultery was punished with drowning of
both parties, unless a husband was willing to pardon his wife.
Discovery of the Code

Archaeologists, including Egyptologist Gustave Jequier, discovered
the code in 1901 at the ancient site of Susa in Khuzestan; a
translation was published in 1902 by Jean-V incent Scheil. A basalt
stele containing the code in cuneiform script inscribed in the
Akkadian language is currently on display in the Louvre, in Paris,
France. Replicas are located at other museums throughout the
world.
The Code of Hammurabi
This basalt stele has the Code of Hammurabi inscribed in cuneiform
script in the Akkadian language.
2.3.3: Babylonian Culture

Hallmarks of Babylonian culture include mudbrick architecture,
extensive astronomical records and logs, diagnostic medical
handbooks, and translations of Sumerian literature.
Learning Objective
Evaluate the extent and influence of Babylonian culture
Key Points
Babylonian temples were massive structures of crude brick,
supported by buttresses. Such uses of brick led to the early
development of the pilaster and column, and of frescoes and
enameled tiles.
Certain pieces of Babylonian art featured crude three-
dimensional statues, and gem-cutting was considered a high-
perfection art.
The Babylonians produced extensive compendiums of
astronomical records containing catalogues of stars and
constellations, as well as schemes for calculating various
astronomical coordinates and phenomena.
Medicinally, the Babylonians introduced basic medical
processes, such as diagnosis and prognosis, and also
catalogued a variety of illnesses with their symptoms.
Both Babylonian men and women learned to read and write, and
much of Babylonian literature is translated from ancient
Sumerian texts, such as the Epic of Gilgamesh.
Key Terms
Epic of Gilgamesh
One of the most famous Babylonian works, a twelve-book saga

translated from the original Sumerian.
pilaster
An architectural element in classical architecture used to give

the appearance of a supporting column and to articulate an
extent of wall, with only an ornamental function.
etiology
Causation. In medicine, cause or origin of disease or condition.
mudbrick
A brick mixture of loam, mud, sand, and water mixed with a

binding material, such as rice husks or straw.
Enūma Anu Enlil
A series of cuneiform tablets containing centuries of Babylonian

observations of celestial phenomena.
Diagnostic Handbook
The most extensive Babylonian medical text, written by Esagil-

kin-apli of Borsippa.
Art and Architecture

In Babylonia, an abundance of clay and lack of stone led to greater
use of mudbrick. Babylonian temples were thus massive structures
of crude brick, supported by buttresses. The use of brick led to the
early development of the pilaster and column, and of frescoes and
enameled tiles. The walls were brilliantly colored, and sometimes
plated with zinc or gold, as well as with tiles. Painted terracotta
cones for torches were also embedded in the plaster. In Babylonia,
in place of the bas-relief, there was a preponderance of three-
dimensional figures—the earliest examples being the Statues of
Gudea—that were realistic, if also somewhat clumsy. The paucity of
stone in Babylonia made every pebble a commodity and led to a
high perfection in the art of gem-cutting.
Astronomy
During the 8th and 7th centuries BCE, Babylonian astronomers
developed a new empirical approach to astronomy. They began
studying philosophy dealing with the ideal nature of the universe and
began employing an internal logic within their predictive planetary
systems. This was an important contribution to astronomy and the
philosophy of science, and some scholars have thus referred to this
new approach as the first scientific revolution. Tablets dating back to
the Old Babylonian period document the application of mathematics
to variations in the length of daylight over a solar year. Centuries of
Babylonian observations of celestial phenomena are recorded in a
series of cuneiform tablets known as the "Enūma Anu Enlil." In fact,
the oldest significant astronomical text known to mankind is Tablet
63 of the Enūma Anu Enlil, the V enus tablet of Ammi-saduqa, which
lists the first and last visible risings of V enus over a period of about
21 years. This record is the earliest evidence that planets were
recognized as periodic phenomena. The oldest rectangular astrolabe
dates back to Babylonia c. 1100 BCE. The MUL.APIN contains
catalogues of stars and constellations as well as schemes for
predicting heliacal risings and the settings of the planets, as well as
lengths of daylight measured by a water-clock, gnomon, shadows,
and intercalations. The Babylonian GU text arranges stars in
"strings" that lie along declination circles (thus measuring right-
ascensions or time-intervals), and also employs the stars of the
zenith, which are also separated by given right-ascensional
differences.
Medicine
The oldest Babylonian texts on medicine date back to the First
Babylonian Dynasty in the first half of the 2nd millennium BCE. The
most extensive Babylonian medical text, however, is the Diagnostic
Handbook written by the ummâ nū, or chief scholar, Esagil-kin-apli of
Borsippa.
The Babylonians introduced the concepts of diagnosis, prognosis,

physical examination, and prescriptions. The Diagnostic Handbook
additionally introduced the methods of therapy and etiology outlining
the use of empiricism, logic, and rationality in diagnosis, prognosis
and treatment. For example, the text contains a list of medical
symptoms and often detailed empirical observations along with
logical rules used in combining observed symptoms on the body of a
patient with its diagnosis and prognosis. In particular, Esagil-kin-apli
discovered a variety of illnesses and diseases and described their
symptoms in his Diagnostic Handbook, including those of many
varieties of epilepsy and related ailments.
Literature
Libraries existed in most towns and temples. Women as well as men
learned to read and write, and had knowledge of the extinct
Sumerian language, along with a complicated and extensive
syllabary.
A considerable amount of Babylonian literature was translated from

Sumerian originals, and the language of religion and law long
continued to be written in the old agglutinative language of Sumer.
V ocabularies, grammars, and interlinear translations were compiled
for the use of students, as well as commentaries on the older texts
and explanations of obscure words and phrases. The characters of
the syllabary were organized and named, and elaborate lists of them
were drawn up.
There are many Babylonian literary works whose titles have come
down to us. One of the most famous of these was the Epic of
Gilgamesh, in twelve books, translated from the original Sumerian by
a certain Sin-liqi-unninni, and arranged upon an astronomical
principle. Each division contains the story of a single adventure in
the career of King Gilgamesh. The whole story is a composite
product, and it is probable that some of the stories are artificially
attached to the central figure.
A Tablet from the Epic of Gilgamesh
The Deluge tablet of the Gilgamesh epic in Akkadian.
Philosophy
The origins of Babylonian philosophy can be traced back to early
Mesopotamian wisdom literature, which embodied certain
philosophies of life, particularly ethics, in the forms of dialectic,
dialogs, epic poetry, folklore, hymns, lyrics, prose, and proverbs.
Babylonian reasoning and rationality developed beyond empirical
observation. It is possible that Babylonian philosophy had an
influence on Greek philosophy, particularly Hellenistic philosophy.
The Babylonian text Dialogue of Pessimism contains similarities to
the agonistic thought of the sophists, the Heraclitean doctrine of
contrasts, and the dialogs of Plato, as well as a precursor to the
maieutic Socratic method of Socrates.
Neo-Babylonian Culture
The resurgence of Babylonian culture in the 7th and 6th century BCE
resulted in a number of developments. In astronomy, a new
approach was developed, based on the philosophy of the ideal
nature of the early universe, and an internal logic within their
predictive planetary systems. Some scholars have called this the first
scientific revolution, and it was later adopted by Greek astronomers.
The Babylonian astronomer Seleucus of Seleucia (b. 190 BCE)
supported a heliocentric model of planetary motion. In mathematics,
the Babylonians devised the base 60 numeral system, determined
the square root of two correctly to seven places, and demonstrated
knowledge of the Pythagorean theorem before Pythagoras.
2.3.4: Nebuchadnez z ar and the Fall of

Babylon
The Kassite Dynasty ruled Babylonia following the fall of Hammurabi
and was succeeded by the Second Dynasty of Isin, during which
time the Babylonians experienced military success and cultural
upheavals under Nebuchadnezzar.
Learning Objective
Describe the key characteristics of the Second Dynasty of Isin
Key Points
Following the collapse of the First Babylonian Dynasty under
Hammurabi, the Babylonian Empire entered a period of
relatively weakened rule under the Kassites for 576 years. The
Kassite Dynasty eventually fell itself due to the loss of territory
and military weakness.
The Kassites were succeeded by the Elamites, who themselves
were conquered by Marduk-kabit-ahheshu, the founder of the
Second Dynasty of Isin.
Nebuchadnezzar I was the most famous ruler of the Second
Dynasty of Isin. He enjoyed military successes for the first part
of his career, then turned to peaceful building projects in his
later years.
The Babylonian Empire suffered major blows to its power when
Nebuchadnezzar's sons lost a series of wars with Assyria, and
their successors effectively became vassals of the Assyrian
king. Babylonia descended into a period of chaos in 1026 BCE.
Key Terms
Assyrian Empire
A major Semitic empire of the Ancient Near East which existed

as an independent state for a period of approximately nineteen
centuries.
Nebuchadnezzar I
The most famous ruler of the Second Dynasty of Isin, who

sacked the Elamite capital of Susa and devoted himself to
peaceful building projects after securing Babylonia's borders.
Elamites
An ancient civilization centered in the far west and southwest of

modern-day Iran.
Kassite Dynasty
An ancient Near Eastern people who controlled Babylonia for
nearly 600 years after the fall of the First Babylonian Dynasty.
Marduk-kabit-ahheshu
Overthrower of the Elamites and the founder of the Second

Dynasty of Isin.
Kudurru
A type of stone document used as boundary stones and as

records of land grants to vassals by the Kassites in ancient
Babylonia.
The Fall of the Kassite Dynasty

and the Rise of the Second
Dynasty of Isin
Following the collapse of the First Babylonian Dynasty under
Hammurabi, the Babylonian Empire entered a period of relatively
weakened rule under the Kassites for 576 years— the longest
dynasty in Babylonian history. The Kassite Dynasty eventually fell
due to the loss of territory and military weakness, which resulted in
the evident reduction in literacy and culture. In 1157 BCE, Babylon
was conquered by Shutruk-Nahhunte of Elam.
The Elamites did not remain in control of Babylonia long, and

Marduk-kabit-ahheshu (1155-1139 BCE) established the Second
Dynasty of Isin. This dynasty was the very first native Akkadian-
speaking south Mesopotamian dynasty to rule Babylon, and was to
remain in power for some 125 years. The new king successfully
drove out the Elamites and prevented any possible Kassite revival.
Later in his reign, he went to war with Assyria and had some initial
success before suffering defeat at the hands of the Assyrian king
Ashur-Dan I. He was succeeded by his son Itti-Marduk-balatu in
1138 BCE, who was followed a year later by Ninurta-nadin-shumi in
1137 BCE.
The Reign of Nebuchadnez z ar I

and His Sons
Nebuchadnezzar I (1124-1103 BCE) was the most famous ruler of
the Second Dynasty of Isin. He not only fought and defeated the
Elamites and drove them from Babylonian territory but invaded Elam
itself, sacked the Elamite capital Susa, and recovered the sacred
statue of Marduk that had been carried off from Babylon. In the later
years of his reign, he devoted himself to peaceful building projects
and securing Babylonia's borders. His construction activities are
memorialized in building inscriptions of the Ekituš -ḫ egal-tila, the
temple of Adad in Babylon, and on bricks from the temple of Enlil in
Nippur. A late Babylonian inventory lists his donations of gold
vessels in Ur. The earliest of three extant economic texts is dated to
Nebuchadnezzar's eighth year; in addition to two kudurrus and a
stone memorial tablet, they form the only existing commercial
records. These artifacts evidence the dynasty's power as builders,
craftsmen, and managers of the business of the empire.
The Kudurru of Nebuchadnez z ar
This detail depicts Nebuchadnezzar granting Marduk freedom from
taxation.
Nebuchadnezzar was succeeded by his two sons, firstly Enlil-nadin-

apli (1103-1100 BCE), who lost territory to Assyria, and then Marduk-
nadin-ahhe (1098-1081 BCE), who also went to war with Assyria.
Some initial success in these conflicts gave way to catastrophic
defeat at the hands of Tiglath-pileser I, who annexed huge swathes
of Babylonian territory, thereby further expanding the Assyrian
Empire. Following this military defeat, a terrible famine gripped
Babylon, which invited attacks from Semitic Aramean tribes from the
west.
In 1072 BCE, King Marduk-shapik-zeri signed a peace treaty with

Ashur-bel-kala of Assyria. His successor, Kadaš man-Buriaš ,
however, did not maintain his predecessor's peaceful intentions, and
his actions prompted the Assyrian king to invade Babylonia and
place his own man on the throne. Assyrian domination continued
until c. 1050 BCE, with the two reigning Babylonian kings regarded
as vassals of Assyria. Assyria descended into a period of civil war
after 1050 BCE, which allowed Babylonia to once more largely free
itself from the Assyrian yoke for a few decades.
However, Babylonia soon began to suffer repeated incursions from
Semitic nomadic peoples migrating from the west, and large swathes
of Babylonia were appropriated and occupied by these newly arrived
Arameans, Chaldeans, and Suteans. Starting in 1026 and lasting till
911 BCE, Babylonia descended into a period of chaos.
Attributions
Babylon
"Mari, Syria." https://en.wikipedia.org/wiki/Mari,_Syria.
"Babylon." https://en.wikipedia.org/wiki/Babylon. Wikipedia
CC BY-SA 3.0.
"Code of Hammurabi."
https://en.wikipedia.org/wiki/Code_of_Hammurabi.
"Babylonia." http://en.wikipedia.org/wiki/Babylonia.
Wikipedia CC BY-SA.
Hammurabi's Code
"Code of Hammurabi."
https://en.wikipedia.org/wiki/Code_of_Hammurabi.
"Babylonian Law."
https://en.wikipedia.org/wiki/Babylonian_law. Wikipedia CC
BY-SA 3.0.
"Hammurabi's Code: An Eye for an Eye."
http://www.ushistory.org/civ/4c.asp. Ancient Civilizations CC
BY 4.0.
"220px-Code-de-Hammurabi-1.jpg."
https://en.wikipedia.org/wiki/File:Code-de-Hammurabi-1.jpg.
Babylonian Culture
Wikipedia CC BY-SA.
"etiology." http://en.wikipedia.org/wiki/etiology. Wikipedia
CC BY-SA 3.0.
"Epic of Gilgamesh."
http://en.wikipedia.org/wiki/Epic_of_gilgamesh. Wikipedia
CC BY-SA.
"pilaster." http://en.wiktionary.org/wiki/pilaster. Wiktionary
CC BY-SA 3.0.
"Epic of Gilgamesh."
http://en.wikipedia.org/wiki/Epic_of_gilgamesh. Wikipedia
Public domain.
Nebuchadnezzar and the Fall of Babylon
"Nebuchadnezzar I."
http://en.wikipedia.org/wiki/Nebuchadnezzar_I. Wikipedia
CC BY-SA.
Wikipedia CC BY-SA.
"Nebuchadnezzar I."
http://en.wikipedia.org/wiki/Nebuchadnezzar_I. Wikipedia
Public domain.
3: Early Civiliz ations
3.1: Ancient Societies on the
Mediterranean
3.1.1: The Hittites
The Hittites were an ancient Anatolian people of the Bronze Age,
who manufactured advanced iron goods, ruled through government
officials with independent authority over various branches of
government, and worshipped storm gods.
Learning Objective
Describe the key characteristics of the Hittite Empire
Key Points
The Hittite Empire was established at Hattusa in north-central
Anatolia around 1600 BCE, and reached its height during the
mid-14th century BCE under Suppiluliuma I.
After c. 1180 BCE, the empire came to an end during the
Bronze Age collapse and splintered into several independent
"Neo-Hittite" city-states, some of which survived until the 8th
century BCE.
The Hittite language was a member of the Anatolian branch of
the Indo-European language family.
The Hittite military made successful use of chariots and
advanced iron working technologies.
After 1180 BCE, amid general turmoil in the Levant associated
with the sudden arrival of the Sea Peoples, the kingdom
disintegrated into several independent "Neo-Hittite" city-states.
The head of the Hittite state was the king, but other officials
exercised independent authority over various branches of the
government.
Storm gods featured prominently in the Hittite religion, which
was heavily influenced by Hattic, Mesopotamian, and Hurrian
religions.
Key Terms
Indo-European language
A member of a family of several hundred related languages and

dialects that includes most major current languages of Europe,
the Iranian plateau, the Indian subcontinent, and ancient
Anatolia.
Hittite Empire
An ancient Anatolian people who established an empire at

Hattusa in north-central Anatolia around 1600 BCE. It reached
its height during the mid-14th century BCE.
Tarhunt
The Hurrian god of sky and storm who oversaw Hittite conflicts
with foreign powers.
cuneiform
Wedge-shaped characters used in ancient Mesopotamian

writings, typically on clay tablets.
The Hittites were an ancient Anatolian people who established an

empire at Hattusa in north-central Anatolia around 1600 BCE. The
Hittite Empire reached its height during the mid-14th century BCE
under Suppiluliuma I, when it encompassed an area that included
most of Asia Minor as well as parts of the northern Levant and Upper
Mesopotamia. After c. 1180 BCE, the empire came to an end during
the Bronze Age collapse, and splintered into several independent
"Neo-Hittite" city-states, some of which survived until the 8th century
BCE.
The Hittite Empire at its greatest

ex tent under Suppiluliuma I ( c. 135 0–
1322 BCE) and Mursili II ( c. 1321– 1295
BCE)
The approximate extent of the maximum area of the Hittite rule (light
green) and the Hittite rule c. 1350-1300 BCE (green line).
The Hittite Empire included portions of modern-day Turkey, Syria,

and Lebanon. At its peak, during the reign of Mursili II, the Hittite
Empire stretched from Arzawa in the west to Mitanni in the east,
many of the Kaskian territories to the north including Hayasa-Azzi in
the far north-east, and on south into Canaan approximately as far as
the southern border of Lebanon, incorporating all of these territories
within its domain.
The Hittite language was a member of the Anatolian branch of the

Indo-European language family. They referred to their native land as
Hatti. The conventional name "Hittites" is due to their initial
identification with the Biblical Hittites, according to 19th century
archaeology. The Hebrew Bible refers to "Hittites" in several
passages, and links them to an eponymous ancestor Heth, a
descendant of Ham through his son Canaan. The Hittites are thereby
counted among the Canaanites. The Hittites are usually depicted as
a people living among the Israelites—Abraham purchases the
Patriarchal burial-plot from "Ephron HaChiti" (Ephron the Hittite), and
Hittites serve as high military officers in David's army. In 2 Kings 7:6,
they are depicted as a people with their own kingdoms.
Despite the use of Hatti as the core of their territory, the Hittites
should be distinguished from the Hattians, an earlier people who
inhabited the same region (until the beginning of the 2nd millennium
BCE), and spoke a different language, possibly in the Northwest
Caucasian language group known as Hattic.
The Hittite military made successful use of chariots. Although their

civilization thrived during the Bronze Age, the Hittites were the
forerunners of the Iron Age and were manufacturing iron artifacts
from as early as the 14th century BCE. Correspondence with rulers
from other empires reveal a foreign demand for iron goods.
After 1180 BCE, amid general turmoil in the Levant associated with
the sudden arrival of the Sea Peoples, the kingdom disintegrated
into several independent "Neo-Hittite" city-states. The history of the
Hittite civilization is known mostly from cuneiform texts found in the
area of their kingdom, and from diplomatic and commercial
correspondence found in various archives in Egypt and the Middle
East.
Culture
Government
The head of the Hittite state was the king, followed by the heir-
apparent. However, some officials exercised independent authority
over various branches of the government. One of the most important
of these posts was that of the Gal Mesedi (Chief of the Royal
Bodyguards). It was superseded by the rank of the Gal Gestin (Chief
of the Wine Stewards), who, like the Gal Mesedi, was generally a
member of the royal family. The kingdom's bureaucracy was headed
by the Gal Dubsar (Chief of the Scribes).
Religion
Hittite religion and mythology were heavily influenced by their Hattic,
Mesopotamian, and Hurrian counterparts. In earlier times, Indo-
European elements may still be clearly discerned.
"Storm gods" were prominent in the Hittite pantheon. Tarhunt was

referred to as "The Conqueror," "The King of Kummiya," "King of
Heaven," and "Lord of the land of Hatti." As the god of battle and
victory, especially against foreign powers, he was chief among the
gods and was depicted as a bearded man astride two mountains and
bearing a club.
3.1.2: The Phoenicians

Known for their alphabet, the Phoenicians were an ancient Semitic
maritime trading culture in the Mediterranean. They fell under both
Persian and Hellenistic rule.
Learning Objective
Describe key aspects of Phoenician culture
Key Points
Phoenicia was an ancient Semitic maritime trading culture
situated on the western, coastal part of the Fertile Crescent and
centered on the coastline of modern Lebanon and Tartus
Governorate in Syria from 1550 to 300 BCE.
The Phoenicians used the galley, a man-powered sailing vessel,
and are credited with the invention of the bireme.
Each Phoenician city-state was a politically independent unit.
City-states often came into conflict with others of its kind, or
formed leagues and alliances.
A league of independent city-state ports, with others on the
islands and along other coasts of the Mediterranean Sea, was
ideally suited for trade between the Levant area (which was rich
in natural resources) and the rest of the ancient world.
Cyrus the Great of Persia conquered Phoenicia in 539 BCE, and
divided Phoenicia into four vassal kingdoms: Sidon, Tyre,
Arwad, and Byblos.
Alexander the Great conquered Phoenicia beginning with Tyre
in 332 BCE. The rise of Hellenistic Greece gradually ousted the
remnants of Phoenicia's former dominance over the Eastern
Mediterranean trade routes.
Key Terms
city-state
An independent or autonomous entity, not administered as a

part of another local government, whose territory consists of a
city and possibly its surrounding territory.
bireme
An ancient oared warship (galley) with two decks of oars,

probably invented by the Phoenicians.
Phoenicia
An ancient Semitic maritime trading culture situated on the

western, coastal part of the Fertile Crescent.
Cyrus the Great
Also known as Cyrus II of Persia, Cyrus the Elder. Founder of

the Achaemenid Empire.
Alexander the Great
Also known as Alexander III of Macedon. His military was

extremely successful, and he created one of the largest empires
in history.
Phoenicia was an ancient Semitic civilization situated on the

western, coastal part of the Fertile Crescent near modern-day
Lebanon, Israel, Jordan, Palestine, and Syria. All major Phoenician
cities were on the coastline of the Mediterranean. It was an
enterprising maritime trading culture that spread across the
Mediterranean from 1550 BCE to 300 BCE. The Phoenicians used
the galley, a man-powered sailing vessel, and are credited with the
invention of the bireme oared ship. They were famed in Classical
Greece and Rome as "traders in purple," which refers to their
monopoly on the precious purple dye of the Murex snail, used for
royal clothing, among other things.
Assyrian W arship
Assyrian warship (probably built by Phoenicians) with two rows of
oars, relief from Nineveh, c. 700 BCE.
Phoenician became one of the most widely used writing systems. It

was spread by Phoenician merchants across the Mediterranean
world, where it evolved and was assimilated by many other cultures.
The Aramaic alphabet, a modified form of Phoenician, was the
ancestor of modern Arabic script, while Hebrew script is a stylistic
variant of the Aramaic script. The Greek alphabet (and by extension
its descendants, such as the Latin, the Cyrillic, and the Coptic) was a
direct successor of Phoenician, though certain letter values were
changed to represent vowels.
Phoenicians are widely thought to have originated from the earlier

Canaanite inhabitants of the region. Although Egyptian seafaring
expeditions had already been made to Byblos to bring back "cedars
of Lebanon" as early as the 3rd millennium BCE, continuous contact
only occurred in the Egyptian New Empire period.
It is important to note that Phoenicia is a Classical Greek term used

to refer to the region of the major Canaanite port towns, and does
not correspond exactly to a cultural identity that would have been
recognized by the Phoenicians themselves. It is uncertain to what
extent the Phoenicians viewed themselves as a single ethnicity and
nationality. Their civilization was organized in city-states, similar to
that of ancient Greece. However, in terms of archaeology, language,
life style and religion, there is little to set the Phoenicians apart as
markedly different from other Semitic cultures of Canaan. As
Canaanites, they were unique in their remarkable seafaring
achievements.
Each Phoenician city-state was a politically independent unit. City-

states often came into conflict with one another, with the result that
one may dominate another. City-states were also inclined to
collaborate in leagues and alliances. Though ancient boundaries of
city-centered cultures fluctuated, the city of Tyre held the
southernmost border of Phoenician territory.
Phoenician Sarcophagus
A Phoenician sarcophagus at the burial grounds of Antarados,
northern Lebanon, 480-450 BCE. Made from Greek marble.
Rise and Decline

The high point of Phoenician culture and sea power is usually placed
c. 1200-800 BCE, though many of the most important Phoenician
settlements had been established long before this period.
Archeology has identified cultural elements of the Phoenician zenith
as early as the 3rd millennium BCE. The league of independent city-
state ports, with others on the islands and along other coasts of the
Mediterranean Sea, was ideally suited for trade between the Levant
area (which was rich in natural resources) and the rest of the ancient
world. During the early Iron Age, around 1200 BCE, Sea Peoples
appeared in the area from the north, which weakened and destroyed
the Egyptians and Hittites, respectively. In the resulting power
vacuum, a number of Phoenician cities rose as significant maritime
powers.
These societies rested on three power-bases: the king; the temple

and its priests; and the councils of elders. Byblos first became the
predominant center from where the Phoenicians dominated the
Mediterranean and Erythraean (Red) Sea routes. It was here that the
first inscription in the Phoenician alphabet was found, on the
sarcophagus of Ahiram (c. 1200 BCE). Tyre rose to power several
hundred years later. One of its kings, the priest Ithobaal (887–856
BCE), ruled Phoenicia as far north as Beirut and Cyprus. Carthage
was founded in 814 BCE, under Pygmalion of Tyre (820–774 BCE).
The collection of city-states constituting Phoenicia came to be
characterized by outsiders and the Phoenicians as Sidonia or Tyria.
Phoenicians and Canaanites alike were called Sidonians or Tyrians,
as one Phoenician city came to prominence after another.
Phoenician Trade Network

Map of Phoenicia and its trade routes.
Persian Rule
Cyrus the Great of Persia conquered Phoenicia in 539 BCE. The
Persians divided Phoenicia into four vassal kingdoms: Sidon, Tyre,
Arwad, and Byblos. Though these vassal kingdoms prospered and
furnished fleets for the Persian kings, Phoenician influence declined
after this period. It is likely that much of the Phoenician population
migrated to Carthage and other colonies following the Persian
conquest. In 350 or 345 BCE, a rebellion in Sidon was crushed by
Artaxerxes III.
Hellenistic Rule
Alexander the Great took Tyre in 332 BCE after the Siege of Tyre,
and kept the existing king in power. He gained control of the other
Phoenician cities peacefully, and the rise of Hellenistic Greece
gradually ousted the remnants of Phoenicia's former dominance over
the Eastern Mediterranean trade routes. Phoenician culture
disappeared entirely in the motherland. Carthage continued to
flourish in North Africa. It oversaw the mining of iron and precious
metals from Iberia, and used its considerable naval power and
mercenary armies to protect commercial interests. It was finally
destroyed by Rome in 146 BC, at the end of the Punic Wars.
3.1.3: The Minoans

The Minoans were an Aegean Bronze Age civilization on the island
of Crete that flourished between 2800-1450 BCE. They left behind
extensive material culture showing the extent of their handicraft and
influence upon Mycenaean culture.
Learning Objective
Evaluate the impact of Minoan culture on other cultures and empires
of the time
Key Points
The Minoan civilization was an Aegean Bronze Age civilization
that arose on the island of Crete, and flourished from
approximately the 27th century to the 15th century BCE.
The term "Minoan" was coined after the mythic "king" Minos,
who was associated in Greek myth with the labyrinth identified
with the site at Knossos.
The Bronze Age allowed upper Minoan classes to practice
leadership activities and to expand their influence, eventually
replacing the original hierarchies of the local elites with
monarchist power structures.
The apex of Minoan civilization occurred during a period of large
building projects, as palaces were rebuilt and settlements
sprung up throughout Crete.
Evidence of the influence of Minoan civilization outside Crete
can be seen in Minoan handicraft on the Greek mainland, likely
the result of a connection between Mycene and Minoan trade
networks. The Minoans were also connected to Egypt and the
Canaanite civilization.
The Minoan civilization declined due to natural catastrophe, but
the Dynasty of Knossos was able to spread its influence over
Crete until it was overrun by the Mycenaean Greeks.
Minoan culture is known best for its pottery and handiwork, and
its religion was based primarily on the worship of female
goddesses.
Key Terms
Linear B
A syllabic script that was used for writing Mycenaean Greek—

the earliest attested form of Greek.
Minoan civilization
An Aegean Bronze Age civilization that arose on the island of

Crete and flourished from approximately the 27th century to the
15th century BCE.
Knossos
A syllabic script that was used for writing Mycenaean Greek, the
earliest attested form of Greek.
Neopalatial period
The period of the new or second palaces of Minoan Crete,

corresponding roughly with 17th and 16th centuries BCE.
Linear A
The primary script used in palace and religious writings of the

Minoan civilization, one of two currently undeciphered writing
systems used in ancient Crete.
The Minoan civilization was an Aegean Bronze Age civilization that

arose on the island of Crete, and flourished from approximately the
27th century to the 15th century BCE.
Minoan Crete
A map of Minoan Crete.
The early inhabitants of Crete settled as early as 128,000 BCE,

during the Middle Paleolithic Age. It was not until 5000 BCE that the
first signs of advanced agriculture appeared, marking the beginning
of civilization. The term "Minoan" was coined by Arthur Evans after
the mythic "king" Minos. Minos was associated in Greek myth with
the labyrinth, which is identified with the site at Knossos.
The Bronze Age began in Crete around 2700 BCE, when several
localities on the island developed into centers of commerce and
handwork. This development enabled the upper classes to
continuously practice leadership activities and to expand their
influence. It is likely that the original hierarchies of the local elites
were replaced by monarchist power structures— a precondition for
the creation of the great palaces.
Around 1700 BCE, there was a large disturbance in Crete, possibly

an earthquake or an invasion from Anatolia. The palaces at
Knossos, Phaistos, Malia, and Kato Zakros were destroyed. But with
the start of the Neopalatial period (the 17th and 16th centuries BCE),
population increased again, palaces were rebuilt on a larger scale,
and new settlements sprung up all over the island. This period
represents the apex of the Minoan civilization.
Knossos - North Portico
Restored North Entrance of the Knossos palace complex, with the
charging bull fresco.
The influence of the Minoan civilization outside Crete has been seen
in the evidence of valuable Minoan handicraft items on the Greek
mainland. It is likely that the ruling house of Mycene was connected
to the Minoan trade network. After c. 1700 BCE, the material culture
on the Greek mainland achieved a new level due to Minoan
influence. Connections between Egypt and Crete are also prominent.
Minoan ceramics are found in Egyptian cities, and the Minoans
imported several items from Egypt, especially papyrus, as well as
architectural and artistic ideas. The Egyptian hieroglyphs served as a
model for Minoan pictographic writing, from which the famous Linear
A and Linear B writing systems later developed. There has also been
evidence of Minoan influence among Canaanite artifacts.
The Minoan culture began to decline c. 1450 BCE, following an

earthquake, the eruption of the Thera volcano, or another possible
natural catastrophe. Several important palaces in locations such as
Mallia, Tylissos, Phaistos, Hagia Triade, as well as the living quarters
of Knossos were destroyed, but the palace in Knossos seems to
have remained largely intact. The preservation of this palace
resulted in the Dynasty in Knossos spreading its influence over large
parts of Crete until it was overrun by Mycenaean Greeks.
Society and Culture

Pottery
The best surviving examples of Minoan art are its pottery and palace
architecture with frescos that include landscapes, stone carvings,
and intricately carved seal stones. Ceramics from the Early Minoan
period are characterized by linear patterns of spirals, triangles,
curved lines, crosses, and fishbone motifs. In the Middle Minoan
period, naturalistic designs such as fish, squid, birds, and lilies were
common. In the Late Minoan period, flowers and animals were still
the most characteristic, but the variability had increased. The "palace
style" of the region around Knossos is characterized by a strong
geometric simplification of naturalistic shapes and monochromatic
paintings. The similarities between Late Minoan and Mycenaean art
are notable. Frescoes were the main form of art during the period of
Late Minoan culture.
Religion
The Minoans seem to have worshiped primarily goddesses, and can
be described as a "matriarchal religion." Although there is some
evidence of male gods, depictions of Minoan goddesses vastly
outnumber depictions of anything that could be considered a Minoan
god. While some of these depictions of women are speculated to be
images of worshippers and priestesses officiating at religious
ceremonies, as opposed to the deity, several goddesses appear to
be portrayed. These include a mother goddess of fertility, a mistress
of the animals, a protectress of cities, the household, the harvest,
and the underworld, to name a few. The goddesses are often
depicted with serpents, birds, or poppies, and are often shown with a
figure of an animal upon her head.
Attributions
The Hittites
"Hittites." http://en.wikipedia.org/wiki/Hittites. Wikipedia CC
BY-SA.
"Hittites."
http://en.wikipedia.org/wiki/File:Map_Hittite_rule_en.svg.
The Phoenicians
"Phonician Alphabet."
http://en.wikipedia.org/wiki/Phoenician_alphabet. Wikipedia
CC BY-SA 3.0.
"Phoenicians." http://en.wikipedia.org/wiki/Phoenicians.
Wikipedia CC BY-SA.
"city-state." http://en.wikipedia.org/wiki/city-state. Wikipedia
CC BY-SA 3.0.
"Alexander the Great."
http://en.wiktionary.org/wiki/Alexander_the_Great.
Wiktionary CC BY-SA 3.0.
"Phonecian Trade."
http://upload.wikimedia.org/wikipedia/commons/9/9c/Phoeni
cianTrade.png. Wikipedia CC BY-SA 3.0.
"Phoenicia."
AssyrianWarship.jpg/640px-AssyrianWarship.jpg. Wikipedia
CC BY-SA 3.0.
"Phoenicians."
http://en.wikipedia.org/wiki/File:Antarados_sarkophagus_fa
ce.JPG. Wikipedia Public domain.
The Minoans
"Minoan Civilization."
http://en.wikipedia.org/wiki/Minoan_civilization. Wikipedia
CC BY-SA.
"Minoans." http://en.wikipedia.org/wiki/Minoans. Wikipedia
CC BY-SA.
"Linear A." http://en.wiktionary.org/wiki/Linear_A. Wiktionary
CC BY-SA 3.0.
"Minoan Crete."
http://upload.wikimedia.org/wikipedia/commons/thumb/f/ff/M
ap_Minoan_Crete-en.svg/640px-Map_Minoan_Crete-
en.svg.png. Wikipedia CC BY-SA 3.0.
"Knossos."
http://en.wikipedia.org/wiki/Knossos%23mediaviewer/File:K
nossos_-_North_Portico_02.jpg. Wikipedia CC BY-SA 3.0.
3.2: Ancient Africa
3.2.1: Sao
The Sao lived in modern-day Cameroon and Chad from the 6th
century BCE to the 16th century CE.
Learning Objective
Identify where and when the Sao lived
Key Points
The Sao civilization flourished in Middle Africa from the 6th
century BCE to as late as the 16th century CE. Due to a lack of
written records, little is known about the Sao's culture or political
organization.
One theory of the origin of the Sao states that they descended
from the Hyksos, who conquered Ancient Egypt and later moved
south, from the Nile valley to mid-Africa, after fleeing invaders.
The Sao were made up of several patrilineal clans who were
united into a single polity with one language, race, and religion.
It is unclear why the Sao declined, but it may have been due to
conquest or assimilation.
Today, several ethnic groups of northern Cameroon and
southern Chad, particularly the Sara, claim to be descendants of
the Sao.
Key Terms
Hyksos
A people of mixed Semitic and Asian descent who invaded
Egypt and settled in the Nile delta c. 1640 BCE. They were
driven out of Egypt c. 1532 BCE.
patrilineal
Pertaining to descent through male lines.
Islamization
The process of a society's shift toward the religion of Islam.
The Sao civilization flourished in Middle Africa from the 6th century
BCE to as late as the 16th century CE. They lived by the Chari River,
south of Lake Chad, in parts of modern-day Cameroon and Chad.
Chari River
Region including Lake Chad, Cameroon, and environs.
The map shows Lake Chad, which is is situated in the far west of
Chad, bordering on northeastern Nigeria. To It also shows the Chari
River, which flows from the Central African Republic through Chad
into Lake Chad, along with the Chari River's principal tributary, the
Longone River.
For more than 2,000 years, the Chadian Basin has been inhabited
by agricultural and sedentary people. The region became a
crossroads of civilizations. The earliest of these were the legendary
Sao, known today only from artifacts and oral histories. They left no
written records and are known only through archaeological finds and
the oral history of their successors in the territory. Unfortunately, little
is known about the Sao's culture or political organization. One theory
of the origin of the Sao states that they descended from the Hyksos,
who conquered Ancient Egypt and later moved south, from the Nile
valley to mid-Africa, after fleeing invaders.
Sao artifacts show that they were skilled workers in bronze, copper,
and iron. They made bronze sculptures and terra cotta statues of
human and animal figures, funerary urns, and highly decorated
pottery. The Sao were made up of several patrilineal clans who were
united into a single polity with one language, race, and religion.
Sao Sculpture
A Sao sculpture from Chad.
The head and torso of an anthropomorphic figure carved in terra

cotta.
The Sao's demise may have come about due to conquest,

Islamization, or a combination of the two. Traditional tales say that
the Sao west of Lake Chad fell to "Yemenites" from the east. If true,
the newcomers may have been Arab Bedouin or Sayfuwa raiders
coming from the east, who moved into the region in the 14th century
CE. Although some scholars estimate that the Sao civilization south
of Lake Chad lasted until the 14th or 15th century CE, the majority
opinion is that it ceased to exist as a separate culture sometime in
the 16th century CE.
The Sao fell to the Kanem Empire, the first and longest-lasting of the
empires that developed in Chad's Sahelian strip by the end of the 1st
millennium CE. The power of Kanem and its successors was based
on control of the trans-Saharan trade routes that passed through the
region.
Today, several ethnic groups of northern Cameroon and southern

Chad, particularly the Sara, claim to be descendants of the Sao. The
Sara are an ethnic group who reside in southern Chad and Central
African Republic. They make up 27.7% of Chad's total population
(year 1993 Census). Other ethnic groups in the Lake Chad basin
area, including the Buduma, Gamergu, Kanembu, Kotoko and
Musgum, also claim to be descended from the Sao.
3.2.2: Ancient Carthage

Ancient Carthage was a North African civilization that lasted from c.
650 BCE to 146 BCE.
Learning Objective
Explain Carthage's culture and the Punic Wars
Key Points
Ancient Carthage was the empire born of the Phoenician city-
state Carthage.
Carthage practiced highly advanced and productive agriculture
and manufacturing.
Carthage traded in almost every commodity wanted by the
ancient world, including spices from Arabia, Africa, and India. It
also participated in the slave trade.
The military of Carthage was one of the largest military forces in
the ancient world; its navy was its strongest force.
The Punic Wars were fought with Rome from 265 BCE to 146
BCE. The main cause was the conflict of interest between the
existing Carthaginian Empire and the expanding Roman
Republic.
The Third Punic War began in 149 BCE, and culminated in the
defeat of Carthage.
The Roman domination during the Punic Wars was the
beginning of a rise in status that would last until the 5th century
CE.
Key Terms
Phoenician
A Semitic people inhabiting ancient Phoenicia and its colonies.
polytheism
The belief in, or worship of, more than one god.
Punic Wars
A set of three wars between Carthage and Rome that

culminated in the fall of Carthage.
Ancient Carthage was a North African, Phoenician civilization that

lasted from c. 650 BCE to 146 BCE. They were defeated by the
Romans in 146 BCE. Carthage eventually extended across northern
Africa and into the south of modern-day Spain.
Carthage
Ancient Carthage in 264 BCE.
The map shows Carthage, located on the northern coast of modern-

day Tunisia. IT also shows the Carthaginian Empire, which extended
over much of the coast of North Africa as well as encompassing
substantial parts of coastal Iberia and the islands of the western
Mediterranean Sea.
Culture
Carthaginian religion was based on Phoenician religion (derived from
the faiths of the Levant), a form of polytheism. Many of the gods the
Carthaginians worshiped were localized, and are now known only
under their local names.
Carthage produced finely embroidered silks, dyed textiles of cotton,

linen,and wool, artistic and functional pottery, and perfumes. Its
artisans worked expertly with ivory, glassware, and wood, as well as
with metals and precious stones. It traded in salted Atlantic fish and
fish sauce (garum), and brokered the products of almost every
Mediterranean people. In addition to manufacturing, Carthage
practiced highly advanced and productive agriculture, using iron
ploughs, irrigation, and crop rotation.
Carthaginian commerce extended by sea throughout the
Mediterranean, and perhaps into the Atlantic as far as the Canary
Islands, and by land across the Sahara desert. According to
Aristotle, the Carthaginians and others had treaties of commerce to
regulate their exports and imports.The empire of Carthage depended
heavily on its trade with cities of the Iberian peninsula, from which it
obtained vast quantities of silver, lead, copper and— most
importantly —tin ore, which was essential for the manufacture of
bronze objects by the civilizations of antiquity.
Carthaginian trade-relations with the Iberians (and the naval strength

that enforced Carthage's monopoly on Iberian trade and that with tin-
rich Britain), made it the sole significant broker of tin and maker of
bronze in its day. Maintaining this monopoly was one of the major
sources of power and prosperity for Carthage; Carthaginian
merchants strove to keep the location of the tin mines secret. In
addition to its role as the sole significant distributor of tin, Carthage's
central location in the Mediterranean and control of the waters
between Sicily and Tunisia allowed it to control the eastern peoples'
supply of tin. Carthage was also the Mediterranean's largest
producer of silver mined in Iberia and on the North African coast;
after the tin monopoly, silver was one of its most profitable trades.
Carthage also sent caravans into the interior of Africa and Persia. It
traded its manufactured and agricultural goods to the coastal and
interior peoples of Africa for salt, gold, timber, ivory, ebony, apes,
peacocks, skins, and hides. Its merchants invented the practice of
sale by auction and used it to trade with the African tribes. In other
ports, they tried to establish permanent warehouses, or sell their
goods in open-air markets.
Carthage obtained amber from Scandinavia, and from the

Celtiberians, Gauls, and Celts they got amber, tin, silver, and furs.
Sardinia and Corsica produced gold and silver for Carthage, and
Phoenician settlements on islands, such as Malta and the Balearic
Islands, produced commodities that would be sent back to Carthage
for large-scale distribution. The city supplied poorer civilizations with
simple products (such as pottery, metallic objects, and
ornamentations), often displacing the local manufacturing, and
meanwhile brought its best works to wealthier civilizations (such as
the Greeks and Etruscans). Carthage traded in almost every
commodity wanted by the ancient world, including spices from
Arabia, Africa and India. It also participated in the slave trade.
Military and W arfare

The military of Carthage was one of the largest military forces in the
ancient world. Although Carthage's navy was always its main military
force, the army acquired a key role in the spread of Carthaginian
power over the native peoples of northern Africa and southern
Iberian Peninsula, from the 6th century BC to the 3rd century BC.
Carthage's military also allowed it to expand into Sardinia and the
Balearic Islands. This expansion transformed the military from a
body of citizen-soldiers into a multinational force composed primarily
of foreign mercenary units.
Ancient Carthage was almost constantly at war with the Greeks or

the Romans. One set of wars was called the Punic Wars. They were
fought with Rome from 265 BCE to 146 BCE. The main cause of the
Punic Wars was the conflict of interest between the existing
Carthaginian Empire and the expanding Roman Republic. The
Romans were initially interested in expansion via Sicily (at that time
a cultural melting pot), part of which lay under Carthaginian control.
At the start of the first Punic War, Carthage was the dominant power
of the Western Mediterranean, with an extensive maritime empire.
Rome, meanwhile, was the rapidly ascending power in Italy, which
still lacked the naval power of Carthage.
It was during the Second Punic War that the Carthaginian leader
Hannibal launched his famous overland attack on Rome. By the end
of the third war, which began in 149 BCE, many hundreds of
thousands of soldiers from both sides had been lost, and Rome
succeeded in conquering Carthage's empire. The Romans
completely destroyed Carthage, and became the most powerful state
in the Western Mediterranean. During this period, Rome emerged as
the dominant Mediterranean power and one of the most powerful
cities in classical antiquity. The Roman victories over Carthage in
these wars gave Rome a preeminent status, a status it would retain
until the 5th century CE.
Attributions
Sao
"Lake Chad." https://en.wikipedia.org/wiki/Lake_Chad.
"The Chari River." https://en.wikipedia.org/wiki/Chari_River.
"Chad." http://en.wikipedia.org/wiki/Chad. wikipedia CC BY-
SA 3.0.
"Sara people." http://en.wikipedia.org/wiki/Sara_people.
wikipedia CC BY-SA 3.0.
"patrilineal." http://en.wiktionary.org/wiki/patrilineal.
"Patrilineal." http://en.wiktionary.org/wiki/patrilineal.
"Sao Civilization."
http://en.wikipedia.org/wiki/Sao_civilization. Wikipedia CC
BY-SA 3.0.
"Figurines anthropomorphes Sao-Tchad."
http://commons.wikimedia.org/wiki/File:Figurines_anthropo
morphes_Sao-Tchad_(2).jpg. Wikimedia CC BY-SA 3.0.
"Figurines anthropomorphes Sao-Tchad."
http://commons.wikimedia.org/wiki/File:Figurines_anthropo
morphes_Sao-Tchad_(2).jpg. Wikipedia CC BY-SA 3.0.
"Chari River."
Charirivermap.png/480px-Charirivermap.png. wikipedia CC
BY-SA 3.0.
Ancient Carthage
"Ancient Carthage."
https://en.wikipedia.org/wiki/Ancient_Carthage. Wikipedia
CC BY-SA 3.0.
"Punic Wars." http://en.wikipedia.org/wiki/Punic_Wars.
"Ancient Carthage."
http://en.wikipedia.org/wiki/Ancient_Carthage%23Culture.
"Military of Ancient Carthage."
http://en.wikipedia.org/wiki/Military_of_ancient_Carthage.
"Third Punic War."
http://en.wikipedia.org/wiki/Third_Punic_War. Wikipedia CC
BY-SA 3.0.
"History of Carthage."
http://en.wikipedia.org/wiki/History_of_Carthage. Wikipedia
CC BY-SA 3.0.
"CarthageMap."
http://en.wikipedia.org/wiki/Ancient_Carthage%23mediavie
wer/File:CarthageMap.png. WIkipedia Public domain.
3.3: The Ancient Andes
3.3.1: The Caral Civiliz ation
The Caral civilization flourished in the Andean region between the
30th and 18th centuries BCE. This peaceful, urban center yielded
several major discoveries, including a method of keeping records
known as quipu.
Learning Objective
Describe the significance of the Caral civilization of the Andes
Key Points
The Caral civilization (also known as Caral-Supe) was part of
the Norte Chico civilization complex, in what is now the Norte
Chico region of north-central coastal Peru.
The urban complex of Caral takes up more than 150 acres, and
contains plazas, dwellings, and a 28-meters-high temple.
Some scholars have suggested that Norte Chico was founded
on seafood and maritime resources, rather than development of
agricultural cereal and crop surpluses.
One of the artifacts found at Caral is a knotted textile piece,
called a quipu, which archaeologists believe was a method of
keeping records.
Evidence of warfare has not been found in Caral.
A geoglyph of a human with long hair and open mouth was
discovered in 2000 by Marco Machacuay and Rocio Aramburu
just west of Caral.
At its peak, approximately 3,000 people are believed to have
lived in Caral.
Norte Chico civilizations are pre-ceramic cultures of the pre-
Columbian Late Archaic; they completely lacked ceramics, and
apparently had almost no art. The most impressive achievement
of these civilizations was its monumental architecture.
Key Terms
Caral civilization
A complex pre-Columbian society that included as many as 30

major population centers, in what is now the Norte Chico region
of north-central coastal Peru.
geoglyph
A large design produced on the ground, typically formed by

rocks, stones, trees, gravel, or earth.
quipu
A knotted textile piece found at the Caral site, believed to be

used for record-keeping.
The Caral civilization (also known as the Norte Chico civilization and
as Caral-Supe) was a complex pre-Columbian society, located in
what is now the Norte Chico region of north-central coastal Peru,
near Supe, Barranca province, Peru (200 km north of Lima). Its
location allowed it to take advantage of three rivers: the Fortaleza,
the Pativilca, and the Supe. It has been established as the oldest
known civilization in the Americas, and as one of the six sites where
civilization separately originated in the ancient world.
The Caral flourished between the 30th and 18th centuries BCE. This
complex society arose a millennium after Sumer in Mesopotamia,
was contemporaneous with the Egyptian pyramids, and predated the
Mesoamerican Olmec by nearly two millennia.
Caral
The remains of the Caral site in Peru
Caral was discovered by Paul Kosok in 1948, and further studied by

archaeologist Ruth Shady. The urban complex of Caral takes up
more than 150 acres, and holds plazas, dwellings, and a 28-meters-
high temple. Its urban plan was used by Andean civilizations for the
next four thousand years. One of the artifacts found at Caral is a
knotted textile piece named a quipu, which archaeologists believe
was a method of keeping records. Other pieces found include flutes
made of condor and pelican bones, and cornetts made of deer and
llama bones. Evidence of warfare has not been found. A geoglyph
was discovered in 2000 by Marco Machacuay and Rocio Aramburu
just west of Caral. The lines of the etching form a human face with
long hair and an open mouth. At its peak, approximately 3,000
people are believed to have lived in Caral.
Caral Temple
A view of the Caral temple
The Norte-Chico Region

In archaeological nomenclature, Norte Chico civilizations are pre-
ceramic cultures of the pre-Columbian Late Archaic; they completely
lacked ceramics and apparently had almost no art. The most
impressive achievement of these civilizations was its monumental
architecture, including large earthwork platform mounds and sunken
circular plazas. Archaeological evidence suggests use of textile
technology and, possibly, the worship of common god symbols, both
of which recur in pre-Columbian Andean cultures. Sophisticated
government is assumed to have been required to manage the
ancient Norte Chico. Questions remain over its organization,
particularly the political influence of food resources. Some scholars
have suggested that Norte Chico was founded on seafood and
maritime resources, as opposed to the development of agricultural
cereal and crop surpluses, which have been considered essential to
the rise of other ancient civilizations.
3.3.2: The Chaví n Civiliz ation

The Chavín civilization, which lasted from 900-250 BCE in Peru,
featured ingenious art and architecture, and had widespread
influence on other local cultures.
Learning Objective
Describe the significance of the Chavín civilization
Key Points
The Chavín civilization developed in the northern Andean
highlands of Peru between 900-250 BCE.
There were three stages of development: Urabarriu (900-500
BCE), Chakinani (500-400 BCE), and Jarabarriu (400-250
BCE).
Chavín had a small, powerful elite that was legitimized through a
claim to divine authority.
The chief example of Chavín architecture is the Chavín de
Huántar temple, the design of which displays a complex and
innovative adaptation to the highland environment of Peru.
The Chavín people showed advanced knowledge of acoustics,
metallurgy, soldering, and temperature control. One of their
main economic resources was ch'arki, or llama jerky.
Chavín art represents the first widespread, recognizable artistic
style in the Andes, and can be divided into two phases: the first
phase corresponds to the construction of the "Old Temple" at
Chavín de Huántar (c. 900-500 BCE); the second phase
corresponds to the construction of Chavín de Huántar's "New
Temple" (c. 500-200 BCE).
Significant pieces of art include the Lanzó n, Tello Obelisk, and
tenon heads.
Key Terms
camelids
A mammal of the camel family (Camelidae).
Lanzó n
A stone stela found in the Chavín de Huántar temple.
Tello Obelisk
A huge sculpted shaft depicting a Chavín creation myth.
ch'arki
Llama jerky.
Chavín civilization
A civilization in the northern Andean highlands of Peru from

900-250 BCE, known for their construction of temples and their
advancements in engineering and metallurgy.
axis mundi
A pivot point linking heaven, earth and the underworld.
psychotropic drugs
A chemical substance that changes brain function and results in

alterations in perception, mood, or consciousness.
Urabarriu
A stage of development in the Chavín civilization from 900-500

BCE.
Chakinani
A stage of development in the Chavín civilization from 500-

400 BCE.
Jarabarriu
A stage of development in the Chavín civilization from 400-250

BCE.
The Chavín civilization developed in the northern Andean highlands

of Peru between 900-250 BCE. Their influence extended to other
civilizations along the coast. The Chavín civilization was located in
the Mosna V alley, where the Mosna and Huachecsa rivers merge. It
is now a UNESCO World Heritage site.
Map Showing Location of the Chaví n

This map shows the location of the Chavín culture, as well as the
areas the Chavín influenced.
The map shows the extent of the Chavín Civilization, which stretched
along the Peruvian coast, from Cajamarca to the north to
Pachacamac, an archaelogical site 40 km southeast of Lima, to the
south. The map also shows the extent of Chavín influence, which
stretched further north along the coast to the modern-day border of
Peru and Ecuador and further south along the coast to Nazca.
Stages of Development
Urabarriu lasted from 900-500 BCE, and just a few hundred people
lived at Chavín de Huantar. Ceramics were influenced by other
cultures, and the people grew some maize and potatoes. Chakinani,
from 500-400 BCE, was a transitional time, when residents migrated
to the ceremonial center. From 400-250 BCE, Jarabarriu saw a
dramatic increase in population, with an urban/suburban pattern of
settlement.
Society
Chavín had a small, powerful elite that was legitimized through a
claim to divine authority. These shamans were able to control and
influence local citizens (probably partially through the use of
psychotropic drugs), and were able to plan and carry out
construction of temples and stone-walled galleries.
Architecture
The chief example of Chavín architecture is the Chavín de Huántar
temple. The temple's design shows complex innovation to adapt to
the highland environment of Peru. To avoid flooding and the
destruction of the temple during the rainy season, the Chavín people
created a successful drainage system with canals under the temple
structure; the rushing water during the rainy season sounds like one
of the Chavín's sacred animals, the jaguar.
Economic Activity
The Chavín people showed advanced knowledge of acoustics,
metallurgy, soldering, and temperature control to accommodate the
rainy season. The Chavín were also skilled in developing refined
goldwork, and used early techniques of melting metal and soldering.
The Chavín people domesticated camelids, such as llamas, which

were used as pack animals, and for fiber and meat. The Chavin
produced ch'arki, or llama jerky, which was commonly traded by
camelid herders and was the main economic resource for the Chavín
people. They also successfully cultivated several crops, including
potatoes, quinoa, and maize. They developed an irrigation system to
assist the growth of these crops.
Art
Chavín art represents the first widespread, recognizable artistic style
in the Andes, and can be divided into two phases: the first phase
corresponds to the construction of the "Old Temple" at Chavín de
Huántar (c. 900-500 BCE); the second phase corresponds to the
construction of Chavín de Huántar's "New Temple" (c. 500-200
BCE). The Old Temple featured the Lanzó n, which was housed in a
central cruciform chamber in a labyrinth of underground passages.
The Lanzó n functions as axis mundi, or a pivot point linking the
heavens, earth, and underworld.
The Lanz ó n at Chaví n
Shown here is the most important stela statue of the central deity of
the Chavín, called the Lanzó n.
Chavín art decorated the walls of the temple and includes carvings,
sculptures and pottery. Artists depicted exotic creatures found in
other regions, such as jaguars and eagles, rather than local plants
and animals. The feline figure is one of the most important motifs
seen in Chavín art. It has an important religious meaning and is
repeated on many carvings and sculptures. Eagles are also
commonly seen throughout Chavín art. It was intentionally difficult to
interpret and understand, as it was meant to be read by the high
priests alone.
Incised Strombus-Shell Trumpet
This shell trumpet was likely used in ceremonies. The incised
designs show a person of high rank playing a shell trumpet,
surrounded by snakes.
The Tello Obelisk is a huge sculpted shaft decorated with images of

plants, animals, including caymans and birds, and humans, which
may be portraying a creation myth. Tenon heads are massive stone
carvings of fanged jaguar heads, found at the tops of interior walls in
Chavín de Huantar.
Influence
Chavín had wide-ranging influence, with its art and architecture
styles spreading for miles around. There is little evidence of warfare
in Chavín relics; instead, local citizens were likely controlled by a
combination of religious pressure and environmental conditions.
3.3.3: The V aldivia Culture

The V aldivia culture of Ecuador (3500-1800 BCE) is one of the
oldest settled cultures recorded in the Americas. They were a
sedentary, egalitarian people, known for their early use of pottery,
and feminine ceramic figures.
Learning Objective
Describe the significance of the V aldivia culture
Key Points
The V aldivia culture of Ecuador (3500-1800 BCE) is one of the
oldest settled cultures recorded in the Americas.
The V aldivia lived in a community that built its houses in a circle
or oval around a central plaza and were sedentary, egalitarian
people.
V aldivian pottery (bowls, jars, and feminine figures) are the
oldest in the Americas, dating to 2700 BCE.
V aldivians created rafts with sails, and built a maritime trade
network with tribes in the Andes and Amazon.
A main trading item was the red shell of the thorny oyster, called
Spondylus.
Key Terms
Spondylus
A genus of bivalve mollusks, also known as thorny oysters.
cassava
The starchy tuberous root of a tropical tree.
egalitarian
Believing in the principle that all people are equal.

The V aldivia culture is one of the oldest settled cultures recorded in
the Americas. It emerged from the earlier Las V egas culture, and
thrived on the Santa Elena peninsula near the modern-day town of
V aldivia, Ecuador, between 3500-1800 BCE.
Map of V aldivian Culture

Shown here is the location of the V aldivia culture.
The map shows Ecuador, with the location of the V aldivia culture
circled.
Life Among the V aldivians

The V aldivia lived in a community that built its houses in a circle or
oval around a central plaza. They were sedentary, egalitarian people
who lived off farming and fishing, and occasional deer hunting. From
the remains that have been found, it has been determined that
V aldivians cultivated maize, kidney beans, squash, cassava, chili
peppers, and cotton plants, the latter of which was used to make
clothing.
Pottery
V aldivian pottery, which has been dated to 2700 BCE, was initially
rough and practical, but over time became splendid, delicate, and
large. Bowls, jars, and female statues were used in daily life and
religious ceremonies. They generally used the colors red and gray,
and polished dark red pottery is characteristic of the V aldivia period.
In their ceramics and stone works, the V aldivia culture showed a
progression from the most simple, to much more complicated works.
V aldivians were the first Americans to use pottery.
V aldivian Pottery
V aldivian pottery is the oldest in America, on display in this image at
the Museo de La Plata in Argentina.
The photograph shows 13 fragments of pottery.
The trademark V aldivia pottery piece is the "V enus" of V aldivia:

feminine ceramic figures. The "V enus" of V aldivia likely represented
actual people; each figurine is individual and unique, as can be seen
in the hairstyles. They were made by joining two rolls of clay, leaving
the lower portion separated as legs and forming the body and head
from the top portion. The arms were usually very short, and in most
cases were bent towards the chest, holding the breasts or chin.
Trade
V aldivians created rafts with sails, and built a maritime trade network
with tribes in the Andes and Amazon. A main trading item was the
red shell of the thorny oyster, called Spondylus, which were often
made into ornaments, and were considered more valuable than gold
or silver.
Attributions
The Caral Civilization
"Norte Chico Civilization."
http://en.wikipedia.org/wiki/Norte_Chico_civilization.
Wikipedia CC BY-SA.
"Andean Civilizations."
http://en.wikipedia.org/wiki/Andean_civilizations. Wikipedia
CC BY-SA.
"Caral." https://en.wikipedia.org/wiki/Caral. Wikipedia CC
BY-SA 3.0.
"PiramidesdeCaral.JPG."
https://en.wikipedia.org/wiki/File:PiramidesdeCaral.JPG.
"1200px-Caral_1.JPG."
https://commons.wikimedia.org/wiki/File:Caral_1.JPG.
Wikimedia CC BY-SA 3.0.
The Chavín Civilization
"Lanzó n." https://en.wikipedia.org/wiki/Lanz%C3%B3n.
https://en.wikipedia.org/wiki/Andean_civilizations. Wikipedia
CC BY 3.0.
"Chavín Culture."
https://en.wikipedia.org/wiki/Chav%C3%ADn_culture.
"chavinmap.png." https://en.wikipedia.org/wiki/File:Chavin-
small.png. Wikipedia CC BY 3.0.
"640px-Chavin_lanzon_stela2_cyark.jpg."
https://en.wikipedia.org/wiki/File:Chavin_lanzon_stela2_cya
rk.jpg. Wikipedia CC BY 3.0.
"640px-Incised_Strombus-Shell_Trumpet_400-
200_B.C.E_L52.1.jpg."
https://en.wikipedia.org/wiki/Chav%C3%ADn_culture# /medi
a/File:Incised_Strombus-Shell_Trumpet,_400-
200_B.C.E,_L52.1.jpg. Wikipedia CC BY 3.0.
The V aldivia Culture
"Pre-Columbian Ecuador." https://en.wikipedia.org/wiki/Pre-
Columbian_Ecuador. Wikipedia CC BY 3.0.
"V aldivia Culture."
https://en.wikipedia.org/wiki/V aldivia_culture. Wikipedia CC
BY 3.0.
"History of Ecuador."
https://lychock.wikispaces.com/History+ of+ the+ Country.
History of the Country CC BY 3.0.
"640px-Museo_LP_503_Estilo_V aldivia.jpeg."
https://en.wikipedia.org/wiki/V aldivia_culture# /media/File:M
useo_LP_503_Estilo_V aldivia.JPG. Wikipedia CC BY 3.0.
"Localizació n_de_la_Cultura_V aldivia.png."
https://en.wikipedia.org/wiki/V aldivia_culture# /media/File:Lo
calizaci%C3%B3n_de_la_Cultura_V aldivia.PNG. Wikipedia
CC BY 3.0.
4: Ancient Egypt
4.1: Introduction to Ancient
Egypt
4.1.1: The Rise of Egyptian Civiliz ation
In prehistoric times (pre-3200 BCE), many different cultures lived in
Egypt along the Nile River, and became progressively more
sedentary and reliant on agriculture. By the time of the Early
Dynastic Period, these cultures had solidified into a single state.
Learning Objective
Describe the rise of civilization along the Nile River
Key Points
The prehistory of Egypt spans from early human settlements to
the beginning of the Early Dynastic Period of Egypt (c. 3100
BCE), and is equivalent to the Neolithic period.
The Late Paleolithic in Egypt began around 30,000 BCE, and
featured mobile buildings and tool-making industry.
The Mesolithic saw the rise of various cultures, including Halfan,
Qadan, Sebilian, and Harifian.
The Neolithic saw the rise of cultures, including Merimde, El
Omari, Maadi, Tasian, and Badarian.
Three phases of Naqada culture included: the rise of new types
of pottery (including blacktop-ware and white cross-line-ware),
the use of mud-bricks, and increasingly sedentary lifestyles.
During the Protodynastic period (3200-3000 BCE) powerful
kings were in place, and unification of the state occurred, which
led to the Early Dynastic Period.
Key Terms
Neolithic
The later part of the Stone Age, during which ground or polished
stone weapons and implements were used.
nomadic pastoralism
The herding of livestock to find fresh pasture to graze.
Fertile Crescent
Also known as the Cradle of Civilization, the Fertile Crescent is

a crescent-shaped region containing the comparatively moist
and fertile land of Western Asia, the Nile V alley, and the Nile
Delta.
serekhs
An ornamental vignette combining a view of a palace facade

and a top view of the royal courtyard. It was used as a royal
crest.
The prehistory of Egypt spans from early human settlements to the

beginning of the Early Dynastic Period of Egypt (c. 3100 BCE),
which started with the first Pharoah Narmer (also known as Menes).
It is equivalent to the Neolithic period, and is divided into cultural
periods, named after locations where Egyptian settlements were
found.
The Late Paleolithic

This period began around 30,000 BCE. Ancient, mobile buildings,
capable of being disassembled and reassembled were found along
the southern border near Wadi Halfa. Aterian tool-making industry
reached Egypt around 40,000 BCE, and Khormusan industry began
between 40,000 and 30,000 BCE.
The Mesolithic
Halfan culture arose along the Nile V alley of Egypt and in Nubia
between 18,000 and 15,000 BCE. They appeared to be settled
people, descended from the Khormusan people, and spawned the
Ibero-Marusian industry. Material remains from these people include
stone tools, flakes, and rock paintings.
The Qadan culture practiced wild-grain harvesting along the Nile,

and developed sickles and grinding stones to collect and process
these plants. These people were likely residents of Libya who were
pushed into the Nile V alley due to desiccation in the Sahara. The
Sebilian culture (also known as Esna) gathered wheat and barley.
The Harifian culture migrated out of the Fayyum and the Eastern
deserts of Egypt to merge with the Pre-Pottery Neolithic B; this
created the Circum-Arabian Nomadic Pastoral Complex, who
invented nomadic pastoralism, and may have spread Proto-Semitic
language throughout Mesopotamia.
The Neolithic
Expansion of the Sahara desert forced more people to settle around
the Nile in a sedentary, agriculture-based lifestyle. Around 6000
BCE, Neolithic settlements began to appear in great number in this
area, likely as migrants from the Fertile Crescent returned to the
area. Weaving occurred for the first time in this period, and people
buried their dead close to or within their settlements.
The Merimde culture (5000-4200 BCE) was located in Lower Egypt.

People lived in small huts, created simple pottery, and had stone
tools. They had cattle, sheep, goats, and pigs, and planted wheat,
sorghum, and barley. The first Egyptian life-size clay head comes
from this culture.
The El Omari culture (4000-3100 BCE) lived near modern-day Cairo.

People lived in huts, and had undecorated pottery and stone tools.
Metal was unknown.
The Maadi culture (also known as Buto Maadi) is the most important
Lower Egyptian prehistoric culture. Copper was used, pottery was
simple and undecorated, and people lived in huts. The dead were
buried in cemeteries.
The Tasian culture (4500-3100 BCE) produced a kind of red, brown,

and black pottery, called blacktop-ware. From this period on, Upper
Egypt was strongly influenced by the culture of Lower Egypt.
The Badarian culture (4400-4000 BCE) was similar to the Tasian,

except they improved blacktop-ware and used copper in addition to
stone.
The Amratian culture (Naqada I) (4000-3500 BCE) continued making

blacktop-ware, and added white cross-line-ware, which featured
pottery with close, parallel, white, crossed lines. Mud-brick buildings
were first seen in this period in small numbers.
Amratian ( Naqada I) Terracotta Figure
This terracotta female figure, c. 3500-3400 BCE, is housed at the
Brooklyn Museum.
The Gerzean culture (Naqada II, 3500-3200 BCE) saw the laying of
the foundation for Dynastic Egypt. It developed out of Amratian
culture, moving south through Upper Egypt. Its pottery was painted
dark red with pictures of animals, people and ships. Life was
increasingly sedentary and focused on agriculture, as cities began to
grow. Mud bricks were mass-produced, copper was used for tools
and weapons, and silver, gold, lapis, and faience were used as
decorations. The first Egyptian-style tombs were built.
Naqada II Pottery
This pottery has a ship theme, and is done in the style of Naqada II.
Protodynastic Period ( Naqada

III) ( 3200 - 3000 BCE)
During this period, the process of state formation, begun in Naqada
II, became clearer. Kings headed up powerful polities, but they were
unrelated. Political unification was underway, which culminated in the
formation of a single state in the Early Dynastic Period. Hieroglyphs
may have first been used in this period, along with irrigation.
Additionally, royal cemeteries and serekhs (royal crests) came into
use.
Serekh of King Djet

This serekh (royal crest) shows the Horus falcon.
Attributions
The Rise of Egyptian Civilization
"Tasian Culture."
https://en.wikipedia.org/wiki/Tasian_culture. Wikipedia CC
BY 3.0.
"Serekh." https://en.wikipedia.org/wiki/Serekh. Wikipedia
CC BY 3.0.
"Prehistoric Egypt."
https://en.wikipedia.org/wiki/Prehistoric_Egypt. Wikipedia
CC BY 3.0.
"Naqada III." https://en.wikipedia.org/wiki/Naqada_III.
"291px-Egypte_louvre_290.jpg."
https://en.wikipedia.org/wiki/Serekh# /media/File:Egypte_lou
vre_290.jpg. Wikipedia CC BY 3.0.
"360px-Egypte_louvre_317.jpg."
https://en.wikipedia.org/wiki/Prehistoric_Egypt# /media/File:
Egypte_louvre_317.jpg. Wikipedia CC BY 3.0.
"357px-Female_Figure_ca._3500-3400_B.C.E..jpg."
https://en.wikipedia.org/wiki/Prehistoric_Egypt# /media/File:
Female_Figure,_ca._3500-3400_B.C.E..jpg. Wikipedia CC
BY 3.0.
4.2: The Old Kingdom
4.2.1: The Old Kingdom
The Old Kingdom, spanning the Third to Sixth Dynasties of Egypt
(2686-2181 BCE), saw the prolific construction of pyramids, but
declined due to civil instability, resource shortages, and a drop in
precipitation.
Learning Objective
Explain the reasons for the rise and fall of the Old Kingdom
Key Points
The Old Kingdom is the name commonly given to the period
when Egypt gained in complexity and achievement, spanning
from the Third Dynasty through the Sixth Dynasty (2686-2181
BCE).
The royal capital of Egypt during the Old Kingdom was located
at Memphis, where the first notable king of the Old Kingdom,
Djoser, established his court.
In the Third Dynasty, formerly independent ancient Egyptian
states became known as Nomes, which were ruled solely by the
pharaoh. The former rulers of these states were subsequently
forced to assume the role of governors, or otherwise work in tax
collection.
Egyptians during this Dynasty worshipped their pharaoh as a
god, and believed that he ensured the stability of the cycles that
were responsible for the annual flooding of the Nile. This
flooding was necessary for their crops.
The Fourth Dynasty saw multiple large-scale construction
projects under pharaohs Sneferu, Khufu, and Khufu's sons
Djedefra and Khafra, including the famous pyramid and Sphinx
at Giza.
The Fifth Dynasty saw changes in religious beliefs, including the
rise of the cult of the sun god Ra, and the deity Osiris.
The Sixth Dynasty saw civil war and the loss of centralized
power to nomarchs.
Key Terms
Ra
The sun god, or the supreme Egyptian deity, worshipped as the

creator of all life, and usually portrayed with a falcon's head
bearing a solar disc.
Osiris
The Egyptian god of the underworld, and husband and brother

of Isis.
Nomes
Subnational, administrative division of Ancient Egypt.
nomarchs
Semi-feudal rulers of Ancient Egyptian provinces.
Old Kingdom
Encompassing the Third to Eighth Dynasties, the name

commonly given to the period in the 3rd millennium BCE, when
Egypt attained its first continuous peak of complexity and
achievement.
Djoser
An ancient Egyptian pharaoh of the Third Dynasty, and the
founder of the Old Kingdom.
necropolis
A cemetery, especially a large one belonging to an ancient city.
Sneferu
A king of the Fourth Dynasty, who used the greatest mass of

stones in building pyramids.
The Old Kingdom is the name commonly given to the period from the
Third Dynasty through the Sixth Dynasty (2686-2181 BCE), when
Egypt gained in complexity and achievement. The Old Kingdom is
the first of three so-called "Kingdom" periods that mark the high
points of civilization in the Nile V alley. During this time, a new type of
pyramid (the step) was created, as well as many other massive
building projects, including the Sphinx. Additionally, trade became
more widespread, new religious ideas were born, and the strong
centralized government was subtly weakened and finally collapsed.
The king (not yet called Pharaoh) of Egypt during this period resided
in the new royal capital, Memphis. He was considered a living god,
and was believed to ensure the annual flooding of the Nile. This
flooding was necessary for crop growth. The Old Kingdom is
perhaps best known for a large number of pyramids, which were
constructed as royal burial places. Thus, the period of the Old
Kingdom is often called "The Age of the Pyramids."
Egypt's Old Kingdom was also a dynamic period in the development

of Egyptian art. Sculptors created early portraits, the first life-size
statues, and perfected the art of carving intricate relief decoration.
These had two principal functions: to ensure an ordered existence,
and to defeat death by preserving life in the next world.
The Beginning: Third Dynasty
( c. 265 0-2613 BCE)
The first notable king of the Old Kingdom was Djoser (reigned from
2691-2625 BCE) of the Third Dynasty, who ordered the construction
of the step pyramid in Memphis' necropolis, Saqqara. It was in this
era that formerly independent ancient Egyptian states became
known as nomes, and were ruled solely by the king. The former
rulers of these states were forced to assume the role of governors or
tax collectors.
Golden Age: Fourth Dynasty

( 2613-2494 BCE)
The Old Kingdom and its royal power reached a zenith under the
Fourth Dynasty, which began with Sneferu (2613-2589 BCE). Using
a greater mass of stones than any other king, he built three
pyramids: Meidum, the Bent Pyramid, and the Red Pyramid. He also
sent his military into Sinai, Nubia and Libya, and began to trade with
Lebanon for cedar.
Sneferu was succeeded by his (in)famous son, Khufu (2589-2566

BCE), who built the Great Pyramid of Giza. After Khufu's death, one
of his sons built the second pyramid, and the Sphinx in Giza.
Creating these massive projects required a centralized government
with strong powers, sophistication and prosperity. Builders of the
pyramids were not slaves but peasants, working in the farming off-
season, along with specialists like stone cutters, mathematicians,
and priests. Each household needed to provide a worker for these
projects, although the wealthy could have a substitute.
The Pyramid of Khufu at Giz a
The Great Pyramid of Giza was built c. 2560 BCE, by Khufu during
the Fourth Dynasty. It was built as a tomb for Khufu and constructed
over a 20-year period. Modern estimates place construction efforts to
require an average workforce of 14,567 people and a peak
workforce of 40,000.
Great Sphinx of Giz a and the pyramid
of Khafre
The Sphinx is a limestone statue of a reclining mythical creature with
a lion's body and a human head that stands on the Giza Plateau on
the west bank of the Nile in Giza, Egypt. The face is generally
believed to represent the face of King Khafra.
The later kings of the Fourth Dynasty were king Menkaura (2532-
2504 BCE), who built the smallest pyramid in Giza, Shepseskaf
(2504-2498 BCE), and perhaps Djedefptah (2498-2496 BCE).
During this period, there were military expeditions into Canaan and
Nubia, spreading Egyptian influence along the Nile into modern-day
Sudan.
Religious Changes: Fifth

Dynasty ( 2494-2345 BCE)
The Fifth Dynasty began with Userkaf (2494-2487 BCE), and with
several religious changes. The cult of the sun god Ra, and temples
built for him, began to grow in importance during the Fifth Dynasty.
This lessened efforts to build pyramids. Funerary prayers on royal
tombs (called Pyramid Texts) appeared, and the cult of the deity
Osiris ascended in importance.
Egyptians began to build ships to trade across maritime routes.

Goods included ebony, incense, gold, and copper. They traded with
Lebanon for cedar, and perhaps with modern-day Somalia for other
goods. Ships were held together by tightly tied ropes.
Decline and Collapse: The Six th

Dynasty ( 2345 -218 1 BCE)
The power of the king and central government declined during this
period, while that of nomarchs (regional governors) increased.
These nomarchs were not part of the royal family. They passed
down the title through their lineage, thus creating local dynasties that
were not under the control of the king. Internal disorder resulted
during and after the long reign of Pepi II (2278-2184 BCE), due to
succession struggles, and eventually led to civil war. The final blow
was a severe drought between 2200-2150 BCE, which prevented
Nile flooding. Famine, conflict, and collapse beset the Old Kingdom
for decades.
4.2.2: The First Intermediate Period

The First Intermediate Period, the Seventh to Eleventh dynasties,
spanned approximately one hundred years (2181-2055 BCE), and
was characterized by political instability and conflict between the
Heracleopolitan and Theban Kings.
Learning Objective
Describe the processes by which the First Intermediate Period
occurred, and then transitioned into the Middle Kingdom
Key Points
The First Intermediate Period was a dynamic time in history,
when rule of Egypt was roughly divided between two competing
power bases. One of those bases resided at Heracleopolis in
Lower Egypt, a city just south of the Faiyum region. The other
resided at Thebes in Upper Egypt.
The Old Kingdom fell due to problems with succession from the
Sixth Dynasty, the rising power of provincial monarchs, and a
drier climate that resulted in widespread famine.
Little is known about the Seventh and Eighth Dynasties due to a
lack of evidence, but the Seventh Dynasty was most likely an
oligarchy, while Eighth Dynasty rulers claimed to be the
descendants of the Sixth Dynasty kings. Both ruled from
Memphis.
The Heracleopolitan Kings saw periods of both violence and
peace under their rule, and eventually brought peace and order
to the Nile Delta region.
Siut princes to the south of the Heracleopolitan Kingdom
became wealthy from a variety of agricultural and economic
activities, and acted as a buffer during times of conflict between
the northern and southern parts of Egypt.
The Theban Kings enjoyed a string of military successes, the
last of which was a victory against the Heracleopolitan Kings
that unified Egypt under the Twelfth Dynasty.
Key Terms
First Intermediate Period
A period of political conflict and instability lasting approximately

100 years and spanning the Seventh to Eleventh Dynasties.
Mentuhotep II
A pharaoh of the Eleventh Dynasty, who defeated the

Heracleopolitan Kings and unified Egypt. Often considered the
first pharaoh of the Middle Kingdom.
nomarchs
Ancient Egyptian administration officials responsible for

governing the provinces.
oligarchy
A form of power structure in which power effectively rests with a

small number of people who are distinguished by royalty,
wealth, family ties, education, corporate, or military control.
The First Intermediate Period (c. 2181-2055 BCE), often described

as a "dark period" in ancient Egyptian history after the end of the Old
Kingdom, spanned approximately 100 years. It included the Seventh,
Eighth, Ninth, Tenth, and part of the Eleventh dynasties.
The First Intermediate Period was a dynamic time in history when

rule of Egypt was roughly divided between two competing power
bases: Heracleopolis in Lower Egypt, and Thebes in Upper Egypt. It
is believed that political chaos during this time resulted in temples
being pillaged, artwork vandalized, and statues of kings destroyed.
These two kingdoms eventually came into military conflict. The
Theban kings conquered the north, which resulted in the
reunification of Egypt under a single ruler during the second part of
the Eleventh dynasty.
Events Leading to the First

Intermediate Period
The Old Kingdom, which preceded this period, fell for numerous
reasons. One was the extremely long reign of Pepi II (the last major
king of the Sixth Dynasty), and the resulting succession issues.
Another major problem was the rise in power of the provincial
nomarchs. Toward the end of the Old Kingdom, the positions of the
nomarchs had become hereditary, creating family legacies
independent from the king. They erected tombs in their own domains
and often raised armies, and engaged in local rivalries. A third
reason for the dissolution of centralized kingship was the low level of
the Nile inundation, which may have resulted in a drier climate, lower
crop yields, and famine.
The Seventh and Eighth

Dynasties at Memphis
The Seventh and Eighth dynasties are often overlooked because
very little is known about the rulers of these two periods. The
Seventh Dynasty was most likely an oligarchy based in Memphis
that attempted to retain control of the country. The Eighth Dynasty
rulers, claiming to be the descendants of the Sixth Dynasty kings,
also ruled from Memphis.
The Heracleopolitan Kings

After the obscure reign of the Seventh and Eighth dynasty kings, a
group of rulers rose out of Heracleopolis in Lower Egypt, and ruled
for approximately 94 years. These kings comprise the Ninth and
Tenth Dynasties, each with 19 rulers.
The founder of the Ninth Dynasty, Wahkare Khety I, is often

described as an evil and violent ruler who caused much harm to the
inhabitants of Egypt. He was seized with madness, and, as legend
would have it, was eventually killed by a crocodile. Kheti I was
succeeded by Kheti II, also known as Meryibre, whose reign was
essentially peaceful but experienced problems in the Nile Delta. His
successor, Kheti III, brought some degree of order to the Delta,
although the power and influence of these Ninth Dynasty kings were
still insignificant compared to that of the Old Kingdom kings.
A distinguished line of nomarchs rose out of Siut (or Asyut), which

was a powerful and wealthy province in the south of the
Heracleopolitan kingdom. These warrior princes maintained a close
relationship with the kings of the Heracleopolitan royal household, as
is evidenced by the inscriptions in their tombs. These inscriptions
provide a glimpse at the political situation that was present during
their reigns, and describe the Siut nomarchs digging canals,
reducing taxation, reaping rich harvests, raising cattle herds, and
maintaining an army and fleet. The Siut province acted as a buffer
state between the northern and southern rulers and bore the brunt of
the attacks from the Theban kings.
The Theban Kings

The Theban kings are believed to have been descendants of Intef or
Inyotef, the nomarch of Thebes, often called the "Keeper of the Door
of the South. " He is credited with organizing Upper Egypt into an
independent ruling body in the south, although he himself did not
appear to have tried to claim the title of king. Intef II began the
Theban assault on northern Egypt, and his successor, Intef III,
completed the attack and moved into Middle Egypt against the
Heracleopolitan kings. The first three kings of the Eleventh Dynasty
(all named Intef) were, therefore, also the last three kings of the First
Intermediate Period. They were succeeded by a line of kings who
were all called Mentuhotep. Mentuhotep II, also known as
Nebhepetra, would eventually defeat the Heracleopolitan kings
around 2033 BCE, and unify the country to continue the Eleventh
Dynasty and bring Egypt into the Middle Kingdom.
Mentuhotep II
Painted sandstone seated statue of Nebhepetre Mentuhotep II,
Egyptian Museum, Cairo.
Attributions
The Old Kingdom
"Old Kingdom."
http://ancientegypt.wikia.com/wiki/Old_Kingdom. Ancient
Egypt Wiki CC BY-SA.
"Great Pyramid of Giza."
http://en.wikipedia.org/wiki/Pyramid_of_giza. Wikipedia CC
BY-SA.
"Great Sphinx of Giza."
http://en.wikipedia.org/wiki/Great_Sphinx_of_Giza.
"Fourth Dynasty of Egypt."
https://en.wikipedia.org/wiki/Fourth_Dynasty_of_Egypt.
"Fifth Dynasty of Egypt."
https://en.wikipedia.org/wiki/Fifth_Dynasty_of_Egypt.
"Third Dynasty of Egypt."
https://en.wikipedia.org/wiki/Third_Dynasty_of_Egypt.
"Old Kingdom of Egypt."
http://en.wikipedia.org/wiki/Old_Kingdom_of_Egypt.
Wikipedia CC BY-SA.
http://en.wikipedia.org/wiki/Pyramid_of_giza. Wikipedia CC
BY-SA.
"Egypt Giza Sphinx."
http://upload.wikimedia.org/wikipedia/commons/thumb/6/6c/
Egypt.Giza.Sphinx.02.jpg/640px-Egypt.Giza.Sphinx.02.jpg.
Wikipedia Public domain.
The First Intermediate Period
"First Intermediate Period."
http://en.wikipedia.org/wiki/First_Intermediate_Period_of_E
gypt. Wikipedia CC BY-SA.
"oligarchy." http://en.wiktionary.org/wiki/oligarchy.
"First Intermediate Period."
http://ancientegypt.wikia.com/wiki/First_Intermediate_Perio
d. Ancient Egypt Wiki CC BY-SA.
"The First Intermediate Period."
https://egyptologyatperk.wikispaces.com/First+ Intermediate
+ Period+ (Dynasties+ 7+ %E2%80%93+ 10). Egyptology At
Perk CC BY 3.0.
"Mentuhotep II."
http://en.wikipedia.org/wiki/Mentuhotep_II%23mediaviewer/
File:Mentuhotep_Seated.jpg. Wikipedia Public domain.
4.3: The Middle Kingdom
4.3.1: The Middle Kingdom
The Middle Kingdom was a period of Egyptian history spanning the
Eleventh through Twelfth Dynasty (2000-1700 BCE), when
centralized power consolidated a unified Egypt.
Learning Objective
Describe the various characteristics of Sensuret III's rule during the
height of the Middle Kingdom
Key Points
The Middle Kingdom had two phases: the end of the Eleventh
Dynasty, which ruled from Thebes, and the Twelfth Dynasty
onwards, which was centred around el-Lisht.
During the First Intermediate Period, the governors of the
nomes of Egypt— called nomarchs— gained considerable
power. Amenemhet I also instituted a system of co-regency,
which ensured a smooth transition from monarch to monarch
and contributed to the stability of the Twelfth Dynasty.
The height of the Middle Kingdom came under the rules of
Sensuret III and Amenemhat III, the former of whom established
clear boundaries for Egypt, and the latter of whom efficiently
exploited Egyptian resources to bring about a period of
economic prosperity.
The Middle Kingdom declined into the Second Intermediate
Period during the Thirteenth Dynasty, after a gradual loss of
dynastic power and the disintegration of Egypt.
Key Terms
Amenemhat III
Egyptian king who saw a great period of economic prosperity

through efficient exploitation of natural resources.
nomes
Subnational administrative divisions within ancient Egypt.
Middle Kingdom
Period of unification in Ancient Egyptian history, stretching from

the end of the Eleventh Dynasty to the Thirteenth Dynasty,
roughly between 2030-1640 BCE.
Senusret III
Warrior-king during the Twelfth Dynasty, who centralized power

within Egypt through various military successes.
Sobekneferu,
The first known female ruler of Egypt.
waret
Administrative divisions in Egypt.
genut
The Middle Kingdom, also known as the Period of Reunification, is a

period in the history of Ancient Egypt stretching from the end of the
Eleventh Dynasty to the end of the Twelfth Dynasty, roughly between
2000-1700 BCE. There were two phases: the end of the Eleventh
Dynasty, which ruled from Thebes, and the Twelfth Dynasty
onwards, which was centred around el-Lisht.
The End of the Eleventh
Dynasty and the Rise of the
Twelfth Dynasty
Toward the end of the First Intermediate Period, Mentuhotep II and
his successors unified Egypt under a single rule, and commanded
such faraway locations as Nubia and the Sinai. He reigned for 51
years and restored the cult of the ruler, considering himself a god
and wearing the headdresses of Amun and Min. His descendants
ruled Egypt, until a vizier, Amenemhet I, came to power and initiated
the Twelfth Dynasty.
From the Twelfth dynasty onward, pharaohs often kept well-trained

standing armies, which formed the basis of larger forces raised for
defense against invasion, or for expeditions up the Nile or across the
Sinai. However, the Middle Kingdom remained defensive in its
military strategy, with fortifications built at the First Cataract of the
Nile, in the Delta and across the Sinai Isthmus.
Amenemhet I never held the absolute power commanded, in theory,

by the Old Kingdom pharaohs. During the First Intermediate Period,
the governors of the nomes of Egypt— nomarchs—gained
considerable power. To strengthen his position, Amenemhet required
registration of land, modified nome borders, and appointed
nomarchs directly when offices became vacant. Generally, however,
he acquiesced to the nomarch system, creating a strongly feudal
organization.
In his 20th regnal year, Amenemhat established his son, Senusret I,

as his co-regent. This instituted a practice that would be used
throughout the Middle and New Kingdoms. The reign of Amenemhat
II, successor to Senusret I, has been characterized as largely
peaceful. It appears Amenemhet allowed nomarchs to become
hereditary again. In his 33rd regnal year, he appointed his son,
Senusret II, co-regent.
There is no evidence of military activity during the reign of Senusret

II. Senusret instead appears to have focused on domestic issues,
particularly the irrigation of the Faiyum. He reigned only fifteen years,
and was succeeded by his son, Senusret III.
Height of the Middle Kingdom

Senusret III was a warrior-king, and launched a series of brutal
campaigns in Nubia. After his victories, Senusret built a series of
massive forts throughout the country as boundary markers; the
locals were closely watched.
Statue head of Sensuret III
Statue head of Sensuret III, one of the kings in the Twelfth Dynasty.
Domestically, Senusret has been given credit for an administrative

reform that put more power in the hands of appointees of the central
government. Egypt was divided into three warets, or administrative
divisions: North, South, and Head of the South (perhaps Lower
Egypt, most of Upper Egypt, and the nomes of the original Theban
kingdom during the war with Herakleopolis, respectively). The power
of the nomarchs seems to drop off permanently during Sensuret's
reign, which has been taken to indicate that the central government
had finally suppressed them, though there is no record that Senusret
took direct action against them.
The reign of Amenemhat III was the height of Middle Kingdom
economic prosperity, and is remarkable for the degree to which
Egypt exploited its resources. Mining camps in the Sinai, that had
previously been used only by intermittent expeditions, were operated
on a semi-permanent basis. After a reign of 45 years, Amenemhet III
was succeeded by Amenemhet IV , under whom dynastic power
began to weaken. Contemporary records of the Nile flood levels
indicate that the end of the reign of Amenemhet III was dry, and crop
failures may have helped to destabilize the dynasty. Furthermore,
Amenemhet III had an inordinately long reign, which led to
succession problems. Amenemhet IV was succeeded by
Sobekneferu, the first historically attested female king of Egypt, who
ruled for no more than four years. She apparently had no heirs, and
when she died the Twelfth Dynasty came to a sudden end.
Decline into the Second

Intermediate Period
After the death of Sobeknefru, Egypt was ruled by a series of
ephemeral kings for about 10-15 years. Ancient Egyptian sources
regard these as the first kings of the Thirteenth Dynasty.
After the initial dynastic chaos, a series of longer reigning, better

attested kings ruled for about 50-80 years. The strongest king of this
period, Neferhotep I, ruled for 11 years, maintained effective control
of Upper Egypt, Nubia, and the Delta, and was even recognized as
the suzerain of the ruler of Byblos. At some point during the
Thirteenth Dynasty, the provinces of X ois and Avaris began
governing themselves. Thus began the final portion of the Thirteenth
Dynasty, when southern kings continued to reign over Upper Egypt;
when the unity of Egypt fully disintegrated, however, the Middle
Kingdom gave way to the Second Intermediate Period.
4.3.2: The Second Intermediate Period

The Second Intermediate Period (c. 1650-1550 BCE) spanned the
Fourteenth to Seventeenth Dynasties, and was a period in which
decentralized rule split Egypt between the Theban-based
Seventeenth Dynasty in Upper Egypt and the Sixteenth Dynasty
under the Hyksos in the north.
Learning Objective
Explain the dynamics between the various groups of people vying for
power during the Second Intermediate Period
Key Points
The brilliant Twelfth Dynasty was succeeded by a weaker
Thirteenth Dynasty, which experienced a splintering of power.
The Hyksos made their first appearance during the reign of
Sobekhotep IV , and overran Egypt at the end of the Fourteenth
Dynasty. They ruled through the Fifteenth and Sixteenth
Dynasties.
The Abydos Dynasty was a short-lived Dynasty that ruled over
part of Upper Egypt, and was contemporaneous with the
Fifteenth and Sixteenth Dynasties.
The Seventeeth Dynasty established itself in Thebes around the
time that the Hyksos took power in Egypt, and co-existed with
the Hyksos through trade for a period of time. However, rulers
from the Seventeenth Dynasty undertook several wars of
liberation that eventually once again unified Egypt in the
Eighteenth Dynasty.
Key Terms
Hyksos
An Asiatic people from West Asia who took over the eastern
Nile Delta, ending the Thirteenth dynasty of Egypt and initiating
the Second Intermediate Period.
Abydos Dynasty
A short-lived local dynasty ruling over parts of Upper Egypt

during the Second Intermediate Period in Ancient Egypt.
Baal
The native storm god of the Hyksos.
Second Intermediate Period
Spanning the Fourteenth to Seventeenth Dynasties, a period of

Egyptian history where power was split between the Hyksos and
a Theban-based dynasty in Upper Egypt.
The Second Intermediate Period (c. 1782-1550 BCE) marks a time

when Ancient Egypt once again fell into disarray between the end of
the Middle Kingdom, and the start of the New Kingdom. It is best
known as the period when the Hyksos, who reigned during the
Fifteenth and Sixteenth Dynasties, made their appearance in Egypt.
The Thirteenth Dynasty ( 18 03 -

1649 BCE)
The brilliant Egyptian Twelfth Dynasty— and the Golden Age of the
Middle Kingdom— came to an end around 1800 BCE with the death
of Queen Sobekneferu (1806-1802 BCE), and was succeeded by the
much weaker Thirteenth Dynasty (1803-1649 BCE). Pharoahs ruled
from Memphis until the Hyksos conquered the capital in 1650 BCE.
The Fourteenth Dynasty ( c.

17 25 -165 0 BCE)
The Thirteenth Dynasty proved unable to hold onto the long land of
Egypt, and the provincial ruling family in X ois, located in the marshes
of the western Delta, broke away from the central authority to form
the Fourteenth Dynasty. The capital of this dynasty was likely Avaris.
It existed concurrently with the Thirteenth Dynasty, and its rulers
seemed to be of Canaanite or West Semitic descent.
Fourteenth Dynasty Territory

The area in orange is the territory possibly under control of the
Fourteenth Dynasty.
The 14th dynasty controlled most of the Nile Delta, including—from

west to east—Arthribis, Bubastis, and Avaris, the capital.
The Fifteenth Dynasty ( c. 165 0-

15 5 0 BCE)
The Hyksos made their first appearance in 1650 BCE and took
control of the town of Avaris. They would also conquer the Sixteenth
Dynasty in Thebes and a local dynasty in Abydos (see below). The
Hyksos were of mixed Asiatic origin with mainly Semitic components,
and their native storm god, Baal, became associated with the
Egyptian storm god Seth. They brought technological innovation to
Egypt, including bronze and pottery techniques, new breeds of
animals and new crops, the horse and chariot, composite bow,
battle-axes, and fortification techniques for warfare. These advances
helped Egypt later rise to prominence.
Lux or Temple
Thebes was the capital of many of the Sixteenth Dynasty pharaohs.
Ruins of the temple
The Six teenth Dynasty

This dynasty ruled the Theban region in Upper Egypt for 70 years,
while the armies of the Fifteenth Dynasty advanced against southern
enemies and encroached on Sixteenth territory. Famine was an
issue during this period, most notably during the reign of Neferhotep
III.
The Abydos Dynasty

The Abydos Dynasty was a short-lived local dynasty that ruled over
part of Upper Egypt and was contemporaneous with the Fifteenth
and Sixteenth Dynasties c. 1650-1600 BCE. The royal necropolis of
the Abydos Dynasty was found in the southern part of Abydos, in an
area called Anubis Mountain in ancient times, adjacent to the tombs
of the Middle Kingdom rulers.
The Abydos Dynasty

This map shows the possible extent of power of the Abydos Dynasty
(in red).
The Abydos Dynasty controlled a stretch of the Nile river spanning

from Hu in the south to Beni Hasan in the north.
The Seventeenth Dynasty ( c.
15 8 0-15 5 0 BCE)
Around the time Memphis and Itj-tawy fell to the Hyksos, the native
Egyptian ruling house in Thebes declared its independence from Itj-
tawy and became the Seventeenth Dynasty. This dynasty would
eventually lead the war of liberation that drove the Hyksos back into
Asia. The Theban-based Seventeenth Dynasty restored numerous
temples throughout Upper Egypt while maintaining peaceful trading
relations with the Hyksos kingdom in the north. Indeed, Senakhtenre
Ahmose, the first king in the line of Ahmoside kings, even imported
white limestone from the Hyksos-controlled region of Tura to make a
granary door at the Temple of Karnak. However, his successors—the
final two kings of this dynasty—,Seqenenre Tao and Kamose,
defeated the Hyksos through several wars of liberation. With the
creation of the Eighteenth Dynasty around 1550 BCE, the New
Kingdom period of Egyptian history began with Ahmose I, its first
pharaoh, who completed the expulsion of the Hyksos from Egypt and
placed the country, once again, under centralized administrative
control.
Attributions
The Middle Kingdom
"Middle Kingdom of Egypt."
http://en.wikipedia.org/wiki/Middle_Kingdom_of_Egypt.
Wikipedia CC BY-SA.
"Middle Kingdom."
http://en.wiktionary.org/wiki/Middle_Kingdom. Wiktionary
CC BY-SA 3.0.
http://en.wikipedia.org/wiki/Middle_Kingdom_of_Egypt%23
mediaviewer/File:GD-EG-Louxor-116.JPG. Wikipedia CC
BY-SA 2.5.
The Second Intermediate Period
"Second Intermediate Period."
http://en.wikipedia.org/wiki/Second_Intermediate_Period_of
_Egypt. Wikipedia CC BY-SA.
"Abydos Dynasty."
https://en.wikipedia.org/wiki/Abydos_Dynasty. Wikipedia
CC BY 3.0.
"Thirteenth Dynasty of Egypt."
https://en.wikipedia.org/wiki/Thirteenth_Dynasty_of_Egypt.
"Fourteenth Dynasty of Egypt."
https://en.wikipedia.org/wiki/Fourteenth_Dynasty_of_Egypt.
"Fifteenth Dynasty of Egypt."
https://en.wikipedia.org/wiki/Fifteenth_Dynasty_of_Egypt.
"Hyksos." https://en.wikipedia.org/wiki/Hyksos. Wikipedia
CC BY 3.0.
"Seventeenth Dynasty."
https://en.wikipedia.org/wiki/Seventeenth_Dynasty_of_Egyp
t. Wikipedia CC BY 3.0.
"The Second Intermediate Period (Dynasties 14-17)."
https://egyptologyatperk.wikispaces.com/The+ Second+ Inter
mediate+ Period+ (Dynasties+ 14+ %E2%80%93+ 17).
Egyptology At Perk CC BY 3.0.
"Second Intermediate Period."
http://en.wikipedia.org/wiki/Second_Intermediate_Period_of
_Egypt%23mediaviewer/File:Egypt.LuxorTemple.06.jpg.
Wikipedia CC BY-SA 1.0 Generic.
"Abydos_Dynasty.png."
https://en.wikipedia.org/wiki/File:Abydos_Dynasty.png.
"14th_dynasty_territory.png."
https://en.wikipedia.org/wiki/File:14th_dynasty_territory.png.
4.4: The New Kingdom
4.4.1: The New Kingdom
The New Kingdom of Egypt spanned the Eighteenth to Twentieth
Dynasties (c. 1550-1077 BCE), and was Egypt's most prosperous
time. It was ruled by pharaohs Hatshepsut, Thutmose III, Akhenaten,
Tutankhamun and Ramesses II.
Learning Objective
Explain the reasons for the collapse of the New Kingdom
Key Points
The New Kingdom saw Egypt attempt to create a buffer against
the Levant and by attaining its greatest territorial by extending
into Nubia and the Near East. This was possibly a result of the
foreign rule of the Hyksos during the Second Intermediate
Period,
The Eighteenth Dynasty contained some of Egypt's most
famous pharaohs, including Hatshepsut, Akhenaten, Thutmose
III, and Tutankhamun. Hatshepsut concentrated on expanding
Egyptian trade, while Thutmose III consolidated power.
Akhenaten's devotion to Aten defined his reign with religious
fervor, while art flourished under his rule and attained an
unprecedented level of realism.
Due to Akenaten's lack of interest in international affairs, the
Hittites gradually extended their influence into Phoenicia and
Canaan.
Ramesses II attempted war against the Hittites, but eventually
agreed to a peace treaty after an indecisive result.
The heavy cost of military efforts in addition to climatic changes
resulted in a loss of centralized power at the end of the
Twentieth Dynasty, leading to the Third Intermediate Period.
Key Terms
New Kingdom
The period in ancient Egyptian history between the 16th century

BCE and the 11th century BCE that covers the Eighteenth,
Nineteenth, and Twentieth Dynasties of Egypt. Considered to be
the peak of Egyptian power.
Thutmose III
The sixth pharaoh of the Eighteenth Dynasty, who greatly

consolidated political power through a series of military
conquests.
Akhenaten
Pharaoh of the Eighteenth Dynasty known for his religious fervor

to the god Aten.
Hatshepsut
The fifth pharaoh of the Eighteenth Dynasty, who expanded

Egyptian trade.
Tutankhamun
An Egyptian pharaoh of the 18th dynasty (ruled c. 1332 BC-

1323 BC in the conventional chronology), during the period of
Egyptian history known as the New Kingdom. He is popularly
referred to as King Tut.
Aten
The disk of the sun in ancient Egyptian mythology, and originally
an aspect of Ra.
Ramesses II
The third pharaoh of the Nineteenth Dynasty of Egypt, who

made peace with the Hittites. Often regarded as the greatest,
most celebrated, and most powerful pharaoh of the Egyptian
Empire.
The New Kingdom of Egypt, also referred to as the Egyptian Empire,

is the period in ancient Egyptian history between 1550-1070 BCE,
covering the Eighteenth, Nineteenth, and Twentieth Dynasties of
Egypt. The New Kingdom followed the Second Intermediate Period,
and was succeeded by the Third Intermediate Period. It was Egypt's
most prosperous time and marked the peak of its power.
The Nineteenth and Twentieth Dynasties (1292-1069 BCE) are also

known as the Ramesside period, after the eleven pharaohs that took
the name of Ramesses. The New Kingdom saw Egypt attempt to
create a buffer against the Levant and attain its greatest territorial
extent. This was possibly a result of the foreign rule of the Hyksos
during the Second Intermediate Period
The Eighteenth Dynasty ( c.

15 43-1292 BCE)
The Eighteenth Dynasty, also known as the Thutmosid Dynasty,
contained some of Egypt's most famous pharaohs, including
Ahmose I, Hatshepsut, Thutmose III, Amenhotep III, Akhenaten (c.
1353-1336 BCE) and his queen Nefertiti, and Tutankhamun. Queen
Hatshepsut (c. 1479 - 1458 BCE) concentrated on expanding
Egypt's external trade by sending a commercial expedition to the
land of Punt, and was the longest-reigning woman pharaoh of an
indigenous dynasty. Thutmose III, who would become known as the
greatest military pharoah, expanded Egypt's army and wielded it with
great success to consolidate the empire created by his
predecessors. These victories maximized Egyptian power and
wealth during the reign of Amenhotep III. It was also during the reign
of Thutmose III that the term "pharaoh," originally referring to the
king's palace, became a form of address for the king.
One of the best-known Eighteenth Dynasty pharaohs is Amenhotep

IV (c. 1353-1336 BCE), who changed his name to Akhenaten in
honor of Aten and whose exclusive worship of the deity is often
interpreted as the first instance of monotheism. Under his reign
Egyptian art flourished and attained an unprecedented level of
realism. Toward the end of this dynasty, the Hittites had expanded
their influence into Phoenicia and Canaan, the outcome of which
would be inherited by the rulers of the Nineteenth Dynasty.
Bust of Akhenaten
Akhenaten, born Amenhotep IV , was the son of Queen Tiye. He
rejected the old Egyptian religion and promoted the Aten as a
supreme deity.
The Nineteenth Dynasty ( c.

1292-118 7 BCE)
New Kingdom Egypt would reach the height of its power under Seti I
and Ramesses II, who fought against the Libyans and Hittites. The
city of Kadesh was a flashpoint, captured first by Seti I and then
used as a peace bargain with the Hatti, and later attacked again by
Ramesses II. Eventually, the Egyptians and Hittites signed a lasting
peace treaty.
Egyptian and Hittite Empires

This map shows the Egyptian (green) and Hittite (red) Empires
around 1274 BCE.
The Hittite Empire covered a large portion of modern-day Turkey, in

addition to portions of modern-day Syria and Lebanon. The Egyptian
Empire covered a large portion of modern-day Egypt, in addition to
portions of modern-day Sudan, Palestine, Israel, Lebanon, Syria,
and Jordan.
Ramesses II had a large number of children, and he built a massive

funerary complex for his sons in the V alley of the Kings. The
Nineteenth Dynasty ended in a revolt led by Setnakhte, the founder
of the Twentieth Dynasty.
Temple of Ramesses II
Detail of the Temple of Ramesses II.
The Twentieth Dynasty ( c. 118 7 -

1064 BCE)
The last "great" pharaoh from the New Kingdom is widely regarded
to be Ramesses III. In the eighth year of his reign, the Sea Peoples
invaded Egypt by land and sea, but were defeated by Ramesses III.
The heavy cost of warfare slowly drained Egypt's treasury and
contributed to the gradual decline of the Egyptian Empire in Asia.
The severity of the difficulties is indicated by the fact that the first
known labor strike in recorded history occurred during the 29th year
of Ramesses III's reign, over food rations. Despite a palace
conspiracy which may have killed Ramesses III, three of his sons
ascended the throne successively as Ramesses IV , Ramesses V I
and Ramesses V III. Egypt was increasingly beset by droughts,
below-normal flooding of the Nile, famine, civil unrest, and official
corruption. The power of the last pharaoh of the dynasty, Ramesses
X I, grew so weak that, in the south, the High Priests of Amun at
Thebes became the de facto rulers of Upper Egypt. The Smendes
controlled Lower Egypt even before Ramesses X I's death. Menes
eventually founded the Twenty-first Dynasty at Tanis.
4.4.2: Hatshepsut
Hatshepsut ruled Egypt in the Eighteenth Dynasty (1478-1458 BCE),
and brought wealth and a focus on large building projects. She was
one of just a handful of female rulers.
Learning Objective
Describe the achievements of Hatshepsut in Ancient Egypt
Key Points
Hatshepsut reigned Egypt from 1478-1458 BCE, during the
Eighteenth Dynasty. She ruled longer than any other woman of
an indigenous Egyptian dynasty.
Hatshepsut established trade networks that helped build the
wealth of the Eighteenth Dynasty.
Hundreds of construction projects and statuary were
commissioned by Hatshepsut, including obelisks and
monuments at the Temple of Karnak.
While not the first female ruler of Egypt, Hatshepsut's reign was
longer and more prosperous; she oversaw a peaceful, wealthy
era.
The average woman in Egypt was quite liberated for the time,
and had a variety of property and other rights.
Hatshepsut died in 1458 BCE in middle age, possibly of
diabetes and bone cancer. Her mummy was discovered in 1903
and identified in 2007.
Key Terms
kohl
A black powder used as eye makeup.
obelisks
Stone pillars, typically having a square or rectangular cross

section and a pyramidal tip, used as a monument.
co-regent
The situation wherein a monarchical position, normally held by

one person, is held by two.
Hatshepsut reigned in Egypt from 1478-1458 BCE, during the

Eighteenth Dynasty, longer than any other woman of an indigenous
Egyptian dynasty. According to Egyptologist James Henry Breasted,
she was "the first great woman in history of whom we are informed."
She was the daughter of Thutmose I and his wife Ahmes.
Hatshepsut's husband, Thutmose II, was also a child of Thutmose I,
but was conceived with a different wife. Hatshepsut had a daughter
named Neferure with her husband, Thutmose II. Thutmose II
also fathered Thutmose III with Iset, a secondary wife. Hatshepsut
ascended to the throne as co-regent with Thutmose III, who came to
the throne as a two-year old child.
Statue of Hatshepsut
This statue of Hatshepsut is housed at the Metropolitan Museum of
Art in New York City.
Trade Networks
Hatshepsut established trade networks that helped build the wealth
of the Eighteenth Dynasty. This included a successful mission to the
Land of Punt in the ninth year of her reign, which brought live myrrh
trees and frankincense (which Hatshepsut used as kohl eyeliner) to
Egypt. She also sent raiding expeditions to Byblos and Sinai, and
may have led military campaigns against Nubia and Canaan.
Building Projects
Hatshepsut was a prolific builder, commissioning hundreds of
construction projects and statuary. She had monuments constructed
at the Temple of Karnak, and restored the original Precinct of Mut at
Karnak, which had been ravaged during the Hyksos occupation of
Egypt. She installed twin obelisks (the tallest in the world at that
time) at the entrance to this temple, one of which still stands.
Karnak's Red Chapel was intended as a shrine to her life, and may
have stood with these obelisks.
The Temple of Pakhet was a monument to Bast and Sekhmet,

lioness war goddesses. Later in the Nineteenth Dynasty, King Seti I
attempted to take credit for this monument. However, Hatshepsut's
masterpiece was a mortuary temple at Deir el-Bahri; the focal point
was the Djeser-Djeseru ("the Sublime of Sublimes"), a colonnaded
structure built 1,000 years before the Greek Parthenon. The
Hatshepsut needle, a granite obelisk, is considered another great
accomplishment.
Hatshepsut Temple
The colonnaded design is evident in this temple.
Female Rule
Hatshepsut was not the first female ruler of Egypt. She had been
preceded by Merneith of the First Dynasty, Nimaathap of the Third
Dynasty, Nitocris of the Sixth Dynasty, Sobekneferu of the Twelfth
Dynasty, Ahhotep I of the Seventeenth Dynasty, Ahmose-Nefertari,
and others. However, Hatshepsut's reign was longer and more
prosperous; she oversaw a peaceful, wealthy era. She was also
proficient at self-promotion, which was enabled by her wealth.
Hieroglyphs of Thutmose III and

Hatshepsut
Hatshepsut, on the right, is shown having the trappings of a greater
role.
The word "king" was considered gender-neutral, and women could

take the title. During her father's reign, she held the powerful office of
God's Wife, and as wife to her husband, Thutmose II, she took an
active role in administration of the kingdom. As pharaoh, she faced
few challenges, even from her co-regent, who headed up the
powerful Egyptian army and could have unseated her, had he
chosen to do so.
W omen's Status in Egypt
The average woman in Egypt was quite liberated for the time period.
While her foremost role was as mother and wife, an average woman
might have worked in weaving, perfume making, or entertainment.
Women could own their own businesses, own and sell property,
serve as witnesses in court cases, be in the company of men,
divorce and remarry, and have access to one-third of their husband's
property.
Hatshepsut's Death
Hatshepsut died in 1458 BCE in middle age; no cause of death is
known, although she may have had diabetes and bone cancer, likely
from a carcinogenic skin lotion. Her mummy was discovered in the
V alley of the Kings by Howard Carer in 1903, although at the time,
the mummy's identity was not known. In 2007, the mummy was
found to be a match to a missing tooth known to have belonged to
Hatshepsut.
Osirian Statues of Hatshepsut
These statues of Hatshepsut at her tomb show her holding the crook
and flail associated with Osiris.
After her death, mostly during Thutmose III's reign, haphazard

attempts were made to remove Hatshepsut from certain historical
and pharaonic records. Amenhotep II, the son of Thutmose III, may
have been responsible. The Tyldesley hypothesis states that
Thutmose III may have decided to attempt to scale back
Hatshepsut's role to that of regent rather than king.
4.4.3: The Third Intermediate Period

The Third Intermediate Period (c. 1069-664 BCE) spanned the
Twenty-first to Twenty-sixth Dynasties, and was marked by internal
divisions within Egypt, as well as conquest and rule by foreigners.
Learning Objective
Describe the general landscape of the political chaos during Third
Intermediate Period
Key Points
The period of the Twenty-first Dynasty was characterized by the
country's fracturing kingship, as power became split more and
more between the pharaoh and the High Priests of Amun at
Thebes.
Egypt was temporarily reunified during the Twenty-second
Dynasty, and experienced a period of stability, but shattered into
two states after the reign of Osorkon II.
Civil war raged in Thebes and was eventually quelled by
Osorkon B, who founded the Upper Egyptian Libyan Dynasty.
This dynasty collapsed, however, with the rise of local city-
states.
The Twenty-fourth Dynasty saw the conquest of the Nubians
over native Egyptian rulers, and the Nubians ruled through the
Twenty-Fifth Dynasty, when they expanded Egyptian power to
the extent of the New Kingdom and restored many temples. Due
to lacking military power, however, the Egyptians were
conquered by the Assyrians toward the end of the Twenty-fifth
Dynasty.
The end of the Third Intermediate Period and the Twenty-sixth
Dynasty saw Assyrian rule over Egypt. Although some measure
of independence was regained, Egypt faced pressure and
eventual defeat at the hands of the Persians.
Key Terms
Nubia
A region along the Nile river, located in northern Sudan and

southern Egypt.
Third Intermediate Period
Spanning the Twenty-first to Twenty-sixth Dynasties. A period of

Egyptian decline and political instability.
Assyrians
A major Mesopotamian East Semitic-speaking people.
High Priests of Amun
The highest-ranking priest in the priesthood of the Ancient

Egyptian god, Amun. Assumed significant power along with the
pharaoh in the Twenty-First Dynasty.
The Third Intermediate Period of Ancient Egypt began with the death
of the last pharaoh of the New Kingdom, Ramesses X I in 1070 BCE,
and ended with the start of the Postdynastic Period. The Third
Intermediate Period was one of decline and political instability. It was
marked by a division of the state for much of the period, as well as
conquest and rule by foreigners. However, many aspects of life for
ordinary Egyptians changed relatively little.
The Twenty-First Dynasty ( c.

107 7 -943 BCE)
The period of the Twenty-first Dynasty was characterized by the
country's fracturing kingship. Even in Ramesses X I's day, the
Twentieth Dynasty of Egypt was losing its grip on power in the city of
Thebes, where priests were becoming increasingly powerful. The
Amun priests of Thebes owned 2/3 of all the temple lands in Egypt,
90% of ships, and many other resources. Consequently, the Amun
priests were as powerful as the Pharaoh, if not more so. After the
death of Ramesses X I, his successor, Smendes I, ruled from the city
of Tanis, but was mainly active only in Lower Egypt. Meanwhile, the
High Priests of Amun at Thebes effectively ruled Middle and Upper
Egypt in all but name. During this time, however, this division was
relatively insignificant, due to the fact that both priests and pharaohs
came from the same family.
The Twenty-Second ( c. 943-7 16

BCE) and Twenty-Third ( c. 8 8 0-
7 20 BCE) Dynasties
The country was firmly reunited by the Twenty-second Dynasty,
founded by Shoshenq I in approximately 943 BCE. Shoshenq I
descended from Meshwesh immigrants originally from Ancient Libya.
This unification brought stability to the country for well over a
century, but after the reign of Osorkon II, the country had shattered
in two states. Shoshenq III of the Twenty-Second Dynasty controlled
Lower Egypt by 818 BCE, while Takelot II and his son Osorkon (the
future Osorkon III) ruled Middle and Upper Egypt. In Thebes, a civil
war engulfed the city between the forces of Pedubast I, a self-
proclaimed pharaoh. Eventually Osorkon B defeated his enemies,
and proceeded to found the Upper Egyptian Libyan Dynasty of
Osorkon III, Takelot III, and Rudamun. This kingdom quickly
fragmented after Rudamun's death with the rise of local city-states.
The Twenty-Fourth Dynasty ( c.

7 32-7 20 BCE)
The Nubian kingdom to the south took full advantage of the division
of the country. Nubia had already extended its influence into the
Egyptian city of Thebes around 752 BCE, when the Nubian ruler
Kashta coerced Shepenupet into adopting his own daughter
Amenirdis as her successor. Twenty years later, around 732 BCE,
these machinations bore fruit for Nubia when Kashta's successor
Piye marched north in his Year 20 campaign into Egypt, and
defeated the combined might of the native Egyptian rulers.
The Twenty-Fifth Dynasty ( c.

7 60-65 6 BCE)
Following his military conquests, Piye established the Twenty-fifth
Dynasty and appointed the defeated rulers as his provincial
governors. Rulers under this dynasty originated in the Nubian
Kingdom of Kush. Their reunification of Lower Egypt, Upper Egypt,
and Kish created the largest Egyptian empire since the New
Kingdom. They assimilated into Egyptian culture but also brought
some aspects of Kushite culture. During this dynasty, the first
widespread building of pyramids since the Middle Kingdom resumed.
The Nubians were driven out of Egypt in 670 BCE by the Assyrians,
who installed an initial puppet dynasty loyal to the Assyrians.
Nubian Pharaohs
Statues of the Nubian Pharaohs of the Twenty-fifth Dynasty.
End of the Third Intermediate

Period
Upper Egypt remained under the rule of Tantamani for a time, while
Lower Egypt was ruled by the Twenty-sixth Dynasty, starting in 664
BCE. Although originally established as clients of the Assyrians, the
Twenty-sixth Dynasty managed to take advantage of the time of
troubles facing the Assyrian empire to successfully bring about
Egypt's political independence. In 656 BCE, Psamtik I (last of the
Twenty-sixth Dynasty kings) occupied Thebes and became pharaoh,
the King of Upper and Lower Egypt. He proceeded to reign over a
united Egypt for 54 years from his capital at Sais. Four successive
Saite kings continued guiding Egypt through a period of peace and
prosperity from 610-525 BCE. Unfortunately for this dynasty,
however, a new power was growing in the Near East: Persia.
Pharaoh Psamtik III succeeded his father, Ahmose II, only six
months before he had to face the Persian Empire at Pelusium. The
new king was no match for the Persians, who had already taken
Babylon. Psamtik III was defeated and briefly escaped to Memphis.
He was ultimately imprisoned, and later executed at Susa, the
capital of the Persian king Cambyses. With the Saite kings
exterminated, Camybes assumed the formal title of Pharaoh.
4.4.4: The Decline of Ancient Egypt

Ancient Egypt went through a series of occupations and suffered a
slow decline over a long period of time. First occupied by the
Assyrians, then the Persians, and later the Macedonians and
Romans, Egyptians would never again reach the glorious heights of
self-rule they achieved during previous periods.
Learning Objective
Explain why Ancient Egypt declined as an economic and political
force
Key Points
After a renaissance in the 25th Dynasty, ancient Egypt was
occupied by Assyrians, initiating the Late Period.
In 525 BCE, Egypt was conquered by Persia, and incorporated
into the Achaemenid Persian Empire.
In 332 BCE, Egypt was given to Macedonia and Alexander the
Great. During this period, the new capital of Alexandria
flourished.
Egypt became a Roman province after the defeat of Marc
Antony and Queen Cleopatra V II in 30 BCE. During this period,
religious and other traditions slowly declined.
Key Terms
Hellenistic
Relating to Greek history, language, and culture, during the time
between the death of Alexander the Great and the defeat of
Mark Antony and Cleopatra in 31 BCE.
hieroglyphics
A formal writing system used by ancient Egyptians, consisting of

pictograms.
pagan
A person holding religious beliefs other than those of the main

world religions, Christianity, Judaism, and Islam.
Ancient Egypt went through a series of occupations and suffered a

slow decline over a long period of time. First occupied by the
Assyrians, then the Persians, and later the Macedonians and
Romans, Egyptians would never again reach the glorious heights of
self-rule they achieved during previous periods.
Third Intermediate Period

( 1069-65 3 BCE)
After a renaissance in the Twenty-fifth dynasty, when religion, arts,
and architecture (including pyramids) were restored, struggles
against the Assyrians led to eventual conquest of Egypt by
Esarhaddon in 671 BCE. Native Egyptian rulers were installed but
could not retain control of the area, and former Pharaoh Taharqa
seized control of southern Egypt for a time, until he was defeated
again by the Assyrians. Taharqa's successor, Tanutamun, also made
a failed attempt to regain Egypt, but was defeated.
Late Period ( 67 2-332 BCE)

Having been victorious in Egypt, the Assyrians installed a series of
vassals known as the Saite kings of the Twenty-sixth Dynasty. In 653
BCE, one of these kings, Psamtik I, was able to achieve a peaceful
separation from the Assyrians with the help of Lydian and Greek
mercenaries. In 609 BCE, the Egyptians attempted to save the
Assyrians, who were losing their war with the Babylonians,
Chaldeans, Medians, and Scythians. However, they were
unsuccessful.
In 525 BCE, the Persians, led by Cambyses II, invaded Egypt,

capturing the Pharaoh Psamtik III. Egypt was joined with Cyprus and
Phoenicia in the sixth satrapy of the Achaemenid Persian Empire,
also called the Twenty-seventh Dynasty. This ended in 402 BCE,
and the last native royal house of dynastic Egypt, known as the
Thirtieth Dynasty, was ruled by Nectanebo II. Persian rule was
restored briefly in 343 BCE, known as the Thirty-first Dynasty, but in
332 BCE, Egypt was handed over peacefully to the Macedonian
ruler, Alexander the Great.
Macedonian and Ptolemaic

Period ( 332-30 BCE)
Alexander the Great was welcomed into Egypt as a deliverer, and
the new capital city of Alexandria was a showcase of Hellenistic rule,
capped by the famous Library of Alexandria. Native Egyptian
traditions were honored, but eventually local revolts, plus interest in
Egyptian goods by the Romans, caused the Romans to wrest Egypt
from the Macedonians.
Roman Period ( 30 BCE-641CE)

Egypt became a Roman province after the defeat of Marc Antony
and Queen Cleopatra V II in 30 BCE. Some Egyptian traditions,
including mummification and worship of local gods, continued, but
local administration was handled exclusively by Romans. The spread
of Christianity proved to be too powerful, and pagan rites were
banned and temples closed. Egyptians continued to speak their
language, but the ability to read hieroglyphics disappeared as temple
priests diminished.
Attributions
The New Kingdom
"Nineteenth Dynasty of Egypt."
https://en.wikipedia.org/wiki/Nineteenth_Dynasty_of_Egypt.
"Twentieth Dynasty of Egypt."
https://en.wikipedia.org/wiki/Twentieth_Dynasty_of_Egypt.
"Eighteenth Dynasty of Egypt."
https://en.wikipedia.org/wiki/Eighteenth_Dynasty_of_Egypt.
"New Kingdom of Egypt."
http://en.wikipedia.org/wiki/New_Kingdom_of_Egypt.
Wikipedia CC BY-SA.
"Hitt_Egypt_Perseus.png."
https://en.wikipedia.org/wiki/File:Hitt_Egypt_Perseus.png.
http://en.wikipedia.org/wiki/New_Kingdom_of_Egypt%23me
diaviewer/File:GD-EG-Caire-Mus%C3%A9e061.JPG.
http://en.wikipedia.org/wiki/New_Kingdom_of_Egypt%23me
diaviewer/File:S_F-E-
CAMERON_EGYPT_2006_FEB_00671.JPG. Wikipedia CC
BY-SA 3.0.
Hatshepsut
"Hatshepsut." https://en.wikipedia.org/wiki/Hatshepsut.
"Women of Ancient Egypt."
http://www.ushistory.org/civ/3f.asp. Ancient Civilizations CC
BY-SA 4.0.
"640px-Il_tempio_di_Hatshepsut.jpeg."
https://en.wikipedia.org/wiki/Hatshepsut# /media/File:Il_temp
io_di_Hatshepsut.JPG. Wikipedia CC BY 3.0.
"320px-S_F-E-CAMERON_2006-10-EGYPT-WESTBANK-
0153.jpeg."
https://en.wikipedia.org/wiki/Hatshepsut# /media/File:S_F-E-
CAMERON_2006-10-EGYPT-WESTBANK-0153.JPG.
"544px-Thutmose_III_and_Hatshepsut.jpg."
https://en.wikipedia.org/wiki/Hatshepsut# /media/File:Thutm
ose_III_and_Hatshepsut.jpg. Wikipedia CC BY 3.0.
"Hatshepsut.jpg."
https://en.wikipedia.org/wiki/Hatshepsut# /media/File:Hatshe
psut.jpg. Wikipedia CC BY 3.0.
The Third Intermediate Period
"Twenty-first Dynasty of Egypt."
https://en.wikipedia.org/wiki/Twenty-first_Dynasty_of_Egypt.
"Twenty-fifth Dynasty of Egypt."
https://en.wikipedia.org/wiki/Twenty-fifth_Dynasty_of_Egypt.
"Third Intermediate Period of Egypt."
http://en.wikipedia.org/wiki/Third_Intermediate_Period_of_E
gypt. Wikipedia CC BY-SA.
"Twenty-fourth Dynasty of Egypt."
https://en.wikipedia.org/wiki/Twenty-
fourth_Dynasty_of_Egypt. Wikipedia CC BY 3.0.
"Amun." http://en.wikipedia.org/wiki/Amun. Wikipedia CC
BY-SA.
"Twenty-third Dynasty of Egypt."
third_Dynasty_of_Egypt. Wikipedia CC BY 3.0.
"Twenty-second Dynasty of Egypt."
second_Dynasty_of_Egypt. Wikipedia CC BY 3.0.
"Third Intermediate Period of Egypt."
http://en.wikipedia.org/wiki/Third_Intermediate_Period%23
mediaviewer/File:NubianPharoahs.jpg. Wikipedia Public
domain.
The Decline of Ancient Egypt
"Ancient Egypt."
https://en.wikipedia.org/wiki/Ancient_Egypt# Ptolemaic_Peri
od. Wikipedia CC BY 3.0.
"Societal Collapse."
https://en.wikipedia.org/wiki/Societal_collapse. Wikipedia
CC BY 3.0.
"History of Ancient Egypt."
https://en.wikipedia.org/wiki/History_of_ancient_Egypt.
"History of Egypt."
https://en.wikipedia.org/wiki/History_of_Egypt. Wikipedia
CC BY 3.0.
4.5 : Ancient Egyptian Society
4.5 .1: Ancient Egyptian Religion
Ancient Egyptian religion lasted for more than 3,000 years, and
consisted of a complex polytheism. The pharaoh's role was to
sustain the gods in order to maintain order in the universe.
Learning Objective
Describe the religious beliefs and practices of Ancient Egypt
Key Points
The religion of Ancient Egypt lasted for more than 3,000 years,
and was polytheistic, meaning there were a multitude of deities,
who were believed to reside within and control the forces of
nature.
Formal religious practice centered on the pharaoh, or ruler, of
Egypt, who was believed to be divine, and acted as intermediary
between the people and the gods. His role was to sustain the
gods so that they could maintain order in the universe.
The Egyptian universe centered on Ma'at, which has several
meanings in English, including truth, justice and order. It was
fixed and eternal; without it the world would fall apart.
The most important myth was of Osiris and Isis. The divine ruler
Osiris was murdered by Set (god of chaos), then resurrected by
his sister and wife Isis to conceive an heir, Horus. Osiris then
became the ruler of the dead, while Horus eventually avenged
his father and became king.
Egyptians were very concerned about the fate of their souls
after death. They believed ka (life-force) left the body upon
death and needed to be fed. Ba, or personal spirituality,
remained in the body. The goal was to unite ka and ba to create
akh.
Artistic depictions of gods were not literal representations, as
their true nature was considered mysterious. However, symbolic
imagery was used to indicate this nature.
Temples were the state's method of sustaining the gods, since
their physical images were housed and cared for; temples were
not a place for the average person to worship.
Certain animals were worshipped and mummified as
representatives of gods.
Oracles were used by all classes.
Key Terms
Ma'at,
The Egyptian universe.
heka
The ability to use natural forces to create "magic."
pantheon
The core actors of a religion.
polytheistic
A religion with more than one worshipped god.
ka
The spiritual part of an individual human being or god that

survived after death.
Duat
The realm of the dead; residence of Osiris.

ba
The spiritual characteristics of an individual person that

remained in the body after death. Ba could unite with the ka.
akh
The combination of the ka and ba living in the afterlife.
The religion of Ancient Egypt lasted for more than 3,000 years, and
was polytheistic, meaning there were a multitude of deities, who
were believed to reside within and control the forces of nature.
Religious practices were deeply embedded in the lives of Egyptians,
as they attempted to provide for their gods and win their favor. The
complexity of the religion was evident as some deities existed in
different manifestations and had multiple mythological roles. The
pantheon included gods with major roles in the universe, minor
deities (or "demons"), foreign gods, and sometimes humans,
including deceased Pharaohs.
Formal religious practice centered on the pharaoh, or ruler, of Egypt,

who was believed to be divine, and acted as intermediary between
the people and the gods. His role was to sustain the gods so that
they could maintain order in the universe, and the state spent its
resources generously to build temples and provide for rituals. The
pharaoh was associated with Horus (and later Amun) and seen as
the son of Ra. Upon death, the pharaoh was fully deified, directly
identified with Ra and associated with Osiris, the god of death and
rebirth. However, individuals could appeal directly to the gods for
personal purposes through prayer or requests for magic; as the
pharaoh's power declined, this personal form of practice became
stronger. Popular religious practice also involved ceremonies around
birth and naming. The people also invoked "magic" (called heka) to
make things happen using natural forces.
Gods of the Pantheon
This wall painting shows, from left to right, the gods Osiris, Anubis
and Horus.
Cosmology
The Egyptian universe centered on Ma'at, which has several
meanings in English, including truth, justice and order. It was fixed
and eternal (without it the world would fall apart), and there were
constant threats of disorder requiring society to work to maintain it.
Inhabitants of the cosmos included the gods, the spirits of deceased
humans, and living humans, the most important of which was the
pharaoh. Humans should cooperate to achieve this, and gods should
function in balance. Ma'at was renewed by periodic events, such as
the annual Nile flood, which echoed the original creation. Most
important of these was the daily journey of the sun god Ra.
Egyptians saw the earth as flat land (the god Geb), over which
arched the sky (goddess Nut); they were separated by Shu, the god
of air. Underneath the earth was a parallel underworld and undersky,
and beyond the skies lay Nu, the chaos before creation. Duat was a
mysterious area associated with death and rebirth, and each day Ra
passed through Duat after traveling over the earth during the day.
Egyptian Cosmology
In this artwork, the air god Shu is assisted by other gods in holding
up Nut, the sky, as Geb, the earth, lies beneath.
Myths
Egyptian myths are mainly known from hymns, ritual and magical
texts, funerary texts, and the writings of Greeks and Romans. The
creation myth saw the world as emerging as a dry space in the
primordial ocean of chaos, marked by the first rising of Ra. Other
forms of the myth saw the primordial god Atum transforming into the
elements of the world, and the creative speech of the intellectual god
Ptah.
The most important myth was of Osiris and Isis. The divine ruler
Osiris was murdered by Set (god of chaos), then resurrected by his
sister and wife Isis to conceive an heir, Horus. Osiris then became
the ruler of the dead, while Horus eventually avenged his father and
became king. This myth set the Pharaohs, and their succession, as
orderliness against chaos.
The Afterlife
Egyptians were very concerned about the fate of their souls after
death, and built tombs, created grave goods and gave offerings to
preserve the bodies and spirits of the dead. They believed humans
possessed ka, or life-force, which left the body at death. To endure
after death, the ka must continue to receive offerings of food; it could
consume the spiritual essence of it. Humans also possessed a ba, a
set of spiritual characteristics unique to each person, which
remained in the body after death. Funeral rites were meant to
release the ba so it could move, rejoin with the ka, and live on as an
akh. However, the ba returned to the body at night, so the body must
be preserved.
Mummification involved elaborate embalming practices, and

wrapping in cloth, along with various rites, including the Opening of
the Mouth ceremony. Tombs were originally mastabas (rectangular
brick structures), and then pyramids.
However, this originally did not apply to the common person: they
passed into a dark, bleak realm that was the opposite of life. Nobles
did receive tombs and grave gifts from the pharaoh. Eventually, by
about 2181 BCE, Egyptians began to believe every person had a ba
and could access the afterlife. By the New Kingdom, the soul had to
face dangers in the Duat before having a final judgment, called the
Weighing of the Heart, where the gods compared the actions of the
deceased while alive to Ma'at, to see if they were worthy. If so, the
ka and ba were united into an akh, which then either traveled to the
lush underworld, or traveled with Ra on his daily journey, or even
returned to the world of the living to carry out magic.
Funerary Tex t
In this section from the Book of the Dead for the scribe Hunefer, the
Weighing of the Heart is shown.
Rise and Fall of Gods

Certain gods gained a primary status over time, and then fell as
other gods overtook them. These included the sun god Ra, the
creator god Amun, and the mother goddess Isis. There was even a
period of time where Egypt was monotheistic, under Pharaoh
Akhenaten, and his patron god Aten.
The Relationships of Deities

Just as the forces of nature had complex interrelationships, so did
Egyptian deities. Minor deities might be linked, or deities might come
together based on the meaning of numbers in Egyptian mythology
(i.e., pairs represented duality). Deities might also be linked through
syncretism, creating a composite deity.
Artistic Depictions of Gods

Artistic depictions of gods were not literal representations, since their
true nature was considered mysterious. However, symbolic imagery
was used to indicate this nature. An example was Anubis, a funerary
god, who was shown as a jackal to counter its traditional meaning as
a scavenger, and create protection for the mummy.
Temples
Temples were the state's method of sustaining the gods, as their
physical images were housed and cared for; they were not a place
for the average person to worship. They were both mortuary temples
to serve deceased pharaohs and temples for patron gods. Starting
as simple structures, they grew more elaborate, and were
increasingly built from stone, with a common plan. Ritual duties were
normally carried out by priests, or government officials serving in the
role. In the New Kingdom, professional priesthood became common,
and their wealth rivaled that of the pharaoh.
Rituals and Festivals

Aside from numerous temple rituals, including the morning offering
ceremony and re-enactments of myths, there were coronation
ceremonies and the sed festival, a renewal of the pharaoh's strength
during his reign. The Opet Festival at Karnak involved a procession
carrying the god's image to visit other significant sites.
Animal W orship
At many sites, Egyptians worshipped specific animals that they
believed to be manifestations of deities. Examples include the Apis
bull (of the god Ptah), and mummified cats and other animals.
Use of Oracles
Commoners and pharaohs asked questions of oracles, and answers
could even be used during the New Kingdom to settle legal disputes.
This might involve asking a question while a divine image was being
carried, and interpreting movement, or drawing lots.
4.5 .2: Ancient Egyptian Art

Ancient Egyptian art included painting, sculpture, pottery, glass work,
and architecture. Many surviving art is related to tombs and
monuments. Aside from the brief Amarna period, Egyptian art
remained relatively unchanged for thousands of years.
Learning Objective
Examine the development of Egyptian Art under the Old Kingdom
Key Points
Ancient Egyptian art includes painting, sculpture, architecture,
and other forms of art, such as drawings on papyrus, created
between 3000 BCE and 100 CE.
Most of this art was highly stylized and symbolic. Much of the
surviving forms come from tombs and monuments, and thus
have a focus on life after death and preservation of knowledge.
Symbolism meant order, shown through the pharaoh's regalia,
or through the use of certain colors.
In Egyptian art, the size of a figure indicates its relative
importance.
Paintings were often done on stone, and portrayed pleasant
scenes of the afterlife in tombs.
Ancient Egyptians created both monumental and smaller
sculptures, using the technique of sunk relief.
Ka statues, which were meant to provide a resting place for the
ka part of the soul, were often made of wood and placed in
tombs.
Faience was sintered-quartz ceramic with surface vitrification,
used to create relatively cheap small objects in many colors.
Glass was originally a luxury item but became more common,
and was used to make small jars, for perfume and other liquids,
to be placed in tombs. Carvings of vases, amulets, and images
of deities and animals were made of steatite. Pottery was
sometimes covered with enamel, particularly in the color blue.
Papyrus was used for writing and painting, and and was used to
record every aspect of Egyptian life.
Architects carefully planned buildings, aligning them with
astronomically significant events, such as solstices and
equinoxes. They used mainly sun-baked mud brick, limestone,
sandstone, and granite.
The Amarna period (1353-1336 BCE) represents an interruption
in ancient Egyptian art style, subjects were represented more
realistically, and scenes included portrayals of affection among
the royal family.
Key Terms
scarabs
Ancient Egyptian gem cut in the form of a scarab beetle.
Faience
Glazed ceramic ware.
ushabti
Ancient Egyptian funerary figure.
Ka
The supposed spiritual part of an individual human being or god

that survived after death, and could reside in a statue of the
person.
sunk relief
Sculptural technique in which the outlines of modeled forms are

incised in a plane surface beyond which the forms do not
project.
regalia
The emblems or insignia of royalty.
papyrus
A material prepared in ancient Egypt from the stem of a water

plant, used in sheets for writing or painting on.
Ancient Egyptian art includes painting, sculpture, architecture, and

other forms of art, such as drawings on papyrus, created between
3000 BCE and 100 AD. Most of this art was highly stylized and
symbolic. Many of the surviving forms come from tombs and
monuments, and thus have a focus on life after death and
preservation of knowledge.
Symbolism
Symbolism in ancient Egyptian art conveyed a sense of order and
the influence of natural elements. The regalia of the pharaoh
symbolized his or her power to rule and maintain the order of the
universe. Blue and gold indicated divinity because they were rare
and were associated with precious materials, while black expressed
the fertility of the Nile River.
Hierarchical Scale
In Egyptian art, the size of a figure indicates its relative importance.
This meant gods or the pharaoh were usually bigger than other
figures, followed by figures of high officials or the tomb owner; the
smallest figures were servants, entertainers, animals, trees and
architectural details.
Painting
Before painting a stone surface, it was whitewashed and sometimes
covered with mud plaster. Pigments were made of mineral and able
to stand up to strong sunlight with minimal fade. The binding medium
is unknown; the paint was applied to dried plaster in the "fresco a
secco" style. A varnish or resin was then applied as a protective
coating, which, along with the dry climate of Egypt, protected the
painting very well. The purpose of tomb paintings was to create a
pleasant afterlife for the dead person, with themes such as
journeying through the afterworld, or deities providing protection. The
side view of the person or animal was generally shown, and
paintings were often done in red, blue, green, gold, black and
yellow.
W all Painting of Nefertari
In this wall painting of Nefertari, the side view is apparent.
Sculpture
Ancient Egyptians created both monumental and smaller sculptures,
using the technique of sunk relief. In this technique, the image is
made by cutting the relief sculpture into a flat surface, set within a
sunken area shaped around the image. In strong sunlight, this
technique is very visible, emphasizing the outlines and forms by
shadow. Figures are shown with the torso facing front, the head in
side view, and the legs parted, with males sometimes darker than
females. Large statues of deities (other than the pharaoh) were not
common, although deities were often shown in paintings and reliefs.
Colossal sculpture on the scale of the Great Sphinx of Giza was not
repeated, but smaller sphinxes and animals were found in temple
complexes. The most sacred cult image of a temple's god was
supposedly held in the naos in small boats, carved out of precious
metal, but none have survived.
Ka statues, which were meant to provide a resting place for the ka

part of the soul, were present in tombs as of Dynasty IV (2680-2565
BCE). These were often made of wood, and were called reserve
heads, which were plain, hairless and naturalistic. Early tombs had
small models of slaves, animals, buildings, and objects to provide life
for the deceased in the afterworld. Later, ushabti figures were
present as funerary figures to act as servants for the deceased,
should he or she be called upon to do manual labor in the afterlife.
Ka Statue
The ka statue was placed in the tomb to provide a physical place for
the ka to manifest. This statue is found at the Egyptian Museum of
Cairo.
Many small carved objects have been discovered, from toys to

utensils, and alabaster was used for the more expensive objects. In
creating any statuary, strict conventions, accompanied by a rating
system, were followed. This resulted in a rather timeless quality, as
few changes were instituted over thousands of years.
Faience, Pottery, and Glass

Faience was sintered-quartz ceramic with surface vitrification used to
create relatively cheap, small objects in many colors, but most
commonly blue-green. It was often used for jewelry, scarabs, and
figurines. Glass was originally a luxury item, but became more
common, and was to used to make small jars, of perfume and other
liquids, to be placed in tombs. Carvings of vases, amulets, and
images of deities and animals were made of steatite. Pottery was
sometimes covered with enamel, particularly in the color blue. In
tombs, pottery was used to represent organs of the body removed
during embalming, or to create cones, about ten inches tall,
engraved with legends of the deceased.
Papyrus
Papyrus is very delicate and was used for writing and painting; it has
only survived for long periods when buried in tombs. Every aspect of
Egyptian life is found recorded on papyrus, from literary to
administrative documents.
Architecture
Architects carefully planned buildings, aligning them with
astronomically significant events, such as solstices and equinoxes,
and used mainly sun-baked mud brick, limestone, sandstone, and
granite. Stone was reserved for tombs and temples, while other
buildings, such as palaces and fortresses, were made of bricks.
Houses were made of mud from the Nile River that hardened in the
sun. Many of these houses were destroyed in flooding or dismantled;
examples of preserved structures include the village Deir al-Madinah
and the fortress at Buhen.
The Giza Necropolis, built in the Fourth Dynasty, includes the

Pyramid of Khufu (also known as the Great Pyramid or the Pyramid
of Cheops), the Pyramid of Khafre, and the Pyramid of Menkaure,
along with smaller "queen" pyramids and the Great Sphinx.
The Pyramids of Giz a

The Pyramid of Khufu (Great Pyramid) is the largest of the pyramids
pictured here.
The Temple of Karnak was first built in the 16th century BCE. About
30 pharaohs contributed to the buildings, creating an extremely large
and diverse complex. It includes the Precincts of Amon-Re, Montu
and Mut, and the Temple of Amehotep IV (dismantled).
The Temple of Karnak
Shown here is the hypostyle hall of the Temple of Karnak.
The Luxor Temple was constructed in the 14th century BCE by

Amenhotep III in the ancient city of Thebes, now Luxor, with a major
expansion by Ramesses II in the 13th century BCE. It includes the
79-foot high First Pylon, friezes, statues, and columns.
The Amarna Period ( 135 3-1336

BCE)
During this period, which represents an interruption in ancient
Egyptian art style, subjects were represented more realistically, and
scenes included portrayals of affection among the royal family. There
was a sense of movement in the images, with overlapping figures
and large crowds. The style reflects Akhenaten's move to
monotheism, but it disappeared after his death.
4.5 .3: Ancient Egyptian Monuments

Ancient Egyptian monuments included pyramids, sphinxes, and
temples. These buildings and statues required careful planning and
resources, and showed the influence Egyptian religion had on the
state and its people.
Learning Objective
Describe the impressive attributes of the monuments erected by
Egyptians in the Old Kingdom
Key Points
Ancient Egyptian architects carefully planned buildings, aligning
them with astronomically significant events, such as solstices
and equinoxes, and used mainly sun-baked mud brick,
limestone, sandstone, and granite.
Egyptian pyramids were highly reflective, referenced the sun,
and were usually placed on the West side of the Nile River.
About 135 pyramids have been discovered in Egypt, with the
largest (in Egypt and the world) being the Great Pyramid of
Giza.
The Great Sphinx of Giza is a reclining sphinx (a mythical
creature with a lion's body and a human head); its face is meant
to represent the Pharaoh Khafra. It is the world's oldest and
largest monolith.
Egyptian temples were used for official, formal worship of the
gods by the state, and to commemorate pharaohs. The temple
was the house of a particular god, and Egyptians would perform
rituals, give offerings, re-enact myths, and keep order in the
universe (ma'at).
The Temple of Karnak was first built in the 16th century BCE.
About 30 pharaohs contributed to the buildings, creating an
extremely large and diverse complex.
Amenhotep III in the ancient city of Thebes, now Luxor. It later
received a major expansion by Ramesses II in the 13th century
BCE.
Key Terms
monolith
A large single upright block of stone, especially one shaped into,

or serving as, a pillar or monument.
friezes
Broad, horizontal bands of sculpted or painted decoration.
pylon
In ancient Egypt, two tapering towers with a less elevated

section between them, forming a gateway.
peristyle courts
In ancient Egypt, courts that open to the sky.
Hypostyle halls
In ancient Egypt, covered rooms with columns.

equinoxes
Either of the two times in the year when the sun crosses the
celestial equator, and day and night are of equal length.
solstices
Either of the two times in the year (summer and winter) when
the sun reaches its highest or lowest point in the sky at noon.
ma'at
The ancient Egyptian concept of truth, balance, order, harmony,

law, morality and justice.
obelisks
Stone pillars, typically having a square or rectangular cross

section and pyramidal top, used as monuments or landmarks.
Ancient Egyptian architects carefully planned buildings, aligning

them with astronomically significant events, such as solstices and
equinoxes. They used mainly sun-baked mud brick, limestone,
sandstone, and granite. Stone was reserved for tombs and temples,
while other buildings, such as palaces and fortresses, were made of
bricks.
Pyramids
Egyptian pyramids referenced the rays of the sun, and appeared
highly polished and reflective, with a capstone that was generally a
hard stone like granite, sometimes plated with gold, silver or
electrum. Most were placed west of the Nile, to allow the pharaoh's
soul to join with the sun during its descent.
Old Kingdom Pyramid Temple
Reconstruction
In this reconstruction, a causeway leads out to the valley temple.
About 135 pyramids have been discovered in Egypt, with the largest
(in Egypt and the world) being the Great Pyramid of Giza. Its base is
over 566,000 square feet in area, and was one of the Seven
Wonders of the Ancient World. The Giza Necropolis, built in the
Fourth Dynasty, includes the Pyramid of Khufu (also known as the
Great Pyramid or the Pyramid of Cheops), the Pyramid of Khafre
and the Pyramid of Menkaure, along with smaller "queens" pyramids
and the Great Sphinx.
Map of Giz a Pyramid Complex
A map showing the layout of the Giza Pyramid area, including the
Pyramids of Khufu, Khafre, Menkaure, and the Great Sphinx.
The Great Sphinx of Giz a

This limestone statue of a reclining sphinx (a mythical creature with a
lion's body and a human head) is located on the Giza Plateau to the
west of the Nile. It is believed the face is meant to represent the
Pharaoh Khafra. It is the largest and oldest monolith statue in the
world, at 241 feet long, 63 feet wide, and 66.34 feet tall. It is believed
to have been built during the reign of Pharaoh Khafra (2558-2532
BCE). It was probably a focus of solar worship, as the lion is a
symbol associated with the sun.
The Great Sphinx of Giz a
Here the Great Sphinx is shown against the Pyramid of Kahfre.
Temples
Egyptian temples were used for official, formal worship of the gods
by the state, and to commemorate pharaohs. The temple was the
house dedicated to a particular god, and Egyptians would perform
rituals there, give offerings, re-enact myths and keep order in the
universe (ma'at). Pharaohs were in charge of caring for the gods,
and they dedicated massive resources to this task. Priests assisted
in this effort. The average citizen was not allowed into the inner
sanctum of the temple, but might still go there to pray, give offerings,
or ask questions of the gods.
The inner sanctuary had a cult image of the temple's god, as well as
a series of surrounding rooms that became large and elaborate over
time, evolving into massive stone edifices during the New Kingdom.
Temples also often owned surrounding land and employed
thousands of people to support its activities, creating a powerful
institution. The designs emphasized order, symmetry and
monumentality. Hypostyle halls (covered rooms filled with columns)
led to peristyle courts (open courts), where the public could meet
with priests. At the front of each court was a pylon (broad, flat
towers) that held flagpoles. Outside the temple building was the
temple enclosure, with a brick wall to symbolically protect from
outside disorder; often a sacred lake would be found here.
Decoration included reliefs (bas relief and sunken relief) of images
and hieroglyphic text and sculpture, including obelisks, figures of
gods (sometimes in sphinx form), and votive figures. Egyptian
religions faced persecution by Christians, and the last temple was
closed in 550 AD.
The Temple of Karnak was first built in the 16th century BCE. About
30 pharaohs contributed to the buildings, creating an extremely large
and diverse complex. It includes the Precincts of Amon-Re, Montu
and Mut, and the Temple of Amehotep IV (dismantled).
Temple of Karnak
This view of the Temple of Karnak shows they hypostyle hall, with
massive columns.

Amenhotep III in the ancient city of Thebes, now Luxor, with a major
expansion by Ramesses II in the 13th century BCE. It includes the
79-foot high First Pylon, friezes, statues, and columns.
Lux or Temple
Shown here is the entrance pylon of Luxor Temple, one of the major
New Kingdom temples.
4.5 .4: Ancient Egyptian Trade

Ancient Egyptians traded with their African and Mediterranean
neighbors to obtain goods, such as cedar, lapis lazuli, gold, ivory,
and more. They exported goods, such as papyrus, linen, and
finished objects using a variety of land and maritime trading routes.
Learning Objective
Describe the economic structure of ancient Egypt
Key Points
Trade was occurring in the 5th century BCE onwards, especially
with Canaan, Lebanon, Nubia and Punt.
Just before the First Dynasty, Egypt had a colony in southern
Canaan that produced Egyptian pottery for export to Egypt.
In the Second Dynasty, Byblos provided quality timber that could
not be found in Egypt.
By the Fifth Dynasty, trade with Punt gave Egyptians gold,
aromatic resins, ebony, ivory, and wild animals.
A well-traveled land route from the Nile to the Red Sea crossed
through the Wadi Hammamat. Another route, the Darb el-
Arbain, was used from the time of the Old Kingdom of Egypt.
Egyptians built ships as early as 3000 BCE by lashing planks of
wood together and stuffing the gaps with reeds. They used them
to import goods from Lebanon and Punt.
Key Terms
papyrus
A material prepared in ancient Egypt from the stem of a water

plant, used in sheets for writing, painting, or making rope,
sandals, and boats.
obsidian
A hard, dark, glasslike volcanic rock.
electrum
A natural or artifical alloy of gold, with at least 20% silver, used

for jewelry.
myrrh
A fragrant gum resin obtained from certain trees, often used in

perfumery, medicine and incense.
malachite
A bright green mineral consisting of copper hydroxyl carbonate.

Early examples of ancient Egyptian trade included contact with Syria
in the 5th century BCE, and importation of pottery and construction
ideas from Canaan in the 4th century BCE. By this time, shipping
was common, and the donkey, camel, and horse were domesticated
and used for transportation. Lebanese cedar has been found in the
tombs of Nekhen, dated to the Naqada I and II periods. Egyptians
during this period also imported obsidian from Ethiopia, gold and
incense from Nubia in the south, oil jugs from Palestine, and other
goods from the oases of the western desert and the cultures of the
eastern Mediterranean. Egyptian artifacts from this era have been
found in Canaan and parts of the former Mesopotamia. In the latter
half of the 4th century BCE, the gemstone lapis lazuli was being
imported from Badakhshan (modern-day Afghanistan).
Just before the First Dynasty, Egypt had a colony in southern

Canaan that produced Egyptian pottery for export to Egypt. In the
Second Dynasty, Byblos provided quality timber that could not be
found in Egypt. By the Fifth Dynasty, trade with Punt gave Egyptians
gold, aromatic resins, ebony, ivory, and wild animals. Egypt also
traded with Anatolia for tin and copper in order to make bronze.
Mediterranean trading partners provided olive oil and other fine
goods.
Egypt commonly exported grain, gold, linen, papyrus, and finished

goods, such as glass and stone objects.
Depiction of Queen Hatshepsut's
Ex pedition to Punt
This painting shows Queen Hatshepsut's expedition to Punt.
Land Trade Routes

A well-traveled land route from the Nile to the Red Sea crossed
through the Wadi Hammamat, and was known from predynastic
times. This route allowed travelers to move from Thebes to the Red
Sea port of Elim, and led to the rise of ancient cities.
Another route, the Darb el-Arbain, was used from the time of the Old
Kingdom of Egypt to trade gold, ivory, spices, wheat, animals, and
plants. This route passed through Kharga in the south and Asyut in
the north, and was a major route between Nubia and Egypt.
Maritime Trade Routes

Egyptians built ships as early as 3000 BCE by lashing planks of
wood together and stuffing the gaps with reeds.
Egyptian Sailing Ship
This painting depicts an Egyptian ship from c. 1420 BCE.
Pharaoh Sahure, of the Fifth Dynasty, is known to have sent ships to

Lebanon to import cedar, and to the Land of Punt for myrrh,
malachite, and electrum. Queen Hatshepsut sent ships for myrrh in
Punt, and extended Egyptian trade into modern-day Somalia and the
Mediterranean.
Queen Hatshepsut
Queen Hatshepsut expanded trade into modern-day Somalia and
the Mediterranean.
An ancient form of the Suez Canal is believed to have been started

by Pharaoh Senusret II or III of the Twelfth Dynasty, in order to
connect the Nile River with the Red Sea.
4.5 .5 : Ancient Egyptian Culture

The Middle Kingdom was a golden age for ancient Egypt, when arts,
religion, and literature flourished. Two major innovations of the time
were block statues and new forms of literature.
Learning Objective
Examine the artistic and social developments of the Middle Kingdom
Key Points
The Middle Kingdom (2134-1690 BCE) was a time of prosperity
and stability, as well as a resurgence of art, literature, and
architecture.Block statue was a new type of sculpture invented
in the Middle Kingdom, and was often used as a funerary
monument.
Literature had new uses during the Middle Kingdom, and many
classics were written during the period.
Key Term
funerary monuments
Sculpture meant to decorate a tomb within a pyramid.
The Middle Kingdom (2134-1690 BCE) was a time of prosperity and

stability, as well as a resurgence of art, literature, and architecture.
Two major innovations of the time were the block statue and new
forms of literature.
The Block Statue

The block statue came into use during this period. This type of
sculpture depicts a squatting man with knees drawn close to the
chest and arms folded on top of the knees. The body may be
adorned with a cloak, which makes the body appear to be a block
shape. The feet may be covered by the cloak, or left uncovered. The
head was often carved in great detail, and reflected Egyptian beauty
ideals, including large ears and small breasts. The block statue
became more popular over the years, with its high point in the Late
Period, and was often used as funerary monuments of important,
non-royal individuals. They may have been intended as guardians,
and were often fully inscribed.
Ex ample of Block Statue
An example of a block statue from the Late Period, c. 650-633 BCE.
Literature
In the Middle Kingdom period, due to growth of middle class and
scribes, literature began to be written to entertain and provide
intellectual stimulation. Previously, literature served the purposes of
maintaining divine cults, preserving souls in the afterlife, and
documenting practical activities. However, some Middle Kingdom
literature may have been transcriptions of the oral literature and
poetry of the Old Kingdom. Future generations of Egyptians often
considered Middle Kingdom literature to be "classic," with the
ultimate example being the Story of Sinuhe.
Attributions
Ancient Egyptian Religion
"Egyptian Religion." http://anthropology.msu.edu/anp455-
fs12/2012/10/11/egyptian-religion/. Archaeology of Ancient
Egypt CC BY 4.0.
"Ancient Egyptian Religion."
https://en.wikipedia.org/wiki/Ancient_Egyptian_religion.
"Egyptian Social Structure."
http://www.ushistory.org/civ/3b.asp. Ancient Civilizations CC
BY-SA 4.0.
"BD_Hunefer_cropped_1.jpg."
https://en.wikipedia.org/wiki/Ancient_Egyptian_religion# /me
dia/File:BD_Hunefer_cropped_1.jpg. Wikipedia CC BY 3.0.
"640px-Geb_Nut_Shu.jpg."
dia/File:Geb,_Nut,_Shu.jpg. Wikipedia CC BY 3.0.
"347px-La_Tombe_de_Horemheb_cropped.jpg."
dia/File:La_Tombe_de_Horemheb_cropped.jpg. Wikipedia
CC BY 3.0.
Ancient Egyptian Art
"Ancient Egyptian Architecture."
https://en.wikipedia.org/wiki/Ancient_Egyptian_architecture.
"Egyptian Faience."
https://en.wikipedia.org/wiki/Egyptian_faience. Wikipedia
CC BY 3.0.
"Art of Ancient Egypt."
https://en.wikipedia.org/wiki/Art_of_ancient_Egypt.
"Ushabti." https://en.wikipedia.org/wiki/Ushabti. Wikipedia
CC BY 3.0.
"Amarna." https://en.wikipedia.org/wiki/Amarna. Wikipedia
CC BY 3.0.
"Sunk Relief."
https://en.wikipedia.org/wiki/Relief# Sunk_relief. Wikipedia
CC BY 3.0.
"312px-Hypostyle_hall_Karnak_temple.jpg."
https://en.wikipedia.org/wiki/Ancient_Egyptian_architecture
# /media/File:Hypostyle_hall,_Karnak_temple.jpg. Wikipedia
CC BY 3.0.
"323px-Ka_Statue_of_horawibra.jpg."
https://en.wikipedia.org/wiki/Art_of_ancient_Egypt# /media/F
ile:Ka_Statue_of_horawibra.jpg. Wikipedia CC BY 3.0.
"640px-All_Gizah_Pyramids.jpg."
https://en.wikipedia.org/wiki/Ancient_Egyptian_architecture
# /media/File:All_Gizah_Pyramids.jpg. Wikipedia CC BY 3.0.
"326px-Maler_der_Grabkammer_der_Nefertari_004.jpg."
https://en.wikipedia.org/wiki/Art_of_ancient_Egypt# /media/F
ile:Maler_der_Grabkammer_der_Nefertari_004.jpg.
Ancient Egyptian Monuments
"Great Sphinx of Giza."
https://en.wikipedia.org/wiki/Great_Sphinx_of_Giza.
https://en.wikipedia.org/wiki/Great_Pyramid_of_Giza.
"Pyramid." https://en.wikipedia.org/wiki/Pyramid. Wikipedia
CC BY 3.0.
"Egyptian Temple."
https://en.wikipedia.org/wiki/Egyptian_temple. Wikipedia CC
BY 3.0.
"491px-Giza_pyramid_complex_map.svg.png."
https://en.wikipedia.org/wiki/Great_Pyramid_of_Giza# /medi
a/File:Giza_pyramid_complex_(map).svg. Wikipedia CC BY
3.0.
"640px-Egypt.Giza.Sphinx.02.jpg."
https://en.wikipedia.org/wiki/Great_Sphinx_of_Giza# /media/
File:Egypt.Giza.Sphinx.02.jpg. Wikipedia CC BY 3.0.
"640px-Karnak-Hypostyle3.jpg."
https://en.wikipedia.org/wiki/Karnak# /media/File:Karnak-
Hypostyle3.jpg. Wikipedia CC BY 3.0.
"640px-Luxor07js.jpg."
https://en.wikipedia.org/wiki/Egyptian_temple# /media/File:L
uxor07(js).jpg. Wikipedia CC BY 3.0.
"640px-Pyramide_Djedkare_Isesi_3.jpg."
https://en.wikipedia.org/wiki/Egyptian_temple# /media/File:P
yramide_Djedkare_Isesi_3.jpg. Wikipedia CC BY 3.0.
Ancient Egyptian Trade
"Ancient Egypt."
https://en.wikipedia.org/wiki/Ancient_Egypt. Wikipedia CC
BY 3.0.
"History of Ancient Egypt."
https://en.wikipedia.org/wiki/History_of_ancient_Egypt.
"Ancient Egyptian Trade."
https://en.wikipedia.org/wiki/Ancient_Egyptian_trade.
"Hatshepsut.jpg."
https://en.wikipedia.org/wiki/Hatshepsut# /media/File:Hatshe
psut.jpg. Wikipedia CC BY 3.0.
"640px-Maler_der_Grabkammer_des_Menna_013.jpg."
https://en.wikipedia.org/wiki/Ancient_maritime_history# /med
ia/File:Maler_der_Grabkammer_des_Menna_013.jpg.
"640px-
Relief_of_Hatshepsut's_expedition_to_the_Land_of_Punt_
by_Σ τ α ύ ρ ο ς .jpg."
https://en.wikipedia.org/wiki/Land_of_Punt# /media/File:Reli
ef_of_Hatshepsut%27s_expedition_to_the_Land_of_Punt_
by_%CE%A3%CF%84%CE%B1%CF%8D%CF%81%CE%
BF%CF%82.jpg. Wikipedia CC BY 3.0.
Ancient Egyptian Culture
https://en.wikipedia.org/wiki/Middle_Kingdom_of_Egypt# Art.
"Ancient Egypt."
https://en.wikipedia.org/wiki/Ancient_Egypt# Middle_Kingdo
m_.282134.E2.80.931690_BC.29. Wikipedia CC BY 3.0.
"Block Statue." https://en.wikipedia.org/wiki/Block_statue.
"286px-Block_statue_Pa-Akh-Ra_CdM.jpg."
https://en.wikipedia.org/wiki/Block_statue# /media/File:Block
_statue_Pa-Akh-Ra_CdM.jpg. Wikipedia CC BY 3.0.
4.6: Nubia and Ancient Egypt
4.6.1: Nubia and Ancient Culture
Nubia was a region along the Nile River. Its history can be traced
from c. 2000 BCE to modern day. It was culturally close to ancient
Egypt, and the two regions had periods of both peace and war.
Learning Objective
Describe the Nubian kingdoms, emphasizing their relationship with
Egypt
Key Points
Nubia consisted of two major regions along the Nile River, from
Aswan to Khartoum.
Nubian history can be traced from c. 2000 BCE onward to 1504
AD, when Nubia was divided between Egypt and the Sennar
sultanate and became Arabized.
Nubia and Ancient Egypt had periods of both peace and war.
Around 3500 BCE, the "A-Group" of Nubians arose, existing
side-by-side with the Naqada of Upper Egypt.
Nubia was first mentioned by ancient Egyptian trading accounts
in 2300 BCE.
During the Egyptian Middle Kingdom (c. 2040-1640 BCE), Egypt
began expanding into Nubian territory in order to control trade
routes, and to build a series of forts along the Nile.
The "Medjay" were people from the Nubia region who worked in
the Egyptian military.
Some Egyptian pharaohs were of Nubian origin, especially
during the Kushite Period, although they closely followed the
usual Egyptian methods of governing.
Key Term
pharaohs
A ruler in ancient Egypt.
Nubia consisted of two major regions along the Nile River, from
Aswan to Khartoum. Upper Nubia sat between the Second and Sixth
Cataracts of the Nile (modern-day central Sudan), and Lower Nubia
sat between the First and Second Cataracts (modern-day southern
Egypt and northern Sudan).
The Nubian Region
This map shows the modern-day location of Nubia.
Nubian history can be traced from c. 2000 BCE onward to 1504 AD,
when Nubia was divided between Egypt and the Sennar sultanate
and became Arabized. It was later united within the Ottoman Egypt
in the 19th century, and the Kingdom of Egypt from 1899 to 1956.
Depiction of Nubians W orshipping
This painting shows Nubians at worship.
Nubia and Egypt

Nubia and Ancient Egypt had periods of both peace and war. It is
believed, based on rock art, that Nubian rulers and early Egyptian
pharaohs used similar royal symbols. There was often peaceful
cultural exchange and cooperation, and marriages between the two
did occur. Egyptians did, however, conquer Nubian territory at
various times. Nubians conquered Egypt in the 25th Dynasty.
Egyptians called the Nubian region "Ta-Seti," which means "The

Land of the Bow," a reference to Nubian archery skills. Around 3500
BCE, the "A-Group" of Nubians arose, existing side-by-side with the
Naqada of Upper Egypt. These two groups traded gold, copper tools,
faience, stone vessels, pots, and more. Egyptian unification in 3300
BCE may have been helped along by Nubian culture, which was
conquered by Upper Egypt.
Nubia was first mentioned by ancient Egyptian trading accounts in

2300 BCE. Nubia was a gateway to the riches of Africa, and goods
like gold, incense, ebony, copper, ivory, and animals flowed through
it. By the Sixth Dynasty, Nubia was fractured into a group of small
kingdoms; the population (called "C-Group") may have been made
up of Saharan nomads.
During the Egyptian Middle Kingdom (c. 2040-1640 BCE), Egypt

began expanding into Nubian territory in order to control trade
routes, and to build a series of forts along the Nile.
Depiction of Battle with the Nubians

This painting shows Ramses II battling Nubians from his war
chariot.
The Egyptians called a certain region of northern modern-day

Sudan, where ancient Nubians lived, "Medjay." This name gradually
began to reference people, not the region. Those who lived in this
region worked in the Egyptian military as scouts, later as garrison
troops, and finally as elite paramilitary police.
Some Egyptian pharaohs were of Nubian origin, especially during

the Kushite Period, although they closely followed the usual Egyptian
methods of governing. In fact, they were seen, and saw themselves,
as culturally Egyptian. The two cultures were so close that some
scholars see them as indistinguishable. Nubians appear to have
been assimilated into Egyptian culture.
Attributions
Nubia and Ancient Culture
"Lower Nubia." https://en.wikipedia.org/wiki/Lower_Nubia.
"Nubia."
https://en.wikipedia.org/wiki/Nubia# Nubia_and_Ancient_Eg
ypt. Wikipedia CC BY 3.0.
"The Egyptian and Nubian Empires."
http://cdaworldhistory.wikidot.com/the-egyptian-and-nubian-
empires. CDA's World History Wiki CC BY 3.0.
"NubianMuseum.jpg."
https://en.wikipedia.org/wiki/Nubia# /media/File:NubianMuse
um.jpg. Wikipedia CC BY 3.0.
"640px-Ramses_II_charging_Nubians.jpg."
https://en.wikipedia.org/wiki/Nubia# /media/File:Ramses_II_
charging_Nubians.jpg. Wikipedia CC BY 3.0.
"230px-Nubia_today.png."
https://en.wikipedia.org/wiki/Nubia# /media/File:Nubia_today
.png. Wikipedia CC BY 3.0.
5 : Early Chinese Dynasties
5 .1: The Mythical Period
5 .1.1: The Mythical Period
Early prehistoric China is called the "Mythical Period." It
encompassed the legends of Pangu, and the rule of the Three
Sovereigns, and the Five Emperors. The period ended when the last
Emperor, Shun, left his throne to Yu the Great, and the X ia Dynasty
began.
Learning Objective
Recall what innovations emerged under the legendary rulers of
China's Mythical Period
Key Points
By 2000 BCE, cities developed in China, and the various
cultures of the area began to merge into a larger, more unified
Chinese culture.
Most of what we know about the first part of prehistoric China is
from Chinese mythology, which is why it's now known as the
Mythical Period.
The Mythical Period includes the rule of the Three Sovereigns
and the Five Emperors.
The last of the Five Emperors was Emperor Shun. He left his
throne to Yu the Great, who founded the X ia dynasty and
instituted the practice of passing rulership to a son.
Key Terms
urbanism
The change in a country or region when its population migrates
from rural to urban areas.
millet
Any of a group of various types of grass or its grains used as

food, widely cultivated in the developing world.
Go
An abstract strategy board game for two players, where the

object is to surround more territory than the opponent.
Yangtze
The longest river in Asia, the Yangtze flows from the highlands
of Tibet through central China, and empties into the Pacific
Ocean at Shanghai.
Yellow River
Huang He in Chinese. A river of northern China which flows for

5,463 km (3,000 miles) to the Yellow Sea.
Pangu
A mythical Chinese being who created the universe.
Huai
A major river in China located about midway between the Yellow

and Yangtze Rivers.
Gilgamesh
The hero of a Babylonian epic, and the legendary king of the

Sumerian city state of Uruk.
History as Told by
Archaeological Evidence
As in Mesopotamia, Egypt, and the Indus River valley, civilization in
China developed around a great river. The Yellow River and the Huai
and Yangtze Rivers, created fertile land, ripe for experimentation
with agriculture. By around 4000 BCE, villages began to appear in
these areas. The Neolithic Chinese cultivated a number of crops; the
most important was a grain called millet. They also domesticated
animals, such as pigs, dogs, and chickens. Silk production, through
the domestication of silkworms, also likely began in this early period.
These villages influenced each other more and more over time, and
by 2000 BCE a unified Chinese culture began to develop. There is
also evidence of urbanism and the use of early writing d this time.
These phenomena took place in China about 1000 years later than
in Mesopotamia, Egypt, and the Indus River valley.
Pangu
Portrait of Pangu, the creator of the universe according to Chinese
mythology. This portrait is from Sancai Tuhui, a Chinese
encyclopedia published in 1609, during the Ming Dynasty.
History as Told by Chinese

Legend
Chinese mythology tells a different story of the beginning of
civilization. It holds that the universe was created by Pangu, the first
living being. After his death, Pangu's left eye became the sun and
his right eye became the moon. The Three Sovereigns and the Five
Emperors, a series of legendary sage emperors and heroes, helped
create man. These legendary rulers taught the ancient Chinese to
speak, use fire, build houses, farm, and make clothing. Fuxi and his
wife, Nü wa, were credited with introducing domesticated animals
and creating the basic social structure of family life. Shennong was a
divine farmer who gave the people knowledge of agriculture.
The existence of these emperors occurred before written Chinese

history, and so the dates of reign are uncertain. The Five Emperors
began with Huangdi, or the Yellow Emperor, whose reign is believed
to be from 2698-2599 BCE. He was considered the founding
ancestor of the Han Chinese ethnic group, and is credited with the
invention of Chinese characters, silk, and traditional Chinese
medicine.
The Y ellow Emperor, or Huangdi.
Portrait of the first of the Five Emperors, who was considered the
original ancestor for Han Chinese.
Next came Zhuanxu, who was credited with the invention of the
Chinese calendar and the introduction of religion and astrology. Little
is known about Emperor Ku's reign, believed to be from 2412-2343
BCE. Emperor Yao, whose reign was from 2317-2234 BCE, was
credited with being a role model in dignity and diligence to future
emperors, and was the inventor of the game "weiqi" (also known as
"Go"). The last was Emperor Shun, whose reign was from 2233-
2205 BCE, was known for his devotion. He left his throne to Yu the
Great, who founded the X ia dynasty, and instituted the practice of
passing rulership to a son. While these events are mythological, at
their root there may be ancient memories of very early kings and
rulers who emerged among the prehistoric Chinese, similar to the
tales of Gilgamesh in Mesopotamia.
5 .1.2: The X ia Dynasty

The final part of the Mythical Period was under the rule of the
legendary X ia Dynasty, which may have been mythological. After the
final ruler became corrupt, he was overthrown by Cheng Tang, who
founded the Shang Dynasty.
Learning Objective
Recall characteristics of the X ia Dynasty
Key Points
Sima Qian's "Historical Records," the first comprehensive
history of China, said that the last of the Five Emperors,
Emperor Shun, left his throne to Yu the Great, who founded the
X ia Dynasty.
The X ia Dynasty was the first Chinese dynasty; it is still not
known whether this dynasty existed or is only mythological.
According to mythology, when the last X ia king became corrupt
and cruel, Cheng Tang overthrew him in c. 1760 BCE and
founded the Shang Dynasty.
Many argue that the Zhou Dynasty, which ruled China much
later, invented the idea of the X ia Dynasty to support their claim
that China could only be, and had always been, ruled by one
ruler.
Key Terms
Mandate of Heaven
The Chinese philosophical concept of the circumstances under
which a ruler is allowed to rule. Good rulers were allowed to rule
under the Mandate of heaven, while despotic, unjust rulers had
the Mandate revoked.
Sima Qian
A renowned Chinese historiographer of the 2nd century BCE

who wrote about the X ia Dynasty.
Shang Dynasty
Also called the Yin Dynasty, succeeded the X ia Dynasty and

followed the Zhou Dynasty. It existed in the second millennium
BCE.
Sima Qian's Historical Records

The earliest comprehensive history of China is the Historical
Records, written by Sima Qian, a renowned Chinese historiographer
of the 2nd century BCE. This history begins around 3600 BCE, with
an account of the Five Emperors. According to this history, the last of
the great Five Emperors, Emperor Shun, left his throne to Yu the
Great, who founded China's First Dynasty, the X ia Dynasty. Yu
supposedly began the practice of inherited rule (passing power from
father to son), a model that was perpetuated in the later Shang and
Zhou dynasties.
Depiction of Y u the Great
This hanging scroll shows Yu the Great, as imagined by Song
Dynasty painter Ma Lin.
According to mythology, Yu's descendants ruled China for nearly 500

years, until the last X ia king became corrupt and cruel. This led to his
overthrow in c. 1760 BCE by Cheng Tang, who founded a new
dynasty, the Shang Dynasty, in the Huang River V alley.
Sima Qian's Historical Records
The first page of Sima Qian's Historical Records.
Debate Over the Ex istence of

the X ia Dynasty
There is much debate among scholars about how much of this
mythology is true. Many argue that the Zhou Dynasty, which ruled
China much later, invented the idea of the X ia Dynasty to support
their claim that China could only be, and had always been, ruled by
one ruler. The Zhou created the idea of the "Mandate of Heaven,"
which stated that there could be only one legitimate ruler of China at
any given time. If he was a good ruler, he would have the support of
heaven; if he was despotic, he would be overthrown. The various
small states that had comprised Neolithic and Bronze Age China
contradicted this version of history. Some people argue, therefore,
that the Zhou may have created the idea of an ancient X ia Dynasty
to support the idea that China always had one ruler.
Nonetheless, the X ia Dynasty may not be a complete fabrication;
recent archaeological evidence may support its existence. (For a
long time it was believed that the later Shang Dynasty may also have
been purely mythological, until archaeology proved that it was real.)
Archaeologists have discovered an advanced Bronze Age culture in
China. Its capital, Erlitou, was a huge city around 2000 BCE. This
may in fact be the people referred to in Chinese mythology as the
X ia. It is believed that the X ia may have created a primitive writing
system, though no evidence of this has been found. However,
evidence does suggest that the X ia developed agricultural methods
and experienced considerable prosperity. However, lack of irrigation
and flood protection made the region prone to frequent floods and
other natural disasters.
Attributions
The Mythical Period
"HIST101: Ancient Civilizations of the World."
https://legacy.saylor.org/hist101/Intro/. Saylor CC BY 3.0.
"Huai River." https://en.wikipedia.org/wiki/Huai_River.
"Millet." http://en.wiktionary.org/wiki/millet. Wiktionary CC
BY-SA 3.0.
"Urbanization." http://en.wiktionary.org/wiki/urbanization.
"urbanism." http://en.wiktionary.org/wiki/urbanism.
"The First Chinese Dynasties."
http://en.wikibooks.org/wiki/World_History/The_First_Chine
se_Dynasties. Wikibooks CC BY-SA 3.0.
"Ancient Chinese Civilization."
ons%23Ancient_Chinese_Civilization. Wikibooks CC BY-SA
3.0.
"Huang He."
http://en.wiktionary.org/wiki/Huang_He%23English.
"Pangu." http://en.wikipedia.org/wiki/File:Pangu.jpg.
"362px-Huangti.jpg."
https://en.wikipedia.org/wiki/Yellow_Emperor# /media/File:H
uangti.jpg. Wikipedia CC BY 3.0.
The X ia Dynasty
"Mandate of Heaven."
http://en.wiktionary.org/wiki/Mandate_of_Heaven.
3.0.
"210px-King_Yu_of_X ia.jpg."
https://en.wikipedia.org/wiki/Yu_the_Great# /media/File:King
_Yu_of_X ia.jpg. Wikipedia CC BY 3.0.
"Shiji." http://en.wikipedia.org/wiki/File:Shiji.jpg. Wikipedia
Public domain.
5 .2: The Shang Dynasty
5 .2.1: Introduction to the Shang
Dynasty
The Shang Dynasty existed in the Yellow River V alley during the
second millennium BCE. It built huge cities, monopolized bronze,
and developed writing, until it was overthrown by the Zhou.
Learning Objective
Compare the Shang Dynasty with the earlier X ia Dynasty
Key Points
The Shang Dynasty (also called the Yin Dynasty) succeeded the
X ia Dynasty, and was followed by the Zhou Dynasty. It was
located in the Yellow River valley, during the second millennium
BCE.
The Shang Dynasty is the first period of prehistoric China that
has been conclusively proven to have existed by archaeological
evidence, such as excavated graves and oracle bones, the
oldest substantial evidence of Chinese writing.
Writing during the Shang Dynasty was already in an advanced
form, suggesting that the written language had already existed
for a long time.
Under the Shang Dynasty, the Chinese built huge cities with
strong social class divisions, expanded irrigation systems, and
monopolized the use of bronze.
The Shang Dynasty was overthrown in 1046 BCE by the Zhou,
who established their own dynasty.
Key Terms
Oracle bones
Inscriptions of divination records on the bones or shells of

animals, dating to the Shang Dynasty of ancient China.
Anyang
A city from the Shang Dynasty, the excavation of which yielded

large numbers of oracle bones. This helped prove the existence
of the Shang Dynasty.
Zhengzhou
The modern-day area where the new capital of Shang was

established during the Shang Dynasty.
X ia Dynasty
The first dynasty in traditional Chinese history.
The Shang Dynasty (also called the Yin Dynasty) succeeded the X ia
Dynasty, and was followed by the Zhou Dynasty. It was located in the
Yellow River valley during the second millennium BCE.
Map of Shang Dynasty
This map shows the location of the Shang Dynasty in the Yellow
River valley.
The map shows that the Shang dynasty covered a portion of

modern-day mid-eastern China.
Jie, the last king of the X ia Dynasty (the first Chinese dynasty), was
overthrown c. 1760 BCE by Cheng Tang. It is estimated the Shang
ruled from either 1766-1122 or 1556-1046 BCE. While scholars still
debate whether the X ia Dynasty actually existed, there is little doubt
that the Shang Dynasty existed. The Shang Dynasty is, therefore,
generally considered China's first historical dynasty.
Under the Shang Dynasty, a unified sense of Chinese culture

emerged. This culture would continue to thrive and evolve, and many
modern Chinese still see the Shang culture as China's dominant
culture. Under the Shang Dynasty, the Chinese built huge cities with
strong social class divisions, expanded irrigation systems,
monopolized the use of bronze, and developed a system of writing.
Shang kings were believed to fulfill sacred, not political, purposes.
Instead, a council of chosen advisers administered various aspects
of the government. The border territories of Shang rule were led by
chieftains, who gained the right to govern through connections with
royalty.
The Shang Dynasty was overthrown in 1046 BCE by the Zhou, a

subject people living in the western part of the kingdom.
Archaeological Evidence
The Shang Dynasty is the oldest Chinese dynasty supported by
archaeological finds. These have included 11 major Yin royal tombs
and building sites of palaces and rituals, as well as weapons and
remains of human and animal sacrifices, and artifacts, including
bronze, jade, stone, bone, and ceramic.
The oldest surviving form of Chinese writing is inscriptions of

divination records on the bones or shells of animals—so-called
oracle bones. However, the writing on the oracle bones shows
evidence of complex development, indicating that written language
had existed for a long time. In fact, modern scholars are able to read
it because the language was very similar to the modern Chinese
writing system.
Archaeologists have also found ancient cities that correspond with

the Shang Dynasty. When Cheng Tang overthrew the last king of the
X ia Dynasty, he supposedly founded a new capital for his dynasty at
a town called Shang, near modern-day Zhengzhou. Archaeological
remains of this town may have been found—it seems to have
functioned as a sacred capital, where the most sacred temples and
religious objects were housed. This city also had palaces,
workshops, and city walls.
Anyang, in modern-day Henan, is another important (but slightly

later) Shang city that has been excavated. This site yielded large
numbers of oracle bones that describe the travels of eleven named
kings. The names and timeframes of these kings match traditional
lists of Shang kings. Anyang was a huge city, with an extensive
cemetery of thousands of graves and 11 large tombs—evidence of
the city's labor force, which may have belonged to the 11 Shang
kings.
5 .2.2: Society Under the Shang

Dynasty
The Shang Dynasty was located in the Yellow River valley in China
during the second millennium BCE. It was a society that followed a
class system of land-owners, soldiers, bronze workers, and
peasants.
Learning Objective
Summarize the social class system during the Shang Dynasty
Key Points
The Shang Dynasty (also called the Yin Dynasty) succeeded the
X ia Dynasty, and was followed by the Zhou Dynasty. It was
located in the Yellow River valley during the second millennium
BCE. Citizens of the Shang Dynasty were classified into four
social classes: the king and aristocracy, the military, artisans and
craftsmen, and peasants.
Members of the aristocracy were the most respected social
class, and were responsible for governing smaller areas of the
dynasty.
Next in social status were the Shang military—both the infantry
and the chariot warriors.
The Shang "middle class" were artisans and craftsmen, who
mainly worked with bronze.
The poorest class in Shang society were the peasants, who
were mostly farmers. Some scholars believe they functioned as
slaves; others believe they were more like serfs.
Key Terms
aristocracy
The nobility, or the hereditary ruling class.
artisans
Skilled manual workers, who use tools and machinery in a

particular craft.
peasants
Members of the lowest social class, who toil on the land. This
social class consisted of small farmers and tenants,
sharecroppers, farmhands, and other laborers on the land,
forming the main labor force in agriculture and horticulture.
The Shang Dynasty (also called the Yin Dynasty) succeeded the X ia
Dynasty, and was followed by the Zhou Dynasty. It was located in the
Yellow River valley during the second millennium BCE. It featured a
stratified social system made up of aristocrats, soldiers, artisans and
craftsmen, and peasants.
The Aristocracy and the Military

The aristocracy were centered around Anyang, the Shang capital,
and conducted governmental affairs for the surrounding areas.
Regional territories farther from the capital were also controlled by
the wealthy.
The Shang military were next in social status, and who were
respected and honored for their skill. There were two subdivisions of
the military: the infantry (foot soldiers) and the chariot warriors. The
latter were noted for their great skill in warfare and hunting.
Archaeological evidence has supported the use of horses and other
cavalry during the late Shang period, c. 1250 BCE.
Bronz e battle-ax e
A bronze battle-axe dated to the Shang Dynasty.
Artisans and Craftsmen

Artisans and craftsmen comprised the middle class of Shang society.
Their largest contribution was their work with bronze, which the
Chinese developed as early as 1500 BCE. Their work with bronze
was a very important aspect of society. Bronze weapons and pottery
were commonly made, but the most prominent creations included
ritual vessels and treasures, many of which were discovered via
archaeological findings in the 1920s and 1930s. Shang aristocrats
and the royalty were likely buried with large numbers of bronze
valuables, particularly wine vessels and other ornate structures.
Houmuwu Ding
The "Houmuwu Ding" is the heaviest piece of bronze work found in
China so far.
Peasants
At the bottom of the social ladder were the peasants, the poorest of
Chinese citizens. They comprised the majority of the population, and
were limited to farming and selling crops for profit. Archaeological
findings have shown that masses of peasants were buried with
aristocrats, leading some scholars to believe that they were the
equivalent of slaves. However, other scholars have countered that
they may have been similar to serfs. Peasants were governed
directly by local aristocrats.
5 .2.3: Shang Religion

Shang religion was characterized by a combination of animism,
shamanism, spiritual control of the world, divination, and respect and
worship of dead ancestors, including through sacrifices.
Learning Objective
Explain the religious foundation of Shang Dynasty culture
Key Points
The Shang believed in spiritual control of the world by various
gods. They also practiced ancestor worship. They appealed to
the gods, including the supreme god Shangdi, and consulted
their ancestors through oracle bones.
The Shang established a lunar calendar using 29-day months,
and 12-month years.
There appears to have been a belief in the afterlife during the
Shang Dynasty, evidenced by human and animal bodies and
artifacts found in tombs.
Key Terms
shamanism
A shaman is a person who is seen to have access to and

influence in the world of spirits, and who typically enters a trance
state during rituals, and practices divination and healing.
animism
The belief that spirits inhabit some or all classes of natural
objects or phenomena, and that an immaterial force animates
the universe.
oracle bones
Inscriptions of divination records on the bones or shells of

animals, dating to the Shang Dynasty of ancient China.
divination
The practice of seeking knowledge of the future or the unknown

by supernatural means.
Shang Religion
Shang religion was characterized by a combination of animism,
shamanism, spiritual control of the world, divination, and respect and
worship of dead ancestors, including through sacrifice. Different
gods represented natural and mythological symbols, such as the
moon, sun, wind, rain, dragon, and phoenix. Peasants prayed to
these gods for bountiful harvests. Festivals to celebrate gods were
also common. In particular, the Shang kings, who considered
themselves divine rulers, consulted the great god Shangdi (the
"Supreme Being" who ruled over humanity and nature) for advice
and wisdom. The Shang believed that the ancestors could also
confer good fortune, so they would also consult ancestors through
oracle bones in order to seek approval for any major decision, and to
learn about future success in harvesting, hunting, or battle.
Shangdi
One depiction of Shangdi, the Supreme Being who ruled over
humanity and nature.
Oracle Bones and Divination

The oldest surviving form of Chinese writing is inscriptions of
divination records on the bones or shells of animals—so-called
oracle bones. Oracle bones were pieces of bone or turtle shell used
by the ancient Chinese, especially Chinese kings, in attempts to
predict the future. The ancient kings would inscribe their name and
the date on the bone along with a question. They would then heat
the bone until it cracked, and then interpret the shape of the crack,
which was believed to provide an answer to their question.
Questions were carved into oracle bones, such as, "Will we win the
upcoming battle? ", or "How many soldiers should we commit to the
battle? " The bones reveal a great deal about what was important to
Shang society. Many of the oracle bones ask questions about war,
harvests, and childbirth.
Oracle Bone
This oracle bone from the Shang Dynasty dates to the reign of King
Wu Ding.
The Afterlife
It appears that there was belief in the afterlife during the Shang
Dynasty. Archaeologists have found Shang tombs surrounded by the
skulls and bodies of human sacrifices. Some of these contain jade,
which was seen to protect against decay and give immortality.
Archaeologists believed that Shang tombs were very similar to those
found in the Egyptian pyramids, in that they buried servants with
them. Chinese archaeologists theorize that the Shang, like the
ancient Egyptians, believed their servants would continue to serve
them in the afterlife, so aristocrats' servants would be killed and
buried with them when they died. Another interpretation is that these
were enemy warriors captured in battle.
The Burial Pit at the Tomb of Lady Fu

Hao
This tomb is located in the ruins of the ancient Shang Dynasty
capital, Yin.
The Lunar Calendar

The Shang also established a lunar calendar that was used to
predict and record events, such as harvests, births, and deaths (of
rulers and peasants alike). The system assumed a 29-day month
that began and ended with each new moon; twelve lunar months
comprised one lunar year. Priests and astronomers were trained to
recalculate the lunar year and add enough days so that each year
lasted 365 days. Because the calendar was used to time both crop
planting and the harvest, the king had to employ skilled astronomers
to predict dates (and successes) of annual harvests; this would help
him maintain support from the people.
5 .2.4: Advancements Under the Shang

During the Shang Dynasty, bronze casting became more
sophisticated. Military technology also advanced as horses were
domesticated and chariots came into existence.
Learning Objective
Describe some of the technical advancements made under the
Shang Dynasty
Key Points
Bronze casting was perhaps the most important technology
during the Shang Dynasty. The Shang made many objects out
of bronze, including ceremonial tools, swords, and spearheads
for the military.
The Shang also domesticated horses and developed the
chariot, which gave them a massive military advantage over
their opponents.
With these technologies, the Shang military expanded the
kingdom's borders significantly.
Key Terms
chariot
A two-wheeled, horse-drawn vehicle used in ancient warfare

and racing.
Oracle bone
Pieces of ox scapula or turtle plastron, used for divination in

ancient China.
Shang Bronz e Technology

The Shang ruled China during its Bronze Age; perhaps the most
important technology at the time was bronze casting. The Shang
cast bronze objects by creating molds out of clay, carving a design
into the clay, and then pouring molten bronze into the mold. They
allowed the bronze to cool and then broke the clay off, revealing a
completed bronze object.
Shang Dynasty Bronz e
This bronze ding vessel dates to the Shang Dynasty.
The upper classes had the most access to bronze, and they used it
for ceremonial objects, and to make offerings to ancestors. Bronze
objects were also buried in the tombs of Shang elite. The Shang
government used bronze for military weapons, such as swords and
spearheads. These weapons gave them a distinct advantage over
their enemies.
Shang Military Technology

The chariot was military technology that allowed the Shang to excel
at war. Under the Shang, the Chinese domesticated the horse.
Horses of that time were still too small to ride, but the Chinese
gradually developed the chariot, which harnessed the horse's power.
The chariot was a devastating weapon in battle, and it also allowed
Shang soldiers to move vast distances at great speeds. A chariot
burial site at Anyang (modern-day Henan) dates to the rule of King
Wu Ding of the Shang Dynasty (c. 1200 BCE). Oracle bone
inscriptions show that the Shang used chariots as mobile command
vehicles and in royal hunts. Members of the royal household were
often buried with a chariot, horses and a charioteer.
These military technologies were important, because the Shang

were constantly at war. A significant number of Shang oracle bones
were concerned with battle. The Shang armies expanded the
borders of the kingdom and captured precious resources and
prisoners of war, who could be enslaved or used as human sacrifice.
The oracle bones also show deep concern over the "barbarians"
living outside the empire, who were a constant threat to the safety
and stability of the kingdom; the military had to be constantly ready
to fight them.
Shang Dynasty Bronz e Battle Ax e
This bronze axe is an example of Shang bronze work.
Attributions
Introduction to the Shang Dynasty
"HIST241: Pre-Modern Northeast Asia."
3.0.
"Shang Dynasty."
https://en.wikipedia.org/wiki/Shang_dynasty. Wikipedia CC
BY 3.0.
"Oracle bones."
http://en.wikipedia.org/wiki/Oracle%20bones. Wikipedia CC
BY-SA 3.0.
"557px-Shang_dynasty.svg.png."
https://en.wikipedia.org/wiki/Shang_dynasty# /media/File:Sh
ang_dynasty.svg. Wikipedia CC BY 3.0.
Society Under the Shang Dynasty
3.0.
"Shang Dynasty."
BY 3.0.
"Peasant." http://en.wiktionary.org/wiki/peasant. Wiktionary
CC BY-SA 3.0.
"Artisan." http://en.wiktionary.org/wiki/artisan. Wiktionary CC
BY-SA 3.0.
"Aristocracy." http://en.wiktionary.org/wiki/aristocracy.
"Treasures of Ancient China exhibit - bronze battle axe."
http://en.wikipedia.org/wiki/File:CMOC_Treasures_of_Ancie
nt_China_exhibit_-_bronze_battle_axe.jpg. Wikipedia CC
BY-SA 2.5.
"Hou Mu Wu Ding Full V iew."
http://en.wikipedia.org/wiki/File:HouMuWuDingFullV iew.jpg.
Shang Religion
3.0.
"Shang Dynasty."
BY 3.0.
"animism." http://en.wiktionary.org/wiki/animism. Wiktionary
CC BY-SA 3.0.
"Animism." http://en.wiktionary.org/wiki/animism. Wiktionary
CC BY-SA 3.0.
"Yuanshi Tianzun."
http://en.wikipedia.org/wiki/File:YuanshiTianzun.jpg.
"Tomb_Fu_Hao_YinX u.jpg."
https://en.wikipedia.org/wiki/Tomb_of_Fu_Hao# /media/File:
Tomb_Fu_Hao_YinX u.jpg. Wikipedia CC BY 3.0.
"312px-Shang_dynasty_inscribed_scapula.jpg."
https://en.wikipedia.org/wiki/Oracle_bone# /media/File:Shan
g_dynasty_inscribed_scapula.jpg. Wikipedia CC BY 3.0.
Advancements Under the Shang
"Shang Dynasty."
BY 3.0.
"Chariot." https://en.wikipedia.org/wiki/Chariot# China.
se_Dynasties. Wikibooks CC BY 3.0.
"Shang Society and Shang Culture."
http://www.saylor.org/site/wp-
content/uploads/2012/10/HIST101-3.2.1-ShangSociety-
FINAL1.pdf. History 101 CC BY 3.0.
"532px-CMOC_Treasures_of_Ancient_China_exhibit_-
_bronze_battle_axe.jpg."
https://en.wikipedia.org/wiki/Shang_dynasty# /media/File:C
MOC_Treasures_of_Ancient_China_exhibit_-
_bronze_battle_axe.jpg. Wikipedia CC BY 3.0.
"383px-Dinastia_shang_tipode_ding_biansato_xiii-
xii_sec._ac.jpeg."
https://en.wikipedia.org/wiki/Shang_dynasty# /media/File:Di
nastia_shang,_tipode_ding_biansato,_xiii-xii_sec._ac.JPG.
5 .3: The Z hou Dynasty
5 .3.1: The Mandate of Heaven
The Zhou Dynasty overthrew the Shang Dynasty, and used the
Mandate of Heaven as justification.
Learning Objective
Describe the Zhou Dynasty's justification for overthrowing the Shang
Dynasty
Key Points
In 1046 BCE, the Shang Dynasty was overthrown at the Battle
of Muye, and the Zhou Dynasty was established.
The Zhou created the Mandate of Heaven: the idea that there
could be only one legitimate ruler of China at a time, and that
this ruler had the blessing of the gods. They used this Mandate
to justify their overthrow of the Shang, and their subsequent
rule.
Some scholars think the earlier X ia Dynasty never existed—that
it was invented by the Zhou to support their claim under the
Mandate that there had always been only one ruler of China.
Key Terms
Battle of Muye
The battle that resulted with the Zhou, a subject people living in
the western part of the kingdom, overthrew the Shang Dynasty.
Mandate of Heaven
The Chinese philosophical concept of the circumstances under

which a ruler is allowed to rule. Good rulers were allowed to rule
under the Mandate of Heaven, while despotic, unjust rulers had
the Mandate revoked.
The Fall of the Shang

In 1046 BCE, the Zhou, a subject people living in the western part of
the kingdom, overthrew the Shang Dynasty at the Battle of Muye.
This was a battle between Shang and Zhou clans, over the Shang's
expansion. They largely had the support of the Chinese people: Di
X in (the final king of the Shang Dynasty) had become cruel, spent
state money on drinking and gambling, and ignored the state. The
Zhou established authority by forging alliances with regional nobles,
and founded their new dynasty with its capital at Fenghao (near
present-day X i'an, in western China).
Map of Z hou Dynasty
This map shows the location of the ancient Zhou Dynasty.
The map shows that the Zhou Dynasty covered portions of modern-
day mid-eastern China.
The Mandate of Heaven

Under the Zhou Dynasty, China moved away from worship of
Shangdi ("Celestial Lord") in favor of worship of Tian ("heaven"), and
they created the Mandate of Heaven. According to this idea, there
could be only one legitimate ruler of China at a time, and this ruler
reigned as the "Son of Heaven" with the approval of the gods. If a
king ruled unfairly he could lose this approval, which would result in
his downfall. Overthrow, natural disasters, and famine were taken as
a sign that the ruler had lost the Mandate of Heaven.
The Chinese Character for " Tian"
The Chinese character for "Tian," meaning "heaven," in (from left to
right) Bronze script, Seal script, Oracle script, and modern simplified.
The Mandate of Heaven did not require a ruler to be of noble birth,

and had no time limitations. Instead, rulers were expected to be
good and just in order to keep the Mandate. The Zhou claimed that
their rule was justified by the Mandate of Heaven. In other words, the
Zhou believed that the Shang kings had become immoral with their
excessive drinking, luxuriant living, and cruelty, and so had lost their
mandate. The gods' blessing was given instead to the new ruler
under the Zhou Dynasty, which would rule China for the next 800
years.
The need for the Zhou to create a history of a unified China is also
why some scholars think the X ia Dynasty may have been an
invention of the Zhou. The Zhou needed to erase the various small
states of prehistoric China from history, and replace them with the
monocratic X ia Dynasty in order for their Mandate of Heaven to
seem valid (i.e., to support the claim that there always would be, and
always had been, only one ruler of China).
The Zhou ruled until 256 BCE, when the state of Qin captured
Chengzhou. However, the Mandate of Heaven philosophy carried on
throughout ancient China.
5 .3.2: Society Under the Z hou Dynasty

Under the initial period of the Zhou Dynasty (called the Western
Zhou period), a number of innovations were made, rulers were
legitimized under the Mandate of Heaven, a feudal system
developed, and new forms of irrigation allowed the population to
expand.
Learning Objective
Describe the main accomplishments of the Western Zhou period
Key Points
The first period of Zhou rule, during which the Zhou held
undisputed power over China, is known as the Western Zhou
period.
During the Western Zhou period, the focus of religion changed
from the supreme god, Shangdi, to "Tian," or heaven; advances
were made in farming technology; and the feudal system was
established.
Under the feudal system, the monarchy would reward loyal
nobles with large pieces of land.
Over time, the king grew weaker, and the lords of the feudal
system grew stronger, until finally, in 711 BCE, one lord joined
forces with an invading group of barbarians and killed the king.
Key Terms
Duke of Zhou
A regent to the king who established the feudal system, and

held a lot of power during the Western Zhou period.
Western Zhou period
The first period of Zhou rule, during which the Zhou held
undisputed power over China (1046-771 BCE).
feudal system
A social system based on personal ownership of resources and

personal fealty between a suzerain (lord) and a vassal (subject).
Defining characteristics include direct ownership of resources,
personal loyalty, and a hierarchical social structure reinforced by
religion.
The first period of Zhou rule, during which the Zhou held undisputed
power over China, is known as the Western Zhou period. This period
ended when the capital was moved eastward. A number of important
innovations took place during this period: the Zhou moved away from
worship of Shangdi, the supreme god under the Shang, in favor of
Tian ("heaven"); they legitimized rulers, through the Mandate of
Heaven (divine right to rule); they moved to a feudal system;
developed Chinese philosophy; and made new advances in irrigation
that allowed more intensive farming and made it possible for the
lands of China to sustain larger populations.
China created a substantial amount of literature during the Zhou

Dynasty. These include The Book of History and The Book of
Diviners, which was used by fortune tellers. Books dedicated to
songs and ceremonial rites were also created. While many of these
writings have been destroyed over time, their lasting impression on
history is evidence of the strength of Zhou culture.
Like other river valley civilizations of the time, the people under the
Zhou Dynasty followed patriarchal roles. Men chose which children
would be educated and whom their daughters were married. The
household usually consisted of the head male, his wife, his sons and
unmarried daughters.
The feudal system in China was structurally similar to ones that

followed, such as pre-imperial Macedon, Europe, and Japan. At the
beginning of the Zhou Dynasty's rule, the Duke of Zhou, a regent to
the king, held a lot of power, and the king rewarded the loyalty of
nobles and generals with large pieces of land. Delegating regional
control in this way allowed the Zhou to maintain control over a
massive land area. Under this feudal (fengjian) system, land could
be passed down within families, or broken up further and granted to
more people.
Most importantly, the peasants who farmed the land were controlled
by the feudal system. Slavery had been common during the Shang
Dynasty, but this decreased and finally disappeared under the Zhou
Dynasty, as social status became more fluid and transitory.
The Duke of Z hou
Portrait of the Duke of Zhou in Sancai Tuhui, a Chinese
encyclopedia published in 1609 during the Ming Dynasty.
When the Duke of Zhou stepped down, China was united and at
peace, leading to years of prosperity. But this only lasted for about
seventy-five years. Over time, the central power of the Zhou Dynasty
slowly weakened, and the lords of the fiefs originally bestowed by
the Zhou came to equal the kings in wealth and influence. They
began to actively compete with them for power, and the fiefs gained
independence as individual states.
Finally, in 711 BCE, one rebellious noble, the Marquess of Shen,
joined forces with invading barbarians, the Quanrong, to defeat the
King You. No one came to the king's defense, and he was killed. The
Zhou capital was sacked by the barbarians, and with this the
Western Zhou period ended.
5 .3.3: Art Under the Z hou Dynasty

Under the Zhou Dynasty, many art forms expanded and became
more detailed, including bronze, bronze inscriptions, painting, and
lacquerware.
Learning Objective
Identify some of the art forms prevelant under the Zhou Dynasty
Key Points
Work in bronze, including inscriptions, continued and expanded
in the Zhou Dynasty.
Few paintings have survived from this period, but we know that
they were representations of the real world.
The production of lacquerware expanded during this period.
Key Term
lacquer
A natural varnish, originating in China or Japan, and extracted

from the sap of a sumac tree.
Bronz e, Ceramics, and J ade

Chinese script cast onto bronzeware, such as bells and cauldrons,
carried over from the Shang Dynasty into the Zhou; it showed
continued changes in style over time, and by region. Under the
Zhou, expansion of this form of writing continued, with the inclusion
of patrons and ancestors.
Ex ample of Bronz e Inscription

This example of bronze inscription was cast on the Song ding, ca.
800 BCE. The text records the appointment of a man named Song
(颂) as supervisor of the storehouses in Chengzhou, and is repeated
on at least 3 tripod pots (鼎 dǐ ng), 5 tureens (簋 guǐ ) and their lids,
and 2 vases (壺 hú ) and their lids.
Other improvements to bronze objects under the Eastern Zhou
included greater attention to detail and aesthetics. The casting
process itself was improved by a new technique, called the lost wax
method of production.
Ex ample of W estern Z hou Bronz e

A Chinese bronze "gui" ritual vessel on a pedestal, used as a
container for grain. From the Western Zhou Dynasty, dated c. 1000
BC. The written inscription of 11 ancient Chinese characters on the
bronze vessel states its use and ownership by Zhou royalty.
Ceramic and Jade art continued from the Shang Dynasty, and was
improved and refined, especially during the Warring States Period.
Paintings
V ery few paintings from the Zhou have survived, however written
descriptions of the works have remained. Representations of the real
world, in the form of paintings of figures, portraits, and historical
scenes, were common during the time. This was a new
development. Painting was also done on pottery, tomb walls, and on
silk.
Ex ample of Silk Painting

This example of silk painting shows a man riding a dragon, and has
been dated to the 5th-3rd century BCE.
Lacquerware
Lacquerware was a technique through which objects were
decoratively covered by a wood finish and cured to a hard, durable
finish. The lacquer itself might also be inlaid or carved. The Zhou
continued and developed lacquer work done in the Shang Dynasty.
During the Eastern Zhou period, a large quantity of lacquerware
began to be produced.
Ex ample of Lacquerware
These are Chinese Western Han (202 BC - 9 CE) era lacquerwares
and lacquer tray unearthed from the 2nd-century-BCE Han Tomb
No.1 at Mawangdui, Changsha, China in 1972.
5 .3.4: The Eastern Z hou Period

The Eastern Zhou period was divided into two halves. In the Spring
and Autumn period, power became decentralized as nobles vied for
power. In the Warring States period, strong states fought each other
in large-scale war. During the period, there were substantial
intellectual and military developments.
Learning Objective
Explain the main political and military developments during the
Eastern Zhou period
Key Points
During the first part of the Eastern Zhou period, called the
Spring and Autumn period, the king became less powerful and
the regional feudal became lords more so, until only seven
consolidated powerful feudal states were left.
During the second part of the period, called the Warring States
period, strong states vied for power until the Qin conquered
them all and created a unified dynasty.
Developments during the period included increasing use of
infantry, a trend toward bureaucracy and large-scale projects,
the use of iron over bronze, and intellectual and philosophical
developments.
Key Terms
Hegemony
Domination, influence, or authority over another, especially by

one political group over a society or by one nation over others.
feudalism
A social system in which nobility hold lands from the King in

exchange for military service, and peasants lived on the nobles'
land and provided services.
decentralized
Moving away from a single point of administration to multiple

locations, and usually giving them a degree of autonomy.
infantry
Soldiers marching or fighting on foot.
The End of the W estern Z hou

Period
The first period of Zhou rule, which lasted from 1046-771 BCE and
was referred to as the Western Zhou period, was characterized
mostly by unified, peaceful rule. The lords under feudalism gained
increasing power, and ultimately the Zhou King You was
assassinated, and the capital, Haojing, was sacked in 770 BCE. The
capital was quickly moved east to Chengzhou, near modern-day
Luoyang, and the Zhou abandoned the western regions. Thus, the
assassination marked the end of the Western Zhou period and the
beginning of the Eastern Zhou period.
The Spring and Autumn Period

of Eastern Z hou
The first part of the Eastern Zhou period is known as the Spring and
Autumn period, named after the Spring and Autumn Annals, a text
that narrated events on a year-by-year basis, and marked the
beginning of China's deliberately recorded history. This period lasted
from about 771-476 BCE. During this time, power became
increasingly decentralized as regional feudal lords began to absorb
smaller powers and vie for hegemony. The monarchy continued to
lose power, and the people were nearly always at war.
The period from 685-591 BCE was called The Five Hegemons, and
featured, in order, the Hegemony of Qi, Song, Jin, Qin, and Chu. By
the end of 5th century BCE, the feudal system was consolidated into
seven prominent and powerful states—Han, Wei, Zhao, Yue, Chu,
Qi, and Qin—and China entered the Warring States period, when
each state vied for complete control.
The W arring States Period

This period, in the second half of the Eastern Zhou, lasted from
about 475-221 BCE, when China was united under the Qin Dynasty.
The partition of the Jin state created seven major warring states.
After a series of wars among these powerful states, King Zhao of Qin
defeated King Nan of Zhou and conquered West Zhou in 256 BCE;
his grandson, King Zhuangxiang of Qin, conquered East Zhou,
bringing the Zhou Dynasty to an end.
A Map of the W arring States of China

This map shows the Warring States late in the period. Qin has
expanded southwest, Chu north and Zhao northwest.
The map shows seven warring states: Zhao, Yan, Qi, Wei, Qin, Han,
and Chu.
Developments During the
Eastern Z hou
While the chariot remained in use, there was a shift during the period
to infantry, possibly because of the invention of the crossbow. This
meant that war became larger scale, as peasants were drafted to
take the place of nobility as soldiers and needed complex logistical
support. The aristocracy's importance dwindled as the king's became
stronger, and strong central bureaucracies took hold. The Art of W ar,
attributed to Sun Tzu, was written during this time; it remains a very
influential book about strategy.
A sophisticated form of commercial arithmetic was in place during

the period, as shown by a bundle of bamboo slips showing two digit
decimal multiplication.
Bamboo Slips Showing Arithmetic
These bamboo slips show a sophisticated two digit decimal
multiplication table.
A decimal multiplication table
A history of the Spring and Autumn Period, called the Z uo

Commentary on the Spring and Autumn Annals, was published
during this time.
Developments in iron work replaced bronze as the dominant metal

used in warfare. Trade became increasingly important among states
within China. Large-scale works, including the Dujiangyan Irrigation
System and the Zhengguo Canal, were completed and increased
agricultural production.
Iron Sword from the W arring States
Period
This iron sword is an example of the metal work done during this
period.
Iron sword
5 .3.5 : The W arring States Period

The Warring States period saw technological and philosophical
development, and the emergence of the Qin Dynasty.
Learning Objective
Demonstrate understanding of the main characteristics of the
Warring States period
Key Points
The second part of the Eastern Zhou period is known as the
Warring States period. During this time, the seven states
remaining from the Spring and Autumn period intensely and
unrelentingly battled each other for total power.
It was during this period that the Iron Age spread in China,
leading to stronger tools and weapons made from iron instead of
bronze.
This period also saw the further development of Confucianism
(by Mencius), Daoism, Legalism, and Mohism.
By this time, two key Chinese social characteristics had
solidified: l) the concept of the patrilineal family as the basic unit
of society, and 2) the concept of natural social differentiation into
classes.
Iron replaced the use of bronze, sophisticated math came into
use, and large-scale projects were undertaken.
Ultimately, in 221 BCE, the Qin state emerged victorious and
unified China once more under the Qin Dynasty.
Key Term
crossbow
A mechanised weapon, based on the bow and arrow, that fires

bolts; it was invented during the Warring States period of the
Zhou Dynasty, when its low cost and ease of use made it a
preferable weapon to the chariot.
Over the course of the Spring and Autumn period, regional feudal
lords consolidated and absorbed smaller powers; by 476 BCE,
seven prominent states were left, all led by individual kings. The
second part of the Eastern Zhou period is known as the Warring
States period; during this time these few remaining states battled
each other for total power.
Conflict Among the Seven

States
The king by now was powerless, and the rulers of the seven
independent states began to refer to themselves as kings as well.
These major Chinese states were in constant competition. Since
none of the states wanted any one rival to become too powerful, if
one state became too strong, the others would join forces against it,
so no state achieved dominance. This led to nearly 250 years of
inconclusive warfare that became larger and larger in scale. It was
also at this point that there first emerged the concept of a Chinese
emperor who would rule over all the various kings, though the first
Chinese emperors did not rule until China was unified under the later
Qin Dynasty. The crossbow was invented, and its low cost and easy
use (as compared to the expensive chariot) resulted in the increased
conscription of peasants as expandable infantry.
Technological and
Philosophical Development
The Iron Age had reached China by 600 CE, but it was during this
period that the age spread and took root in China: by the time of the
Warring States Period, China saw a widespread adoption of iron
tools and weapons that were significantly stronger than their bronze
counterparts.
This period also saw the further development of the philosophical

movements that originated in the Hundred Schools of Thought of the
Spring and Autumn period. Mencius further developed Confucian
philosophy, expanding upon its doctrines and asserting the innate
goodness of the individual and the importance of destiny. Daoism,
Legalism, and Mohism became more developed. Archaic writing also
gave way to a far more recognizable form of Chinese script.
Cultural, Economic, and Social
Development
Two fundamental Chinese social characteristics had become
apparent by this time: l) the concept of the patrilineal family as the
basic unit in society, with high importance placed on blood relations,
and 2) the concept of natural social differentiation into classes, each
regarded in terms of their contributions to society.
Large-scale projects, like the Dujiangyan Irrigation System and the

Zhengguo Canal, were carried out. Sophisticated arithmetic was
carried out, including two digit decimal multiplication.
The Zuo Commentary on the Spring and Autumn Annals was a

literary achievement. In other literary works, sayings of philosophers
of the period were recorded in the Analects and the Art of War.
The Rise of the Qin State and

Resolution of the W arring
States Period
Though the military rivalries and alliances in the Warring States
period were complex and constantly in flux, over time the Qin state,
under the leadership of King Zheng, emerged as the most powerful.
The Qin were particularly strongly rooted in Legalist philosophy,
which advocated the importance of the state at the expense of the
individual. They were also known for being ruthless and ignoring
etiquette and protocol of war in order to win at all costs. In particular,
Shang Yang, adviser to Zheng, enacted laws to force subjects of the
kingdom to act in ways that helped the state; he forced them to
marry early, have many children, and produce certain quotas of food.
Ultimately, in 221 BCE, the Qin state conquered the others and
established the Qin Dynasty.
5 .3.6: Chinese Philosophy

Confucianism, Daoism, Legalism, and Mohism all began during the
Zhou Dynasty in the 6th century BCE, and had very strong
influences on Chinese civilization.
Learning Objective
Discuss Confucianism, Daoism, Legalism, and Mohism.
Key Points
Confucius stressed tradition and believed that an individual
should strive to be virtuous and respectful, and to fit into his or
her place in society.
Confucianism remained prevalent in China from the Han
Dynasty in 202 BCE to the end of dynastic rule in 1911.
Lao-tzu was the legendary founder of Daoism, recorded in the
form of the book the Tao Te Ching.
Daoism advocated that the individual should follow a mysterious
force, called The Way (dao), of the universe, and that all things
were one.
Legalism held that humans were inherently bad and needed to
be kept in line by a strong state. According to Legalism, the
state was far more important than the individual.
Legalists could be divided into three types: those concerned
with the position of ruler, those concerned with laws, and those
concerned with tactics to keep the state safe.
Mohism emerged under the philosopher Mozi, and its most well-
known concept was "impartial care." Mohism also stated that all
people should be equal in their material benefit, and in their
protection from harm.
Key Terms
Five Classics
The basis of civil examinations in imperial China and the

Confucian canon. They consist of the Book of Odes, the Book of
Documents, the Book of Changes, the Book of Rites, and the
Spring and Autumn Annals.
chi
Life force or body energy, which supposedly circulates through

the body along meridians.
Tao Te Ching
The book which forms the basis of Daoist philosophy.
Analects
The document in which the students of Confucius recorded his

teachings.
jen
Human virtue, under Confucianism.
Confucianism
Confucius, who lived during the 6th century BCE, was one of the
foremost Chinese philosophers. He looked back on the Western
Zhou period, with its strong centralized state, as an ideal. He was
pragmatic and sought to reform the existing government,
encouraging a system of mutual duty between superiors and
inferiors. Confucius stressed tradition and believed that an individual
should strive to be virtuous and respectful, and to fit into his or her
place in society. After his death in 479 BCE, his students wrote down
his ethical and moral teachings in the Lun- yü , or Analects.
The Analects of Confucius

The ethical and moral teachings of Confucius were written down by
his students in this document.
Being a good and virtuous human in every ordinary situation was the
goal of Confucianism. This virtue was called "jen," and humans were
seen as perfectible and basically good creatures. Ceremonies and
rituals based on the Five Classics, especially the I Ching, were
strongly instituted. Some ethical concepts included Y ì (the moral
disposition to do good), Lǐ (ritual norms for everyday life) and Z hì
(the ability to see what is right in the behavior of others).
Confucianism remained prevalent in China from the Han Dynasty in

202 BCE to the end of dynastic rule in 1911. It was reformulated
during the Tang Dynasty (618-907) as Neo-Confucianism, and
became the basis of imperial exams.
Daoism
Another important philosopher in this period was Lao-tzu (also called
Laozi), who founded Daoism (also called Taoism) during the same
period as Confucianism. Lao-tzu is a legendary figure—it is uncertain
if he actually existed. According to myth, Lao-tzu was born around
604 BCE as an old man. As he left his home to live a life of solitude,
he was asked by the city gatekeeper to write down his thoughts. He
did so in a book called Tao Te Ching, and was never seen again.
Lao-Tz u
A depiction of Lao-Tzu, the founder of Daoism.
Daoism advocated that the individual should follow a mysterious

force, called The Way (dao), of the universe and act in accordance
with nature. Daoism stressed the oneness of all things, and was
strictly individualistic, as opposed to Confucianism, which advocated
acting as society expected.
Daoism as a religion arose over time, and involved the worship of

gods and ancestors, the cultivation of "chi" energy, a system of
morals, and the use of alchemy to achieve immortality. It is still
practice today.
Legalism
Although Confucianism and Daoism are the Chinese philosophies
that have endured most to this day, even more important to this early
period was a lesser-known philosophy called Legalism. This held
that humans are inherently bad and need to be kept in line by a
strong state. According to Legalism, the state was far more important
than the individual. While Legalism held that laws should be clear
and public and that everyone should be subject to them, it also
contended that rulers had supreme power and must use stealth and
secrecy to remain in power. Legalists also believed that society must
strive to dominate other societies.
Legalists could be divided into three types. The first was concerned
with shi, or the investment of the position of ruler with power (rather
than the person) and the necessity of obtaining facts to rule well. The
second was concerned with fa, or laws, regulations, and standards.
This meant all were equal under the ruler, and the state was run by
law, not a ruler. The third was the concept of shu, or tactics to keep
the state safe. Legalism was generally in competition with
Confucianism, which advocated a just and reciprocal relationship
between the state and its subjects.
Depiction of Shang Y ang
Shang Yang was a Legalist reformer under the Qin.
Mohism
Mohism emerged around the same time as the other philosophies
discussed here, under the philosopher Mozi (c. 470-391 BCE). The
most well-known concept under Mohism was "impartial care," also
known as "universal love." This meant that people should care
equally about other people, regardless of their true relationship to
that person. This opposed the ideas of Confucianism, which said that
love should be greater for close relationships. Mohism also stressed
the ideas of self-restraint, reflection and authenticity.
Depiction of Moz i
The Chinese philosopher who began Mohism is shown here.
Mohism also stated that all people should be equal in their material
benefit and in their protection from harm. Society could be improved
by having it function like an organism, with a uniform moral compass.
Those who were qualified should receive jobs, and thus the ruler
would be surrounded by people of talent and skill. An unrighteous
ruler would result in seven disasters for the state, including neglect
of military defense, repression, illusions about strength, distrust,
famine, and more.
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"History of Taoism."
https://en.wikipedia.org/wiki/History_of_Taoism. Wikipedia
CC BY 3.0.
"Mozi." https://en.wikipedia.org/wiki/Mozi. Wikipedia CC BY
3.0.
"Mohism." https://en.wikipedia.org/wiki/Mohism. Wikipedia
CC BY 3.0.
"Taoism and Confucianism - Ancient Philosophies."
http://www.ushistory.org/civ/9e.asp. UShistory.org CC BY
4.0.
"Mozi_drawing.jpg."
https://commons.wikimedia.org/wiki/File:Mozi_drawing.jpg.
Wikimedia CC BY 3.0.
"323px-Shangyang.jpg."
https://commons.wikimedia.org/wiki/File:Shangyang.jpg.
"628px-Rongo_Analects_02.jpg."
https://commons.wikimedia.org/wiki/File:Rongo_Analects_0
2.jpg. Wikimedia CC BY 3.0.
"DaodeTianzun.jpg."
https://commons.wikimedia.org/wiki/File:DaodeTianzun.jpg.
5 .4: The Qin Dynasty
5 .4.1: The Qin Dynasty
The Qin Dynasty saw rich cultural and technological innovation, but
brutal rule, and gave way to the Han Dynasty after only 15 years.
Learning Objective
Support the argument that the Qin Dynasty, though short-lived, was
one of the most important periods of China's Classical Age
Key Points
The leader of the victorious Qin state established the Qin
Dynasty and recast himself as Shi Huangdi, the First Emperor of
China.
The Qin Dynasty was one of the shortest in all of Chinese
history, lasting only about 15 years, but was also one of the
most important. It was marked by a strong sense of unification
and crucial technological and cultural innovation.
Shi Huangdi standardized writing throughout the empire, built
expansive infrastructure, such as highways and canals,
standardized currency and measurement, conducted a census,
and established a postal system.
Legalism was the official philosophy, and other philosophies,
such as Confucianism, were suppressed. Shi Huangdi also built
the Great Wall of China, roughly 1,500 miles long and guarded
by a massive army, to protect the nation against northern
invaders.
The Qin Dynasty collapsed after only 15 years. There was a
brief period of chaos until the Han Dynasty was established.
Key Terms
Legalism
A Chinese philosophy claiming that a strong state is necessary

to curtail human self-interest.
Mandate of Heaven
The belief, dating from ancient China, that heaven gives a ruler
the right to rule fairly.
Great Wall of China
An ancient Chinese fortification, almost 4,000 miles long,

originally designed to protect China from the Mongols.
Construction began during the Qin Dynasty, under Shi Huangdi.
When the Qin state emerged victorious from the Warring States
period in 221 BCE, the state's leader, King Zheng, claimed the
Mandate of Heaven and established the Qin Dynasty. He renamed
himself Shi Huangdi (First Emperor), a far grander title than King,
establishing the way in which China would be ruled for the next two
millennia. Today he is known as Qin Shi Huang, meaning First Qin
Emperor. He relied on brutal techniques and Legalist doctrine to
consolidate and expand his power. The nobility were stripped of
control and authority so that the independent and disloyal nobility
that had plagued the Zhou would not pose a problem.
The Qin Dynasty was one of the shortest in all of Chinese history,
lasting only about 15 years, but it was also one of the most
important. With Qin Shi Huang's standardization of society and
unification of the states, for the first time in centuries, into the first
Chinese empire, he enabled the Chinese to think of themselves as
members of a single kingdom. This laid the foundation for the
consolidation of the Chinese territories that we know today, and
resulted in a very bureaucratic state with a large economy, capable
of supporting an expanded military.
Innovations of Emperor Shi
Huangdi
The First Emperor divided China into provinces, with civil and military
officials in a hierarchy of ranks. He built the Lingqu Canal, which
joined the Yangtze River basin to the Canton area via the Li River.
This canal helped send half a million Chinese troops to conquer the
lands to the south.
Qin Shi Huang standardized writing, a crucial factor in

the overcoming of cultural barriers between provinces, and unifying
the empire. He also standardized systems of currency, weights, and
measures, and conducted a census of his people. He established
elaborate postal and irrigation systems, and built great highways.
In contrast, in line with his attempt to impose Legalism, Qin Shi

Huang strongly discouraged philosophy (particularly Confucianism)
and history—he buried 460 Confucian scholars alive and burned
many of their philosophical texts, as well as many historical texts that
were not about the Qin state. This burning of books and execution of
philosophers marked the end of the Hundred Schools of Thought.
The philosophy of Mohism in particular was completely wiped out.
Finally, Qin Shi Huang began the building of the Great Wall of China,
one of the greatest construction feats of all time, to protect the nation
against barbarians. Seven hundred thousand forced laborers were
used in building the wall, and thousands of them were crushed
beneath the massive gray rocks. The wall was roughly 1,500 miles
long, and wide enough for six horses to gallop abreast along the top.
The nation's first standing army, possibly consisting of millions,
guarded the wall from northern invaders.
The Great W all of China
Sections of the Great Wall of China, from the part known as
Jinshanling.
The Terracotta Army

Another of Qin Shi Huang's most impressive building projects was
the preparation he made for his own death. He had a massive tomb
created for him on Mount Li, near modern-day X i'an, and was buried
there when he died. The tomb was filled with thousands and
thousands of life-sized (or larger) terracotta soldiers meant to guard
the emperor in his afterlife. This terracotta army was rediscovered in
the twentieth century. Each soldier was carved with a different face,
and those that were armed had real weapons.
The Terracotta Army
A close-up of two soldiers in the terracotta army. Note how their
faces differ from each other—each soldier was constructed to be
unique.
Collapse of the Qin Dynasty

Qin Shi Huang was paranoid about his death, and because of this he
was able to survive numerous assassination attempts. He became
increasingly obsessed with immortality and employed many
alchemists and sorcerers. Ironically, he ultimately died by poisoning
in 210 BCE, when he drank an "immortality potion."
The First Emperor's brutal techniques and tyranny produced

resistance among the people, especially the conscripted peasants
and farmers whose labors built the empire. Upon the First Emperor's
death, China plunged into civil war, exacerbated by floods and
droughts. In 207 BCE, Qin Shi Huang's son was killed, and the
dynasty collapsed entirely. Chaos reigned until 202 BCE, when
Gaozu, a petty official, became a general and reunited China under
the Han Dynasty.
Attributions
The Qin Dynasty
"Great Wall of China."
http://en.wiktionary.org/wiki/Great_Wall_of_China.
"The Unification of China."
http://en.wikibooks.org/wiki/World_History/The_Unification_
of_China. Wikibooks CC BY-SA 3.0.
"Terracotta PMorgan."
https://commons.wikimedia.org/wiki/File:Terracotta_pmorga
n.jpg. Wikimedia CC BY 2.0.
"The Great Wall of China at Jinshanling."
https://commons.wikimedia.org/wiki/File:The_Great_Wall_of
_China_at_Jinshanling.jpg. Wikimedia CC BY-SA 3.0.
5 .5 : The Han Dynasty
5 .5 .1: The Rise of the Han Dynasty
The strong but benevolent Han Dynasty began a golden age of
reform and expansion. The first period, called the Western Han,
lasted until 9 CE.
Learning Objective
Compare the Han Dynasty with the earlier Qin Dynasty, and explain
the Western Han period
Key Points
The Han Dynasty put an end to civil war and reunified China in
202 BCE, ushering in a golden age of peace and prosperity
during which progress and cultural development took place.
The Western Han period continued a lot of the Qin's policies, but
modified them with Confucian ideals. Because of this, the Han
lasted far longer than the harsher Qin Dynasty— the Western
Han period in particular lasted until 9 CE, when there was a brief
rebellion.
One of the most exalted Han emperors was Emperor Wu. He
made Confucianism the official philosophy, encouraged
reciprocity between the state and its people, reformed the
economy and agriculture, made contact with India, defended
China from the Huns, and doubled the size of the empire.
Rebellions and external threats posed challenges to the
Western Han, but it was able to survive.
Key Terms
four occupations
A hierarchy in which aristocratic scholars had the highest social

status, followed by farmers, then craftsmen and artisans, and
finally merchants.
patrilineal
Descent through the male line in a family.
golden age
A happy age of peace and prosperity; a time of great progress

or achievement.
xian
Mythical afterlife paradise during the Han Dynasty.
Chu-Han Contention
A four-year (206-202 BCE) civil war between the Chu and Han
states.
socialism
A political philosophy based on principles of community decision

making, social equality, and the avoidance of economic and
social exclusion, with preference to community goals over
individual ones.
laissez-faire
A policy of governmental non-interference in economic affairs.
Formation of the Han Dynasty

By the time the Qin Dynasty collapsed in 207 BCE, eighteen
separate kingdoms had declared their independence. The Han and
Chu states emerged as the most powerful, but the Han state was the
victor of the Chu-Han Contention, a four-year civil war. Gaozu, who
had been born a peasant, founded the Han Dynasty in 202 BCE,
reunifying China.
Emperor Gaoz u of the Han Dynasty

Emperor Gaozu, formerly known as Liu Bang, founded the Han
Dynasty.
The Han Dynasty would become one of the most important and long-
lasting dynasties in all of Chinese history. It would rule China for over
four hundred years, from 206 BCE-220 CE, and ushered in a golden
age of peace, prosperity, and development. Today, both the majority
ethnic group in China and Chinese script are called Han.
Comparison of Han to Qin
In many ways, the Han carried on policies that began in the Qin.
Provincial rule occurred in both, and the Han continued Legalist rule,
although in much less stricter fashion. Confucianism was banned
during the Qin, but resurrected during the Han. The Qin, with its
focus on the power of the state, was not shaped by religion in the
same way the Han was. The Han were considered with the afterlife,
and worshipped their ancestors. Both had defined social classes, but
in the Han, peasants were treated with greater respect and classes
were based on occupations.
The W estern Han Period and

Political Reform
At first the Han Dynasty established its capital at Chang'an, in
western China. This Western Han period would last from 206 BCE to
9 CE, when the dynasty's rule would be briefly interrupted by
rebellion and the short-lived X in Dynasty.
Throughout the Western Han period, the Han largely continued the
governing policies of the Qin, continuing to expand the bureaucracy
and encouraging a centralized state. There were, however,
differences between the two dynasties, and it was perhaps these
differences that allowed the Han to rule for so much longer than the
Qin. The Han were more interested in the lives and well-being of
their subjects, and they modified some of the harsher aspects of the
earlier dynasty's rule with Confucian ideals of government. Freedom
of speech and writing was restored, and the more laissez-faire style
of governing allowed harmony, prosperity, and population growth.
This period also saw the further development of the four-class

hierarchy, called the "four occupations," which gave aristocratic
scholars the highest social status, followed by farmers, then
craftsmen and artisans, and finally merchants.
The family during this time was patrilineal and featured a small
number of nuclear family members. Arranged, monogamous
marriages were the norm for most. Sons received equal shares of
family property and were often sent away when married.
Ritual sacrifices of animals and food were made to deities, spirits,

and ancestors at temples and shrines. Each person was seen as
having a two-part soul. The spirit-soul, which went to the afterlife
paradise of immortals, called xian, and the body-soul, which
remained in its earthly tomb.
Other innovations included the first use of negative numbers in

mathematics, the recording of stars and comets, the armillary
sphere, which represented star movements in three dimensions, the
waterwheel, and other engineering feats.
Emperor W u
One of the most exalted Han emperors was Emperor Wu, who ruled
from 141-87 BCE. He was responsible for a great number of
innovations and political and military feats.
Emperor W u of the Han Dynasty
A portrait of Emperor Wu, one of the most influential rulers of the
Han Dynasty.
Emperor Wu experimented with socialism, and made Confucianism

the single official philosophy. The Confucian classics were
reassembled and transcribed. The Confucian ideal of each person
accepting his social position helped legitimize the state and made
people more willing to accept its power. At the same time, these
ideals encouraged the state to act justly toward its people. There
was reciprocity too in the fact that the state was funded partly by
land taxes (a portion of the harvest); this meant that the prosperity of
the agricultural estates determined the prosperity of the Han
government.
Emperor Wu also founded great government industries and
transportation and delivery services, developed governmental control
of profit, and imposed a 5% income tax. He created civil-service
examinations to test potential government officials on their
knowledge of the Confucian classics, so that bureaucrats would be
chosen for their intelligence instead of their social connections.
Emperor Wu also reformed the Chinese economy and nationalized
the salt and iron industries, and he initiated reforms that made
farming more efficient.
Through Emperor Wu's southern and western conquests, the Han

Dynasty made contact with the Indian cultural sphere. Emperor Wu
repelled the invading barbarians (the X iongnu, or Huns, a nomadic-
pastoralist warrior people from the Eurasian steppe), and roughly
doubled the size of the empire, claiming lands that included Korea,
Manchuria, and even part of Turkistan. As China pushed its borders
further, trade contacts were established with lands to the west, most
notably via the Silk Road.
Challenges During the W estern

Han Period
Nonetheless, the Han faced many challenges. Emperor Gaozu
rewarded his supporters with grants of land, which started again the
same problems that had brought down the Zhou Dynasty. Several
rebellions broke out, the most serious of which was the Rebellion of
the Seven States. Nonetheless, the Han emperors stamped out the
rebellions and gradually reduced the power of the small kingdoms
(though never abolished them completely).
Another major danger to the Han was the external threat of the
barbarians, the most dangerous of whom were the Huns. However,
the Han Dynasty was able to face these internal and external threats
and survive because of the strong centralized state they had
established.
5 .5 .2: The Silk Road
The Silk Road was established by China's Han Dynasty, and led to
cultural integration across a vast area of Asia. It persisted until the
fall of the Mongolian Empire in 1360 CE.
Learning Objective
Describe the importance of the Silk Road
Key Points
The Silk Road was established by China's Han Dynasty (206
BCE-220 CE) through territorial expansion.
The Silk Road was a series of trade and cultural transmission
routes that were central to cultural interaction between the West
and East.
A great deal of protection and stability was provided on the Silk
Road by the Han.
A second Pax Sinica in 737 CE helped the Silk Road reach its
golden age of cultural integration.
The Mongol Empire, and Pax Mongolica, strengthened and re-
established the Silk Road between 1207 and 1360 CE.
However, as the Mongol Empire disintegrated, so did the Silk
Road.
Key Terms
Pax Sinica
Latin term for "Chinese peace" maintained by Chinese

hegemony.
nomadic-pastoralist
A lifestyle in which livestock are herded to find fresh grazing
pastures in an irregular pattern of movement.
Pax Mongolica
Latin term for "Mongolian peace" during their Empire.
Tang Dynasty
An imperial dynasty of China, from 618-907 CE.
Establishment of the Silk Road

Through southern and western conquests, the Han Dynasty of China
(206 BCE-220 CE) made contact with the Indian cultural sphere.
Emperor Wu repelled the invading barbarians (the X iongnu, or Huns,
a nomadic-pastoralist warrior people from the Eurasian steppe) and
roughly doubled the size of the empire, claiming lands that included
Korea, Manchuria, and even part of Turkistan. As China pushed its
borders further, trade contacts were established with lands to the
west, most notably via the Silk Road.
Map of Silk Road
In this map of the Silk Road, red shows the land route and blue
shows the maritime route.
The land stretch over a portion of Egypt, as well as across Persia,

India, and China. The sea/water routes covered the Mediterranean
Sea, the Red Sea, and the Indian Ocean.
The Silk Road was a series of trade and cultural transmission routes
that were central to cultural interaction between the West and East.
Silk was certainly the major trade item from China, but many other
goods were traded as well. These routes enabled strong trade
relationships to develop with Persia, India, and the Roman Empire.
Ex ample of W oven Silk Tex tile
This woven silk textile from the Western Han era was found at Tomb
No. 1 at Mawangdui, Changsha, Hunan Province.
Chinese Control of the Silk

Road
This expanded western territory became particularly important
because of the silk routes. By this century, the Chinese had become
very active in the silk trade, though until the Hans provided sufficient
protection, the Silk Road had not functioned well because of nomad
pirates. Expansion by the Han took place around 114 BCE, led
mainly by imperial envoy Zhang Qian. The Great Wall of China was
expanded to provide extra protection.
The Tang Dynasty reopened the route in 639 CE, but then lost it to
the Tibetans in 678 CE. Control of the Silk Road would shuttle
between China and Tibet until 737 CE. This second Pax Sinica
helped the Silk Road reach its golden age. China was open to
foreign cultures, and its urban areas could be quite cosmopolitan.
The Silk Road helped to integrate cultures, but also exposed tribal
and pastoral societies to new developments, sometimes causing
them to become skilled warriors.
The Mongolian Empire and the
Disintegration of the Silk Road
The Mongol Empire, and Pax Mongolica, strengthened and re-
established the Silk Road between 1207 and 1360 CE. However, as
the Mongol Empire disintegrated, so did the Silk Road. Gunpowder
hastened the failing integration, and the Silk Road stopped being a
shipping route for silk around 1453 CE. A lasting effect of this was to
inspire Europeans to find alternate routes to Asia for trade, including
Christopher Columbus' famous overseas voyage in 1492.
5 .5 .3: The Eastern Han Period

The Eastern Han period was a time of reunification and prosperity
that also saw the perfection of paper and porcelain.
Learning Objective
Describe the Eastern Han period
Key Points
The 400-year Han Dynasty was briefly interrupted by the
rebellious X in Dynasty. The first part of the Han Dynasty is
known as the Western Han period; the Eastern Han period
began when the Han overthrew the rebellion and reestablished
the dynasty in 25 CE.
Emperor Guangwu, the first emperor of the Eastern Han period,
regained lost land and pacified the people.
The Rule of Ming and Zhang was an era of prosperity; taxes
were reduced, Confucian ideals were encouraged, the
government was capable and strong, and the processes of
creating paper and porcelain were perfected.
A series of rebellions led to powerful generals who attempted to
control the young emperor. Eventually, three states gained
control and the Han Dynasty was ended.
Key Terms
Chimei
A rebel army that ended the X in dynasty after unrest.
regent
A relative in a royal family who looks after the throne for an

underaged king until he is mature enough to receive power.
porcelain
A Chinese innovation perfected during the Eastern Han Period;

durable, high-quality, and attractive ceramic ware.
Interruption by the X in Dynasty

When the Western Han period ended in 9 CE, the regent to the prior
emperor, Wang Mang, proclaimed his own new dynasty, the X in
Dynasty. He attempted a number of radical reforms, such as new
forms of currency, a ban on slavery, and a return to old models of
land distribution. A series of major floods on the Yellow River,
however, displaced thousands of peasants, and caused massive
unrest. A rebel army called the Chimei ("Red Eyebrows") developed
out of the peasantry, and they defeated Wang Mang's armies and
stormed the capital of Chang'an. They killed Wang Mang and put
their own puppet ruler on the throne.
The Eastern Han Period

A new Han emperor, Emperor Guangwu, took control and ruled from
Luoyang, in eastern China; thus began the Eastern Han period,
which lasted from 25-220 CE. He defeated the Chimei rebels, as well
as rival warlords, to reunify China again under the Han Dynasty.
Under Emperor Guangwu, the empire was strengthened

considerably. Areas that had fallen away from Chinese control, such
as Korea and V ietnam, were reconquered. The Hun Confederation,
which had grown strong during China's period of instability, was
pacified.
Emperor Guangwu
Emperor Guangwu ruled during the Eastern Han Dynasty.
Emperor Guangwu was succeeded by Emperor Ming, followed by
Emperor Zhang. The Rule of Ming and Zhang, as it is called, is
remembered for being an era of prosperity. Taxes were reduced,
Confucian ideals were encouraged, and the emperors appointed
able administrators. It was also in this period that paper, one of
China's most important inventions, emerged. Though early forms of
paper had existed for centuries, the process was now perfected.
With paper, Chinese texts could circulate on a durable and relatively
inexpensive medium, instead of on clay, silk, or bamboo. This
allowed Chinese texts to become more readily available and
encouraged learning. Another important innovation of this time was
porcelain. Porcelain existed in previous forms for centuries, but was
perfected in the Eastern Han period. The improvement of porcelain
allowed for durable, high-quality, and attractive ceramic ware.
Ceramic Candle Holder from the
Eastern Han Dynasty
A ceramic candle holder from the Eastern Han Dynasty, with
prancing animal figures.
The Fall of the Eastern Han

A series of rebellions, including the Yellow Turban and Five Pecks of
Rice, began in 184 CE. Military generals appointed during these
crises kept their militia forces intact even after defeating the rebels.
General-in-Chief He Jin plotted to overthrow palace eunuchs. He
was discovered and killed, however, in the end 2,000 eunuchs were
also killed. A series of generals attempted to control the young
emperor, culminating in three spheres of influence. Cao Cao ruled
the north, Sun Quan ruled the south, and Liu Bei controlled the west.
After Cao Cao's death, his son Cao Pi forced Emperor X ian to give
up his throne to him. This ended the Han Dynasty, and started a
period of conflict between these three states, called Cao Wei,
Eastern Wu and Shu Han.
5 .5 .4: Invention of Paper

Paper was invented by Cai Lun during the Han Dynasty of ancient
China. It was used for a variety of purposes, including wrapping and
writing, and eventually spread throughout the world.
Learning Objective
Analyze the importance of paper and its invention
Key Points
Cai Lun (202 BCE-220 CE), a Chinese official working in the
Imperial court during the Han Dynasty, is attributed with the
invention of paper.
A basic process is still followed today that consists of creating
felted sheets of fiber suspended in water, then draining the
water and allowing the fibers to dry in a thin matted sheet.
Early paper was used for wrapping and writing, as well as for
toilet paper, tea bags, and napkins.
After the Battle of Talas in 751 CE, during which the Chinese
were defeated, two Chinese prisoners are believed to have
leaked the secrets to making paper.
Key Terms
bast fibers
Fibrous material from the phloem of a plant, used as fiber in

matting, cord, etc.
papyrus
A material prepared in ancient Egypt from the pithy stem of a

water plant, used in sheets throughout the ancient
Mediterranean world as a surface for writing or painting.
While the word "paper" is derived from papyrus, the early Egyptian
thick writing sheets, it is made quite differently. While papyrus is
made from the dried pith of the papyrus plant that has been woven,
paper has been disintegrated and reformed.
During the Shang (1600-1050 BCE) and Zhou (1050-250 BCE)

dynasties, bone, bamboo, and sometimes silk were used as writing
tablets. Cai Lun (202 BCE-220 CE), a Chinese official working in the
Imperial court during the Han Dynasty, is attributed with the invention
of paper. However, earlier examples have been found, and he may
have simply improved upon a known process. Legend states that he
was inspired by the nests of paper wasps.
Portrait of Cai Lun
This portrait of Cai Lun depicts the invention of paper.
Cai Lun's paper was made using mulberry and other bast fibers
along with fishnets, old rags, and hemp waste. The bark of the Paper
Mulberry and Sandalwood were often used and highly valued during
the period. His basic process of creating felted sheets of fiber
suspended in water, then draining the water and allowing the fibers
to dry in a thin matted sheet is still followed today.
Chinese Hemp W rapping Paper
These examples of Chinese hemp wrapping paper date from 100
BCE.
Uses of Paper
Paper was often used as a wrapping material. Paper used to wrap
bronze mirrors has been dated to the reign of Emperor Wu in the
2nd century BCE. Paper was also used to wrap poisonous
medicines. By the 3rd century CE, paper was commonly used for
writing, and by 875 CE it was used as toilet paper. During the Tang
dynasty (618-907 CE), paper was folded and sewn into tea bags,
and used to make paper cups and napkins. During the Song dynasty
(960-1279 CE), the world's first known paper money was produced,
and often presented in special paper envelopes.
The Oldest Paper Book
This is the oldest paper book, dating to 256 CE.
Spread of Paper-making to the

Islamic W orld
After the Battle of Talas in 751 CE, during which the Chinese were
defeated, two Chinese prisoners are believed to have leaked the
secrets to making paper. A paper mill was soon established, and
many refinements were made to the process.
5 .5 .5 : The Fall of the Han and the
Three Kingdoms Period
As the Han Dynasty government weakened over time and ultimately
collapsed, the empire fractured into the war-torn Three Kingdoms
period.
Learning Objective
Demonstrate the significance of the Battle of the Red Cliffs and the
Three Kingdoms Period
Key Points
The Han government began to weaken and fracture by the end
of the second century CE. General Dong Zhuo captured
Emperor Shao and installed his own puppet ruler, Emperor
X ian.
The warlord Cao Cao attempted to reunify China under the Han,
but was defeated at the Battle of Red Cliffs.
The Han Dynasty ultimately collapsed in 220 CE, and China
splintered into three warlord kingdoms in what is known as the
Three Kingdoms period.
The Three Kingdoms period was war-torn, but also a time of
great technological advancement.
Key Terms
hydraulic
An engineering technique in which liquid is in motion and

transmits energy.
Battle of Red Cliffs

A turning point in history that marked the last attempt to reunite
the Han, and the beginning of a time of bloodshed for the
Chinese.
After the death of Emperor Zhang (of the Eastern Han period's Rule
of Ming and Zhang) in 88 CE, corrupt officials increasingly gained
control of the state, while family feuds tore the dynasty apart. As the
power of the emperor weakened, military commanders acted more
independently and tried to secure power for themselves.
The Fall of the Han Dynasty

In 184 CE, two major Daoist rebellions—the Yellow Turban Rebellion
and the Five Pecks of Rice Rebellion—broke out. In order to fight
these rebellions Emperor Ling gave military commanders control
over their own provinces, but this gave way to a long power struggle.
In 189 CE, Emperor Ling died and was succeeded by his 13 year old
son, Liu Bian, known as Emperor Shao. Empress Dowager He was
regent, and her older brother, General-in-Chief He Jin, became the
most powerful official in the court. He Jin wanted to exterminate the
Ten Attendants, a group of influential eunuch officials. He summoned
General Dong Zhuo to march on the city. The plot was discovered by
the eunuchs, and He Jin was killed. In response the Emperor
ordered indiscriminate killing of the eunuchs. The survivors
kidnapped the Emperor and fled, only to later commit suicide upon
General Dong Zhuo's arrival. The General would then replace
Emperor Shao with the Prince of Cheniliu, known as Emperor X ian.
X ian would be the last emperor of the Han Dynasty.
Portrait of Dong Z huo
This portrait of Dong Zhuo dates from a Qing Dynasty edition of the
Romance of the Three Kingdoms.
Portrait of Dong Zhuo from a Qing Dynasty edition of the Romance

of the Three Kingdoms
Dong Zhuo was eventually assassinated and was succeeded by

another warlord, Cao Cao, who wanted to reunite the Han Empire by
defeating the rebellious warlords. He nearly succeeded but was
defeated in 208 CE at the Battle of Red Cliffs, a memorable turning
point in history. With this defeat, most of the hope that the Han
Empire would be reunited disappeared. When Cao Cao died in 220
CE, Emperor X ian abdicated the throne, claiming that he had failed
to keep the Mandate of Heaven. China splintered into three
kingdoms ruled by warlords; this marks the beginning of the Three
Kingdoms period of Chinese history.
The Three Kingdoms Period

When the Han Dynasty collapsed in 220 CE, no one was powerful
enough to reunify China under a single emperor. The result was the
period of the Three Kingdoms, which lasted until 280 CE, when the
Jin Dynasty took over. These three kingdoms, Wei, Shu, and Wu,
battled for control in a long series of wars. This was one of the
bloodiest times in Chinese history—according to census data, the
population decreased from 50 million to 16 million—but it also has
long been romanticized in East Asian cultures and remembered as a
time of chivalry and honor. It has been celebrated and popularized in
operas, folk stories, and novels, and in more recent times, films,
television, and video games.
The Three Kingdoms
The Three Kingdoms in 262 CE after the fall of the Han dynasty.
The map shows the kingdoms of Shu, Wei, and Wu.
Technology advanced significantly during this period. Shu chancellor

Zhuge Liang invented the wooden ox, suggested to be an early form
of the wheelbarrow, and improved on the repeating crossbow. Wei
mechanical engineer, Ma Jun, invented a hydraulic-powered,
mechanical puppet theatre designed for his emperor. He also
invented a new irrigation device, the south-pointing chariot, and a
non-magnetic directional compass.
Attributions
The Rise of the Han Dynasty
"laissez-faire." http://en.wikipedia.org/wiki/laissez-faire.
"Han Dynasty." https://en.wikipedia.org/wiki/Han_dynasty.
"Golden age." http://en.wiktionary.org/wiki/golden_age.
"socialism." http://en.wiktionary.org/wiki/socialism.
"Socialism." http://en.wiktionary.org/wiki/socialism.
"Laissez-faire."
http://en.wiktionary.org/wiki/laissez_faire%23English.
"352px-漢武帝 .jpg."
https://commons.wikimedia.org/wiki/File:%E6%BC%A2%E6
%AD%A6%E5%B8%9D.jpg. Wikimedia CC BY 3.0.
"Hangaozu.jpg."
https://commons.wikimedia.org/wiki/File:Hangaozu.jpg.
The Silk Road
"Silk Road." https://en.wikipedia.org/wiki/Silk_Road.
"640px-Silk_route.jpg."
https://commons.wikimedia.org/wiki/File:Silk_route.jpg.
"640px-Woven_silk_Western_Han_Dynasty.jpg."
https://commons.wikimedia.org/wiki/File:Woven_silk,_West
ern_Han_Dynasty.jpg. Wikimedia Public domain.
The Eastern Han Period
"porcelain." http://en.wiktionary.org/wiki/porcelain.
"Han Dynasty."
https://en.wikipedia.org/wiki/Han_dynasty# Eastern_Han.
"372px-Han_Guangwu_Di.jpg."
https://commons.wikimedia.org/wiki/File:Han_Guangwu_Di.j
pg. Wikimedia Public domain.
"Eastern Han pottery chandelier."
https://commons.wikimedia.org/wiki/File:Eastern_Han_potte
ry_chandelier.JPG. Wikimedia GNU FDL 1.2.
Invention of Paper
"History of Paper."
https://en.wikipedia.org/wiki/History_of_paper. Wikipedia
CC BY 3.0.
"Papermaking." https://en.wikipedia.org/wiki/Papermaking.
"Cai Lun." https://en.wikipedia.org/wiki/Cai_Lun. Wikipedia
CC BY 3.0.
"374px-Paperbook256.jpg."
https://commons.wikimedia.org/wiki/File:Paperbook%2B256
.jpg. Wikimedia Public domain.
"Cai-lun.jpg." https://commons.wikimedia.org/wiki/File:Cai-
lun.jpg. Wikimedia Public domain.
"494px-Chinese_hemp_paper_western_han.jpg."
https://commons.wikimedia.org/wiki/File:Chinese_hemp_pa
per_western_han.jpg. Wikimedia GNU FDL 1.2.
The Fall of the Han and the Three Kingdoms Period
"End of the Han Dynasty."
https://en.wikipedia.org/wiki/End_of_the_Han_dynasty.
"Hydraulics." http://en.wiktionary.org/wiki/hydraulics.
"hydraulic." http://en.wiktionary.org/wiki/hydraulic.
"Dong_Zhuo_Portrait.jpg."
https://commons.wikimedia.org/wiki/File:Mohenjodaro_Sind
h.jpeg. Wikimedia CC BY-SA.
"China 5."
https://en.wikipedia.org/wiki/File:China_5.jpg# /media/File:C
hina_5.jpg. Wikimedia GNU FDL 1.2.
6: Early Civiliz ations in the
Indian Subcontinent
6.1: The Indus River V alley
Civiliz ations
6.1.1: The Indus River V alley
Civiliz ation
The Indus River V alley Civilization, located in modern Pakistan, was
one of the world’s three earliest widespread societies.
Learning Objective
Identify the importance of the discovery of the Indus River V alley
Civilization
Key Points
The Indus V alley Civilization (also known as the Harappan
Civilization) was a Bronze Age society extending from modern
northeast Afghanistan to Pakistan and northwest India.
The civilization developed in three phases: Early Harappan
Phase (3300 BCE-2600 BCE), Mature Harappan Phase (2600
BCE-1900 BCE), and Late Harappan Phase (1900 BCE-1300
BCE).
Inhabitants of the ancient Indus River valley developed new
techniques in handicraft, including Carnelian products and seal
carving, and metallurgy with copper, bronze, lead, and tin.
Sir John Hubert Marshall led an excavation campaign in 1921-
1922, during which he discovered the ruins of the city of
Harappa. By 1931, the Mohenjo-daro site had been mostly
excavated by Marshall and Sir Mortimer Wheeler. By 1999, over
1,056 cities and settlements of the Indus Civilization were
located.
Key Terms
seal
An emblem used as a means of authentication. Seal can refer to

an impression in paper, wax, clay, or other medium. It can also
refer to the device used.
metallurgy
The scientific and mechanical technique of working with bronze.

copper, and tin.
The Indus V alley Civilization existed through its early years of 3300-
1300 BCE, and its mature period of 2600-1900 BCE. The area of this
civilization extended along the Indus River from what today is
northeast Afghanistan, into Pakistan and northwest India. The Indus
Civilization was the most widespread of the three early civilizations
of the ancient world, along with Ancient Egypt and Mesopotamia.
Harappa and Mohenjo-daro were thought to be the two great cities of
the Indus V alley Civilization, emerging around 2600 BCE along the
Indus River V alley in the Sindh and Punjab provinces of Pakistan.
Their discovery and excavation in the 19th and 20th centuries
provided important archaeological data about ancient cultures.
Map of the Indus V alley Civiliz ation
The major sites of the Indus V alley Civilization.
Major sites include Shortugai in Afghanistan; Sutkagen Dor, Sotka

Kosh, Belakot, Amri, Chanhu-Darb, Ghazi Shah, Mohenjo-Daro, Kot
Diji, Mehrgarh, Natusharo, Ganweriwala, Harappa, and Rehman
Dheri in Pakistan; as well as Manda, Rakhigarhi, Banawali,
Kaligangan, Dholavira, Surkotada, Kuntasi, and Lothal in India.
Indus V alley Civiliz ation

The Indus V alley Civilization was one of the three “ Ancient East”
societies that are considered to be the cradles of civilization of the
old world of man, and are among the most widespread; the other two
"Ancient East" societies are Mesopotamia and Pharonic Egypt. The
lifespan of the Indus V alley Civilization is often separated into three
phases: Early Harappan Phase (3300-2600 BCE), Mature Harappan
Phase (2600-1900 BCE) and Late Harappan Phase (1900-1300
BCE).
At its peak, the Indus V alley Civilization may had a population of over
five million people. It is considered a Bronze Age society, and
inhabitants of the ancient Indus River V alley developed new
techniques in metallurgy—the science of working with copper,
bronze, lead, and tin. They also performed intricate handicraft,
especially using products made of the semi-precious gemstone
Carnelian, as well as seal carving— the cutting of patterns into the
bottom face of a seal used for stamping. The Indus cities are noted
for their urban planning, baked brick houses, elaborate drainage
systems, water supply systems, and clusters of large, non-residential
buildings.
The Indus V alley Civilization is also known as the Harappan

Civilization, after Harappa, the first of its sites to be excavated in the
1920s, in what was then the Punjab province of British India and is
now in Pakistan. The discoveries of Harappa, and the site of its
fellow Indus city Mohenjo-daro, were the culmination of work
beginning in 1861 with the founding of the Archaeological Survey of
India in the British Raj, the common name for British imperial rule
over the Indian subcontinent from 1858 through 1947.
Harappa and Mohenjo-daro

Harappa was a fortified city in modern-day Pakistan that is believed
to have been home to as many as 23,500 residents living in sculpted
houses with flat roofs made of red sand and clay. The city spread
over 150 hectares (370 acres) and had fortified administrative and
religious centers of the same type used in Mohenjo-daro. The
modern village of Harappa, used as a railway station during the Raj,
is six kilometers (3.7 miles) from the ancient city site, which suffered
heavy damage during the British period of rule.
Mohenjo-daro is thought to have been built in the 26th century BCE
and became not only the largest city of the Indus V alley Civilization
but one of the world’s earliest, major urban centers. Located west of
the Indus River in the Larkana District, Mohenjo-daro was one of the
most sophisticated cities of the period, with sophisticated
engineering and urban planning. Cock-fighting was thought to have
religious and ritual significance, with domesticated chickens bred for
religion rather than food (although the city may have been a point of
origin for the worldwide domestication of chickens). Mohenjo-daro
was abandoned around 1900 BCE when the Indus Civilization went
into sudden decline.
The ruins of Harappa were first described in 1842 by Charles

Masson in his book, Narrative of V arious J ourneys in Balochistan,
Afghanistan, the Panj ab, & K alâ t. In 1856, British engineers John
and William Brunton were laying the East Indian Railway Company
line connecting the cities of Karachi and Lahore, when their crew
discovered hard, well-burnt bricks in the area and used them for
ballast for the railroad track, unwittingly dismantling the ruins of the
ancient city of Brahminabad.
Ex cavations
In 1912, John Faithfull Fleet, an English civil servant working with the
Indian Civil Services, discovered several Harappan seals. This
prompted an excavation campaign from 1921-1922 by Sir John
Hubert Marshall, Director-General of the Archaeological Survey of
India, which resulted in the discovery of Harappa. By 1931, much of
Mohenjo-Daro had been excavated, while the next director of the
Archaeological Survey of India, Sir Mortimer Wheeler, led additional
excavations.
Ex cavated Ruins of Mohenjo-daro
The Great Bath at Mohenjo-daro, a city in the Indus River V alley
Civilization.
The Partition of India, in 1947, divided the country to create the new
nation of Pakistan. The bulk of the archaeological finds that followed
were inherited by Pakistan. By 1999, over 1,056 cities and
settlements had been found, of which 96 have been excavated.
6.1.2: Cities of the Indus V alley

Civiliz ation
The Indus River V alley Civilization (IV C) contained urban centers
with well-conceived and organized infrastructure, architecture, and
systems of governance.
Learning Objective
Explain the significance of the urban centers in the IV C
Key Points
The Indus V alley Civilization contained more than 1,000 cities
and settlements.
These cities contained well-organized wastewater drainage
systems, trash collection systems, and possibly even
public granaries and baths.
Although there were large walls and citadels, there is no
evidence of monuments, palaces, or temples.
The uniformity of Harappan artifacts suggests some form of
authority and governance to regulate seals, weights, and bricks.
Key Terms
urban planning
A technical and political process concerned with the use of land

and design of the urban environment that guides and ensures
the orderly development of settlements and communities.
granaries
A storehouse or room in a barn for threshed grain or animal

feed.
citadels
A central area in a city that is heavily fortified.
Harappa and Mohenjo-daro
Two of the major cities of the Indus V alley Civilization during the
Bronze Age.
By 2600 BCE, the small Early Harappan communities had become

large urban centers. These cities include Harappa, Ganeriwala, and
Mohenjo-daro in modern-day Pakistan, and Dholavira, Kalibangan,
Rakhigarhi, Rupar, and Lothal in modern-day India. In total, more
than 1,052 cities and settlements have been found, mainly in the
general region of the Indus River and its tributaries. The population
of the Indus V alley Civilization may have once been as large as five
million.
Indus V alley Civiliz ation Sites

This map shows a cluster of Indus V alley Civilization cities and
excavation sites along the course of the Indus River in Pakistan.
The remains of the Indus V alley Civilization cities indicate

remarkable organization; there were well-ordered wastewater
drainage and trash collection systems, and possibly even public
granaries and baths. Most city-dwellers were artisans and merchants
grouped together in distinct neighborhoods. The quality of urban
planning suggests efficient municipal governments that placed a high
priority on hygiene or religious ritual.
Infrastructure
Harappa, Mohenjo-daro, and the recently, partially-excavated
Rakhigarhi demonstrate the world's first known urban sanitation
systems. The ancient Indus systems of sewerage and drainage
developed and used in cities throughout the Indus region were far
more advanced than any found in contemporary urban sites in the
Middle East, and even more efficient than those in many areas of
Pakistan and India today. Individual homes drew water from wells,
while waste water was directed to covered drains on the main
streets. Houses opened only to inner courtyards and smaller lanes,
and even the smallest homes on the city outskirts were believed to
have been connected to the system, further supporting the
conclusion that cleanliness was a matter of great importance.
Architecture
Harappans demonstrated advanced architecture with dockyards,
granaries, warehouses, brick platforms, and protective walls. These
massive walls likely protected the Harappans from floods and may
have dissuaded military conflicts. Unlike Mesopotamia and Ancient
Egypt, the inhabitants of the Indus V alley Civilization did not build
large, monumental structures. There is no conclusive evidence of
palaces or temples (or even of kings, armies, or priests), and the
largest structures may be granaries. The city of Mohenjo-daro
contains the "Great Bath," which may have been a large, public
bathing and social area.
Sokhta Koh
Sokhta Koh, a Harappan coastal settlement near Pasni, Pakistan, is
depicted in a computer reconstruction. Sokhta Koh means “ burnt
hill,” and corresponds to the browned-out earth due to extensive
firing of pottery in open pit ovens.
Authority and Governance

Archaeological records provide no immediate answers regarding a
center of authority, or depictions of people in power in Harappan
society. The extraordinary uniformity of Harappan artifacts is evident
in pottery, seals, weights, and bricks with standardized sizes and
weights, suggesting some form of authority and governance.
Over time, three major theories have developed concerning

Harappan governance or system of rule. The first is that there was a
single state encompassing all the communities of the civilization,
given the similarity in artifacts, the evidence of planned settlements,
the standardized ratio of brick size, and the apparent establishment
of settlements near sources of raw material. The second theory
posits that there was no single ruler, but a number of them
representing each of the urban centers, including Mohenjo-daro,
Harappa, and other communities. Finally, experts have theorized that
the Indus V alley Civilization had no rulers as we understand them,
with everyone enjoying equal status.
6.1.3: Harappan Culture

The Indus River V alley Civilization, also known as Harappan,
included its own advanced technology, economy, and culture.
Learning Objective
Identify how artifacts and ruins provided insight into the IRV 's
technology, economy, and culture
Key Points
The Indus River V alley Civilization, also known as Harappan
civilization, developed the first accurate system of standardized
weights and measures, some as accurate as to 1.6 mm.
Harappans created sculpture, seals, pottery, and jewelry from
materials, such as terracotta, metal, and stone.
Evidence shows Harappans participated in a vast maritime trade
network extending from Central Asia to modern-day Iraq, Iran,
Kuwait, and Syria.
The Indus Script remains indecipherable without any
comparable symbols, and is thought to have evolved
independently of the writing in Mesopotamia and Ancient Egypt.
Key Terms
steatite
Also known as Soapstone, steatite is a talc-schist, which is a
type of metamorphic rock. It is very soft and has been a medium
for carving for thousands of years.
Indus Script
Symbols produced by the ancient Indus V alley Civilization.
chalcolithic period
A period also known as the Copper Age, which lasted from

4300-3200 BCE.
The Indus V alley Civilization is the earliest known culture of the

Indian subcontinent of the kind now called “ urban” (or centered on
large municipalities), and the largest of the four ancient civilizations,
which also included Egypt, Mesopotamia, and China. The society of
the Indus River V alley has been dated from the Bronze Age, the time
period from approximately 3300-1300 BCE. It was located in
modern-day India and Pakistan, and covered an area as large as
Western Europe.
Harappa and Mohenjo-daro were the two great cities of the Indus
V alley Civilization, emerging around 2600 BCE along the Indus River
V alley in the Sindh and Punjab provinces of Pakistan. Their
discovery and excavation in the 19th and 20th centuries provided
important archaeological data regarding the civilization’s technology,
art, trade, transportation, writing, and religion.
Technology
The people of the Indus V alley, also known as Harappan (Harappa
was the first city in the region found by archaeologists), achieved
many notable advances in technology, including great accuracy in
their systems and tools for measuring length and mass.
Harappans were among the first to develop a system of uniform
weights and measures that conformed to a successive scale. The
smallest division, approximately 1.6 mm, was marked on an ivory
scale found in Lothal, a prominent Indus V alley city in the modern
Indian state of Gujarat. It stands as the smallest division ever
recorded on a Bronze Age scale. Another indication of an advanced
measurement system is the fact that the bricks used to build Indus
cities were uniform in size.
Harappans demonstrated advanced architecture with dockyards,

granaries, warehouses, brick platforms, and protective walls. The
ancient Indus systems of sewerage and drainage developed and
used in cities throughout the region were far more advanced than
any found in contemporary urban sites in the Middle East, and even
more efficient than those in many areas of Pakistan and India today.
Harappans were thought to have been proficient in seal carving, the

cutting of patterns into the bottom face of a seal, and used distinctive
seals for the identification of property and to stamp clay on trade
goods. Seals have been one of the most commonly discovered
artifacts in Indus V alley cities, decorated with animal figures, such as
elephants, tigers, and water buffalos.
Harappans also developed new techniques in metallurgy—the

science of working with copper, bronze, lead, and tin—and
performed intricate handicraft using products made of the semi-
precious gemstone, Carnelian.
Art
Indus V alley excavation sites have revealed a number of distinct
examples of the culture’s art, including sculptures, seals, pottery,
gold jewelry, and anatomically detailed figurines in terracotta,
bronze, and steatite—more commonly known as Soapstone.
Among the various gold, terracotta, and stone figurines found, a
figure of a “ Priest-King” displayed a beard and patterned robe.
Another figurine in bronze, known as the “ Dancing Girl,” is only 11
cm. high and shows a female figure in a pose that suggests the
presence of some choreographed dance form enjoyed by members
of the civilization. Terracotta works also included cows, bears,
monkeys, and dogs. In addition to figurines, the Indus River V alley
people are believed to have created necklaces, bangles, and other
ornaments.
Miniature V otive Images or Toy

Models from Harappa, c. 25 00 BCE
The Indus River V alley Civilization created figurines from terracotta,
as well as bronze and steatite. It is still unknown whether these
figurines have religious significance.
Trade and Transportation

The civilization's economy appears to have depended significantly
on trade, which was facilitated by major advances in transport
technology. The Harappan Civilization may have been the first to use
wheeled transport, in the form of bullock carts that are identical to
those seen throughout South Asia today. It also appears they built
boats and watercraft—a claim supported by archaeological
discoveries of a massive, dredged canal, and what is regarded as a
docking facility at the coastal city of Lothal.
The docks and canal in the ancient

city of Lothal, located in modern India
Archaeological evidence suggests that the Indus River V alley
Civilization constructed boats and may have participated in an
extensive maritime trade network.
Trade focused on importing raw materials to be used in Harappan

city workshops, including minerals from Iran and Afghanistan, lead
and copper from other parts of India, jade from China, and cedar
wood floated down rivers from the Himalayas and Kashmir. Other
trade goods included terracotta pots, gold, silver, metals, beads,
flints for making tools, seashells, pearls, and colored gem stones,
such as lapis lazuli and turquoise.
There was an extensive maritime trade network operating between

the Harappan and Mesopotamian civilizations. Harappan seals and
jewelry have been found at archaeological sites in regions of
Mesopotamia, which includes most of modern-day Iraq, Kuwait, and
parts of Syria. Long-distance sea trade over bodies of water, such as
the Arabian Sea, Red Sea and the Persian Gulf, may have become
feasible with the development of plank watercraft that was equipped
with a single central mast supporting a sail of woven rushes or cloth.
During 4300-3200 BCE of the Chalcolithic period, also known as the

Copper Age, the Indus V alley Civilization area shows ceramic
similarities with southern Turkmenistan and northern Iran. During the
Early Harappan period (about 3200-2600 BCE), cultural similarities
in pottery, seals, figurines, and ornaments document caravan trade
with Central Asia and the Iranian plateau.
W riting
Harappans are believed to have used Indus Script, a language
consisting of symbols. A collection of written texts on clay and stone
tablets unearthed at Harappa, which have been carbon dated 3300-
3200 BCE, contain trident-shaped, plant-like markings. This Indus
Script suggests that writing developed independently in the Indus
River V alley Civilization from the script employed in Mesopotamia
and Ancient Egypt.
Indus Script
These ten Indus Script symbols were found on a "sign board" in the
ancient city of Dholavira.
As many as 600 distinct Indus symbols have been found on seals,
small tablets, ceramic pots, and more than a dozen other materials.
Typical Indus inscriptions are no more than four or five characters in
length, most of which are very small. The longest on a single
surface, which is less than 1 inch (or 2.54 cm.) square, is 17 signs
long. The characters are largely pictorial, but include many abstract
signs that do not appear to have changed over time.
The inscriptions are thought to have been primarily written from right
to left, but it is unclear whether this script constitutes a complete
language. Without a “ Rosetta Stone” to use as a comparison with
other writing systems, the symbols have remained indecipherable to
linguists and archaeologists.
Religion
The Harappan religion remains a topic of speculation. It has been
widely suggested that the Harappans worshipped a mother goddess
who symbolized fertility. In contrast to Egyptian and Mesopotamian
civilizations, the Indus V alley Civilization seems to have lacked any
temples or palaces that would give clear evidence of religious rites or
specific deities. Some Indus V alley seals show a swastika symbol,
which was included in later Indian religions including Hinduism,
Buddhism, and Jainism.
Many Indus V alley seals also include the forms of animals, with
some depicting them being carried in processions, while others
showing chimeric creations, leading scholars to speculate about the
role of animals in Indus V alley religions. One seal from Mohenjo-daro
shows a half-human, half-buffalo monster attacking a tiger. This may
be a reference to the Sumerian myth of a monster created by Aruru,
the Sumerian earth and fertility goddess, to fight Gilgamesh, the hero
of an ancient Mesopotamian epic poem. This is a further suggestion
of international trade in Harappan culture.
The " Shiva Pashupati" seal
This seal was excavated in Mohenjo-daro and depicts a seated and
possibly ithyphallic figure, surrounded by animals.
6.1.4: Disappearance of the Indus

V alley Civiliz ation
The Indus V alley Civilization declined around 1800 BCE due to
climate change and migration.
Learning Objective
Discuss the causes for the disappearance of the Indus V alley
Civilization
Key Points
One theory suggested that a nomadic, Indo-European tribe,
called the Aryans, invaded and conquered the Indus V alley
Civilization.
Many scholars now believe the collapse of the Indus V alley
Civilization was caused by climate change.
The eastward shift of monsoons may have reduced the water
supply, forcing the Harappans of the Indus River V alley to
migrate and establish smaller villages and isolated farms.
These small communities could not produce the agricultural
surpluses needed to support cities, which where then
abandoned.
Key Terms
Indo-Aryan Migration theory
A theory suggesting the Harappan culture of the Indus River

V alley was assimilated during a migration of the Aryan people
into northwest India.
monsoon
Seasonal changes in atmospheric circulation and precipitation;

usually winds that bring heavy rain once a year.
Aryans
A nomadic, Indo-European tribe called the Aryans suddenly

overwhelmed and conquered the Indus V alley Civilization.
The great Indus V alley Civilization, located in modern-day India and

Pakistan, began to decline around 1800 BCE. The civilization
eventually disappeared along with its two great cities, Mohenjo-daro
and Harappa. Harappa lends its name to the Indus V alley people
because it was the civilization’s first city to be discovered by modern
archaeologists.
Archaeological evidence indicates that trade with Mesopotamia,
located largely in modern Iraq, seemed to have ended. The
advanced drainage system and baths of the great cities were built
over or blocked. Writing began to disappear and the standardized
weights and measures used for trade and taxation fell out of use.
Scholars have put forth differing theories to explain the

disappearance of the Harappans, including an Aryan Invasion and
climate change marked by overwhelming monsoons.
The Aryan Invasion Theory ( c.

18 00-15 00 BC)
The Indus V alley Civilization may have met its demise due to
invasion. According to one theory by British archaeologist Mortimer
Wheeler, a nomadic, Indo-European tribe, called the Aryans,
suddenly overwhelmed and conquered the Indus River V alley.
Wheeler, who was Director-General of the Archaeological Survey of

India from 1944 to 1948, posited that many unburied corpses found
in the top levels of the Mohenjo-daro archaeological site were victims
of war. The theory suggested that by using horses and more
advanced weapons against the peaceful Harappan people, the
Aryans may have easily defeated them.
Yet shortly after Wheeler proposed his theory, other scholars

dismissed it by explaining that the skeletons were not victims of
invasion massacres, but rather the remains of hasty burials. Wheeler
himself eventually admitted that the theory could not be proven and
the skeletons indicated only a final phase of human occupation, with
the decay of the city structures likely a result of it becoming
uninhabited.
Later opponents of the invasion theory went so far as to state that

adherents to the idea put forth in the 1940s were subtly justifying the
British government’s policy of intrusion into, and subsequent colonial
rule over, India.
V arious elements of the Indus Civilization are found in later cultures,

suggesting the civilization did not disappear suddenly due to an
invasion. Many scholars came to believe in an Indo-Aryan Migration
theory stating that the Harappan culture was assimilated during a
migration of the Aryan people into northwest India.
Aryans in India
An early 20th-century depiction of Aryan people settling in
agricultural villages in India.
The Climate Change Theory ( c.

18 00-15 00 BC)
Other scholarship suggests the collapse of Harappan society
resulted from climate change. Some experts believe the drying of the
Saraswati River, which began around 1900 BCE, was the main
cause for climate change, while others conclude that a great flood
struck the area.
Any major environmental change, such as deforestation, flooding or
droughts due to a river changing course, could have had disastrous
effects on Harappan society, such as crop failures, starvation, and
disease. Skeletal evidence suggests many people died from malaria,
which is most often spread by mosquitoes. This also would have
caused a breakdown in the economy and civic order within the urban
areas.
Another disastrous change in the Harappan climate might have been

eastward-moving monsoons, or winds that bring heavy rains.
Monsoons can be both helpful and detrimental to a climate,
depending on whether they support or destroy vegetation and
agriculture. The monsoons that came to the Indus River V alley aided
the growth of agricultural surpluses, which supported the
development of cities, such as Harappa. The population came to rely
on seasonal monsoons rather than irrigation, and as the monsoons
shifted eastward, the water supply would have dried up.
Ruins of the city of Lothal

Archaeological evidence shows that the site, which had been a
major city before the downfall of the Indus V alley Civilization,
continued to be inhabited by a much smaller population after the
collapse. The few people who remained in Lothal did not repair the
city, but lived in poorly-built houses and reed huts instead.
By 1800 BCE, the Indus V alley climate grew cooler and drier, and a
tectonic event may have diverted the Ghaggar Hakra river system
toward the Ganges Plain. The Harappans may have migrated toward
the Ganges basin in the east, where they established villages and
isolated farms.
These small communities could not produce the same agricultural

surpluses to support large cities. With the reduced production of
goods, there was a decline in trade with Egypt and Mesopotamia. By
around 1700 BCE, most of the Indus V alley Civilization cities had
been abandoned.
Attributions
The Indus River V alley Civilization
"Mohenjo-dara." https://en.wikipedia.org/wiki/Mohenjo-daro.
"Indus V alley Civilization."
https://en.wikipedia.org/wiki/Indus_V alley_Civilisation.
"Sir Mortimer Wheeler."
https://en.wikipedia.org/wiki/Mortimer_Wheeler. Wikipedia
CC BY-SA 3.0.
"Harappa." https://en.wikipedia.org/wiki/Harappa. Wikipedia
CC BY-SA 3.0.
"Bronze Age." https://en.wikipedia.org/wiki/Bronze_Age.
"Pakistan." https://en.wikipedia.org/wiki/Pakistan. Wikipedia
CC BY-SA 3.0.
"Sir John Hubert Marshall."
https://en.wikipedia.org/wiki/John_Marshall_(archaeologist).
"Metallurgy." https://en.wikipedia.org/wiki/Metallurgy.
"The Indus River V alley Civilizations (ca. 2800 - 1800 BC)."
http://en.wikibooks.org/wiki/World_History/Civilization_and_
Empires_in_the_Indian_Subcontinent. Wikibooks CC BY-
SA 3.0.
"Mohenjodaro Sindh."
https://commons.wikimedia.org/wiki/File:Mohenjodaro_Sind
h.jpeg. Wikimedia CC BY-SA.
"Indus V alley Civilization."
https://commons.wikimedia.org/wiki/File:IV C-major-sites-
2.jpg. Wikimedia Public domain.
Cities of the Indus V alley Civilization
"Mohenjo-daro." https://en.wikipedia.org/wiki/Mohenjo-daro.
CC BY-SA 3.0.
"Indus River V alley Civilization."
http://en.wikipedia.org/wiki/Indus_V alley_Civilization.
"The Indus River V alley Civilizations."
SA 3.0.
"Sokhta Koh."
http://en.wikipedia.org/wiki/File:Sokhta_Koh.jpg. Wikipedia
GNU FDL 1.2.
"IV C Map."
https://commons.wikimedia.org/wiki/File:IV C_Map.png.
Wikimedia GNU FDL.
Harappan Culture
"Indus V alley Civilisation."
"Indus Script." https://en.wikipedia.org/wiki/Indus_script.
"Rosetta Stone."
https://en.wikipedia.org/wiki/Rosetta_Stone. Wikipedia CC
BY-SA 3.0.
CC BY-SA 3.0.
"Indus River V alley Civilization."
SA 3.0.
"dock with canal in Lothal (India)."
https://commons.wikimedia.org/wiki/File:Lothal_dock.jpg.
Wikimedia GNU FDL 1.2.
"Harappan small figures."
https://commons.wikimedia.org/wiki/File:Harappan_small_fi
gures.jpg. Wikimedia CC BY 2.0.
"Shiva Pashupati."
https://commons.wikimedia.org/wiki/File:Shiva_Pashupati.jp
g. Wikimedia Public domain.
"The'Ten Indus Scripts' discovered near the northen
gateway of the citadel Dholavira.svg."
https://commons.wikimedia.org/wiki/File:The%27Ten_Indus
_Scripts%27_discovered_near_the_northen_gateway_of_th
e_citadel_Dholavira.svg. Wikimedia CC BY-SA 3.0.
Disappearance of the Indus V alley Civilization
"Indus V alley Civilisation Collapse."
https://en.wikipedia.org/wiki/Indus_V alley_Civilisation# Colla
pse_and_Late_Harappan. Wikipedia CC BY-SA 3.0.
"Civilizations and Empires in the Indian Subcontinent."
SA 3.0.
"Indus V alley Civilisation."
"Aryan Race." https://en.wikipedia.org/wiki/Aryan_race.
"Mortimer Wheeler."
https://en.wikipedia.org/wiki/Mortimer_Wheeler. Wikipedia
CC BY-SA 3.0.
"Indo-Aryan Migration Theory."
https://en.wikipedia.org/wiki/Indo-Aryan_migration_theory.
"Monsoon." https://en.wikipedia.org/wiki/Monsoon.
"Aryans Settling in India."
https://commons.wikimedia.org/wiki/File:Aryans_settling_in
_India.jpg. Wikimedia Public domain.
"Lothal - bathroom structure."
http://en.wikipedia.org/wiki/File:Lothal_-
_bathroom_structure.jpg. Wikimedia GNU FDL 1.2.
6.2: Indo-European Civiliz ations
6.2.1: The Indo-Aryan Migration and
the V edic Period
Different theories explain the V edic Period, c. 1200 BCE, when Indo-
Aryan people on the Indian subcontinent migrated to the Ganges
Plain.
Learning Objective
Describe the defining characteristics of the V edic Period and the
cultural consequenes of the Indo-Aryan Migration
Key Points
The Indo-Aryans were part of an expansion into the Indus V alley
and Ganges Plain from 1800-1500 BCE. This is explained
through Indo-Aryan Migration and Kurgan theories.
The Indo-Aryans continued to settle the Ganges Plain, bringing
their distinct religious beliefs and practices.
The V edic Period (c. 1750-500 BCE) is named for the V edas,
the oldest scriptures in Hinduism, which were composed during
this period. The period can be divided into the Early V edic
(1750-1000 BCE) and Later V edic (1000-500 BCE) periods.
Key Terms
Rig-V eda
A sacred Indo-Aryan collection of V edic Sanskrit hymns. It is
counted among the four canonical sacred texts of Hinduism,
known as the V edas.
the V edas
The oldest scriptures of Hinduism composed in V edic Sanskrit,

and originating in ancient India during the V edic Period (c. 1750-
500 BCE).
Ganges Plain
A large, fertile plain encompassing most of northern and eastern

India, where the Indo-Aryans migrated.
Scholars debate the origin of Indo-Aryan peoples in northern India.

Many have rejected the claim of Indo-Aryan origin outside of India
entirely, claiming the Indo-Aryan people and languages originated in
India. Other origin hypotheses include an Indo-Aryan Migration in the
period 1800-1500 BCE, and a fusion of the nomadic people known
as Kurgans. Most history of this period is derived from the V edas, the
oldest scriptures in Hinduism, which help chart the timeline of an era
from 1750-500 BCE, known as the V edic Period.
The Indo-Aryan Migration

( 18 00-15 00 BCE)
Foreigners from the north are believed to have migrated to India and
settled in the Indus V alley and Ganges Plain from 1800-1500 BCE.
The most prominent of these groups spoke Indo-European
languages and were called Aryans, or "noble people" in the Sanskrit
language. These Indo-Aryans were a branch of the Indo-Iranians,
who originated in present-day northern Afghanistan. By 1500 BCE,
the Indo-Aryans had created small herding and agricultural
communities across northern India.
These migrations took place over several centuries and likely did not
involve an invasion, as hypothesized by British archaeologist
Mortimer Wheeler in the mid-1940s. Wheeler, who was Director-
General of the Archaeological Survey of India from 1944 to 1948,
suggested that a nomadic, Indo-European tribe, called the Aryans,
suddenly overwhelmed and conquered the Indus River V alley. He
based his conclusions on the remains of unburied corpses found in
the top levels of the archaeological site of Mohenjo-daro, one of the
great cities of the Indus V alley Civilization, whom he said were
victims of war. Yet shortly after Wheeler proposed his theory, other
scholars dismissed it by explaining that the skeletons were not those
of victims of invasion massacres, but rather the remains of hasty
burials. Wheeler himself eventually admitted that the theory could
not be proven.
The Kurgan Hypothesis

The Kurgan Hypothesis is the most widely accepted scenario of
Indo-European origins. It postulates that people of a so-called
Kurgan Culture, a grouping of the Yamna or Pit Grave culture and its
predecessors, of the Pontic Steppe were the speakers of the Proto-
Indo-European language. According to this theory, these nomadic
pastoralists expanded throughout the Pontic-Caspian steppe and
into Eastern Europe by early 3000 BCE. The Kurgan people may
have been mobile because of their domestication of horses and later
use of the chariot.
The V edic Period ( c. 17 5 0-5 00

BCE)
The V edic Period refers to the time in history from approximately
1750-500 BCE, during which Indo-Aryans settled into northern India,
bringing with them specific religious traditions. Most history of this
period is derived from the V edas, the oldest scriptures in the Hindu
religion, which were composed by the Aryans in Sanskrit.
V edic Civilization is believed to have been centered in the

northwestern parts of the Indian subcontinent and spread around
1200 to the Ganges Plain, a 255-million hectare area (630 million
acres) of flat, fertile land named after the Ganges River and covering
most of what is now northern and eastern India, eastern parts of
Pakistan, and most of Bangladesh. Many scholars believe V edic
Civilization was a composite of the Indo-Aryan and Harappan, or
Indus V alley, cultures.
The Ganges Plain ( Indo-Gangetic

Plain)
The Ganges Plain is supported by the Indus and Ganges river
systems. The Indo-Aryans settled various parts of the plain during
their migration and the V edic Period.
The map shows the location of the Indus, Ganges, and Brahmaputra
rivers.
Early V edic Period ( c. 17 5 0-1000 BCE)

The Indo-Aryans in the Early V edic Period, approximately 1750-1000
BCE, relied heavily on a pastoral, semi-nomadic economy with
limited agriculture. They raised sheep, goats, and cattle, which
became symbols of wealth.
The Indo-Aryans also preserved collections of religious and literary

works by memorizing and reciting them, and handing them down
from one generation to the next in their sacred language, Sanskrit.
The Rigveda, which was likely composed during this time, contains
several mythological and poetical accounts of the origins of the
world, hymns praising the gods, and ancient prayers for life and
prosperity.
Organized into tribes, the V edic Aryans regularly clashed over land
and resources. The Rigveda describes the most notable of these
conflicts, the Battle of the Ten Kings, between the Bharatas tribe and
a confederation of ten competing tribes on the banks of what is now
the Ravi River in northwestern India and eastern Pakistan. Led by
their king, Sudas, the Bharatas claimed victory and merged with the
defeated Purus tribe to form the Kuru, a V edic tribal union in northern
India.
Later V edic Period ( c. 1000-5 00 BCE)

After the 12th century BCE, V edic society transitioned from semi-
nomadic to settled agriculture. From approximately 1000-500 BCE,
the development of iron axes and ploughs enabled the Indo-Aryans
to settle the thick forests on the western Ganges Plain.
This agricultural expansion led to an increase in trade and

competition for resources, and many of the old tribes coalesced to
form larger political units. The Indo-Aryans cultivated wheat, rice and
barley and implemented new crafts, such as carpentry, leather work,
tanning, pottery, jewelry crafting, textile dying, and wine making.
Ceramic goblet from Navdatoli,
Malwa, c. 1300 BCE
As the Indo-Aryans developed an agricultural society during the
Later V edic Period (c. 1000-500), they further developed crafts, such
as pottery.
Economic exchanges were conducted through gift giving, particularly

between kings and priests, and barter using cattle as a unit of
currency. While gold, silver, bronze, copper, tin, and lead are
mentioned in some hymns as trade items, there is no indication of
the use of coins.
The invasion of Darius I (a Persian ruler of the vast Achaemenid
Empire that stretched into the Indus V alley) in the early 6th century
BCE marked the beginning of outside influence in V edic society. This
continued into what became the Indo-Greek Kingdom, which
covered various parts of South Asia and was centered mainly in
modern Afghanistan and Pakistan.
6.2.2: The Caste System

A caste system developed among Indo-Aryans of the V edic Period,
splitting society into four major groups.
Learning Objective
Explain the history of the caste system
Key Points
The institution of the caste system, influenced by stories of the
gods in the Rig-V eda epic, assumed and reinforced the idea that
lifestyles, occupations, ritual statuses, and social statuses were
inherited.
Aryan society was patriarchal in the V edic Period, with men in
positions of authority and power handed down only through the
male line.
There were four classes in the caste system: Brahmins (priests
and scholars), Kshatriyas (kings, governors, and warriors),
V aishyas (cattle herders, agriculturists, artisans, and
merchants), and Shudras (laborers and service providers). A
fifth group, Untouchables, was excluded from the caste system
and historically performed the undesirable work.
The caste system may have been more fluid in Aryan India than
it is in modern-day India.
Key Terms
jatis
The term used to denote the thousands of clans, tribes,

religions, communities and sub-communities in India.
varnas
The four broad ranks of the caste system in the Indo-Aryan

culture, which included Brahmins (priests and scholars),
Kshatriyas (kings, governors and warriors), V aishyas (cattle
herders, agriculturists, artisans, and merchants), and Shudras
(laborers and service providers).
Caste systems through which social status was inherited developed

independently in ancient societies all over the world, including the
Middle East, Asia, and Africa. The caste system in ancient India was
used to establish separate classes of inhabitants based upon their
social positions and employment functions in the community. These
roles and their importance, including the levels of power and
significance based on patriarchy, were influenced by stories of the
gods in the Rig-V eda epic.
Origins
The caste system in India may have several origins, possibly starting
with the well-defined social orders of the Indo-Aryans in the V edic
Period, c. 1750-500 BCE. The V edas were ancient scriptures, written
in the Sanskrit language, which contained hymns, philosophies, and
rituals handed down to the priests of the V edic religion. One of these
four sacred canonical texts, the Rig-V eda, described the origins of
the world and points to the gods for the origin of the caste system.
The castes were a form of social stratification in Aryan India

characterized by the hereditary transmission of lifestyle, occupation,
ritual status, and social status. These social distinctions may have
been more fluid in ancient Aryan civilizations than in modern India,
where castes still exist but sociologists are observing inter-caste
marriages and interactions becoming more fluid and less rigid.
The Rig-V eda

A page of the Rig-V eda, one of the four sacred V eda texts, which
described the origins of the world and the stories of the gods. The
Rig-V eda influenced the development of the patriarchal society and
the caste systems in Aryan India.
Structure
The classes, known as varnas, enforced divisions in the populations
that still affect this area of the world today. By around 1000 BCE, the
Indo-Aryans developed four main caste distinctions: Brahamin,
consisting of priests, scholars, and teachers; Kshatriyas, the kings,
governors, and warriors; V aishyas, comprising agriculturists,
artisans, and merchants; and Sudras, the service providers and
artisans who were originally non-Aryans but were admitted to V edic
society.
Each varna was divided into jatis, or sub-castes, which identified the
individual's occupation and imposed marriage restrictions. Marriage
was only possible between members of the same jati or two that
were very close. Both varnas and jatis determined a person's purity
level. Members of higher varnas or jatis had higher purity levels, and
if contaminated by members of lower social groups, even by touch,
they would have to undergo extensive cleansing rites.
Castes in India
A page from the manuscript Seventy- two Specimens of Castes in
I ndia, which consists of 72 full-color hand-painted images of men
and women of the various castes and religious and ethnic groups
found in Madura, India at that time. Each drawing was made on
mica, a transparent, flaky mineral that splits into thin, transparent
sheets. As indicated on the presentation page, the album was
compiled by the Indian writing master at an English school
established by American missionaries in Madura, and given to the
Reverend William Twining. The manuscript shows Indian dress and
jewelry adornment in the Madura region as they appeared before the
onset of Western influences on South Asian dress and style. Each
illustrated portrait is captioned in English and in Tamil, and the title
page of the work includes English, Tamil, and Telugu.
As the Aryans expanded their influence, newly conquered groups

were assimilated into society by forming a new group below the
Sudras, outside the caste system. These outcasts were called
Untouchables, as they performed the least desirable activities and
jobs, such as dealing with dead bodies, cleaning toilets and
washrooms, and tanning and dyeing leather.
Development of Patriarchy
Society during the V edic Period (c.1750-500 BCE) was patriarchal
and patrilineal, meaning to trace ancestral heritage through the male
line. Marriage and childbearing were especially important to maintain
male lineage. The institution of marriage was important, and different
types of marriages—monogamy, polygyny and polyandry—are
mentioned in the Rig V eda. All priests, warriors, and tribal chiefs
were men, and descent was always through the male line.
In other parts of society, women had no public authority; they only

were able to influence affairs within their own homes. Women were
to remain subject to the guidance of males in their lives, beginning
with their father, then husband, and lastly their sons. Male gods were
considered more important than female gods. These distinct gender
roles may have contributed to the social stratification of the caste
system.
Enduring Influence
The caste system that influenced the social structure of Aryan India
has been maintained to some degree into modern-day India. The
caste system survived for over two millennia, becoming one of the
basic features of traditional Hindu society. Although the Constitution
of India, the supreme law document of the Republic of India, formally
abolished the caste system in 1950, some people maintain
prejudices against members of lower social classes.
Gandhi at Madras, 1933
Mahatma Gandhi visits Madras, now Chennai, during a tour of India
in 1933. As leader of the Indian independence movement, Gandhi
frequently spoke out against discrimination created by the caste
system.
The photograph shows Gandhi speaking from a train. A crowd of

men is gathered around and below him.
6.2.3: Sanskrit
V edic Sanskrit evolved to Classical Sanskrit, which has influenced
modern Indian languages and is used in religious rites.
Learning Objective
Explain the importance of Sanskrit
Key Points
Sanskrit is originated as V edic Sanskrit as early as 1700-1200
BCE, and was orally preserved as a part of the V edic chanting
tradition.
The scholar Panini standardized V edic Sanskrit into Classical
Sanskrit when he defined the grammar, around 500 BCE.
V edic Sanskrit is the language of the V edas, the oldest
scriptures of Hinduism.
Knowledge of Sanskrit became a marker of high social class
during and after the V edic Period.
Key Terms
Hinduism
The dominant religion of the modern Indian subcontinent, which

makes use of Sanskrit in its texts and practices.
Panini
The scholar who standardized the grammar of V edic Sanskrit to

create Classical Sanskrit.
Sanskrit is the primary sacred language of Hinduism, and has been

used as a philosophical language in the religions of Hinduism,
Buddhism, and Jainism. Sanskrit is a standardized dialect of Old
Indo-Aryan, originating as V edic Sanskrit as early as 170001200
BCE.
One of the oldest Indo-European languages for which substantial

documentation exists, Sanskrit is believed to have been the general
language of the greater Indian Subcontinent in ancient times. It is still
used today in Hindu religious rituals, Buddhist hymns and chants,
and Jain texts.
Origins
Sanskrit traces its linguistic ancestry to Proto-Indo-Iranian and
ultimately to Proto-Indo-European languages, meaning that it can be
traced historically back to the people who spoke Indo-Iranian, also
called the Aryan languages, as well as the Indo-European
languages, a family of several hundred related languages and
dialects. Today, an estimated 46% of humans speak some form of
Indo-European language. The most widely-spoken Indo-European
languages are English, Hindi, Bengali, Punjabi, Spanish,
Portuguese, and Russian, each with over 100 million speakers.
Sanskrit manuscript on palm-leaf, in

Bihar or Nepal, 11th century
Sanskrit evolved from Proto-Indo-European languages and was
used to write the V edas, the Hindu religious texts compiled between
1500-500 BCE.
V edic Sanskrit is the language of the V edas, the most ancient Hindu
scripts, compiled c. 1500-500 BCE. The V edas contain hymns,
incantations called Samhitas, and theological and philosophical
guidance for priests of the V edic religion. Believed to be direct
revelations to seers among the early Aryan people of India, the four
chief collections are the Rig V eda, Sam V eda, Yajur V edia, and
Atharva V eda. (Depending on the source consulted, these are
spelled, for example, either Rig V eda or Rigveda.)
V edic Sanskrit was orally preserved as a part of the V edic chanting

tradition, predating alphabetic writing in India by several centuries.
Modern linguists consider the metrical hymns of the Rigveda
Samhita, the most ancient layer of text in the V edas, to have been
composed by many authors over several centuries of oral tradition.
Sanskrit Literature
Sanskrit Literature began with the spoken or sung literature of the
V edas from c. 1500 BCE, and continued with the oral tradition of the
Sanskrit Epics of Iron Age India, the period after the Bronze Age
began, around 1200 BCE. At approximately 1000 BCE, V edic
Sanskrit began the transition from a first language to a second
language of religion and learning.
Around 500 BCE, the ancient scholar Panini standardized the

grammar of V edic Sanskrit, including 3,959 rules of syntax,
semantics, and morphology (the study of words and how they are
formed and relate to each other). Panini’s Astadhyayi is the most
important of the surviving texts of V yakarana, the linguistic analysis
of Sanskrit, consisting of eight chapters laying out his rules and their
sources. Through this standardization, Panini helped create what is
now known as Classical Sanskrit.
A 2004 Indian stamp honoring Panini,
the great Sanskrit grammarian
The scholar Panini standardized the grammar of V edic Sanskrit to
create Classical Sanskrit. With this standardization, Sanskrit became
a language of religion and learning.
The stamp includes an image of Panini seated on the ground, writing

at a low desk.
The classical period of Sanskrit literature dates to the Gupta period

and the successive pre-Islamic middle kingdoms of India, spanning
approximately the 3rd to 8th centuries CE. Hindu Puranas, a genre
of Indian literature that includes myths and legends, fall into the
period of Classical Sanskrit.
Drama as a distinct genre of Sanskrit literature emerged in the final

centuries BCE, influenced partly by V edic mythology. Famous
Sanskrit dramatists include Shudraka, Bhasa, Asvaghosa, and
Kalidasa; their numerous plays are still available, although little is
known about the authors themselves. Kalidasa’s play,
Abhij nanasakuntalam, is generally regarded as a masterpiece and
was among the first Sanskrit works to be translated into English, as
well as numerous other languages.
Works of Sanskrit literature, such as the Yoga-Sutras of Patanjali,

which are still consulted by practitioners of yoga today, and the
Upanishads, a series of sacred Hindu treatises, were translated into
Arabic and Persian. Sanskrit fairy tales and fables were
characterized by ethical reflections and proverbial philosophy, with a
particular style making its way into Persian and Arabic literature and
exerting influence over such famed tales as One Thousand and One
Nights, better known in English as Arabian Nights.
Poetry was also a key feature of this period of the language.

Kalidasa was the foremost Classical Sanskrit poet, with a simple but
beautiful style, while later poetry shifted toward more intricate
techniques including stanzas that read the same backwards and
forwards, words that could be split to produce different meanings,
and sophisticated metaphors.
Importance
Sanskrit is vital to Indian culture because of its extensive use in
religious literature, primarily in Hinduism, and because most modern
Indian languages have been directly derived from, or strongly
influenced by, Sanskrit.
Knowledge of Sanskrit was a marker of social class and educational

attainment in ancient India, and it was taught mainly to members of
the higher castes (social groups based on birth and employment
status). In the medieval era, Sanskrit continued to be spoken and
written, particularly by Brahmins (the name for Hindu priests of the
highest caste) for scholarly communication.
Today, Sanskrit is still used on the Indian Subcontinent. More than

3,000 Sanskrit works have been composed since India became
independent in 1947, while more than 90 weekly, biweekly, and
quarterly publications are published in Sanskrit. Sudharma, a daily
newspaper written in Sanskrit, has been published in India since
1970. Sanskrit is used extensively in the Carnatic and Hindustani
branches of classical music, and it continues to be used during
worship in Hindu temples as well as in Buddhist and Jain religious
practices.
Sanskrit is a major feature of the academic linguistic field of Indo-

European studies, which focuses on both extinct and current Indo-
European languages, and can be studied in major universities
around the world.
6.2.4: The V edas

The V edas are the oldest texts of the Hindu religion and contain
hymns, myths and rituals that still resonate in India today.
Key Points
The V edas, meaning “ knowledge,” are the oldest texts of
Hinduism.
They are derived from the ancient Indo-Aryan culture of the
Indian Subcontinent and began as an oral tradition that was
passed down through generations before finally being written in
V edic Sanskrit between 1500 and 500 BCE (Before Common
Era).
The V edas are structured in four different collections containing
hymns, poems, prayers, and religious instruction.
The Indian caste system is based on a fable from the V edas
about the sacrifice of the deity Purusha.
Key Terms
Rig V eda
The oldest and most important of the four V edas.
Caste System
An ancient social structure based upon one of the fables in the

V edas, castes persist in modern India.
V edas
The oldest scriptures of Hinduism, originally passed down orally

but then written in V edic Sanskrit between 1500 and 500 BCE.
Hinduism
A major world religion that began on the Indian Subcontinent.
The Indo-Aryan V edas remain the oldest scriptures of Hinduism,

which is considered one of the oldest religions in the world. V edic
ritualism, a composite of ancient Indo-Aryan and Harappan culture,
contributed to the deities and traditions of Hinduism over time. The
V edas are split into four major texts and contain hymns, mythological
accounts, poems, prayers, and formulas considered sacred to the
V edic religion.
Structure of the V edas

V edas, meaning "knowledge," were written in V edic Sanskrit
between 1500 and 500 BCE in the northwestern region the Indian
Subcontinent. The V edas were transmitted orally during the course
of numerous subsequent generations before finally being archived in
written form. Not much is known about the authors of the V edas, as
the focus is placed on the ideas found in V edic tradition rather than
those who originated the ideas. The oldest of the texts is the Rig
V eda, and while it is not possible to establish precise dates for each
of the ancient texts, it is believed the collection was completed by the
end of the 2nd millennium BCE (Before Common Era).
There are four Indo-Aryan V edas: the Rig V eda contains hymns
about their mythology; the Sama V eda consists mainly of hymns
about religious rituals; the Yajur V eda contains instructions for
religious rituals; and the Atharva V eda consists of spells against
enemies, sorcerers, and diseases. (Depending on the source
consulted, these are spelled, for example, either Rig V eda or
Rigveda.)
Rigveda Manuscript
A manuscript copy of the Rigveda, the oldest and most important of
the four V edas of the V edic religion, from the early 19th century.
The Rig V eda is the largest and considered the most important of the
collection, containing 1,028 hymns divided into 10 books called
mandalas. The verses of the Sam V eda are taken almost completely
from the Rig V eda, but arranged differently so they may be chanted.
The Yajur V eda is divided into the White and Black halves and
contains prose commentaries on how religious and sacrifices should
be performed. The Atharva V eda includes charms and magic
incantations written in the style of folklore.
Each V eda was further divided in two sections: the Brahmanas,
instructions for religious rituals, and the Samhitas, mantras or hymns
in praise of various deities. Modern linguists consider the metrical
hymns of the Rigveda Samhita, the most ancient layer of text in the
V edas, to have been composed by many authors over several
centuries of oral tradition.
Although the focus of the V edas is on the message rather than the
messengers, such as Buddha or Jesus Christ in their respective
religions, the V edic religion still held gods in high regard.
V edic Religion
The Aryan pantheon of gods is described in great detail in the Rig
V eda. However, the religious practices and deities are not uniformly
consistent in these sacred texts, probably because the Aryans
themselves were not a homogenous group. While spreading through
the Indian Subcontinent, it is probable that their initial religious
beliefs and practices were shaped by the absorption of local religious
traditions.
According to the hymns of the Rig V eda, the most important deities
were Agni, the god of Fire, intermediary between the gods and
humans; Indra, the god of Heavens and War, protector of the Aryans
against their enemies; Surya, the Sun god; V ayu, the god of Wind;
and Prthivi, the goddess of Earth.
Agni, God of Fire
Agni, the Indian God of Fire from the ancient V edic religion, shown
riding a ram.
V edas and Castes

The Caste System, or groups based on birth or employment status,
has been part of the social fabric of the Indian Subcontinent since
ancient times. The castes are thought to have derived from a hymn
found in the V edas to the deity Purusha, who is believed to have
been sacrificed by the other gods. Afterward Purusha’s mind
became the Moon, his eyes became the Sun, his head the Sky, and
his feet the Earth.
The passage describing the classes of people derived from the
sacrifice of Purusha is the first indication of a caste system. The
Brahmins, or priests, came from Purusha’s mouth; the Kshatriyas, or
warrior rulers, came from Purusha’s arms; the V aishyas, or
commoners such as landowners and merchants, came from
Purusha’s thighs; and the Shudras, or laborers and servants, came
from Purusha’s feet.
Today the castes still exist in the form of varna, or class system,
based on the original four castes described in the V edas. A fifth
group known as Dalits, historically excluded from the varna system,
are ostracized and called untouchables. The caste system as it
exists today is thought to be a product of developments following the
collapse of British colonial rule in India. The system is frowned upon
by many people in Indian society and was a focus of social justice
campaigns during the 20th century by prominent progressive
activists such as B. R. Ambedkar, an architect of the Indian
Constitution, and Mahatma Gandhi, the revered leader of the
nonviolent Indian independence movement.
Gandhi at Madras, 1933

Indian independence leader Mahatma Gandhi visits Madras, now
Chennai, on a tour of India in 1933. During his appearances Gandhi
frequently spoke out against the discrimination of the Indian caste
system.
Attributions
The Indo-Aryan Migration and the V edic Period
"Kurgan Hypothesis."
http://en.wikipedia.org/wiki/Kurgan_hypothesis. Wikipedia
CC BY-SA 3.0.
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Gangetic_Plain. Wikipedia CC BY-SA 3.0.
"Indo-Aryan Migration." http://en.wikipedia.org/wiki/Indo-
Aryan_migration. Wikipedia CC BY-SA 3.0.
"V edic Period." https://en.wikipedia.org/wiki/V edic_period.
"Aryan." http://en.wikipedia.org/wiki/Aryan. Wikipedia CC
BY-SA 3.0.
"AP World History Wikispaces."
http://apworldhistorywiki.wikispaces.com/South+ Asia+ 87-
99. apworldhistorywiki Wikispace CC BY-SA 3.0.
"Civilization and Empires in the Indian Subcontinent."
SA 3.0.
"Indo-Gangetic Plain."
https://commons.wikimedia.org/wiki/File:Indo-
Gangetic_Plain.png. Wikimedia CC BY-SA 2.5.
"NavdatoliGoblet1300BCE."
https://commons.wikimedia.org/wiki/File:NavdatoliGoblet13
00BCE.jpg. Wikimedia GNU FDL 1.2.
The Caste System
"AP World History Wikispaces."
http://apworldhistorywiki.wikispaces.com/South+ Asia+ 87-
99. apworldhistorywiki Wikispace CC BY-SA 3.0.
"V edic Age." https://pgapworld.wikispaces.com/V edic+ Age.
pgapworld Wikispace CC BY-SA 3.0.
"V edas." https://en.wikipedia.org/wiki/V edas. Wikipedia CC
BY-SA 3.0.
"V arna." https://en.wikipedia.org/wiki/V arna_(Hinduism).
"Constitution of India."
https://en.wikipedia.org/wiki/Constitution_of_India.
"V edic System." http://en.wikipedia.org/wiki/V edic_period.
"Mahatma Gandhi."
https://en.wikipedia.org/wiki/Mahatma_Gandhi. Wikipedia
CC BY-SA 3.0.
"Caste System in India."
https://en.wikipedia.org/wiki/Caste_system_in_India.
"Gandhi at Madras, 1933."
https://en.wikipedia.org/wiki/Caste_system_in_India# /media
/File:Gandhi,_Harijan_Work_at_Madras.jpg. Wikimedia
Public domain.
"Rigveda MS in Sanskrit on paper, India."
https://commons.wikimedia.org/wiki/File:Rigveda_MS2097.j
"Castes in India."
https://commons.wikimedia.org/wiki/File:Seventy-
two_Specimens_of_Castes_in_India_(18).jpg. Wikimedia
Public domain.
Sanskrit
"Indo-European Studies." https://en.wikipedia.org/wiki/Indo-
European_studies. Wikipedia CC BY-SA 3.0.
"V edic Sanskrit."
https://en.wikipedia.org/wiki/V edic_Sanskrit. Wikipedia CC
BY-SA 3.0.
"Panini."
https://en.wikipedia.org/wiki/P%C4%81%E1%B9%87ini.
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CC BY-SA 3.0.
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https://en.wikipedia.org/wiki/Indo-European_languages.
"Upanishads." https://en.wikipedia.org/wiki/Upanishads.
"Kalidasa."
https://en.wikipedia.org/wiki/K%C4%81lid%C4%81sa.
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CC BY-SA 3.0.
"Panini, the great Sanskrit grammarian."
http://en.wikipedia.org/wiki/File:Panini,_the_great_Sanskrit_
grammarian..jpg. Wikimedia License: Other.
"Devimahatmya Sanskrit MS Nepal 11c."
http://en.wikipedia.org/wiki/File:Devimahatmya_Sanskrit_M
S_Nepal_11c.jpg. Wikimedia Public domain.
The V edas
"V edas." https://en.wikipedia.org/wiki/V edas. Wikipedia CC
BY-SA 3.0.
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BY-SA 3.0.
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CC BY-SA 3.0.
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"Caste System in India."
https://en.wikipedia.org/wiki/Caste_system_in_India.
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https://commons.wikimedia.org/wiki/File:Agni_god_of_fire.jp
g. Wikipedia Public domain.
"Rigveda Manuscript."
https://en.wikipedia.org/wiki/Rigveda# /media/File:Rigveda_
MS2097.jpg. Wikipedia Public domain.
"Gandhi at Madras, 1933."
https://en.wikipedia.org/wiki/Caste_system_in_India# /media
/File:Gandhi,_Harijan_Work_at_Madras.jpg. Wikipedia
Public domain.
6.3: Religion in the Indian
Subcontinent
6.3.1: The Rise of Hinduism
Hinduism evolved as a synthesis of cultures and traditions, including
the Indo-Aryan V edic religion.
Learning Objective
Explain the evolution of hinduism
Key Points
The V edic religion was influenced by local cultures and
traditions adopted by Indo-Aryans as they spread throughout
India. V edic ritualism heavily influenced the rise of Hinduism,
which rose to prominence after c. 400 BCE.
The V edas— the oldest texts of the Hindu religion—
describe deities, mythology, and instructions for religious rituals.
The Upanishads are a collection of V edic texts particularly
important to Hinduism that contain revealed truths concerning
the nature of ultimate reality, and describing the character and
form of human salvation.
During the 14th and 15th centuries, the Hindu V ijayanagar
Empire served as a barrier against Muslim invasion, fostering a
reconstruction of Hindu life and administration. The Hindu
Maratha Confederacy rose to power in the 18th century and
eventually overthrew Muslim rule in India.
Key Terms
moksha
The character and form of human salvation, as described in the

Upanishads.
Sramana
Meaning “ seeker,” Sramana refers to several Indian religious

movements that existed alongside the V edic religion, the
historical predecessor of modern Hinduism.
brahman
The nature of ultimate reality, as described in the Upanishads.
Upanishads
A collection of V edic texts that contain the earliest emergence of

some of the central religious concepts of Hinduism, Buddhism,
and Jainism.
Hinduism is considered one of the oldest religions in the world.

Western scholars regard Hinduism as a synthesis, or fusion, of
various Indian cultures and traditions, with diverse roots and no
stated founder. This synthesis is believed to have developed after
V edic times, between 500 BCE and 300 CE. However, V edic
ritualism, a composite of Indo-Aryan and Harappan culture,
contributed to the deities and traditions of Hinduism. The Indo-Aryan
V edas remain the oldest scriptures of the Hindu religion, which has
grown culturally and geographically through modern times to
become one of the world’s four major religions.
The V edas
V edas, meaning "knowledge," were written in V edic Sanskrit
between 1500 and 500 BCE in the northwestern region of the Indian
Subcontinent. There are four Indo-Aryan V edas: the Rig V eda
contains hymns about mythology; the Sama V eda consists mainly of
hymns about religious rituals; the Yajur V eda contains instructions for
enemies, sorcerers and diseases. (Depending on the source
consulted, these are spelled, for example, either Sama V eda or
Samaveda.) The Rig V eda is the largest and considered the most
important of the collection, containing 1,028 hymns divided into ten
books, called mandalas.
The Aryan pantheon of gods is described in great detail in the Rig

V eda. However, the religious practices and deities are not uniformly
consistent in these sacred texts, probably because the Aryans
themselves were not a homogenous group. While spreading through
the Indian subcontinent, it is probable their initial religious beliefs and
practices were shaped by the absorption of local religious traditions.
According to the hymns of the Rig V eda, the most important deities
were Agni, the god of Fire, and the intermediary between the gods
and humans; Indra, the god of Heavens and War, protector of the
Aryans against their enemies; Surya, the Sun god; V ayu, the god of
Wind; and Prthivi, the goddess of Earth.
Modern Hindu representation of Agni,
god of fire
The Rig V eda describes the varied deities of V edic religion. These
gods persisted as V edic religion was assimilated into Hinduism.
Agni, god of fire, is shown riding a ram.
The Upanishads
The Upanishads are a collection of V edic texts that contain the
earliest emergence of some of the central religious concepts of
Hinduism, Buddhism, and Jainism. Also known as V edanta, "the end
of the V eda," the collection is one of the sacred texts of Hinduism
thought to contain revealed truths concerning the nature of ultimate
reality, or brahman, and describing the character and form of human
salvation, called moksha. The Upanishads are found in the
conclusion of the commentaries on the V edas, and have been
passed down by oral tradition.
Hindu Synthesis
Sramana, meaning "seeker," refers to several Indian religious
movements, including Buddhism and Jainism, that existed alongside
the V edic religion—the historical predecessor of modern Hinduism.
The Sramana traditions drove the so-called Hindu synthesis after the
V edic period that spread to southern Indian and parts of Southeast
Asia. As it spread, this new Hinduism assimilated popular non-V edic
gods and other traditions from local cultures, and integrated societal
divisions, called the caste system. It is also thought to have included
both Buddhist and Sramana influences.
Splinter and Rise of Hinduism

During the reign of the Gupta Empire (between 320-550 CE), which
included the period known as the Golden Age of India, the first
known stone and cave temples dedicated to Hindu deities were built.
After the Gupta period, central power disintegrated and religion
became regionalized to an extent, with variants arising within
Hinduism and competing with each other, as well as sects of
Buddhism and Jainism. Over time, Buddhism declined but some of
its practices were integrated into Hinduism, with large Hindu temples
being built in South and Southeast Asia.
The Swaminarayan Akshardham
Temple in Delhi, the world's largest
Hindu temple
Hinduism evolved as a combination of various cultures and
traditions, including V edic religion and the Upanishads.
The Hindu religion maintained its presence and continued to grow

despite a long period of Muslim rule in India, from 1200-1750 CE,
during which Hindus endured violence as Islam grew to become
what is now the second largest religion in India, behind Hinduism.
Akbar I, emperor of the ruling Mughal Dynasty in India from 1556-
1605 CE, ended official persecution of non-Muslims and recognized
Hinduism, protected Hindu temples, and abolished discriminatory
taxes against Hindus.
Hindu Prominence
During the 14th and 15th centuries, the Hindu V ijayanagar Empire
had arisen and served as a barrier against invasion by Muslim rulers
to the north, fostering a reconstruction of Hindu life and
administration. V idyaranya, a minister and mentor to three
generations of kings in the V ijayanagar Empire beginning around
1336, helped spread the historical and cultural influence of Shankara
—an Indian philosopher of the 8th century CE credited with unifying
and establishing the main currents of thought in Hinduism.
The Hindu Maratha Confederacy rose to power in the 18th century

and eventually overthrew Muslim rule in India. In the 19th century,
the Indian subcontinent became a western colony during the period
of the British Raj (the name of the British ruling government)
beginning in 1858.
Through the period of the Raj, until its end in 1947, there was a
Hindu resurgence, known as the Bengali Renaissance, in the Bengal
region of India. It included a cultural, social, intellectual, and artistic
movement. Indology, an academic study of Indian culture, was also
established in the 19th century, and spread knowledge of V edic
philosophy and literature and promoted western interest in Hinduism.
In the 20th century, Hinduism gained prominence as a political force

and source of national identity in India. According to the 2011
census, Hindus account for almost 80% of India’s population of 1.21
billion people, with 960 million practitioners. Other nations with large
Hindu populations include Nepal, with 23 million followers, and
Bangladesh, with 15 million. Hinduism counts over 1 billion
adherents across the globe, or approximately 15% of the world’s
population.
Singapore Diwali Decorations
Diwali decorations in Little India are part of an annual Hindu
celebration in Singapore, where there are over 260,000 Hindus.
6.3.2: The Sramana Movement

Sramana broke with V edic Hinduism over the authority of the
Brahmins and the need to follow ascetic lives.
Learning Objective
Understand the Sramana movement
Key Points
Sramana was an ancient Indian religious movement with origins
in the V edic religion. However, it took a divergent path, rejecting
V edic Hindu ritualism and the authority of the Brahmins—the
traditional priests of the Hindu religion.
Sramanas were those who practiced an ascetic, or strict and
self-denying, lifestyle in pursuit of spiritual liberation. They are
commonly known as monks.
The Sramana movement gave rise to Jainism and Buddhism.
Key Terms
Sramana
An ancient Indian religious movement that began as an offshoot

of the V edic religion and focused on ascetic lifestyle and
principles.
Brahmin
A member of a caste in V edic Hinduism, consisting of priests

and teachers who are held as intermediaries between deities
and followers, and who are considered the protectors of the
sacred learning found in the V edas.
Sramanas
Sramana followers who renounced married and domestic life,

and adopted an ascetic path. The Sramanas rejected the
authority of the Brahmins.
V edic Religion
The historical predecessor of modern Hinduism. The V edas are

the oldest scriptures in the Hindu religion.
ascetic
A person who practices severe self-discipline and abstention

from worldly pleasures as a way of seeking spiritual
enlightenment and freedom.
Sramana was an ancient Indian religious movement that began as

an offshoot of the V edic religion and gave rise to other similar but
varying movements, including Buddhism and Jainism. Sramana,
meaning "seeker," was a tradition that began around 800-600
BCE when new philosophical groups, who believed in a more
austere path to spiritual freedom, rejected the authority of the
Brahmins (the priests of V edic Hinduism). Modern Hinduism can be
regarded as a combination of V edic and Sramana traditions; it is
substantially influenced by both.
V edic Roots
The V edic Religion was the historical predecessor of modern
Hinduism. The V edic Period refers to the time period from
approximately 1750-500 BCE, during which Indo-Aryans settled into
northern India, bringing with them specific religious traditions. Most
history of this period is derived from the V edas, the oldest scriptures
in the Hindu religion. V edas, meaning "knowledge," were composed
by the Aryans in V edic Sanskrit between 1500 and 500 BCE, in the
northwestern region the Indian subcontinent.
There are four Indo-Aryan V edas: the Rig V eda contains hymns
about their mythology; the Sama V eda consists mainly of hymns
about religious rituals; the Yajur V eda contains instructions for
enemies, sorcerers, and diseases. (Depending on the source
consulted, these are spelled, for example, either Rig V eda or
Rigveda.)
Sramana Origins
Several Sramana movements are known to have existed in India
before the 6th century BCE. Sramana existed in parallel to, but
separate from, V edic Hinduism. The dominant V edic ritualism
contrasted with the beliefs of the Sramanas followers who renounced
married and domestic life and adopted an ascetic path, one of
severe self-discipline and abstention from all indulgence, in order to
achieve spiritual liberation. The Sramanas rejected the authority of
the Brahmins, who were considered the protectors of the sacred
learning found in the V edas.
Emaciated Fasting Buddha

Buddha practiced severe asceticism before his enlightenment and
recommended a non-ascetic middle way.
Brahmin is a caste, or social group, in V edic Hinduism consisting of

priests and teachers who are held as intermediaries between deities
and followers. Brahmins are traditionally responsible for religious
rituals in temples, and for reciting hymns and prayers during rite of
passage rituals, such as weddings.
In India, Sramana originally referred to any ascetic, recluse, or

religious practitioner who renounced secular life and society in order
to focus solely on finding religious truth. Sramana evolved in India
over two phases: the Paccekabuddha, the tradition of the individual
ascetic, the “ lone Buddha” who leaves the world behind; and the
Savaka, the phase of disciples, or those who gather together as a
community, such as a sect of monks.
Sramana Traditions
A "tradition" is a belief or behavior passed down within a group or
society, with symbolic meaning or special significance. Sramana
traditions drew upon established Brahmin concepts to formulate their
own doctrines.
The Sramana traditions subscribe to diverse philosophies, and at

times significantly disagree with each other, as well as with orthodox
Hinduism and its six schools of Hindu philosophy. The differences
range from a belief that every individual has a soul, to the assertion
that there is no soul. In terms of lifestyle, Sramana traditions include
a wide range of beliefs that can vary, from vegetarianism to meat
eating, and from family life to extreme asceticism denying all worldly
pleasures.
The varied Sramana movements arose in the same circles of ancient

India that led to the development of Yogic practices, which include
the Hindu philosophy of following a course of physical and mental
discipline in order to attain liberation from the material world, and a
union between the self and a supreme being or principle.
The Sramana traditions drove the so-called Hindu synthesis after the
V edic period, which spread to southern Indian and parts of
Southeast Asia. As it spread, this new Hinduism assimilated popular
non-V edic gods and other traditions from local cultures, as well as
the integrated societal divisions, called the caste system.
Sramaṇ a traditions later gave rise to Yoga, Jainism, Buddhism, and

some schools of Hinduism. They also led to popular concepts in all
major Indian religions, such as saṃ sāra, the cycle of birth and death,
and moksha, liberation from that cycle.
J ain Monk in Meditation

An image of a Jain monk, one of the practitioners of the varied
Sramana traditions.
6.3.3: Buddhism
After attaining Enlightenment, Siddhartha Gautama became known
as the Buddha, and taught a Middle Way that became a major world
religion, known as Buddhism.
Learning Objective
Understand the development of Buddhism as a major world religion
Key Points
The Sramana movement gave rise to Buddhism, a non-theistic
religion that encompasses a variety of traditions, beliefs, and
practices, and arose when Siddhartha Gautama began following
Sramana traditions in the 5th century BCE.
Following his "Enlightenment," Siddhartha became known as
Buddha, or "Awakened One." He began teaching a Middle Way
to spiritual Nirvana, a release from all earthly burdens.
Buddhism has spread to become one of the world’s great
religions, with an estimated 488 million followers.
Key Terms
Noble Eightfold Path
The eight concepts taught by Buddha as the means to achieving

Nirvana.
Siddhartha Gautama
An aristocratic young man who gave up worldly comforts to

follow Sramana, then attained Enlightenment and became
known as the Buddha, teaching a Middle Way toward spiritual
Nirvana.
Nirvana
A sublime state that marks the release from the cycle of rebirths,
known in the Sramana tradition as samsara.
Sramana
An offshoot of the V edic religion that promoted an ascetic

lifestyle; Sramana gave rise to Buddhism and other similar
traditions.
Buddhism arose between 500-300 BCE, when Siddhartha Gautama,

a young man from an aristocratic family, left behind his worldly
comforts to seek spiritual enlightenment. He became a teacher
commonly known as the Buddha, meaning "the awakened one," and
Buddhism spread to become a non-theistic religion that
encompasses a variety of traditions, beliefs, and practices largely
based on his teachings.
Sramana Origins
Buddhism is based on an ancient Indian religious philosophy called
Sramana, which began as an offshoot of the V edic religion. Several
Sramana movements are known to have existed in India before the
6th century BCE. Sramana existed in parallel to, but separate from,
V edic Hinduism, which followed the teachings and rituals found in
the V edas, the most ancient texts of the V edic religion. Sramana,
meaning "seeker," was a tradition that began when new
philosophical groups who believed in a more austere path to spiritual
freedom rejected the authority of the V edas and the Brahmins, the
priests of V edic Hinduism, around 800-600 BCE.
Sramana promoted spiritual concepts that became popular in all

and moksha, liberation from that cycle. The Sramanas renounced
married and domestic life, and adopted an ascetic path— one of
severe self-discipline and abstention from all indulgence—in order to
achieve spiritual liberation. Sramaṇ a traditions (or its religious and
moral practices) later gave rise to varying schools of Hinduism, as
well as Yoga, Jainism, and Buddhism.
Origins of Buddhism
Early texts suggest Siddhartha Gautama was born into the Shakya
Clan, a community on the eastern edge of the Indian subcontinent in
the 5th century BCE. His father was an elected chieftain, or oligarch,
of the small republic. Gautama is thought to have been born in
modern-day Nepal, and raised in the Shakya capital of Kapilvastu,
which may have been in Nepal or India. Most scholars agree that he
taught and founded a monastic order during the reign of the
Magadha Empire. In addition to the V edic Brahmins, the Buddha’s
lifetime coincided with the flourishing of influential Sramana schools
of thought, including Jainism.
Buddhist teachings explain that Siddhartha was a young man from a

respected family, who renounced his family and left his father's
palace at age 29 in search of truth and enlightenment through
Sramana. Siddhartha began this quest through a period of starvation
and, according to legend, grew so thin he could feel his hands if he
placed one on his back and the other on his stomach. This explains
statues that depict Buddha as thin and withered, rather than the
better known depiction of him seated with a large belly.
Emaciated Fasting Buddha
This statue in Chiang Mai, Thailand, depicts the Buddha practicing
severe asceticism before his Enlightenment.
Buddha lived as a Sramana ascetic for approximately six years until

he had an "awakening" in a place called Bodh Gaya, in the Gaya
district of the modern Indian state of Bihar. Sitting under what
became known as the Bodhi Tree, Siddhartha discovered what
Buddhists call the Noble Eightfold Path, and attained Buddhatva, or
Enlightenment, which is said to be a state of being completely free of
lust (raga), hatred (dosa), and delusion (moha).
Siddhartha, thereafter known as Buddha, or "awakened one," was
recognized by his followers, called Buddhists, as an enlightened
teacher. He taught what he called the Middle Way or Middle Path,
the character of the Noble Eightfold Path. This includes eight
concepts to be sought after: right view, right resolve, right speech,
right conduct, right livelihood, right effort, right mindfulness, and right
samadhi (the state of intense concentration brought on through
meditation).
His insights were intended to help sentient beings end their suffering
through the elimination of ignorance and craving. This could be
achieved through understanding the noble path, which is the way to
achieve the sublime state of Nirvana. The literal meaning of Nirvana
in the Sanskrit language is "blowing out" or "quenching," and is the
ultimate spiritual goal of Buddhism. It marks the release from the
cycle of rebirths, known in the Sramana tradition as samsara.
Another important Buddhist concept is Bodhisattva, a Sanskrit word

for anyone who has been motivated by great compassion and a wish
to attain buddhahood for the benefit of all sentient beings—those
who have a conscious awareness of the self but are in contrast with
buddhahood. Sentient beings are characteristically not yet
enlightened and are thus confined to the death, rebirth and dukkha
(suffering) found in the cycle of samsara. Bodhisattvas, therefore,
are those who have set themselves on the path toward
enlightenment and hope to benefit others through their journey.
Depictions of the bodhisattva path are a popular subject in Buddhist
art.
Bodhisattva
Clay sculpture of a bodhisattva, Afghanistan, 7th century.
Rise of Buddhism
Buddha is thought to have died around 483 BCE, after 45 years of
travel and teaching. Buddhists believe he passed into a state of
Nirvana. Small communities of monks and nuns, known as bhikkus,
sprung up along the routes Buddha traveled. Buddhism was
overshadowed by the more dominant Hindu religion, but this began
to change in the 3rd century BCE; this was when one of the Indian
subcontinent’s great rulers, Ashoka I of the Maurya Empire,
renounced wars, despite having waged war to build his own
kingdom. In a major break from others rulers of the time, he
converted to Buddhism.
Ashoka promoted the religion’s expansion by deploying monks to

spread Buddha’s teaching. This began a wave of conversion
throughout India as well as in surrounding nations, such as Nepal,
Tibet, and Burma, but also further afield in Asia, including in China
and Japan. Over time Buddhism grew, as greater numbers of people
became aware of its teachings, including those in western nations,
eventually becoming one of the major religions practiced around the
world.
Today, Buddhism is practiced by an estimated 488 million people.

China is the nation with the largest number of Buddhists,
approximately 244 million followers, or more than 18% of its total
population. Other countries that have a large number of Buddhists
among their populations include Myanmar with 48.4 million, Japan
with 45.8 million, Sri Lanka with 14.2 million, Cambodia with 13.7
million, South Korea with 11 million, Thailand, Laos, Singapore,
Taiwan, and Nepal. The United States is home to an estimated 1.2
million Buddhists, or 1.2% of the American population.
6.3.4: J ainism
Jainism is a pre-Buddhist religion with roots in the Sramana tradition.
It focuses on karma.
Learning Objective
Understand the origins and principles of Jainism
Key Points
The Sramana movement gave rise to Jainism, which is
considered an independent, pre-Buddhist religion with possible
roots in the Indus V alley Civilization.
The predominance of karma is one of the key features of
Jainism. Karma is the sum of a person’s actions in this and
previous lives; it determines his or her fate in future existences.
Key Terms
Jainism
An Indian religion that prescribes a path of non-violence toward

all living beings, and emphasizes spiritual independence and
equality between all forms of life.
ascetic
A person who practices severe self-discipline and abstention

from worldly pleasures in order to attain a higher level of
spirituality.
karma
The principle of causality in which intent and actions of an

individual influence the future of that person; this is a key
concept in Jainism, as well as in Hinduism and Buddhism.
saṃ sāra
The repeating cycle of birth, life, and death (reincarnation) within

Jainism, Hinduism, and Buddhism.
Jainism, one of the world’s major religions, is believed to have roots

in the Indus V alley Civilization, and follows aspects of the Sramana
traditions of asceticism—self-denial and control in order to achieve a
higher level of spirituality. Although Jainism is considered pre-
Buddhist, the two religions have a link through a focus on karma—
the concept that good deeds in one life will lead to a better existence
in the next life. The ultimate aim of Jainism is to achieve liberation of
the soul.
Sramana Origins
Jainism is based on an ancient Indian religious philosophy called
Sramana, which began as an offshoot of the V edic religion. Several
Sramana movements are known to have existed in India before the
6th century BCE. Sramana existed in parallel to, but separate from,
V edic Hinduism, which followed the teachings and rituals found in
the V edas, the most ancient texts of the V edic religion. Sramana,
meaning "seeker," was a tradition that began around 800-600 BCE,
when new philosophical groups, who believed in a more austere
path to spiritual freedom, rejected the authority of the V edas and the
Brahmins (the priests of V edic Hinduism).
Sramana promoted spiritual concepts that became popular in all

and moksha, liberation from that cycle. The Sramanas renounced
married and domestic life and adopted an ascetic path (one of
severe self-discipline and abstention from all indulgence) in order to
achieve spiritual liberation. Sramaṇ a traditions (or religious and
moral practices) later gave rise to varying schools of Hinduism, as
well as Yoga, Buddhism, and Jainism.
Origins of J ainism
Jainism is considered an independent, pre-Buddhist religion that
began c. 700 BCE, although its origins are disputed. Some scholars
claim Jainism has its roots in the Indus V alley Civilization, reflecting
native spirituality prior to the Indo-Aryan migration into India.
V arious seals from Indus V alley Civilizations bear resemblance to
Rishabha, the first Jain as the visual representation of V ishnu. Many
relics depict Jain symbols, including standing nude male figures,
images with serpent-heads, and the bull symbol of V rshabadeva.
However, other scholars believe the Sramana traditions were
separate and contemporaneous with Indo-Aryan religious practices
of the historical V edic religion.
An Elaborate Mirpur J ain Temple W all

The Jain Temple in Mirpur, India, was built c. 800 CE.
J ainism Beliefs
The distinguishing features of Jain philosophy are its belief in the
independent existence of soul and matter; the denial of a creative
and omnipotent God, combined with a belief in an eternal universe;
and a strong emphasis on non-violence, morality, and ethics. The
word Jain derives from the Sanskrit word jina, meaning conqueror,
and the ultimate aim of Jain life is to achieve liberation of the soul.
The predominance of karma is one of the key features of Jainism.

Karma is the sum of a person’s actions in this and previous lives that
determine his or her fate in future existences. A Sanskrit word,
karma means action, word, or deed. Its focus is on the spiritual
principle of cause and effect, with individual actions influencing
individual effects. Good intent and good deeds contribute to good
karma and future happiness, while bad intent and deeds produce
bad karma and future suffering. Karma is a concept associated with
rebirth, or the idea that death is the beginning of a new existence.
This idea also appears in other Asian religions, including Buddhism.
The motto of Jainism is Parasparopagraho Jivanam, meaning "the

function of souls is to help one another." This is associated with the
idea of good deeds, and is incorporated into the main principles of
Jainism: ahimsa, non-violence; anekantavada, non-absolutism; and
aparigraha, non-possessiveness or non-attachment. Followers take
five main vows that include ahimsa and aparigraha, as well as satya,
not lying; asteya, not stealing; and brahmacharya, chastity. Jain
monks and nuns adhere to these vows absolutely, placing Jainism
squarely in the ascetic and self-discipline traditions of Sramana.
J ain Monk
An image of a Jain monk meditating over religious texts.
J ainism Followers
The majority of Jains live in India, which counts between 4 and 6
million followers. Some of the largest Jain communities outside India
are in the United States, which has more than 79,000 followers;
Kenya, which has nearly 69,000 adherents; the United Kingdom,
which counts nearly 17,000 followers; and Canada, with
approximately 12,000 followers. Other countries with notable Jain
populations include Tanzania, Nepal, Uganda, Burma, Malaysia,
South Africa, Fiji, Australia, and Japan.
Contemporary Jainism is divided into two major schools, or sects,
called Digambara and Svetambara. The Svetambara, meaning
"white clad," describes its ascetic adherents’ practice of wearing
white clothes, while the monks of the "sky clad" Digambara do not
wear clothing at all, a practice upon which they disagree.
The most important religious festival of Jainism is Mahavir Jayanti,

which celebrates the birth of Mahavira—the 24th and last
Tirthankara, or teaching god. Other important festivals include Diwali,
marking the Nirvana, or liberation, of Mahavira’s soul; and the holy
event of Paryushana, also known as Das Lakshana, which is a
period of between eight and ten days in August or September of
fasting, prayer, and meditation.
Paryushana Celebrations
Followers of Jainism celebrate Paryushana at the Jain Center of
America in New York City.
Attributions
The Rise of Hinduism
"Hinduism." http://en.wikipedia.org/wiki/Hinduism. Wikipedia
CC BY-SA 3.0.
"Adi Shankara." https://en.wikipedia.org/wiki/Adi_Shankara.
"V idyaranya." https://en.wikipedia.org/wiki/V idyaranya.
"Hinduism by Country."
https://en.wikipedia.org/wiki/Hinduism_by_country.
"Upanishads." http://en.wikipedia.org/wiki/Upanishads.
"Akbar." https://en.wikipedia.org/wiki/Akbar. Wikipedia CC
BY-SA 3.0.
"Sramana."
https://en.wikipedia.org/wiki/%C5%9Arama%E1%B9%87a.
"Singapore Diwali Decorations."
https://commons.wikimedia.org/wiki/File:Singapore_Divali_
Diwali_decorations_Little_India-
_Serangoon_Road_2009.jpg. Wikimedia CC BY 2.0.
"New Delhi Temple."
http://en.wikipedia.org/wiki/File:New_Delhi_Temple.jpg.
"Agni god of fire."
https://commons.wikimedia.org/wiki/File:Agni_god_of_fire.jp
The Sramana Movement
"Asceticism." https://en.wikipedia.org/wiki/Asceticism.
"Brahmin." https://en.wikipedia.org/wiki/Brahmin. Wikipedia
CC BY-SA 3.0.
"Sramana." http://en.wikipedia.org/wiki/Sramana. Wikipedia
CC BY-SA 3.0.
"Sravaka."
https://en.wikipedia.org/wiki/%C5%9Ar%C4%81vaka.
"Pratyekabuddha."
https://en.wikipedia.org/wiki/Pratyekabuddha. Wikipedia CC
BY-SA 3.0.
"Hinduism." https://en.wikipedia.org/wiki/Hinduism.
"Jain Monk."
https://commons.wikimedia.org/wiki/File:Jain_Sthanakvasi_
monk.jpg. Wikimedia Public domain.
"Emaciated Fasting Buddha."
https://commons.wikimedia.org/wiki/File:Emaciated_Siddha
rtha_Fasting_Gautama_Buddha.jpg. Wikimedia CC BY 2.0.
Buddhism
"Asceticism." https://en.wikipedia.org/wiki/Asceticism.
"Bodhisattva." https://en.wikipedia.org/wiki/Bodhisattva.
"Ashoka." https://en.wikipedia.org/wiki/Ashoka. Wikipedia
CC BY-SA 3.0.
"Gautama Buddha."
https://en.wikipedia.org/wiki/Gautama_Buddha. Wikipedia
CC BY-SA 3.0.
"Buddhism By Country."
https://en.wikipedia.org/wiki/Buddhism_by_country.
"Nirvana (Buddhism)."
https://en.wikipedia.org/wiki/Nirvana_(Buddhism). Wikipedia
CC BY-SA 3.0.
"Sramana."
"Middle Way." https://en.wikipedia.org/wiki/Middle_Way.
"Emaciated Fasting Buddha."
https://commons.wikimedia.org/wiki/File:Emaciated_Siddha
rtha_Fasting_Gautama_Buddha.jpg. Wikimedia CC BY 2.0.
"Bodhisattva."
https://commons.wikimedia.org/wiki/File:Bodhisattva_Ghorb
and_Mus%C3%A9e_Guimet_2418.jpg. Wikimedia Public
domain.
Jainism
"Jainism." https://en.wikipedia.org/wiki/Jainism. Wikipedia
CC BY-SA 3.0.
"Mahavir Jayanti."
https://en.wikipedia.org/wiki/Mahavir_Jayanti. Wikipedia CC
BY-SA 3.0.
"Karma." https://en.wikipedia.org/wiki/Karma. Wikipedia CC
BY-SA 3.0.
"Digambara." https://en.wikipedia.org/wiki/Digambara.
"Sramana."
"Svetambara."
https://en.wikipedia.org/wiki/%C5%9Av%C4%93t%C4%81
mbara. Wikipedia CC BY-SA 3.0.
"Paryushana Celebrations."
https://commons.wikimedia.org/wiki/File:Das_Lakshana_(P
aryusana)_celebrations,_New_York_City_Jain_temple.JPG.
"Mirpur Jain Temple Wall."
https://commons.wikimedia.org/wiki/File:Mirpur_Jain_Templ
e_Elaborate_Wall.jpg. Wikimedia CC BY-SA 3.0.
"Jain Monk."
https://commons.wikimedia.org/wiki/File:Jain_Sthanakvasi_
monk.jpg. Wikimedia Public domain.
6.4: The Persian Empire
6.4.1: The Achaemenid Empire
Under Cyrus the Great and Darius the Great, the Achaemenid
Empire became the first global empire.
Learning Objective
Discuss the Achaemenid as the first global empire
Key Points
Around 550 BCE, Cyrus the Great (Cyrus II) conquered
the Median Empire and started the expansion of the
Achaemenid Empire, assimilating the neighboring Lydian and
Neo-Babylonian empires.
Cyrus the Great was succeeded by his son Cambryses II in 530
BCE and then the usurper Gaumata, and finally by Darius the
Great in 522 BCE.
By the time of Darius the Great and his son, X erxes, the
Achaemenid Empire had expanded to include Mesopotamia,
Egypt, Anatolia, the Southern Caucasus, Macedonia, the
western Indus basin, as well as parts of Central Asia, northern
Arabia and northern Libya.
At its height around 475 BCE, the Achaemenid Empire ruled
over 44% of the world's population, the highest figure for any
empire in history.
Key Terms
Median Empire
One of the four major powers of the ancient Near East (with
Babylonia, Lydia, and Egypt), until it was conquered by Cyrus
the Great in 550 BCE.
Pasargadae
The capital of the Achaemenid Empire under Cyrus the Great.
Cyrus the Great
Cyrus II of Persia, also known as Cyrus the Great, created the

largest empire the world had seen.
Darius the Great
The third king of the Persian Achaemenid Empire, who ruled at

its peak from c. 522-486 BCE.
The Achaemenid Empire, c. 550-330 BCE, or First Persian Empire,

was founded in the 6th century BCE by Cyrus the Great, in Western
and Central Asia. The dynasty drew its name from Achaemenes,
who, from 705-675 BCE, ruled Persis, which was land bounded on
the west by the Tigris River and on the south by the Persian Gulf. It
was the first centralized nation-state, and during expansion in
approximately 550-500 BCE, it became the first global empire and
eventually ruled over significant portions of the ancient world.
Empire Beginnings
By the 7th century BCE, a group of ancient Iranian people had
established the Median Empire, a vassal state under the Assyrian
Empire that later tried to gain its independence in the 8th century
BCE. After Assyria fell in 605 BCE, Cyaxares, king of the Medes,
extended his rule west across Iran.
Around 550 BCE, Cyrus II of Persia, who became known as Cyrus
the Great, rose in rebellion against the Median Empire, eventually
conquering the Medes to create the first Persian Empire, also known
as the Achaemenid Empire. Cyrus utilized his tactical genius, as well
as his understanding of the socio-political conditions governing his
territories, to eventually assimilate the neighboring Lydian and Neo-
Babylonian empires into the new Persian Empire.
Relief of Cyrus the Great

Cyrus II of Persia, better known as Cyrus the Great, was the founder
of the Achaemenid Empire. Under his rule, the empire assimilated all
the civilized states of the ancient Near East, and eventually
conquered most of Southwest Asia and much of Central Asia and the
Caucasus.
Achaemenid Ex pansion
The empire was ruled by a series of monarchs who joined its
disparate tribes by constructing a complex network of roads. The
unified form of the empire came in the form of a central
administration around the city of Pasargadae, which was erected by
Cyrus c. 550 BCE. After his death in 530 BCE, Cyrus was
succeeded by his son Cambyses II, who conquered Egypt, Nubia,
and Cyrenaica in 525 BCE; he died in 522 BCE during a revolt.
During the king's long absence during his expansion campaign, a

Zoarastrian priest, named Guamata, staged a coup by impersonating
Cambryses II's younger brother, Bardiya, and seized the throne. Yet
in 522 BCE, Darius I, also known as Darius the Great, overthrew
Gaumata and solidified control of the territories of the Achaemenid
Empire, beginning what would be a historic consolidation of lands.
Achaemenid Empire in the time of
Darius and X erx es
At its height, the Achaemenid Empire ruled over 44% of the world's
population, the highest figure for any empire in history.
The empire covered lands that included portions of modern-day

Abkhazia, Agfhanistan, Armenia, Azerbaijan, Bahrain, Bulgaria,
Cyprus, Egypt, Georgia, Greece, Iran, Iraq, Israel, Jordan,
Kazakhstan, Kuwait, Kyrgyzstan, Lebanon, Libya, Macedonia,
Moldova, Oman, Nagorno-Karabakh, Northern Cyprus, Pakistan,
Palestien, Qatar, Romania, Russia, Saudia Arabia, South Ossetia,
Sudan, Syria,Tajikistan, Turkey, Turkmenistan, United Arab Emirates,
Ukraine, and Uzbekistan.
Between c. 500-400 BCE, Darius the Great and his son, X erxe I,
ruled the Persian Plateau and all of the territories formerly held by
the Assyrian Empire, including Mesopotamia, the Levant, and
Cyprus. It eventually came to control Egypt, as well. This expansion
continued even further afield with Anatolia and the Armenian
Plateau, much of the Southern Caucasus, Macedonia, parts of
Greece and Thrace, Central Asia as far as the Aral Sea, the Oxus
and Jaxartes areas, the Hindu Kush and the western Indus basin,
and parts of northern Arabia and northern Libya.
This unprecedented area of control under a single ruler stretched

from the Indus V alley in the east to Thrace and Macedon on the
northeastern border of Greece. At its height, the Achaemenid Empire
ruled over 44% of the world's population, the highest such figure for
any empire in history.
6.4.2: Government and Trade in the

Achaemenid Empire
Emperors Cyrus II and Darius I created a centralized government
and extensive trade network in the Achaemenid Empire.
Learning Objective
Discuss how the central government provided cultural and economic
reform
Key Points
Cyrus the Great maintained control over a vast empire by
installing regional governors, called satraps, to rule individual
provinces.
When Darius the Great ascended the throne in 522 BCE, he
organized a new uniform monetary system and
established Aramaic as the official language of the empire.
Trade infrastructure facilitated the exchange of commodities in
the far reaches of the empire, including the Royal Road,
standardized language, and a postal service.
Tariffs on trade from the territories were one of the empire's
main sources of revenue, in addition to agriculture and tribute.
Key Terms
Cyrus Cylinder
An ancient clay artifact that has been called the oldest-known
charter of human rights.
Behistun Inscription
An inscription carved in a cliff face of Mount Behistrun in Iran; it

provided a key to deciphering cuneiform script.
satrap
The governor of a province in the ancient Median and

Achaemenid (Persian) Empires.
satrapy
The territory under the rule of a satrap.
The Achaemenid Empire reached enormous size under the

leadership of Cyrus II of Persia (576-530 BCE), commonly known as
Cyrus the Great, who created a multi-state empire. Called Cyrus the
Elder by the Greeks, he founded an empire initially comprising all the
previous civilized states of the ancient Near East and eventually
most of Southwest and Central Asia and the Caucus region,
stretching from the Mediterranean Sea to the Indus River. Control of
this large territory involved a centralized government, territorial
monarchs who served as proxy rulers for the emperor, and an
extensive system of commerce and trade.
Government Organiz ation

Cyrus, whose rule lasted between 29 and 31 years, until his death in
battle in 530 BCE, controlled the vast Achaemenid Empire through
the use of regional monarchs, called satrap, who each oversaw a
territory called a satrapy. The basic rule of governance was based
upon the loyalty and obedience of the satrapy to the central power,
the king, and compliance with tax laws. Cyrus also connected the
various regions of the empire through an innovative postal system
that made use of an extensive roadway and relay stations.
Cyrus the Great was recognized for achievements in human rights

and politics, having influenced both Eastern and Western
Civilization. The ancient Babylonians called him "The Liberator,"
while the modern nation of Iran calls Cyrus its "father."
Cyrus Cylinder
The Cyrus Cylinder is an ancient clay artifact, now broken into
several fragments, that has been called the oldest-known charter of
universal human rights and a symbol of his humanitarian rule.
The cylinder dates from the 6th century BCE, and was discovered in
the ruins of Babylon in Mesopotamia, now Iraq, in 1879. In addition
to describing the genealogy of Cyrus, the declaration in Akkadian
cuneiform script on the cylinder is considered by many Biblical
scholars to be evidence of Cyrus’s policy of repatriation of the
Jewish people following their captivity in Babylon.
The historical nature of the cylinder has been debated, with some
scholars arguing that Cyrus did not make a specific decree, but
rather that the cylinder articulated his general policy allowing exiles
to return to their homelands and rebuild their temples.
In fact, the policies of Cyrus with respect to treatment of minority

religions were well documented in Babylonian texts, as well as in
Jewish sources. Cyrus was known to have an overall attitude of
religious tolerance throughout the empire, although it has been
debated whether this was by his own implementation or a
continuation of Babylonian and Assyrian policies.
Darius Improvements
When Darius I (550-486 BCE), also known as Darius the Great,
ascended the throne of the Achaemenid Empire in 522 BCE, he
established Aramaic as the official language and devised a
codification of laws for Egypt. Darius also sponsored work on
construction projects throughout the empire, focusing on
improvement of the cities of Susa, Pasargadae, Persepolis, Babylon,
and various municipalities in Egypt.
When Darius moved his capital from Pasargadae to Persepolis, he

revolutionized the economy by placing it on a silver and gold coinage
and introducing a regulated and sustainable tax system. This
structure precisely tailored the taxes of each satrapy based on its
projected productivity and economic potential. For example, Babylon
was assessed for the highest amount of silver taxes, while Egypt
owed grain in addition to silver taxes.
Persian reliefs in the city of

Persepolis
Darius the Great moved the capital of the Achaemenid Empire to
Persepolis c. 522 BCE. He initiated several major architectural
projects, including the construction of a palace and a treasure house.
Sometime after his coronation, Darius ordered an inscription to be
carved on a limestone cliff of Mount Behistun in modern Iran. The
Behistun Inscription, the text of which Darius wrote, came to have
great linguistic significance as a crucial clue in deciphering cuneiform
script.
The inscription begins by tracing the ancestry of Darius, followed by

a description of a sequence of events following the deaths of the
previous two Achaemenid emperors, Cyrus the Great and Cyrus’s
son, Cambyses II, in which Darius fought 19 battles in one year to
put down numerous rebellions throughout the Persian lands.
The inscription, which is approximately 15 meters high and 25

meters wide, includes three versions of the text in three different
cuneiform languages: Old Persian, Elamite and Babylonian, which
was a version of Akkadian. Researchers were able to compare the
scripts and use it to help decipher ancient languages, in this way
making the Behistun Inscription as valuable to cuneiform as the
Rosetta Stone is to Egyptian hieroglyphs.
A section of the Behistun Inscription on a limestone cliff of Mount
Behistun in western Iran, which became a key in deciphering
cuneiform script.
Commerce and Trade

Under the Achaemenids, trade was extensive and there was an
efficient infrastructure that facilitated the exchange of commodities in
the far reaches of the empire. Tariffs on trade were one of the
empire's main sources of revenue, in addition to agriculture and
tribute.
The satrapies were linked by a 2,500-kilometer highway, the most

impressive stretch of which was the Royal Road, from Susa to
Sardis. The relays of mounted couriers could reach the most remote
areas in 15 days. Despite the relative local independence afforded
by the satrapy system, royal inspectors regularly toured the empire
and reported on local conditions using this route.
Achaemenid golden bowl with lion
imagery
Trade in the Achaemenid Empire was extensive. Infrastructure,
including the Royal Road, standardized language, and a postal
service facilitated the exchange of commodities in the far reaches of
the empire.
Military
Cyrus the Great created an organized army to enforce national
authority, despite the ethno-cultural diversity among the subject
nations, the empire's enormous geographic size, and the constant
struggle for power by regional competitors.
This professional army included the Immortals unit, comprising

10,000 highly trained heavy infantry. Under Darius the Great, Persia
would become the first empire to inaugurate and deploy an imperial
navy, with personnel that included Phoenicians, Egyptians, Cypriots,
and Greeks.
6.4.3: Z oroastrianism
Zoroastrianism, an ancient Persian religion, had a major influence on
the culture and religion of all other monotheistic religions in the
region.
Learning Objective
Explain Zoroastrianism and its impact on Persian culture
Key Points
Zoroastrianism is ascribed to the teachings of Zoroaster, an
Iranian prophet, who worshiped Ahura Mazda (Wise Lord), as its
Supreme Being.
Leading characteristics, such as messianism, heaven and hell,
and free will are said to have influenced other religious systems,
including Second Temple Judaism, Gnosticism, Christianity, and
Islam.
Zoroastrianism served as the state religion of the pre-Islamic
Iranian empires from c. 600 BCE to 650 CE, but saw a steep
decline after the Muslim conquest of Persia.
The religion states that active participation in life through good
deeds is necessary to ensure happiness and to keep chaos at
bay.
Key Terms
eschatological
A part of theology concerned with the final events of history, or

the ultimate destiny of humanity, often referred to as the "end
times."
Sassanids
The last Iranian empire before the rise of Islam.
Gnosticism
A modern term categorizing a collection of ancient religions

whose adherents shunned the material world— which they
viewed as created by the demiurge—and embraced the spiritual
world.
messianism
The belief in a messiah, who acts as a savior, redeemer or

liberator of a group of people.
Overview and Theology

Zoroastrianism is one of the world's oldest religions. It ascribed to
the teachings of the Iranian prophet Zoroaster (or Zarathustra), and
exalted their deity of wisdom, Ahura Mazda (Wise Lord), as its
Supreme Being. Leading characteristics, such as messianism,
heaven and hell, and free will are said to have influenced other
religious systems, including Second Temple Judaism, Gnosticism,
Christianity, and Islam. With possible roots dating back to the second
millennium BCE, Zoroastrianism enters recorded history in the 5th-
century BCE. It served as the state religion of the pre-Islamic Iranian
empires from around 600 BCE to 650 CE. Zoroastrianism was
suppressed from the 7th century onwards, following the Muslim
conquest of Persia. Recent estimates place the current number of
Zoroastrians at around 2.6 million, with most living in India and Iran.
The most important texts of the religion are those of the Avesta,
which includes the writings of Zoroaster, known as the Gathas and
the Yasna. The Gathas are enigmatic poems that define the
religion's precepts, while the Yasna is the scripture. The full name by
which Zoroaster addressed the deity is: Ahura, The Lord Creator,
and Mazda, Supremely Wise. He proclaimed that there is only one
God, the singularly creative and sustaining force of the Universe. He
also stated that human beings are given a right of choice, and
because of cause and effect are also responsible for the
consequences of their choices. The contesting force to Ahura Mazda
was called Angra Mainyu, or angry spirit. Post-Zoroastrian scripture
introduced the concept of Ahriman, the Devil, which was effectively a
personification of Angra Mainyu.
In Zoroastrianism, water (apo, aban) and fire (atar, az ar) are agents
of ritual purity, and the associated purification ceremonies are
considered the basis of ritual life. In Zoroastrian cosmogony, water
and fire are respectively the second and last primordial elements to
have been created, and scripture considers fire to have its origin in
the waters. Both water and fire are considered life-sustaining, and
both water and fire are represented within the precinct of a fire
temple. Zoroastrians usually pray in the presence of some form of
fire (which can be considered evident in any source of light), and the
culminating rite of the principle act of worship constitutes a
"strengthening of the waters." Fire is considered a medium through
which spiritual insight and wisdom is gained, and water is considered
the source of that wisdom.
The religion states that active participation in life through good deeds
is necessary to ensure happiness and to keep chaos at bay. This
active participation is a central element in Zoroaster's concept of free
will, and Zoroastrianism rejects all forms of monasticism. Ahura
Mazda will ultimately prevail over the evil Angra Mainyu or Ahriman,
at which point the universe will undergo a cosmic renovation and
time will end. In the final renovation, all of creation—even the souls
of the dead that were initially banished to "darkness"—will be
reunited in Ahura Mazda, returning to life in the undead form. At the
end of time, a savior-figure (a Saoshyant) will bring about a final
renovation of the world (frashokereti), in which the dead will be
revived.
Z oroastrian Priest
Painted clay and alabaster head of a Zoroastrian priest wearing a
distinctive Bactrian-style headdress, Takhti-Sangin, Tajikistan,
Greco-Bactrian kingdom, 3rd-2nd century BCE.
A sculpture of the head of a Zoroastrian priest wearing a white

headdress.
History
The roots of Zoroastrianism are thought to have emerged from a
common prehistoric Indo-Iranian religious system dating back to the
early 2nd millennium BCE. The prophet Zoroaster himself, though
traditionally dated to the 6th century BCE, is thought by many
modern historians to have been a reformer of the polytheistic Iranian
religion who lived in the 10th century BCE. Zoroastrianism as a
religion was not firmly established until several centuries later.
Zoroastrianism enters recorded history in the mid-5th century BCE.
Herodotus' The Histories (completed c. 440 BCE) includes a
description of Greater Iranian society with what may be recognizably
Zoroastrian features, including exposure of the dead.
The Histories is a primary source of information on the early period

of the Achaemenid era (648-330 BCE), in particular with respect to
the role of the Magi. According to Herodotus i.101, the Magi were the
sixth tribe of the Medians (until the unification of the Persian empire
under Cyrus the Great, all Iranians were referred to as "Mede" or
"Mada" by the peoples of the Ancient World). The Magi appear to
have been the priestly caste of the Mesopotamian-influenced branch
of Zoroastrianism today known as Zurvanism, and they wielded
considerable influence at the courts of the Median emperors.
Darius I, and later Achaemenid emperors, acknowledged their

devotion to Ahura Mazda in inscriptions (as attested to several times
in the Behistun inscription), and appear to have continued the model
of coexistence with other religions. Whether Darius was a follower of
Zoroaster has not been conclusively established, since devotion to
Ahura Mazda was (at the time) not necessarily an indication of an
adherence to Zoroaster's teaching. A number of the Zoroastrian
texts that today are part of the greater compendium of the Avesta
have been attributed to that period.
The religion would be professed many centuries following the

demise of the Achaemenids in mainland Persia and the core regions
of the former Achaemenid Empire— most notably Anatolia,
Mesopotamia, and the Caucasus. In the Cappadocian kingdom
(whose territory was formerly an Achaemenid possession), Persian
colonists who were cut off from their co-religionists in Iran proper
continued to practice the Zoroastrianism of their forefathers. There,
Strabo, observing in the first century BCE, records that these "fire
kindlers" possessed many "holy places of the Persian Gods," as well
as fire temples. Strabo furthermore relates, that they were
"noteworthy enclosures; and in their midst there is an altar, on which
there is a large quantity of ashes and where the magi keep the fire
ever burning." Throughout, and after, the Hellenistic periods in the
aforementioned regions, the religion would be strongly revived.
As late as the Parthian period, a form of Zoroastrianism was without

a doubt the dominant religion in the Armenian lands. The Sassanids
aggressively promoted the Zurvanite form of Zoroastrianism, often
building fire temples in captured territories to promote the religion.
During the period of their centuries long suzerainty over the
Caucasus, the Sassanids made attempts to promote Zoroastrianism
there with considerable successes. It was also prominent in the pre-
Christian Caucasus (especially modern-day Azerbaijan).
Attributions
The Achaemenid Empire
"X erxes I." https://en.wikipedia.org/wiki/X erxes_I. Wikipedia
CC BY-SA 3.0.
"Darius the Great." https://en.wikipedia.org/wiki/Darius_I.
"Cyrus the Great."
https://en.wikipedia.org/wiki/Cyrus_the_Great. Wikipedia
CC BY-SA 3.0.
"Pasargadae." https://en.wikipedia.org/wiki/Pasargadae.
"Achaemenid Empire."
http://en.wikipedia.org/wiki/Achaemenid_Empire. Wikipedia
CC BY-SA 3.0.
"Cyrus II of Persia."
https://commons.wikimedia.org/wiki/File:Olympic_Park_Cyr
us-3.jpg. Wikimedia CC BY-SA 3.0.
"Map achaemenid empire en."
https://commons.wikimedia.org/wiki/File:Map_achaemenid_
empire_en.png. Wikimedia CC BY-SA 2.5.
Government and Trade in the Achaemenid Empire
"Behistun Inscription."
https://en.wikipedia.org/wiki/Behistun_Inscription. Wikipedia
CC BY-SA 3.0.
"Royal Road." https://en.wikipedia.org/wiki/Royal_Road.
"Aramaic." https://en.wikipedia.org/wiki/Aramaic_language.
"Cyrus Cylinder."
https://en.wikipedia.org/wiki/Cyrus_Cylinder. Wikipedia CC
BY-SA 3.0.
"Darius the Great."
http://en.wikipedia.org/wiki/Darius_the_great. Wikipedia CC
BY-SA 3.0.
"Babylon." https://en.wikipedia.org/wiki/Babylon. Wikipedia
CC BY-SA 3.0.
http://en.wikipedia.org/wiki/Achaemenid_Empire. Wikipedia
CC BY-SA 3.0.
"Cyrus the Great."
http://en.wikipedia.org/wiki/Cyrus_the_great. Wikipedia CC
BY-SA 3.0.
"Persepolis reliefs 2005a."
http://en.wikipedia.org/wiki/File:Persepolis_reliefs_2005a.jp
g. Wikimedia CC BY-SA 2.0.
"Behistun Inscription."
https://commons.wikimedia.org/wiki/File:Bisotun_Iran_Relie
f_Achamenid_Period.JPG. Wikimedia Public domain.
"Gold cup kalardasht."
http://en.wikipedia.org/wiki/File:Gold_cup_kalardasht.jpg.
Wikimedia GNU FDL.
Zoroastrianism
"Zoroastrianism."
https://en.wikipedia.org/wiki/Zoroastrianism. Wikipedia CC
BY-SA 3.0.
"BactrianZoroastrian.jpg."
https://en.wikipedia.org/wiki/Zoroastrianism# /media/File:Bac
trianZoroastrian.jpg. Wikipedia Public domain.
6.5 : The Maurya Empire
6.5 .1: Rise of the Maurya Empire
Chandragupta Maurya founded the Maurya Empire in 322 BCE
when he conquered the kingdom of Magadha and the northwestern
Macedonian satrapies.
Learning Objective
Understand the history and significance of the Maurya Empire
Key Points
The Maurya Empire was founded in 322 BCE by Chandragupta
Maurya, who had overthrown the Nanda Dynasty and rapidly
expanded his power westward across central and western India
in order to take advantage of the disruptions of local powers in
the wake of the withdrawal by Alexander the Great's armies.
According to legend, the teacher Chanakya convinced his
disciple, Chandragupta Maurya, to conquer the the kingdom of
Magadha (the Nanda Empire) when he was insulted by its king
Dhana Nanda.
Chandragupta Maurya expanded the Maurya Empire north and
west as he conquered the Macedonian Satrapies and won the
Seleucid-Mauryan war.
In its time, the Maurya Empire was one of the largest empires of
the world.
Key Terms
Takshashila
An early city in modern-day Pakistan that was believed to be
one of the earliest global settings of learning and culture. It is
now modern-day Taxila.
Chanakya
Maurya's teacher and loyal advisor during the foundation and

expansion of the Maurya Empire.
Nanda Empire
The kingdom led by Dhana Nanda; it was conquered by

Chandragupta Maurya in 321 BCE.
Chandragupta Maurya
The founder of the Maurya Empire; he lived from 340-298 BCE.
The Maurya Empire was a geographically extensive Iron Age

historical power in ancient India, ruled by the Maurya dynasty from
322-185 BCE. Originating from the kingdom of Magadha in the Indo-
Gangetic Plain (modern Bihar, eastern Uttar Pradesh) in the eastern
side of the Indian subcontinent, the empire had its capital city at
Pataliputra (modern Patna). The empire was the largest to have ever
existed in the Indian subcontinent, spanning over 5 million square
kilometres at its zenith under Ashoka.
The Empire was founded in 322 BCE by Chandragupta Maurya, who

had overthrown the Nanda Dynasty, and rapidly expanded his
power,with Chanakya's help, westward across central and western
India. His expansion took advantage of the disruptions of local
powers in the wake of the withdrawal westward by Alexander the
Great's armies. By 316 BCE, the empire had fully occupied
Northwestern India, defeating and conquering the satraps left by
Alexander. Chandragupta then defeated the invasion led by
Seleucus I, a Macedonian general from Alexander's army, and
gained additional territory west of the Indus River.
In its time, the Maurya Empire was one of the largest empires of the
world. At its greatest extent, the empire stretched to the north along
the natural boundaries of the Himalayas, to the east into Assam, to
the west into Balochistan (southwest Pakistan and southeast Iran)
and into the Hindu Kush mountains of what is now Afghanistan. The
Empire was expanded into India's central and southern regions by
the emperors Chandragupta and Bindusara, but it excluded a small
portion of unexplored tribal and forested regions near Kalinga
(modern Odisha), until it was conquered by Ashoka. It declined for
about 50 years after Ashoka's rule ended, and it dissolved in 185
BCE with the foundation of the Shunga Dynasty in Magadha.
Conquest of Magadha and

foundation of the Maurya
Empire ( c. 321 BCE)
According to several legends, Chanakya traveled to Magadha, a
kingdom that was large and militarily powerful and feared by its
neighbors, but was insulted by its king Dhana Nanda, of the Nanda
Dynasty. Chanakya swore revenge and vowed to destroy the Nanda
Empire.
The Nanda Empire originated from the region of Magadha in ancient

India during the 4th century BCE, and lasted until between 345-321
BCE. At its greatest extent, the empire ruled by the Nanda Dynasty
extended from Bengal in the east, to the Punjab region in the west,
and as far south as the V indhya Range. The rulers of this dynasty
were famed for the great wealth that they accumulated.
Chanakya encouraged the young Chandragupta Maurya and his

army to take over the throne of Magadha. Using his intelligence
network, Chandragupta gathered many young men from across
Magadha and other provinces, who were upset over the corrupt and
oppressive rule of King Dhana, as well as the resources necessary
for his army to fight a long series of battles. These men included the
former general of Taxila, accomplished students of Chanakya, the
representative of King Porus of Kakayee, his son Malayketu, and the
rulers of small states.
Maurya devised a strategy to invade Pataliputra, the capital of the

Nanda Empire. A battle was announced and the Magadhan army
was drawn from the city to a distant battlefield in order to engage
Maurya's forces. Meanwhile, Maurya's general and spies bribed the
Nanda's corrupt general, and created an atmosphere of civil war in
the kingdom, which culminated in the death of the heir to the throne.
Upon the civil unrest in the kingdom, Nanda resigned and

disappeared into exile. Chanakya contacted the prime minister,
Rakshasa, and convinced him that his loyalty was to Magadha, not
to the Nanda Dynasty, and that he should remain in office. Chanakya
reiterated that choosing to resist would start a war that would
severely affect Magadha and destroy the city. Rakshasa accepted
Chanakya's reasoning, and Chandragupta Maurya was legitimately
installed as the new King of Magadha in 321 BCE, at the age of 21.
Rakshasa became Chandragupta's chief advisor, and Chanakya
assumed the position of an elder statesman.
Statue of Chandragupta Maurya at the
Birla Mandir Hindu temple, Delhi
Chandragupta Maurya conquered the kingdom of Magadha to found
the Maurya Empire in 231 BCE, at the age of 21.
Northwest Ex pansion
With his new seat of power in Magadha, Chandragupta Maurya
defeated the remaining Macedonian satraps, and consolidated his
reign of the new Maurya Empire. He rapidly expanded his power
westward across central and western India, taking advantage of the
disruptions of local powers in the wake of the withdrawal westward
by Alexander the Great's Greek armies. By 320 BCE, the empire had
fully occupied Northwestern India. Chandragupta Maurya would
become the first emperor to unify India into one state, creating one of
the world's largest empires in its time, and the largest ever in the
Indian subcontinent.
The Maurya Empire c. 320 BCE

The Maurya Empire when it was first founded by Chandragupta
Maurya c. 320 BCE, after conquering the Nanda Empire when he
was only about 20 years old.
The empire covered Northern India, as well as portions of modern-

day Afghanistan, Bangladesh, Bhutan, India, Nepal, Pakistan, and
China.
6.5 .2: Ex pansion of the Maurya

Empire
After winning the Seleucid-Mauryan war, the Maurya Empire
expanded into the southern Indian subcontinent under the rule of
Ashoka the Great.
Learning Objective
Understand the expansion of the Maurya Empire
Key Points
The Seleucid Empire tried and failed to reconquer the
northwestern part of the Maurya Empire during the Seleucid-
Mauryan war, from 305-303 BCE.
As part of the peace offering, the Maurya Empire gained five
territories in exchange for 500 war elephants.
Several Greeks remained at the Mauryan court as ambassadors
to the Hellenistic world.
Chandragupta Maurya was succeed by his son, Bindusara, in
298 BCE, and then by Bindusara's son, Ashoka the Great, in
272 BCE.
Under Ashoka the Great, the Maurya Empire expanded into the
southern part of the Indian subcontinent.
Ashoka erected the Edicts of Ashoka, which state his policies
and accomplishments, and which were written in both Greek
and Sanskrit.
Key Terms
satrapies
The governors of the provinces of the ancient Median and

Achaemenid (Persian) Empires, and several of their successors,
such as the Sasanian Empire and the Hellenistic empires.
Edicts of Ashoka
Stone edicts that depicted the policies and accomplishments of

Ashoka the Great, and were written in both Greek and Sanskrit.
Ashoka the Great

Lived 304-232 BCE. As the king of the Maurya Empire, he
conquered the Indian subcontinent.
Seleucus
The king of the Seleucid Empire who tried to reconquer

northwestern Indian, but lost the Selecucid-Mauryan War.
The Seleucid-Mauryan W ar
In 305 BCE, Emperor Chandragupta Maurya led a series of
campaigns to retake the satrapies left behind by Alexander the Great
when he returned westward. Seleucus I fought to defend these
territories, but both sides made peace in 303 BCE.
Seleucus, one of Alexander's generals, received Babylonia and,

from there, expanded his dominions to include much of Alexander's
near eastern territories. Seleucus established himself in Babylon in
312 BC, the year used as the foundation date of the Seleucid
Empire. He ruled not only Babylonia, but the entire enormous
eastern part of Alexander's empire. The Seleucid Empire was a
major center of Hellenistic culture. In the areas where a Greek-
Macedonian political elite dominated (mostly urban), it maintained
the preeminence of Greek customs.
In 305 BCE, Seleucus I tried to reconquer the northwestern parts of

India in order to claim them for the growing Seleucid Empire. Little is
known of the campaign in which Chandragupta fought with Seleucus
over the Indus V alley and the region of Gandhara— a very wealthy
kingdom that had submitted decades earlier to Alexander the Great.
Seleucus lost the Seleucid-Mauryan War, and the two rulers

reconciled with a peace treaty. The Greeks offered a Macedonian
princess for marriage to Chandragupta, and several territories,
including the satrapies of Paropamisade (modern-day Kamboja and
Gandhara), Arachosia (modern-day Kandhahar), and Gedrosia
(modern-day Balochistan). In return, Chandragupta sent 500 war
elephants, a military asset which would play a decisive role in
Seleucus' victory against western Hellenistic kings at the Battle of
Ipsus in 301 BCE.

Chandragupta extended the borders of the Maurya Empire toward
Seleucid Persia, after defeating Seleucus c. 305 BCE.
The empire expanded farther west to modern-day Afghanistan.
In addition to this treaty, Seleucus dispatched two Greek

ambassadors, Megasthenes and, later, Deimakos, to the Mauryan
court at Pataliputra. Later, Ptolemy II Philadelphus, the ruler of
Ptolemaic Egypt, sent an ambassador named Dionysius to the
Mauryan court. Thus, continuing ties between the Hellenistic world
and the Mauryan Empire.
Ex pansion Under Bindusara

Chandragupta Maurya ruled from 322 BCE until his voluntary
retirement and abdication, in favor of his son, Bindusara, in 298
BCE. Bindusara (320-272 BCE) was the son of Maurya and his
queen, Durdhara. During his reign, Bindusara expanded the Maurya
Empire southward, with Chanakya as his advisor. He brought 16
states under the Maurya Empire and thus conquered almost all of
the Indian peninsula. Bindusara ignored the friendly Dravidian
kingdoms of the Cholas, ruled by King Ilamcetcenni, the Pandyas,
and Cheras. Apart from these southern states, Kalinga (modern-day
Odisha) was the only kingdom in India independent from Bindusara's
empire.

Bindausara (ruler 298-272 BCE) extended the borders of the empire
southward into the Deccan Plateau c. 290 BCE.
The empire grew farther South so that it covered most of modern-

day India.
Ashoka the Great

Bindusara died in 272 BCE, and was succeeded by his son, Ashoka
the Great (304-232 BCE). As a young prince, Ashoka (r. 272-232
BCE) was a brilliant commander who crushed revolts in Ujjain and
Taxila. As monarch, he was ambitious and aggressive, reasserting
the Empire's superiority in southern and western India. But it was his
conquest of Kalinga (262-261 BCE) that proved to be the pivotal
event of his life. Although Ashoka's army succeeded in
overwhelming Kalinga forces of royal soldiers and civilian units, an
estimated 100,000 soldiers and civilians were killed in the furious
warfare, including over 10,000 of Ashoka's own men. Hundreds of
thousands of people were adversely affected by the destruction and
fallout of war. When he personally witnessed the devastation,
Ashoka began feeling remorse. Although the annexation of Kalinga
was completed, Ashoka embraced the teachings of Buddhism, and
renounced war and violence. He sent out missionaries to travel
around Asia and spread Buddhism to other countries.
Ex tent of the Maurya Empire at its
height in 265 BCE
Ashoka the Great extended into Kalinga during the Kalinga War c.
265 BCE, and established superiority over the southern kingdoms.
The empire grew to cover all of modern-day India.
As ruler, Ashoka implemented principles of ahimsa (the principle of

"to not injure") by banning hunting and violent sports activities, and
ending indentured and forced labor (many thousands of people in
war-ravaged Kalinga had been forced into hard labor and servitude).
While he maintained a large and powerful army to keep the peace,
Ashoka expanded friendly relations with states across Asia and
Europe, and sponsored Buddhist missions. He undertook a massive
public works building campaign across the country. Among these
works were the construction of stupas, or Buddhist religious
structures, containing relics. One notable stupas created during the
reign of Ashoka was The Great Stupa, which stands in Sanchi, India.
Over 40 years of peace, harmony, and prosperity made Ashoka one
of the most successful and famous monarchs in Indian history. He
remains an idealized figure of inspiration in modern India.
The Edicts of Ashoka
Perhaps one of the greatest-known accomplishments of Ashoka was
his creation of his edicts, which were erected between 269 BCE and
232 BCE. The Edicts of Ashoka, set in stone, are found throughout
the Subcontinent. Ranging from as far west as Afghanistan, and as
far south as Andhra (Nellore District), Ashoka's edicts state his
policies and accomplishments. Although predominantly written in
Prakrit, two of them were written in Greek, and one in both Greek
and Aramaic. Ashoka's edicts refer to the Greeks, Kambojas, and
Gandharas as peoples forming a frontier region of his empire. They
also attest to Ashoka's envoys' travels to the Greek rulers in the west
as far as the Mediterranean. Ashoka's edicts also mentioned social
and cultural attributes of his empire, emphasizing Buddhism, though
not condemning other religions. For this, the Edicts of Ashoka are
known as an early document that promoted religious tolerance.
An Edict of Asoka
Bilingual inscription (Greek and Aramaic) by king Asoka, from
Kandahar. Kabul Museum
6.5 .3: Centraliz ation in the Maurya
Empire
The Mauryan Empire encouraged economic prosperity through
political stability and a unified central government.
Learning Objective
Describe the significance of the political stability offered by the
Mauryan Empire
Key Points
The Mauryan Empire was divided into four provinces, each
governed by the Kumara, who served as the king's
representative.
Emperor Ashoka maintained a massive standing army to protect
the Mauryan Empire and instill stability and peace across West
and South Asia.
Chandragupta Maurya, Ashoka’s grandfather, had established a
single currency across India, a network of regional governors
and administrators, and a civil service to provide justice and
security for merchants, farmers and traders that continued
throughout the Mauryan Dynasty.
The Mauryan international network of trade extended to the
Greek states and Hellenic kingdoms in West Asia and into
Southeast Asia.
Key Terms
Arthashastra
An ancient Indian treatise on government, statecraft, military,

and economy.
Khyber Pass
A strategically important trade stop on the modern boundary of

Pakistan and Afghanistan.
standing army
A permanent army composed of full-time soldiers that is not

disbanded during times of peace.
Kumara
A royal prince who oversaw the Mauryan provinces on behalf of

the emperor.
Employing a carefully organized bureaucratic system, the Maurya

Empire was able to maintain security and political unity across large
parts of western and southern Asia. This included a common
economic system supporting stable agriculture in its vast
landholdings, as well as successful trade and commerce. Through
this centralized authority, which included a powerful military, the
rulers of the empire bound together the previously fractured regions
of the Indian Subcontinent.
Unification and Military

Chandragupta Maurya, the founder of the Maurya Empire, ruled from
324-297 BCE, before voluntarily abdicating in favor of his son,
Bindusara, who ruled from 297 BCE until his death in 272 BCE. This
led to a war of succession in which Bindusara’s son, Ashoka,
defeated his brother, Susima, and rose to the throne in 268 BCE,
eventually becoming the greatest ruler of the Maurya Dynasty.
Before the Mauryan Empire, the Indian subcontinent was fragmented

into hundreds of kingdoms. These were ruled by powerful regional
chieftains with small armies that engaged in internecine warfare. The
Mauryan Army eliminated regional chieftains, private armies, and
even gangs of bandits, who sought to impose their own supremacy
in small areas.
The Mauryan Army, the largest standing military force of its time,
supported the expansion and defense of the empire. According to
scholars, the empire wielded 600,000 infantry, 30,000 cavalry, and
9,000 war elephants, while a vast espionage system collected
intelligence for both internal and external security purposes.
Although Emperor Ashoka renounced offensive warfare and
expansionism, he maintained this standing army to protect the
empire from external threats and maintain stability and peace across
Western and Southern Asia.
Administration
The Mauryan Empire was divided into four provinces, with the
imperial capital at Pataliputra, near the Ganges River in the modern
state of Bihar in India. The Edicts of Ashoka, a collection of
inscriptions made during Ashoka’s reign from 268-232 BCE, give the
names of the Maurya Empire’s four provincial capitals: Tosali in the
east, Ujjain in the west, Suvarnagiri in the south, and Taxila in the
north.
The organizational structure began at the imperial level with the

emperor and his Mantriparishad, or Council of Ministers. The head of
the provincial administration was the Kumara, or royal prince, who
governed the provinces as the king's representative, with the
assistance of Mahamatyas, who were essentially regional prime
ministers. Through this sophisticated system of bureaucracy, the
empire governed all aspects of government at every level, from
municipal hygiene to international trade.
Maurya Empire at its greatest ex tent
( dark orange) , including vassal
kingdoms ( light orange) , 265 BCE
The Maurya Empire provided political stability with a unified central
government, which in turn encouraged economic prosperity.
The map shows the empire covering all of modern-day India, as well
as portions of modern-day Afghanistan, Bangladesh, Bhutan, India,
Iran, Nepal, Pakistan, and China.
Centraliz ation and Tax ation

Chandragupta Maurya, the father of the dynasty, established a single
currency across India, a network of regional governors and
administrators, and a civil service to provide justice and security for
merchants, farmers, and traders.
Through the disciplined central authority of the Mauryan Empire,
farmers were freed of tax and crop collection burdens from regional
kings. Instead, they paid a nationally administered system of taxation
that was strict but fair. The system operated under the principles of
the Arthashastra, an ancient Indian treatise on economic policy,
statecraft, and military strategy. Written in Sanskrit and adhering to
Hindu philosophies, the Arthashastra includes books on the nature of
government, law, civil and criminal courts, ethics, and economic
topics, including markets and trade, agriculture, mineralogy, mining
and metals, forestry, and others.
Although regimental in revenue collection, the Mauryan Empire

funded numerous public works projects to enhance productivity. Like
his father and grandfather, Ashoka sponsored the construction of
thousands of roads, waterways, canals, rest houses, hospitals, and
other types of infrastructure.
Under continued Mauryan rule, political unity and military security

encouraged a common economic system, increased agricultural
productivity, and enhanced widespread trade and commerce for the
first time in West and South Asia.
Coins of the Maurya Empire

Chandragupta Maurya established a single currency across India,
including these silver punch mark coins with symbols of wheel and
elephant, 3rd century BCE
Trade and Commerce
The Maurya Empire’s political unity and internal peace encouraged
the expansion of trade in India. Under the Indo-Greek friendship
treaty during Ashoka's reign, the Mauryan international network of
trade saw great expansion.
The Khyber Pass, on the modern boundary of Pakistan and

Afghanistan, became a strategically important point of trade and
interaction with the outside world. Greek states and Hellenic
kingdoms in West Asia became trading partners. Trade also
extended through the Malay Peninsula into Southeast Asia. India's
exports included silk, textiles, spices, and exotic foods. The outside
world gained new scientific knowledge and technology through
expanded trade with the Mauryan Empire.
6.5 .4: Ashoka's Conversion

Mauryan emperor Ashoka embraced Buddhism after witnessing the
mass deaths of the Kalinga War, which he himself had waged out of
a desire for conquest.
Learning Objective
Discuss the effects of Ashoka the Great's conversion to Buddhism
Key Points
While the early part of Ashoka's reign was apparently quite
bloodthirsty, he became a follower of the Buddha's teachings
after his conquest of Kalinga.
According to a contemporary text, the Edicts of Ashoka, Ashoka
converted to Buddhism because he "felt remorse on account of
the conquest of Kalinga because, during the subjugation of a
previously unconquered country, slaughter, death, and taking
away captive of the people necessarily occur."
In one source, his conversion is presented as a gradual process
coming from intense personal anguish, rather than spurred by a
specific event.
As a Buddhist emperor, Ashoka believed that Buddhism is
beneficial for all human beings, as well as animals and plants,
so he built a number of stupas. He also well spread Buddhism to
neighboring kingdoms.
Key Terms
Edicts of Ashoka
A collection of 33 inscriptions on the Pillars of Ashoka, as well

as boulders and cave walls, made by the Emperor Ashoka of
the Mauryan Empire during his reign, from 269 BCE to 232
BCE.
Dharma
Cosmic law and order, behaviors that are considered to be in

accord with the order that makes life and the universe possible,
including duties, rights, laws, conduct, virtues, and ‘ ‘ right way of
living." Also specifically signifies the teachings of the Buddha.
Background: Conquest of
Kalinga
While the early part of Ashoka's reign was apparently quite
bloodthirsty, he became a follower of the Buddha's teachings after
his conquest of Kalinga on the east coast of India in the present-day
states of Odisha and North Coastal Andhra Pradesh. Kalinga was a
state that prided itself on its sovereignty and democracy. With its
monarchical parliamentary democracy, it was quite an exception in
ancient Bharata where there existed the concept of Rajdharma.
Rajdharma means the duty of the rulers, which was intrinsically
entwined with the concept of bravery and dharma. The Kalinga War
happened eight years after his coronation. From Ashoka's 13th
inscription, we come to know that the battle was a massive one and
caused the deaths of more than 100,000 soldiers and many civilians
who rose up in defence; over 150,000 were deported. When he was
walking through the grounds of Kalinga after his conquest, rejoicing
in his victory, he was moved by the number of bodies strewn there
and the wails of the bereaved.
Conversion to Buddhism
Edict 13 on the Edicts of Ashoka Rock Inscriptions reflect the great
remorse the king felt after observing the destruction of Kalinga:
His Majesty felt remorse on account of the conquest of Kalinga

because, during the subjugation of a previously unconquered
country, slaughter, death, and taking away captive of the people
necessarily occur, whereas His Majesty feels profound sorrow
and regret.
The edict goes on to address the even greater degree of sorrow and
regret resulting from Ashoka's understanding that the friends and
families of deceased would suffer greatly too.
Legend says that one day after the war was over, Ashoka ventured
out to roam the city and all he could see were burnt houses and
scattered corpses. The lethal war with Kalinga transformed the
vengeful Emperor Ashoka into a stable and peaceful emperor, and
he became a patron of Buddhism. According to the prominent
Indologist, A. L. Basham, Ashoka's personal religion became
Buddhism, if not before, then certainly after the Kalinga War.
However, according to Basham, the Dharma officially propagated by
Ashoka was not Buddhism at all. Nevertheless, his patronage led to
the expansion of Buddhism in the Mauryan empire and other
kingdoms during his rule, and worldwide from about 250 BCE.
After the Kalinga War and Ashoka's conversion, the Empire

experienced nearly half a century of peace and security. Mauryan
India also enjoyed an era of social harmony, religious transformation,
and expansion of the sciences and of knowledge. Chandragupta
Maurya's embrace of Jainism increased social and religious renewal
and reform across his society, while Ashoka's embrace of Buddhism
has been said to have been the foundation of the reign of social and
political peace and non-violence across all of India.
Buddhist Kingship
One of the more enduring legacies of Ashoka Maurya was the model
that he provided for the relationship between Buddhism and the
state. Throughout Theravada Southeastern Asia, the model of
rulership embodied by Ashoka replaced the notion of divine kingship
that had previously dominated (in the Angkor kingdom, for instance).
Under this model of "Buddhist kingship," the king sought to legitimize
his rule, not through descent from a divine source, but by supporting
and earning the approval of the Buddhist sangha. Following
Ashoka's example, kings established monasteries, funded the
construction of stupas, and supported the ordination of monks in
their kingdom. Many rulers also took an active role in resolving
disputes over the status and regulation of the sangha, as Ashoka
had by calling a conclave to settle a number of contentious issues
during his reign. This development ultimately led to a close
association in many Southeast Asian countries between the
monarchy and the religious hierarchy, an association that can still be
seen today in the state-supported Buddhism of Thailand, and the
traditional role of the Thai king as both a religious and secular leader.
Ashoka also said that his courtiers always governed the people in a
moral manner.
As a Buddhist emperor, Ashoka believed that Buddhism is beneficial
for all human beings, as well as animals and plants, so he built a
number of stupas, Sangharama, viharas, chaitya, and residences for
Buddhist monks all over South Asia and Central Asia. According to
the Ashokavadana, he ordered the construction of 84,000 stupas to
house the Buddhas relics. In the Aryamanjusrimulakalpa, Ashoka
takes offerings to each of these stupas, traveling in a chariot
adorned with precious metals. He gave donations to viharas and
mathas. He sent his only daughter, Sanghamitra, and son, Mahindra,
to spread Buddhism in Sri Lanka (then known as Tamraparni).
Stupa
Great Stupa (3rd century BC), Sanchi, India. Ashoka ordered the
construction of 84,000 stupas to house the Buddhas relics.
An image of a stupa built by Ashoka, a large dome building with

images etched in the sides.
Debate About Ashoka's

Conversion and Rule
The use of Buddhist sources in reconstructing the life of Ashoka has
had a strong influence on perceptions of Ashoka, as well as the
interpretations of his Edicts. Building on traditional accounts, early
scholars regarded Ashoka as a primarily Buddhist monarch who
underwent a conversion to Buddhism and was actively engaged in
sponsoring and supporting the Buddhist monastic institution. Some
scholars have tended to question this assessment. The only source
of information not attributable to Buddhist sources are the Ashokan
Edicts, and these do not explicitly state that Ashoka was a Buddhist.
In his edicts, Ashoka expresses support for all the major religions of
his time: Buddhism, Brahmanism, Jainism, and Ajivikaism. His edicts
addressed to the population at large (there are some addressed
specifically to Buddhists, which is not the case for the other religions)
generally focus on moral themes that members of all the religions
would accept.
However, the edicts alone strongly indicate that he was a Buddhist.

In one edict he belittles rituals, and he banned V edic animal
sacrifices; these strongly suggest that he at least did not look to the
V edic tradition for guidance. Furthermore, many edicts are
expressed to Buddhists alone; in one, Ashoka declares himself to be
an "upasaka," and in another he demonstrates a close familiarity
with Buddhist texts. He erected rock pillars at Buddhist holy sites, but
did not do so for the sites of other religions. He also used the word
"dhamma" to refer to qualities of the heart that underlie moral action;
this was an exclusively Buddhist use of the word. Finally, he
promoted ideals that correspond to the first three steps of the
Buddha's graduated discourse.
Interestingly, the Ashokavadana, presents an alternate view of the

familiar Ashoka. In this source, his conversion has nothing to do with
the Kalinga War or his descent from the Maurya dynasty. Instead,
Ashoka's reason for adopting non-violence appears much more
personal. The Ashokavadana shows that the main source of
Ashoka's conversion, and the acts of welfare that followed, are
rooted instead in intense personal anguish, from a wellspring inside
himself rather than spurred by a specific event. It thereby illuminates
Ashoka as more humanly ambitious and passionate, with both
greatness and flaws. This Ashoka is very different from the "shadowy
do-gooder" of later Pali chronicles.
6.5 .5 : Decline of the Maurya Empire

The Sunga Dynasty usurped the Maurya Dynasty, and parts of the
empire were incorporated into the Indo-Greek Kingdom.
Learning Objective
Describe the factors that contributed to the decline of the Maurya
Empire
Key Points
Ashoka the Great's rule was followed by 50 years of weak kings
who did not retain strong central authority. This eventually led to
the dissolution of the Maurya Empire.
General Pusyamitra Sunga staged a coup against the Maurya
Dynasty in 185 BCE. As a result, he ascended the throne and
founded the Sunga Dynasty.
In 180 BCE, the Greco-Bactrian King Demetrius conquered the
northwestern Indian territories and founded the Indo-Greek
Kingdom.
Buddhism lost favor when the Sunga Dynasty gained power, but
remained dominant in the Ind0-Greek Kingdom.
Key Terms
Khyber Pass
A mountain pass connecting Afghanistan and Pakistan; it has

been an important trade route between Central Asia and South
Asia, and a strategic military location.
Demetrius
The Greco-Bactrian king who established the Indo-Greek

kingdom when he conquered parts of northwestern India,
around 180 BCE.
Sunga
The dynasty founded by the general Pusyamitra Sunga after he

staged a coup against the Maurya dynasty in 185 BCE.
Buddhism
A religion encompassing a variety of traditions, beliefs, and

spiritual practices largely based on teachings attributed to the
Buddha.
A 50-year succession of weak kings followed the reign of Ashoka the

Great, the Indian emperor of the Maurya Dynasty who died in 232
BCE. As Ashoka's highly centralized government lost power, the
Maurya Empire lost control over its territories. The different cultures
and economies began to break apart, although the kings maintained
Buddhism as the state religion.
Sunga Coup and Rule

Brihadratha, the last ruler of the Maurya Dynasty, was assassinated
in 185 BCE. The commander-in-chief of his guard, Brahmin General
Pusyamitra Sunga, killed Brihadratha during a military parade and
ascended the throne. He established the Sunga Dynasty, which
prospered from approximately 187 to 78 BCE. Pusyamitra was
succeeded after 36 years by his son, Agnimitra, beginning the
dynasty of ten Sunga rulers overall. They conducted wars with both
foreign and indigenous powers, including the Kalinga, the
Satavahana Dynasty, and the Indo-Greek Kingdom. The Sungas
were succeeded by the Kanva Dynasty around 73 BCE.
Sunga rulers helped establish the tradition of royal sponsorship of

education and the arts at a time when some of the most important
developments in Hindu thought were taking place. The Mathura art
style took hold during this time, and many small terracotta images,
larger stone sculptures, and architectural monuments from the
Sunga period are still in existence.
Sunga Royal Family, c. 15 0 BCE

Art and learning prospered under Sunga patronage, as seen in this
terracotta tablet of the Sunga Royal family.
Sunga and Buddhism
The Sungas favored Hinduism over Buddhism. Buddhist sources,
such as the Ashokavadana, an Indian Sanskrit text describing the
birth and reign of Ashoka the Great, mention that Pusyamitra was
hostile towards Buddhists and allegedly persecuted members of the
Buddhist faith. A large number of Buddhist monasteries, called
viharas, were allegedly converted to Hindu temples in such places
as Nalanda, Bodhgaya, Sarnath, or Mathura. Some historians argue,
however, that Buddhist accounts of Sunga persecution are largely
exaggerated.
Sunga Empire, c. 18 5 BCE
The Sunga Dynasty was established following a coup by General
Pusyamitra Sunga, marking the end of the Maurya Empire.
The map shows that the Shunga Empire covered portions of

modern-day northeast India, as well as portions of modern-day
Bangladesh and Nepal.
Indo-Greek Kingdom
In the east, the fall of the Mauryas left the Khyber Pass unguarded,
and a wave of foreign invasion followed. The Greco-Bactrian king,
Demetrius, capitalized on the break-up and conquered southern
Afghanistan and parts of northwestern India around 180 BCE,
forming the Indo-Greek Kingdom. The Indo-Greeks maintained
territorial holdings for about a century in the Trans-Indus Region, in
what is now Pakistan and parts of central India.
Demetrius, who lived from 175 to 140 BCE, founded the city of
Sirkap, combining Greek and Indian influences without signs of
segregation between the two cultures. The Greek expansion into
Indian territory may have been intended to protect Greek populations
in India, as well as to protect the Buddhist faith from the alleged
religious persecutions of the Sungas.
Seated Buddha statue showing Greek

influences
Buddhism was favored in the Indo-Greek Kingdom. Many statues of
Buddha from this period display Greek stylistic elements including
Greek clothing.
Demetrius was succeeded by Menander, who conquered the largest
territory and was one of the most successful Indo-Greek kings. His
coins that have been discovered are the most numerous and
widespread of all the Indo-Greek kings. According to Buddhist
literature, Menander converted to Buddhism and is sometimes
described as the Milinda Panha. He helped Buddhism flourish and
established the new capital of Sagala.
Coin depicting Menander I

Described in both Greek and Indian accounts, Menander I became
the most important of the Indo-Greek rulers. He converted to
Buddhism and expanded the Indo-Greek Kingdom.
In Indian literature, the Indo-Greeks are described as "Yavanas" in

Sanskrit, or "Yonas" in Pali, which are both thought to be
transliterations of "Ionians." The Buddhist scripture, Majjhima
Nikaya, explains that in contrast with the numerous Indian castes,
there were only two classes of people in Indo-Greek culture: the
Aryas, translated as the masters; and Dasas, the servants.
Indo-Greek Fall
Throughout the first century BCE, the Indo-Greeks progressively lost
ground to the Indians in the East, and the Scythians, the Yuezhi, and
the Parthians in the West. About 20 Indo-Greek kings are known
during this period, including last known Indo-Greek ruler, Strato II,
who ruled in the Punjab region until around 55 BCE.
Attributions
Rise of the Maurya Empire
"Chandragupta Maurya."
http://en.wikipedia.org/wiki/Chandragupta_Maurya.
"Maurya Empire."
http://en.wikipedia.org/wiki/Maurya_Empire. Wikipedia CC
BY-SA 3.0.
"Chandragupt maurya Birla mandir 6 dec 2009."
https://commons.wikimedia.org/wiki/File:Chandragupt_maur
ya_Birla_mandir_6_dec_2009_(31)_(cropped).JPG.
Wikimedia Public domain.
"Chandragupta Empire 320 BC."
https://commons.wikimedia.org/wiki/File:Chandragupta_Em
pire_320_BC.png. Wikimedia Public domain.
Expansion of the Maurya Empire
"Chandaguptra Maurya."
http://en.wikipedia.org/wiki/Chandragupta_Maurya.
"Edicts of Ashoka."
http://en.wikipedia.org/wiki/Edicts_of_Ashoka. Wikipedia
CC BY-SA 3.0.
"Seleucid-Mauryan War."
http://en.wikipedia.org/wiki/Seleucid%E2%80%93Mauryan_
war. Wikipedia CC BY-SA 3.0.
"Maurya Empire."
BY-SA 3.0.
"Bindusara." http://en.wikipedia.org/wiki/Bindusara.
"Chandragupta mauryan empire 305 BC."
http://en.wikipedia.org/wiki/File:Chandragupta_mauryan_e
mpire_305_BC.gif. Wikipedia Public domain.
"AsokaKandahar."
http://en.wikipedia.org/wiki/File:AsokaKandahar.jpg.
"Chandragupta Maurya Empire."
http://en.wikipedia.org/wiki/File:Chandragupta_Maurya_Em
pire.gif. Wikimedia Public domain.
"Mauryan Empire Map."
http://en.wikipedia.org/wiki/File:Mauryan_Empire_Map.gif.
Centralization in the Maurya Empire
"Arthashastra." https://en.wikipedia.org/wiki/Arthashastra.
"Ashoka." https://en.wikipedia.org/wiki/Edicts_of_Ashoka.
CC BY-SA 3.0.
"Indian Subcontinent."
https://en.wikipedia.org/wiki/Indian_subcontinent. Wikipedia
CC BY-SA 3.0.
"Maurya Empire."
BY-SA 3.0.
"Mauryan Empire ca. 265 BCE."
http://en.wikipedia.org/wiki/File:Mauryan_Empire_ca._265_
BCE.png. Wikimedia CC BY-SA 3.0.
"Mauyran Coin."
http://en.wikipedia.org/wiki/File:MauryanCoin.JPG.
Ashoka's Conversion
"History of Buddhism."
https://en.wikipedia.org/wiki/History_of_Buddhism.
"Maurya Empire."
https://en.wikipedia.org/wiki/Maurya_Empire. Wikipedia CC
BY-SA 3.0.
CC BY-SA 3.0.
"Sanchi2.jpg."
https://commons.wikimedia.org/wiki/File:Sanchi2.jpg.
Decline of the Maurya Empire
"Indo-Greek Kingdom." https://en.wikipedia.org/wiki/Indo-
Greek_Kingdom. Wikipedia CC BY-SA 3.0.
"Ashokavadana."
https://en.wikipedia.org/wiki/Ashokavadana. Wikipedia CC
BY-SA 3.0.
CC BY-SA 3.0.
"Buddhism." https://en.wikipedia.org/wiki/Buddhism.
"Khyber Pass." https://en.wikipedia.org/wiki/Khyber_Pass.
"Demetrius."
https://en.wikipedia.org/wiki/Demetrius_I_of_Bactria.
"Sunga (Shunga) Empire."
https://en.wikipedia.org/wiki/Shunga_Empire. Wikipedia CC
BY-SA 3.0.
"Maurya Empire."
BY-SA 3.0.
"Royal family Sunga West Bengal 1st century BCE."
https://commons.wikimedia.org/wiki/File:Royal_family_Sung
a_West_Bengal_1st_century_BCE.jpg. Wikimedia CC BY-
SA 3.0.
"SeatedBuddhaGandhara2ndCenturyOstasiatischeMuseum
."
https://commons.wikimedia.org/wiki/File:SeatedBuddhaGan
dhara2ndCenturyOstasiatischeMuseum.jpg. Wikimedia CC
BY-SA 3.0.
"Sunga-Border."
https://commons.wikimedia.org/wiki/File:Sunga-Border.jpg.
"MenandrosCoin."
https://commons.wikimedia.org/wiki/File:MenandrosCoin.jpg
. Wikimedia Public domain.
6.6: The Kushan Empire
6.6.1: Ex pansion and Decline of the
Kushan Empire
The Kushan Empire expanded from Greco-Bactrian lands into China
and India, until its collapse in 375 CE.
Learning Objective
Explain the importance of the Kushan Empire
Key Points
The Yuezhi invaded the Greco-Bactrian kingdom around 135
BCE, displacing the Greek dynasties. The Kushans, a Yuezhi
branch, spread south into the region traditionally known as
Gandhara, and then expanded across the northern parts of the
Indian subcontinent.
Around 152 CE, the emperor Kanishka sent his armies north to
capture territories in present-day western China, and south into
modern central India. A direct road from the Kushan Empire and
China, as well as the security offered by the Kushan Empire,
facilitated trade with the Roman Empire, Sassanid Persia,
Aksumite Empire, and Han China.
The Kushans were influenced by the Hellenistic kingdoms, and
maintained a wide variety of faiths, including
Zoroastrianism, Buddhism, and Hinduism.
Kushan control fragmented into semi-independent kingdoms as
the Sassanians attacked from the west and the Guptas attacked
from the east, collapsing the Kushan Empire around 375 CE.
Key Terms
Greco-Bactrian Kingdom
The easternmost part of the Hellenistic world, covering Bactria

and Sogdiana in Central Asia from 250-125 BCE. The Greco-
Bactrians expanded into northern India and established the
Indo-Greek Kingdom in 180 BCE, which lasted until around 10
CE.
The Kushans
One of five branches of the Yuezhi, who invaded Bactria in 135

BCE, and spread southeast to form the Kushan Empire around
30 CE.
Yuezhi
An ancient Indo-European people who originally settled in the

grasslands of the eastern Tarim Basin, part of modern China.
Zoroastrianism
One of the world’s oldest monotheistic religions, founded by the

Prophet Zoroaster in ancient Iran approximately 3,500 years
ago.
Indo-Sassanids
A branch of the Sassanid Persians, who established their rule in

the northwestern Indian subcontinent during the third and fourth
centuries, at the expense of the declining Kushans.
Kanishka
Buddhist emperor who expanded the Kushan Empire east into

the middle of the Indian subcontinent, and north into China.
The Kushan Empire in South Asia originally formed in the early 1st
century CE, in the territories of ancient Bactria, around the Oxus
River in Central Asia. The Kushans spread from the Kabul River
V alley to defeat other Central Asian tribes. These conquests included
parts of the northern central Iranian Plateau, once ruled by the
Parthian Empire— a major political and cultural power in ancient Iran
and Iraq. The Kushans reached their peak under Emperor Kanishka
(127-151 CE), a Buddhist whose realm stretched from China to
northern and eastern India and parts of Pakistan.
Kushan Origins ( 30-37 5 CE)

The Kushans were one of five branches of the Yuezhi confederation,
an Indo-European nomadic people. The Yuezhi lived in the
grasslands of eastern Central Asia's Tarim Basin, in modern-day
X injiang, China (possibly speaking varieties of Indo-European
languages), until they were driven west by the X iongnu in 176-160
BCE.
The Yuezhi reached the Greco-Bactrian Kingdom, located in

northern Afghanistan and Uzbekistan, around 135 BCE, and
displaced the Greek dynasties that resettled to the southeast in
areas of the Hindu Kush and the Indus basin, in present-day
Afghanistan and Pakistan. The Kushans spread out from Bactria to
defeat other Central Asian tribes.
Kushan Ex pansion
As they wrested territories from the Scythian tribes, the Kushans
expanded south into the region traditionally known as Gandhara,
establishing the twin capitals Kapisa and Pushklavati, near modern-
day Kabul and Peshawar, respectively. During the 1st and early 2nd
centuries CE, the Kushans expanded across the northern parts of
the Indian subcontinent. Around 152 CE, Emperor Kanishka, a
Buddhist, sent his armies north of the Karakoram Mountains to
capture additional territories, and subsequently opened a direct road
from Gandhara to China that remained under Kushan control for
more than a century.
Diplomacy and Trade

At the height of the dynasty, the Kushans loosely ruled a territory that
extended to the Aral Sea through present-day Uzbekistan,
Afghanistan, and Pakistan, into northern India. They had diplomatic
contacts with the Roman Empire, Sassanid Persia, Aksumite
Empire, and Han China. The Kushan Empire linked the seagoing
trade of the Indian Ocean with the commerce of the Silk Road, via
the Indus V alley, while providing security that encouraged travel
across the Khunjerab Pass and facilitated the spread of Mahayana
Buddhism to China.
Culture and Religion

Although philosophy, art, and science developed within its borders,
the only textual record we have of the Kushan Empire's history
comes from inscriptions and accounts in other languages,
particularly Chinese. The Kushans are believed to have been
predominantly practitioners of Zoroastrianism, one of the world’s
oldest monotheistic religions founded by the Prophet Zoroaster in
ancient Iran approximately 3,500 years ago. Yet, the Kushans also
adopted aspects of Buddhist culture and, like the Egyptians,
absorbed remnants of the Greek culture of the Hellenistic kingdoms.
Kushan emperors represented a wide variety of faiths, including
Zoroastrianism, Buddhism, and possibly Saivism, a sect of
Hinduism.
Kushan worshipper with
Z eus/ Serapis/ Ohrmaz d, 3rd century
CE
The Kushans were influenced by the Hellenistic kingdoms and
maintained a wide variety of faiths, including Zoroastrianism,
Buddhism, and Hinduism.
Kushan Decline
After the death of Emperor V asudeva I in 225, the Kushan Empire
split into western and eastern halves. The western Kushans in
Afghanistan were soon conquered by the Persian Sassanid Empire.
In 248 CE, they were defeated again by Persians, who deposed the
western dynasty and replaced them with Persian vassals— cities or
kingdoms that forfeited foreign policy independence, in exchange for
full autonomy and, in some cases, formal tribute—known as the
Indo-Sassanids, or Kushanshas.
The eastern Kushan kingdom was based in the Punjab. Around 270
CE, their territories on the Gangetic Plain became independent
under local dynasties, such as the Yaudheyas. In the mid-4th century
they were subjugated by the Gupta Empire under its leader,
Samudragupta. The last of the Kushan and Sassanian kingdoms
were eventually overwhelmed by the Hepthalites, another Indo-
European people from the north.
Attributions
Expansion and Decline of the Kushan Empire
"Yuezhi." http://en.wikipedia.org/wiki/Yuezhi. Wikipedia CC
BY-SA 3.0.
"Kushan Empire."
http://en.wikipedia.org/wiki/Kushan_Empire. Wikipedia CC
BY-SA 3.0.
"Indo-Sasanians." https://en.wikipedia.org/wiki/Indo-
Sasanians. Wikipedia CC BY-SA 3.0.
"Kanishka." https://en.wikipedia.org/wiki/Kanishka.
"Zoroastrianism."
https://en.wikipedia.org/wiki/Zoroastrianism. Wikipedia CC
BY-SA 3.0.
"Khunjerab Pass."
https://en.wikipedia.org/wiki/Khunjerab_Pass. Wikipedia CC
BY-SA 3.0.
"ZeusSerapisOhrmazdWithWorshipperBactria3rdCenturyC
E."
https://commons.wikimedia.org/wiki/File:ZeusSerapisOhrma
zdWithWorshipperBactria3rdCenturyCE.jpg. Wikimedia CC
BY-SA 3.0.
6.7 : The Gupta Empire
6.7 .1: Rise of the Gupta Empire
From 320-550 CE, the Gupta Empire assimilated neighboring
kingdoms, through conquest or political alliances.
Learning Objective
Explain the factors that contributed to the rise of the Gupta Empire
Key Points
Sri Gupta founded the Gupta Empire c. 240-280 CE, and was
succeeded by his son, Ghatotkacha, c. 280-319 CE, followed by
Ghatotkacha's son, Chandragupta, c. 319-335 CE.
After Chandragupta married princess Kumaradevi from the
kingdom of Magadha, he conquered or assimilated the nearby
kingdoms and assumed the imperial title of Maharajadhiraja,
meaning "King of Kings."
Chandragupta's son, Samudragupta, assumed the throne in 335
CE, and conquered several neighboring kingdoms; eventually,
the Gupta Empire extended across the entire Indian
subcontinent.
Samudragupta was succeeded by his son, Chandragupta II,
who continued to expand the Gupta Empire through conquest
and political alliances.
Key Terms
Maharajadhiraja
A Sanskrit title for "Prince of Princes" or "King of Kings," several
degrees higher than the title Maharaja, which means "Great
King."
Ashwamedha
A V edic ritual horse sacrifice; Samudragupta commemorated his

territorial conquests with one of these rituals.
The Gupta Empire, founded by Maharaja Sri Gupta, was an ancient

Indian realm that covered much of the Indian Subcontinent from
approximately 320-550 CE. Gupta rule, while solidified by territorial
expansion through war, began a period of peace and prosperity
marked by advancements in science, technology, engineering, art,
dialectics, literature, logic, mathematics, astronomy, religion, and
philosophy.
Gupta Empire Origins

The Gupta Empire was believed to be a dynasty of the V aishya
caste, the third of the four Hindu castes representing merchants and
farmers. Founded by Sri Gupta c. 240-280 CE, there are
contradictory theories regarding the original homeland of the Guptas.
Historians believe Sri Gupta and his son may have been Kushan
vassals, or rulers who swore allegiance to the Kushan Empire. Sri
Gupta's son and successor, Ghatotkacha, ruled from c. 280-319 CE,
while his son, Chandragupta, ascended the throne around 319 and
ruled until 335 CE.
Chandragupta married princess Kumaradevi from the Kingdom of

Magadha, which was one of the Mahajanapadas (or great countries)
of ancient India during the 4th century CE. With a dowry and political
alliance from the marriage, Chandragupta conquered or assimilated
the kingdoms of Magadha, Prayaga, and Saketa. By 321 CE, he
established a realm stretching along the Ganges River to Prayag,
the modern-day city of Allahabad, in the Indian state of Uttar
Pradesh. Hindus believe the god Brahma offered his first sacrifice
after creating the world at Prayag.
Queen Kumaradevi and King

Chandragupta I
A coin from the period of Indian Emperor Samudragupta, 335-380
CE, depicting his parents, King Chandragupta and Queen
Kumaradevi.
Gupta Empire Ex pansion

Samudragupta succeeded his father, Chandragupta I, in 335 CE,
and ruled for about 45 years. He conquered the kingdoms of
Ahichchhatra and Padmavati early in his reign, then attacked
neighboring tribes, including the Malwas, Yaudheyas, Arjunayanas,
Maduras, and Abhiras. By his death in 380 CE, Samudragupta had
incorporated over 20 kingdoms into his realm, and extended the
Gupta Empire from the Himalayas to the Narmada River in central
India, and from the Brahmaputra River that cuts through four modern
Asian nations to the Yamuna— the longest tributary of the Ganges
River in northern India.
To celebrate his conquest, Samudragupta performed the royal V edic
ritual of Ashwamedha, or horse sacrifice. Special coins were minted
to commemorate the Ashvamedha, and the king took the title of
Maharajadhiraja (or “ King of Kings” ) even higher than the traditional
ruler’s title of Maharaja.
According to the Gupta records, Samudragupta nominated his son,

Prince Chandragupta II, born of Queen Dattadevi, as his successor.
However, his eldest son, Ramagupta, may have been his immediate
successor until he was dethroned by Chandragupta II in 380 CE.
Gupta Empire, 320-600 CE
The Gupta Empire expanded through conquest and political
alliances until 395 CE, when it extended across the entire Indian
subcontinent.
The map shows that the empire covered all of northern Indian as
well as a strip of land on the southeastern coast of India.
Gupta Empire of Chandragupta

II
After gaining power, Chandragupta II expanded the Gupta Empire
through conquest and political marriages until the end of his reign in
413 CE. By 395 CE, his control over India extended coast-to-coast.
At the high point of his rule, Chandragupta II established a second
capital at Ujjain, the largest city in the modern state of Madhya
Pradesh in central India. Ujjain, on the eastern bank of the Kshipra
River, remained an important political, commercial, and cultural hub
through the early 19th century.
V ikramaditya is the name of an emperor of ancient Indian legend,

characterized as the ideal king known for generosity, courage, and
as a patron of scholars. A number of historians believe that some of
these legends are based on Chandragupta II, who is thought to have
adopted the title of V ikramaditya.
In the legends, V ikramaditya is said to have thwarted an invasion by

the Saka, a group of eastern Iranian nomadic tribes, also known as
Scythians, and gained the title of Sakari, or Enemy of the Saka.
Chandragupta II conquered the western Indian region of Malwa after
defeating the Western Kshatrapas, a branch of the Sakas, as well as
expelling the Kushana Empire from the northern Indian city state
Mathura. These victories were likely transposed onto the legendary
character of V ikramaditya.
Chandragupta II issued gold coin types introduced by his father,

Samudragupta, but also introduced several new types of coins,
differentiated by the designs on the face of each coin line, such as
the Archer or the Tiger-Slayer. He was also the first Gupta king to
issue silver coins.
One of the most curious structures in Delhi, India (an iron pillar
dating back to the 4th century CE) bears an inscription stating that it
was erected as a flagstaff in honor of the Hindu god V ishnu, and in
memory of Chandragupta II. The pillar, made of 98% wrought iron, is
considered a highlight of ancient Indian achievements in metallurgy;
it has stood more than 1,600 years without rusting or decomposing.
Iron Pillar of Delhi
The Iron Pillar of Delhi, India, erected by Chandragupta II to honor
the Hindu god V ishnu, in the 4th century CE.
Despite the expansion of the Gupta Empire through war, there were
numerous examples of cultural sophistication during the Gupta era,
with architecture, sculptures and paintings surviving as reminders of
the creativity of the time. Under Gupta rule, a number of notable
scholars thrived, including Kalidasa, considered the greatest poet
and dramatist of the Sanskrit language; Aryabhata, the first of the
Indian mathematician-astronomers who worked on the
approximation for Pi; V ishnu Sharma, thought to be the author of the
Panchatantra fables, one of the most widely-translated, non-religious
books in history; and the Hindu philosopher V atsyayana, author of
the K ama Sutra.
The period of Gupta rule, especially the reign of Chandragupta II, is

still remembered as the Golden Age of India.
6.7 .2: The Golden Age of India

The prosperity of the Gupta Empire produced a golden age of
cultural and scientific advancements.
Learning Objective
Understand the significance of the Golden Age of India
Key Points
Prosperity in the Gupta Empire initiated a period known as the
Golden Age of India, marked by extensive inventions and
discoveries in science, technology, engineering, art, dialectic,
literature, logic, mathematics, astronomy, religion, and
philosophy.
Chandragupta II promoted the synthesis of science, art,
philosophy, and religion, in part because his court contained
the Navartna, or the Nine Jewels, a group of nine scholars who
produced advancements in many academic fields.
Chinese traveler Fa X ian visited India from 399-405 CE, during
the reign of Emperor Chandragupta II. He recorded all of his
observations in a journal that was later published.
Key Terms
Navartna
Also called the Nine Jewels; a group of nine scholars in the
court of Chandragupta II who contributed many advancements
in their academic fields.
Fa X ian
A Chinese traveler who recorded detailed observations about

his experience in the Gupta Empire in his journal. It was later
published.
Chandragupta II
His reign, from 375-415 CE, promoted the synthesis of science,

art, philosophy, and religion during the Golden Age of India.
Golden Age of India
A period at the height of the Gupta Empire, marked by extensive

inventions and discoveries that contributed to Hindu culture, in
subjects such as science, technology, engineering, art, dialectic,
literature, logic, mathematics, astronomy, religion, and
philosophy.
ayurvedic
A form of alternative medicine established in India.
The prosperity created under the leadership of the Gupta Empire,

which covered much of the Indian subcontinent from approximately
320-550 CE, enabled the wide pursuit of scientific and artistic
endeavors. This period became known as the Golden Age of India
because it was marked by extensive inventions and discoveries in
science, technology, engineering, art, dialectic, literature, logic,
mathematics, astronomy, religion, and philosophy. These discoveries
crystallized elements of what is generally considered Hindu culture.
Science, Literature, and Art

Although Chandragupta I and his son, Samudragupta, were
prominent rulers, the reign of Chandragupta II included the greatest
promotion of science, art, philosophy, and religion by the
government. Chandragupta's court was even more influential than
those that came before or after because it contained the Navaratnas,
or the Nine Jewels, a group of nine scholars who produced
advancements in many academic fields.
These scholars included Aryabhata, who is believed to have

envisioned the concept of zero, as well as working on the
approximation for the long-form number Pi. Aryabhata is also
believed to be the first of the Indian mathematician-astronomers who
postulated the theory that the Earth moves round the Sun and is not
flat, but instead is round and rotates on its own axis. He also may
have discovered that the moon and planets shine due to reflected
sunlight.
V arahamihira was an astronomer, astrologer, and mathematician,

whose main work is a treatise on mathematical astronomy. Sushruta,
a famed Indian physician of the Gupta period, wrote the Samhita, a
Sanskrit text on all of the major concepts of ayurvedic medicine, with
innovative chapters on surgery. Other scholars of the Golden Age
helped create the first Indian numeral systems with a base of ten.
The game of chess also likely originated during this period, where its
early form, Chaturanga, contained game pieces for infantry, cavalry,
elephants, and chariots, each of which would evolve into the modern
pawn, knight, rook, and bishop, respectively.
Krishna and Radha playing
C haturanga
Scholars during the reign of Chandragupta II contributed many
scientific advancements in the fields of astronomy, mathematics, and
medicine.
Kalidasa, considered the greatest poet and dramatist of the Sanskrit

language, also belonged primarily to this period. He wrote plays,
such as Shakuntala, which is said to have inspired the famed
German writer and statesman, Johann von Goethe, centuries later.
Kalidasa also became renowned for his study of the shringara, or
romantic, element of literature. The Indian scholar and Hindu
philosopher V atsyayana, authored the K ama Sutra, which became a
standard work on human sexual behavior, while V ishnu Sharma was
thought to be the author of the Panchatantra fables, one of the most
widely-translated, non-religious books in history.
The cultural creativity of the Golden Age of India produced

magnificent architecture, including palaces and temples, as well as
sculptures and paintings of the highest quality. The walls of Buddhist
shrines and monasteries were decorated with colorful frescoes, a
type of wall paintings. These showed scenes from the life of the
Buddha, the ascetic and philosopher, who lived in the eastern part of
the Indian subcontinent sometime between 6th and 4th centuries, on
whose teachings the Buddhist religion is based. Some shrines were
cut out of the cliffs, and although dark, they were also decorated with
sculptures and paintings.
The Dashavatara Temple

The Golden Age of India produced many temples, decorated with
various sculptures and paintings, such as the Dashavatara Temple,
also known as the V ishnu Temple, in central India.
Influence on East and

Southeast Asia
The Gupta Dynasty promoted Hinduism, but supported Buddhist and
Jain cultures as well. Gupta Buddhist art influenced East and
Southeast Asia as trade between regions increased. The Gupta
Empire became an important cultural center and influenced nearby
kingdoms and regions in Burma, Sri Lanka, and Southeast Asia.
Classical forms of Indian music and dance, created under the
Guptas, are still practiced all over Asia today.
Fa X ian was one of the first Chinese travelers to visit India during the
reign of Gupta Emperor Chandragupta II. He started his journey from
China in 399 CE, and reached India in 405 CE. He recorded all of his
observations in a journal that was eventually published.
During his stay in India, until c. 411 CE, Fa X ian went on a

pilgrimage to Mathura, Kanauj, Kapilavastu, Kushinagar, V aishali,
Pataliputra, Kashi, and Rajgriha. His writings express pleasure in the
mildness of the administrations in these places.
6.7 .3: Decline of the Gupta Empire

After many years of dominance, the Gupta Empire collapsed in 550
CE, due to invasions and weak leadership of successive rulers.
Learning Objective
Understand the decline of the Gupta Empire
Key Points
The Gupta Empire flourished under Chandragupta II, but began
to falter under his son, Kumaragupta, and grandson,
Skandagupta.
The Huna People, also known as Huns, invaded Gupta territory
and caused significant damage to the empire.
The Gupta Empire ended in 550 CE, when it disintegrated into
regional kingdoms after a series of weak rulers and invasions
from the east, west, and north.
Key Terms
Huna
A Central Asian X ionite tribe that consisted of four hordes that
repeatedly invaded Gupta territory, and helped cause the
downfall of the Gupta Empire.
Skandagupta
Son of Kumaragupta I; the emperor of the Gupta Dynasty from

c. 455-467 CE.
Kumaragupta I
Son of Chandragupta II; the emperor of the Gupta Dynasty from

c. 415-455 CE.
Chandragupta II
The emperor of the Gupta Dynasty of ancient India from c. 380-

415 CE.
The Gupta Empire flourished, in military and territorial conquests as

well as cultural and scholastic advancements, during the reign of
Emperor Chandragupta II. Yet the succeeding rulers, beginning with
Kumaragupta I and then Skandagupta, oversaw the eventual end of
the Gupta Empire through military defeats, devalued money and
withering leadership.
Kumaragupta
In 415 CE, Chandragupta II was succeeded by his second son,
Kumaragupta I, who ruled successfully until 455 CE. The late years
of his reign, however, faced difficulties. The Pushyamitras, a tribe of
central India, rose up in rebellion against Kumaragupta, while Gupta
territories were invaded by the Western Huna people, also known as
White Huns.
Kumaragupta defeated both groups and celebrated his victory by

performing the royal V edic ritual of Ashwamedha, or horse sacrifice,
which had previously been performed by his grandfather, Emperor
Samudragupta, to celebrate his own great military victories.
Coin of Kumaragupta I
A silver coin from the reign of Gupta Emperor Kumaragupta I, c. 415-
455 CE.
As his grandfather and father did before him, Kumaragupta also

issued news coins to mark his reign. They were stamped with
images of his namesake god, Lord Kumara, regarded by Hindus as
Regent of Earth.
Skandagupta
Upon Kumaragupta’s death in 455 CE, his son, Skandagupta,
assumed the throne and ruled until c. 467 CE. He is considered the
last of the great Gupta rulers prior to the collapse of the empire.
Skandagupta, who was celebrated as a great warrior for his

victorious clashes with the Huns during his father’s reign, defeated
several rebellions and external threats from the Huna people,
notably an invasion in 455 CE. Although victorious, the expenses of
the wars against the Hunas drained the empire's resources. The
value of the coinage issued under Skandagupta becoming severely
reduced.
Coin of Skandagupta
A coin emblazoned with the image of Gupta Dynasty Emperor
Skandagupta, who ruled c. 455-467 CE.
The Huna and Gupta’ s Demise

The Huna were a Central Asian X ionite tribe that consisted of four
hordes: Northern Huna, also known as the Black Huns; Southern
Huna, the Red Huns; Eastern Huna, the Celestial Huns; and the
White Huns, the Western Huna. The White Huns, those who invaded
the Gupta Empire during the reign of Kumaragupta, were also known
as the Hephthalites, and caused great damage to the failing Gupta
Empire. Skandagupta died in 467 CE, and was followed onto the
throne by his half-brother, Purugupta, who ruled from 467-473 CE.
Thereafter came a succession of weak kings, beginning with
Kumaragupta II from 473-476 CE, followed by Budhagupta, the son
of Purugupta. The Hephthalites broke through the Gupta military
defenses in the northwest in the 480s, during the reign of
Budhagupta, and by 500 CE much of the empire in northwest was
overrun by the Huna.
The empire thereafter disintegrated into numerous regional

kingdoms, ruled by chieftains. A minor line of the Gupta Clan
continued to rule Magadha, one of the 16 Indian Mahajanapadas, or
"Great Countries," but the Gupta Empire fell by 550 CE.
Attributions
Rise of the Gupta Empire
"Chandragupta I."
https://en.wikipedia.org/wiki/Chandragupta_I. Wikipedia CC
BY-SA 3.0.
"Mahajanapada."
https://en.wikipedia.org/wiki/Mahajanapada. Wikipedia CC
BY-SA 3.0.
"Ujjain." https://en.wikipedia.org/wiki/Ujjain. Wikipedia CC
BY-SA 3.0.
"V ikramaditya." https://en.wikipedia.org/wiki/V ikramaditya.
"Gupta Empire." http://en.wikipedia.org/wiki/Gupta_Empire.
"Chandragupta II."
https://en.wikipedia.org/wiki/Chandragupta_II. Wikipedia CC
BY-SA 3.0.
"Samudragupta."
https://en.wikipedia.org/wiki/Samudragupta. Wikipedia CC
BY-SA 3.0.
"Maharaja." https://en.wikipedia.org/wiki/Maharaja.
"Allahabad." https://en.wikipedia.org/wiki/Allahabad.
"Queen Kumaradevi and King Chandragupta I on a coin of
their son Samudragupta 350 380 CE."
https://commons.wikimedia.org/wiki/File:Queen_Kumaradev
i_and_King_Chandragupta_I_on_a_coin_of_their_son_Sa
mudragupta_350_380_CE.jpg. Wikimedia CC BY-SA 3.0.
"Iron Pillar of Delhi."
https://commons.wikimedia.org/wiki/File:QtubIronPillar.JPG.
"Gupta Empire 320 - 600 ad."
http://en.wikipedia.org/wiki/File:Gupta_Empire_320_-
_600_ad.PNG. Wikimedia Public domain.
The Golden Age of India
"Chaturanga." https://en.wikipedia.org/wiki/Chaturanga.
"Aryabhata." https://en.wikipedia.org/wiki/Aryabhata.
"Gupta Empire." http://en.wikipedia.org/wiki/Gupta_Empire.
"Navaratnas." https://en.wikipedia.org/wiki/Navaratnas.
"Chandragupta II."
BY-SA 3.0.
"Gautama Buddha."
https://en.wikipedia.org/wiki/Gautama_Buddha. Wikipedia
CC BY-SA 3.0.
"Fa X ian." https://en.wikipedia.org/wiki/Faxian. Wikipedia
CC BY-SA 3.0.
"Sushruta." https://en.wikipedia.org/wiki/Sushruta.
"Deogarh01."
https://commons.wikimedia.org/wiki/File:Deogarh01.jpg.
"Radha-Krishna chess."
https://commons.wikimedia.org/wiki/File:Radha-
Krishna_chess.jpg. Wikimedia CC BY-SA 3.0.
Decline of the Gupta Empire
"Gupta Empire."
https://en.wikipedia.org/wiki/Gupta_Empire. Wikipedia CC
BY-SA 3.0.
"Mahajanapada."
https://en.wikipedia.org/wiki/Mahajanapada. Wikipedia CC
BY-SA 3.0.
"Huna People." https://en.wikipedia.org/wiki/Huna_people.
"Skandagupta." https://en.wikipedia.org/wiki/Skandagupta.
"Chandragupta II."
BY-SA 3.0.
"Kumaragupta I."
https://en.wikipedia.org/wiki/Kumaragupta_I. Wikipedia CC
BY-SA 3.0.
"Coin of Skandagupta."
https://en.wikipedia.org/wiki/File:Skanda1b.jpg. Wikipedia
Public domain.
"Coin of Kumaragupta I."
https://commons.wikimedia.org/wiki/File:Silver_Coin_of_Ku
maragupta_I.jpg. Wikimedia CC BY-SA 3.0.
7 : Ancient Greece and the
Hellenistic W orld
7 .1: Early Periods in Greek
History
7 .1.1: Greek Dark Ages
The Greek Dark Ages were ushered in by a period of violence, and
characterized by the disruption of Greek cultural progress.
Learning Objective
Understand the characteristics of the Greek Dark Ages
Key Points
The Late Bronze Age collapse, also known as the Age of
Calamities, was a transition in the Aegean Region, Eastern
Mediterranean, and Southwestern Asia. It took place from the
Late Bronze Age to the Early Iron Age. Historians believe this
period was violent, sudden, and culturally disruptive.
Many historians attribute the fall of the Mycenaeans, and overall
Bronze Age collapse, to climatic or environmental catastrophe
combined with an invasion by the Dorians (or Sea Peoples).
During the Dark Ages, Greece was most likely divided into
independent regions according to kinship groups, and the oikoi,
or households.
Toward the end of the Greek Dark Ages, communities began to
develop that were governed by elite groups of aristocrats, as
opposed to singular kings or chieftains of earlier periods.
Additionally, trade with other communities in the Mediterranean
and the Levant began to strengthen, based upon findings from
archaeological sites.
Key Terms
oikoi
The basic unit of society in most Greek city-states. In some

usage, it refers to the line of descent from a father to a son
throughout generations. Alternatively, it can refer to everybody
living in a given house.
Linear B
Syllabic script that was used for writing Mycenaean Greek, the
earliest documented form of the Greek language.
palace economy
A system of economic organization in which a substantial share

of wealth flows into the control of a centralized administration
(i.e., the palace), and then outward to the general population.
Age of Calamities
The Late Bronze Age collapse, or Age of Calamities, was a transition
in the Aegean Region, Eastern Mediterranean, and Southwestern
Asia that took place from the Late Bronze Age to the Early Iron Age.
Historians believe this period was violent, sudden, and culturally
disruptive. The palace economy of the Aegean Region that had
characterized the Late Bronze Age, was replaced, after a hiatus, by
the isolated village cultures of the Greek Dark Ages— a period that
lasted for more than 400 years. Cities like Athens continued to be
occupied, but with a more local sphere of influence, limited evidence
of trade, and an impoverished culture, which took centuries to
recover.
Fall of the Mycenaeans

Many historians attribute the fall of the Mycenaeans, and overall
Bronze Age collapse, to climatic or environmental catastrophe,
combined with an invasion by the Dorians or Sea Peoples—a group
of people who possibly originated from different parts of the
Mediterranean like the Black Sea, though their origins remain
obscure. Historians also point to the widespread availability of edged
iron weapons as an exasperating factor. Despite this, no single
explanation fits all available archaeological evidence in explaining
the fall of the Mycenaean culture.
Many large-scale revolts took place in several parts of the eastern

Mediterranean during this time, and attempts to overthrow existing
kingdoms were made as a result of economic and political instability
by peoples already plagued with famine and hardship. Some regions
in Greece, such as Attica, Euboea, and central Crete, recovered
economically quicker from these events than other regions, but life
for the poorest Greeks would have remained relatively unchanged.
Farming, weaving, metalworking, and potting continued at lower
levels of output and for local use. Some technical innovations were
introduced around 1050 BCE with the start of the Proto-geometric
style. However, the overall trend was toward simpler, less intricate
pieces with fewer resources being devoted to the creation of art.
None of the Mycenaean palaces of the Late Bronze Age survived,

with the possible exception of the Cyclopean fortifications on the
Acropolis of Athens. The archaeological record shows that
destruction was heaviest at palaces and fortified sites. Up to 90% of
small sites in the Peloponnese were abandoned, suggesting major
depopulation. The Linear B writing of the Greek language used by
Mycenaean bureaucrats ceased, and decorations on Greek pottery
after about 1100 BCE lacks the figurative decoration of the
Mycenaeans, and was restricted to simpler geometric styles.
Society During the Greek Dark Ages

Greece was most likely divided into independent regions according
to kinship groups and the oikoi, or households. Excavations of Dark
Age communities, such as Nichoria in the Peloponnese, have shown
how a Bronze Age town was abandoned in 1150 BCE, but then
reemerged as a small village cluster by 1075 BCE. Archaeological
evidence suggests that only 40 families lived in Nichoria and that
there was abundant farming and grazing land. Some remains appear
to have been the living quarters of a chieftain. High status individuals
did exist during the Dark Ages; however, their standards of living
were not significantly higher than others in their village.
By the mid- to late 8th century BCE, a new alphabet system was
adopted by the Greek, and borrowed from the Phoenician writing
system. This writing system introduced characters for vowel sounds,
creating the first truly alphabetic (as opposed to abjad) writing
system. The new system of writing spread throughout the
Mediterranean, and was used not only to write in Greek, but also
Phrygian and other languages.
It was previously believed that all contact had been lost between
mainland Hellenes and foreign powers during this period; however,
artifacts from excavations at Lefkandi in Euboea show that
significant cultural and trade links with the east, especially the Levant
coast, developed from approximately 900 BCE onward. Evidence
has also emerged of a Hellenic presence in sub-Mycenaean Cyprus,
and on the Syrian coast at Al Mina. The archaeological record of
many sites demonstrates that the economic recovery of Greece was
well advanced by the beginning of the 8th century BCE. Many burial
sites contained offerings from the Near East, Egypt, and Italy. The
decoration of pottery also became more elaborate, featuring figured
scenes that parallel the stories of Homeric tradition. Iron tools and
weapons also became better in quality, and communities began to
develop that were governed by elite groups of aristocrats, as
opposed to singular kings or chieftains of earlier periods.
7 .1.2: Archaic Greece

The Archaic Period saw the increasing urbanization of Greek
communities, and the development of the concept of the polis.
Learning Objective
Understand the changes to Greek society during the Archaic Period
Key Points
The Archaic period saw significant urbanization, and the
development of the concept of the polis, as it was used in
classical Greece.
Archaic Greece, from the mid-seventh century onward, has
been referred to as an "age of tyrants."
The Homeric Question concerns the doubts and consequent
debate over the historicity of the I liad and the Odyssey, as well
as the identity of their author, Homer.
Key Terms
synoecism
The amalgamation of several small settlements into a single

urban center.
polis
The literal translation of this word from Greek is "city." It typically

refers to the Greek city-states of the Archaic and Classical
periods.
Archaic Greece
The Archaic period of Greek history lasted from the 8th century BCE
to the second Persian invasion of Greece in 480 BCE. The period
began with a massive increase in the Greek population and a
structural revolution that established the Greek city-states, or polis.
The Archaic period saw developments in Greek politics, economics,
international relations, warfare, and culture. It also laid the
groundwork for the classical period, both politically and culturally.
During this time, the Greek alphabet developed, and the earliest
surviving Greek literature was composed. Monumental sculpture and
red-figure pottery also developed in Greece, and in Athens, the
earliest institutions of democracy were implemented.
Some written accounts of life exist from this time period in the form
of poetry, law codes, inscriptions on votive offerings, and epigrams
inscribed on tombs. However, thorough written histories, such as
those that exist from the Greek classical period, are lacking.
Historians do have access to rich archaeological evidence from this
period, however, that informs our understanding of Greek life during
the Archaic period.
V iew from Philopappos, Acropolis Hill

The Acropolis of Athens, a noted polis of classical Greece.
Development of the Polis

The Archaic period saw significant urbanization and the development
of the concept of the polis as it was used in classical Greece.
However, the polis did not become the dominant form of
sociopolitical organization throughout Greece during the Archaic
period, and in the north and west of the country it did not become
dominant until later in the classical period. The process of
urbanization known as "synoecism" (or the amalgamation of several
small settlements into a single urban center), took place in much of
Greece during the 8th century. Both Athens and Argos, for example,
coalesced into single settlements near the end of that century. In
some settlements, physical unification was marked by the
construction of defensive city walls. The increase in population, and
evolution of the polis as a sociopolitical structure, necessitated a new
form of political organization.
Age of Tyranny
Archaic Greece from the mid-7th century onward has been referred
to as an "age of tyrants." V arious explanations have been provided
for the rise of tyranny in the 7th century. The most popular
explanation dates back to Aristotle, who argued that tyrants were set
up by the people in response to the nobility becoming less tolerable.
Because there is no evidence from this time period demonstrating
this to be the case, historians have looked for alternate explanations.
Some argue that tyrannies were set up by individuals who controlled
privates armies, and that early tyrants did not need the support of the
people at all. Others suggest that tyrannies were established as a
consequence of in-fighting between rival oligarchs, rather than as a
result of fighting between oligarchs and the people.
Other historians question the existence of a 7th century "age of

tyrants" altogether. In the Archaic period, the Greek word tyrannos
did not have the negative connotations it had later in the classical
period. Often the word could be used as synonymous with "king." As
a result, many historians argue that Greek tyrants were not
considered illegitimate rulers, and cannot be distinguished from any
other rulers during the same period.
The Homeric Question

The Homeric Question concerns the doubts and consequent debate
over the identity of Homer, the author of the I liad and the Odyssey; it
also questions the historicity of the two books. Many scholars agree
that regardless of who authored Homer’s works, it is highly likely that
the poems attributed to him were part of a generations-old oral
tradition, with many scholars believing the works to be transcribed
some time in the 6th century BCE or earlier. Many estimates place
the events of Homer’s Trojan War as preceding the Greek Dark
Ages, of approximately 1250 to 750 BCE. The I liad, however, has
been placed immediately following the Greek Dark Age period.
7 .1.3: The Rise of Classical Greece

Classical Greece rose after the fall of the Athenian tyrants and the
institution of Cleisthenes' democratic reforms, and lasted throughout
the 5th and 4th centuries BCE.
Learning Objective
Understand the significance of Cleisthenes' reforms to the rise of
Classical Greece
Key Points
The classical period followed the Archaic period, and was
succeeded by the Hellenistic period.
Much of modern Western politics, artistic and scientific thought,
literature, and philosophy derives from this period of Greek
history.
Through Cleisthenes' reforms, the people endowed their city
with isonomic institutions, and established ostracism.
A corpus of reforms made to Athenian political administration
during this time led to the emergence of a wider democracy in
the 460s and 450s BCE.
Key Terms
Classical Greece
A 200 year period in Greek culture, lasting from the 5th through
4th centuries BCE.
Cleisthenes
A noble Athenian of the Alcmaeonid family, credited with

reforming the constitution of ancient Athens, and setting it on a
democratic footing in 508/7 BCE.
isonomic
A word used by ancient Greek writers to refer to various kinds of

popular government with the general goal of "equal rights."
ostracism
A procedure under Athenian democracy by which any citizen

could be expelled from the city-state of Athens for ten years.
trittyes
Population divisions in ancient Attica, established by the reforms

of Cleisthenes in 508 BCE.
Classical Greece was a 200-year period in Greek culture lasting from

the 5th to the 4th centuries BCE. This period saw the annexation of
much of modern-day Greece by the Persian Empire, as well as its
subsequent independence. Classical Greece also had a powerful
influence on the Roman Empire, and greatly influenced the
foundations of Western civilization. Much of modern Western politics,
artistic and scientific thought, literature, and philosophy derives from
this period of Greek history. The classical period was preceded by
the Archaic period, and was succeeded by the Hellenistic period.
Rise of the City-States

The term "city-state," which is English in origin, does not fully
translate the Greek term for these same entities, polis. Poleis were
different from ancient city-states in that they were ruled by bodies of
the citizens who lived there. Many were initially established, as in
Sparta, via a network of villages, with a governance center being
established in a central urban center. As notions of citizenship rose
to prominence among landowners, polis came to embody an entire
body of citizens and the term could be used to describe the populace
of a place, rather than the physical location itself. Basic elements of
a polis often included the following:
Self-governance, autonomy, and independence

A social hub and financial marketplace, called an agora
Urban planning and architecture
Temples, altars, and other sacred precincts, many of which
would be dedicated to the patron deity of the city
Public spaces, such as gymnasia and theaters
Defensive walls to protect against invasion
Coinage minted by the city
Polis were established and expanded by synoecism, or the

absorption of nearby villages and tribes. Most cities were composed
of several tribes that were in turn composed of groups sharing
common ancestry, and their extended families. Territory was a less
helpful means of thinking about the shape of a polis than regions of
shared religious and political associations.
Dwellers of a polis were typically divided into four separate social
classes, with an individual’s status usually being determined at birth.
Free adult men born of legitimate citizens were considered citizens
with full legal and political rights, including the right to vote, be
elected into office, and bear arms, with the obligation to serve in the
army during wartime. The female relatives and underage children of
full citizens were also considered citizens, but they had no formal
political rights. They were typically represented within society by their
adult male relatives. Citizens of other poleis who chose to reside in a
different polis possessed full rights in their place of origin, but had no
political rights in their new place of residence. Otherwise, such
citizens had full personal and property rights subject to taxation.
Finally, slaves were considered possessions of their owner and had
no rights or privileges other than those granted by their owner.
Greco-Persian W ars
The Greco-Persian Wars, also referred to as the Persian Wars, were
a series of conflicts that began in 499 BCE and lasted until 449 BCE,
between the Achaemenid Empire of Persia (modern-day Iran) and
Greek city-states. The conflict began when Cyrus the Great
conquered the Greek-inhabited region of Ionia in 547 BCE. After
struggling to control the cities of Ionia, the Persians appointed
tyrants to rule each of them. When the tyrant of Miletus embarked on
an unsuccessful expedition to conquer the island of Naxos with
Persian support, however, a rebellion was incited throughout
Hellenic Asia Minor against the Persians. This rebellion, known as
the Ionian Revolt, lasted until 493 BCE, and drew increasingly more
regions throughout Asia Minor into the conflict.
Eventually the Ionians suffered a decisive defeat and the rebellion

collapsed. Subsequently, Darius the Great, the Persian ruler, sought
to secure his empire from further revolts and interference from the
mainland Greeks, and embarked upon a scheme to conquer all of
Greece. The first Persian invasion of Greece began in 492 BCE, and
was successful in conquering Macedon and re-subjugating Thrace.
In 490 BCE, a second force was sent to Greece across the Aegean
Sea, successfully subjugating the Cyclades. However, the Persians
were defeated by the Athenians at the Battle of Marathon, putting a
halt to Darius’s plan until his death in 486 BCE.
In 480 BCE, Darius’s son, X erxes, personally led the second Persian
invasion of Greece with one of the largest ancient armies ever
assembled. His invasion was successful and Athens was burned.
However, the following year, the Allied Greek states went on the
offensive, defeating the Persian army at the Battle of Plataea and
ending the invasion of Greece. The Greeks continued to expel
Persian forces from Greece and surrounding areas, but the actions
of Spartan General Pausanias at the siege of Byzantium alienated
many of the Greek states from the Spartans, causing the anti-
Persian alliance to be reconstituted around Athenian leadership in
what became known as the Delian League. The Delian League
continued the campaign against the Persians for the next three
decades. Some historical sources suggest the end of hostilities
between the Greeks and the Persians was marked by a peace treaty
between Athens and Persia, called the Peace of Callias.
Athenian Democracy
Athenian democracy developed around the 5th century BCE, in the
Greek city-state of Athens. It is the first known democracy in the
world. Other Greek cities set up democracies, most following the
Athenian model, but none are as well documented as Athens.
Athenian democracy was a system of direct democracy, in which
participating citizens voted directly on legislation and executive bills.
Participation was open to adult, land-owning men, which historians
estimate numbered between 30,000 and 50,000 individuals, out of a
total population of approximately 250,000 to 300,000.
Before the first attempt at democratic government, Athens was ruled

by a series of archons, or chief magistrates, and the Areopagus,
which was made up of ex-archons. Archons were typically aristocrats
who ruled to their own advantage. Additionally, a series of laws
codified by Draco in 621 BCE reinforced the power of the aristocracy
over all other citizens. A mediator called Solon reshaped the city-
state by restructuring the way citizenship was defined in order to
absorb the traditional aristocracy within it, and established the right
of every Athenian to participate in meetings of governing assemblies.
The Areopagus, however, retained ultimate lawmaking authorities.
Cleisthenes
In 510 BCE, Spartan troops helped the Athenians overthrow their
king, the tyrant Hippias, son of Peisistratos. Cleomenes I, king of
Sparta, put in place a pro-Spartan oligarchy headed by Isagoras. But
his rival, Cleisthenes, with the support of the middle class and aided
by democrats, managed to take over. Cleomenes intervened in 508
and 506 BCE, but could not stop Cleisthenes, who was then
supported by the Athenians. Through his reforms, the people
endowed their city with institutions furnished with equal rights (i.e.,
isonomic institutions), and established ostracism, a procedure by
which any citizen could be expelled from the city-state of Athens for
ten years.
Bust of Cleisthenes
Modern bust of Cleisthenes, known as "the father of Athenian
democracy," on view at the Ohio Statehouse, Columbus, Ohio.
Cleisthenes, the father of Greek democracy, reformed traditional
Athenian government controlled by ruling tribes into the first
government "of the people" (a demos, or democracy).
The isonomic and isegoric democracy was first organized into about
130 demes— political subdivisions created throughout Attica. Ten
thousand citizens exercised their power via an assembly (the
ekklesia, in Greek), of which they all were a part, that was headed by
a council of 500 citizens chosen at random. The city's administrative
geography was reworked, the goal being to have mixed political
groups—not federated by local interests linked to the sea, the city, or
farming—whose decisions (declaration of war, etc.) would depend on
their geographical situations. The territory of the city was
subsequently divided into 30 trittyes. It was this corpus of reforms
that would allow the emergence of a wider democracy in the 460s
and 450s BCE.
Attributions
Greek Dark Ages
"Palace economy."
https://en.wikipedia.org/wiki/Palace_economy. Wikipedia
CC BY-SA 3.0.
"Late Bronze Age collapse."
https://en.wikipedia.org/wiki/Late_Bronze_Age_collapse.
"Greek Dark Ages."
https://en.wikipedia.org/wiki/Greek_Dark_Ages. Wikipedia
CC BY-SA 3.0.
Archaic Greece
"Archaic Greece."
https://en.wikipedia.org/wiki/Archaic_Greece. Wikipedia CC
BY-SA 3.0.
"Polis." https://en.wikipedia.org/wiki/Polis. Wikipedia CC BY-
SA 3.0.
"Attica_06-13_Athens_50_V iew_from_Philopappos_-
_Acropolis_Hill.jpg."
https://en.wikipedia.org/wiki/File:Attica_06-
13_Athens_50_V iew_from_Philopappos_-
_Acropolis_Hill.jpg. Wikipedia CC BY-SA 3.0.
The Rise of Classical Greece
"Greco-Persian Wars." https://en.wikipedia.org/wiki/Greco-
Persian_Wars. Wikipedia CC BY-SA 3.0.
"Isonomic." http://en.wikipedia.org/wiki/Isonomic. Wikipedia
CC BY-SA 3.0.
"Classical Greece."
http://en.wikipedia.org/wiki/Classical_Greece. Wikipedia CC
BY-SA 3.0.
"Athenian democracy."
https://en.wikipedia.org/wiki/Athenian_democracy.
"Trittys." http://en.wikipedia.org/wiki/Trittys. Wikipedia CC
BY-SA 3.0.
"The Delian League."
http://en.wikipedia.org/wiki/Delian_League. Wikipedia CC
BY-SA 3.0.
"Ostracism." http://en.wikipedia.org/wiki/Ostracism.
"Polis." https://en.wikipedia.org/wiki/Polis. Wikipedia CC BY-
SA 3.0.
"Cleisthenes."
http://en.wikipedia.org/wiki/Cleisthenes%23mediaviewer/Fil
e:Cleisthenes.jpg. Wikipedia License: Other.
7 .2: Sparta
7 .2.1: Sparta
Sparta, known for its militaristic culture and unequaled women's
rights, was a dominant military power in classical Greece.
Learning Objective
Distinguish key differences between Athens and Sparta
Key Points
Sparta was a prominent city-state in ancient Greece, situated on
the banks of the Eurotas River in Laconia in southeastern
Peloponnese.
Given its military preeminence, Sparta was recognized as the
overall leader of the combined Greek forces during the Greco-
Persian Wars, and defeated Athens during the Peloponnesian
War.
Sparta's defeat by Thebes in the Battle of Leuctra in 371 BCE
ended Sparta's prominent role in Greece, but it maintained its
political independence until the Roman conquest of Greece in
146 BCE.
Sparta functioned under an oligarchy of two hereditary kings.
Unique in ancient Greece for its social system and constitution,
Spartan society focused heavily on military training and
excellence.
Spartan women enjoyed status, power, and respect that was
unequaled in the rest of the classical world.
Key Terms
Sparta
A prominent city-state in ancient Greece situated on the banks

of the Eurotas River in Laconia. The dominant military power in
ancient Greece.
agoge
The rigorous education and training regimen mandated for all

male Spartan citizens, except for the firstborn sons of the ruling
houses Eurypontid and Agiad.
Sparta was a prominent city-state in ancient Greece situated on the

banks of the Eurotas River in Laconia in southeastern Peloponnese.
It emerged as a political entity around the 10th century BCE, when
the invading Dorians subjugated the local, non-Dorian population.
Around 650 BCE, it rose to become the dominant military power in
ancient Greece. Given its military preeminence, Sparta was
recognized as the overall leader of the combined Greek forces
during the Greco-Persian Wars. Between 431 and 404 BCE, Sparta
was the principal enemy of Athens during the Peloponnesian War,
from which it emerged victorious, though at great cost. Sparta's
defeat by Thebes in the Battle of Leuctra in 371 BCE ended Sparta's
prominent role in Greece. However, it maintained its political
independence until the Roman conquest of Greece in 146 BCE.
Political geography of ancient Greece
The map shows the political structure of Greece in the Archaic Age.
The Rise of Classical Sparta

The Spartans were already considered a land-fighting force to be
reckoned with when, in 480 BCE, a small force of Spartans,
Thespians, and Thebans made a legendary final stand at the Battle
of Thermopylae against the massive Persian army during the Greco-
Persian Wars. The Greek forces suffered very high casualties before
finally being encircled and defeated. One year later, Sparta led a
Greek alliance against the Persians at the Battle of Plataea where
their superior weaponry, strategy, and bronze armor proved a huge
asset in achieving a resounding victory. This decisive victory put an
end to the Greco-Persian War, as well as Persian ambitions of
spreading into Europe. Despite being fought as part of a alliance, the
victory was credited to Sparta, which had been the de facto leader of
the entire Greek expedition.
In the later classical period, Sparta fought amongst Athens, Thebes,

and Persia for supremacy within the region. As a result of the
Peloponnesian War, Sparta developed formidable naval power,
enabling it to subdue many key Greek states and even overpower
the elite Athenian navy. A period of Spartan Hegemony was
inaugurated at the end of the 5th century BCE, when Sparta defeated
the Athenian Empire and invaded Persian provinces in Anatolia.
Spartan Culture and

Government
Sparta functioned under an oligarchy. The state was ruled by two
hereditary kings of the Agiad and Eurypontid families, both
supposedly descendants of Heracles, and equal in authority so that
one could not act against the power and political enactments of his
colleague. Unique in ancient Greece for its social system and
constitution, Spartan society was completely focused on military
training and excellence. Its inhabitants were classified as Spartiates
(Spartan citizens who enjoyed full rights), Mothakes (non-Spartan,
free men raised as Spartans), Perioikoi (freed men), and Helots
(state-owned serfs, part of the enslaved, non-Spartan, local
population).
Male Spartans began military training at age seven. The training was
designed to encourage discipline and physical toughness, as well as
emphasize the importance of the Spartan state. Boys lived in
communal messes and, according to X enophon, whose sons
attended the agoge, the boys were fed "just the right amount for
them never to become sluggish through being too full, while also
giving them a taste of what it is not to have enough." Besides
physical and weapons training, boys studied reading, writing, music,
and dancing. Special punishments were imposed if boys failed to
answer questions sufficiently laconically (i.e., briefly and wittily).
Spartan Hoplite
Marble statue of a helmed hoplite (5th century BCE), Archaeological
Museum of Sparta, Greece.
At age 20, the Spartan citizen began his membership in one of the
syssitia (dining messes or clubs), which were composed of about 15
members each, and were compulsory. Here each group learned how
to bond and rely on one another. The Spartans were not eligible for
election to public office until the age of 30. Only native Spartans
were considered full citizens, and were obliged to undergo military
training as prescribed by law, as well as participate in, and contribute
financially to, one of the syssitia.
Spartan W omen
Female Spartan citizens enjoyed status, power, and respect that was
unequaled in the rest of the classical world. The higher status of
females in Spartan society started at birth. Unlike in Athens, Spartan
girls were fed the same food as their brothers. Nor were they
confined to their father's house or prevented from exercising or
getting fresh air. Spartan women even competed in sports. Most
important, rather than being married at the age of 12 or 13, Spartan
law forbade the marriage of a girl until she was in her late teens or
early 20s. The reasons for delaying marriage were to ensure the
birth of healthy children, but the effect was to spare Spartan women
the hazards and lasting health damage associated with pregnancy
among adolescents.
Spartan women, better fed from childhood and fit from exercise,
stood a far better chance of reaching old age than their sisters in
other Greek cities, where the median life expectancy was 34.6 years,
or roughly ten years below that of men. Unlike Athenian women, who
wore heavy, concealing clothes and were rarely seen outside the
house, Spartan women wore dresses (peplos) slit up the side to
allow freer movement, and moved freely about the city, either
walking or driving chariots.
7 .2.2: Culture in Classical Sparta

Although Spartan society was highly regimented, militarily and
socially, enslaved classes and women were afforded greater
privileges relative to the populations of other Greek city-states.
Learning Objective
Understand the key characteristics of Sparta’s society
Key Points
Sparta was an oligarchic city-state, ruled by two hereditary kings
equal in authority.
Spartan society was largely structured around the military, and
around military training.
Inhabitants were classified as Spartiates (Spartan citizens, who
enjoyed full rights), Mothakes (non-Spartan, free men raised as
Spartans), Perioikoi (free, but non-citizen inhabitants), and
Helots (state-owned serfs, part of the enslaved non-Spartan,
local population).
Spartiates began military training at the age of seven.
At the age of 20, Spartiates were initiated into full citizenship
and joined a syssitia.
Helots were granted many privileges, in comparison to enslaved
populations in other Greek city-states.
The Helot population outnumbered the Spartiate population, and
grew over time, causing societal tensions.
Female Spartans enjoyed status, power, and respect that was
unequaled in the rest of the classical world.
Key Terms
ephors
Ephors were ancient Spartan officials who shared power with

the hereditary kings. Five individuals were elected annually to
swear on behalf of the city, whereas kings served for a lifetime
and swore only on their own behalf.
gerousia
The gerousia were a council of Spartan elders comprised of

men over the age of 60, who were elected for life, and usually
were members of one of the two kings’ households.
Delphi
A famous ancient sanctuary that served as the seat of an oracle,
who consulted on important decisions throughout the ancient
classical world.
The Spartan Political System

Sparta functioned under an oligarchy. The state was ruled by two
hereditary kings of the Agiad and Eurypontid families, both
supposedly descendants of Heracles, and equal in authority so that
one could not act against the power and political enactments of his
colleague. The duties of the kings were religious, judicial, and
military in nature. They were the chief priests of the state, and
maintained contact with Delphi, the sanctuary that exercised great
authority in Spartan politics.
By 450 BCE, the kings’ judicial authority was restricted to cases

dealing with heiresses, adoptions, and public roads. Over time, royal
prerogatives were curtailed further until, aside from their service as
military generals, the kings became mere figureheads. For example,
from the time of the Greco-Persian Wars, the kings lost the right to
declare war and were shadowed in the field by two officials, known
as ephors. The ephors also supplanted the kings’ leadership in the
realm of foreign policy. Civil and criminal cases were also decided by
ephors, as well as a council of 28 elders over the age of 60, called
the gerousia. The gerousia were elected for life, and usually were
members of one of the two kings’ households. The gerousia
discussed high state policy decisions, then proposed action
alternatives to the damos—a collective body of Spartan citizenry,
who would then select one of the options by voting.
Spartan Citiz enship

Unique in ancient Greece for its social system, Spartan society was
completely focused on military training and excellence. Its
inhabitants were classified as Spartiates (Spartan citizens, who
enjoyed full rights), Mothakes (non-Spartan, free men raised as
Spartans), Perioikoi (free, but non-citizen inhabitants), and Helots
(state-owned serfs, part of the enslaved, non-Spartan, local
population).
Structure of Spartan society
Spartan society was highly regimented, with a clearly delineated
class system.
Sparta had a pyramidal social structure with Spartiates, or full

citizens of the polis, at the top; the Perioikoi, or Lacedaemonians of
surrounding territory who did not possess full citizen rights, in the
middle; and the Helots, or conquered subjects who were the property
of the Spartan State and lived in Eurotas valley and in Messenia to
the west, at the bottom. The Spartan army was drawn from five
villages (Limnai, Mesoa, Kynosura, Pitane, and Amyklai) each of
which supplied a "lochos" of 1,000 Spartiates. The army was
commanded by two kings, one from the Agiads dynasty and the
other from the Eurypontids dynasty. The Ephori, a council comprised
of an annually elected Spartiate from each village, provided
oversight for the kings, including sending one of its members on
each military campaign. The Gerousia, the Spartan council of elders,
consisted of 30 members in total, of whom twenty-eight had to be
over the age of sixty, and the remaining two members were the two
Spartan kings, regardless of their age. Other than the kings, the
members of the Gerousia were elected from the Apella, an assembly
of All Spartiates over the age of 18, and served for life.
Male Spartans began military training at age seven. The training was
designed to encourage discipline and physical toughness, as well as
emphasize the importance of the Spartan state. Typically only men
who were to become Spartiates underwent military training, although
two exceptions existed to this rule. Trophimoi, or "foster sons," from
other Greek city-states were allowed to attend training as foreign
students. For example, the Athenian general X enophon sent his two
sons to Sparta as trophimoi. Additionally, sons of a Helot could enroll
as a syntrophos if a Spartiate formally adopted him and paid his way.
If a syntrophos did exceptionally well in training, he could be
sponsored to become a Spartiate. Likewise, if a Spartan could not
afford to pay the expenses associated with military training, they
potentially could lose their right to citizenship.
Boys who underwent training lived in communal messes and,

according to X enophon, whose sons attended the agoge, the boys
were fed "just the right amount for them never to become sluggish
through being too full, while also giving them a taste of what it is not
to have enough." Besides physical and weapons training, boys
studied reading, writing, music, and dancing. Special punishments
were imposed if boys failed to answer questions sufficiently
laconically (i.e., briefly and wittily).
At age 20, the Spartan citizen began his membership in one of the
syssitia (dining messes or clubs), which were composed of about 15
members each, and were compulsory. Here each group learned how
to bond and rely on one another. The Spartans were not eligible for
election to public office until the age of 30. Only native Spartans
were considered full citizens, and were obliged to undergo military
training as prescribed by law, as well as participate in, and contribute
financially to, one of the syssitia.
Helots
Spartiates were actually a minority within Sparta, and Helots made
up the largest class of inhabitants of the city-state. Helots were
originally free Greeks that the Spartans had defeated in battle, and
subsequently enslaved. In contrast to populations conquered by
other Greek cities, the male Helot population was not exterminated,
and women and children were not treated as chattel. Instead, Helots
were given a subordinate position within Spartan society more
comparable to the serfs of medieval Europe. Although Helots did not
have voting rights, they otherwise enjoyed a relatively privileged
position, in comparison to slave populations in other Greek city-
states.
The Spartan poet, Tyrtaios, gives account that Helots were permitted
to marry and retain half the fruits of their labor. They were also
allowed religious freedoms and could own a limited amount of
personal property. Up to 6,000 Helots even accumulated enough
wealth to buy their own freedom in 227 BCE.
Since Spartiates were full-time soldiers, manual labor fell to the Helot
population who worked as unskilled serfs, tilling the Spartan land or
accompanying the Spartan army as non-combatants. Helot women
were often used as wet nurses.
Relations between Helots and their Spartan masters were often

strained, and there is evidence that at least one Helot revolt occurred
circa 465-460 BCE. Many historians argue that because the Helots
were permitted such privileges as the maintenance of family and
kinship groups and ownership of property, they were better able to
retain their identity as a conquered people and thus were more
effective at organizing rebellions. Over time, the Spartiate population
continued to decline and the Helot population grew, and the
imbalance in power exasperated tensions that already existed.
Spartan W omen
Female Spartans enjoyed status, power, and respect that was
unequaled in the rest of the classical world. The higher status of
females in Spartan society started at birth. Unlike in Athens, Spartan
girls were fed the same food as their brothers. Nor were they
confined to their father's house or prevented from exercising or
getting fresh air. Spartan women even competed in sports. Most
important, rather than being married at the age of 12 or 13, Spartan
law forbade the marriage of a girl until she was in her late teens or
early 20s. The reasons for delaying marriage were to ensure the
birth of healthy children, but the effect was to spare Spartan women
the hazards and lasting health damage associated with pregnancy
among adolescents.
Spartan women, better fed from childhood and fit from exercise,
stood a far better chance of reaching old age than their sisters in
other Greek cities where the median life expectancy was 34.6 years,
or roughly ten years below that of men. Unlike Athenian women who
wore heavy, concealing clothes and were rarely seen outside the
house, Spartan women wore dresses (peplos) slit up the side to
allow freer movement, and moved freely about the city, either
walking or driving chariots.
Attributions
Sparta
"Sparta." http://en.wikipedia.org/wiki/Sparta. Wikipedia CC
BY-SA.
"Archaic Greece."
ArchaicGr.jpg/603px-ArchaicGr.jpg. wikipedia Public
domain.
"Sparta."
http://en.wikipedia.org/wiki/Sparta%23mediaviewer/File:Hel
med_Hoplite_Sparta.JPG. Wikipedia CC BY-SA 3.0.
Culture in Classical Sparta
"Apella." https://en.wikipedia.org/wiki/Apella. Wikipedia CC
BY-SA 3.0.
"Spartan army." https://en.wikipedia.org/wiki/Spartan_army.
"Ephor." https://en.wikipedia.org/wiki/Ephor. Wikipedia CC
BY-SA 3.0.
"Gerousia." https://en.wikipedia.org/wiki/Gerousia.
"Delphi." https://en.wikipedia.org/wiki/Delphi. Wikipedia CC
BY-SA 3.0.
"Sparta." https://en.wikipedia.org/wiki/Sparta. Wikipedia CC
BY-SA 3.0.
"SpartaGreatRhetra.png."
https://en.wikipedia.org/wiki/File:SpartaGreatRhetra.png.
Wikpedia CC BY-SA 3.0.
7 .3: The Persian W ars
7 .3.1: The Persian W ars
The Persian Wars led to the rise of Athens as the head of the Delian
League.
Learning Objective
Explain the consequences of the Persian Wars.
Key Points
The Persian Wars began in 499 BCE, when Greeks in the
Persian-controlled territory rose in the Ionian Revolt.
Athens, and other Greek cities, sent aid, but were quickly forced
to back down after defeat in 494 BCE.
Subsequently, the Persians suffered many defeats at the hands
of the Greeks, led by the Athenians.
Silver mining contributed to the funding of a massive Greek
army that was able to rebuke Persian assaults and eventually
defeat the Persians entirely.
The end of the Persian Wars led to the rise of Athens as the
leader of the Delian League.
Key Terms
Persian Wars
A series of conflicts, from 499-449 BCE, between the

Achaemenid Empire of Persia and city-states of the Hellenic
world.
hoplites
A citizen-soldier of one of the ancient Greek city-states, armed

primarily with spears and a shield.
The Persian Wars (499-449 BCE) were fought between the

Achaemenid Empire and the Hellenic world during the Greek
classical period. The conflict saw the rise of Athens, and led to its
Golden Age.
Origins of the Conflict

Greeks of the classical period believed, and historians generally
agree, that in the aftermath of the fall of Mycenaean civilization,
many Greek tribes emigrated and settled in Asia Minor. These
settlers were from three tribal groups: the Aeolians, Dorians, and
Ionians. The Ionians settled along the coasts of Lydia and Caria, and
founded 12 towns that remained politically separate from one
another, although they did recognize a shared cultural heritage. This
formed the basis for an exclusive Ionian "cultural league." The
Lydians of western Asia Minor conquered the cities of Ionia, which
put the region at conflict with the Median Empire, the precursor to
the Achaemenid Empire of the Persian Wars, and a power that the
Lydians opposed.
In 553 through 550 BCE, the Persian prince Cyrus led a successful
revolt against the last Median king Astyages, and founded the
Achaemenid Empire. Seeing an opportunity in the upheaval, the
famous Lydian king Croesus asked the oracle at Delphi whether he
should attack the Persians in order to extend his realm. According to
Herodotus, he received the ambiguous answer that "if Croesus was
to cross the Halys [ River] he would destroy a great empire." Croesus
chose to attack, and in the process he destroyed his own empire,
with Lydia falling to Prince Cyrus. The Ionians sought to maintain
autonomy under the Persians as they had under the Lydians, and
resisted the Persians militarily for some time. However, due to their
unwillingness to rise against the Lydians during previous conflicts,
they were not granted special terms. Finding the Ionians difficult to
rule, the Persians installed tyrants in every city, as a means of
control.
Achaemenid Empire Map

The Achaemenid Empire at its greatest extent.
At its greatest extent, the Achaemenid Empire included all of the

territory of modern-day Iran, Turkey, Iraq, Kuwait, Syria, Jordan,
Israel, Palestine, Lebanon, Afghanistan, all significant population
centers of Ancient Egypt as far west as eastern Libya, Thrace-
Macedonia and Paeonia, the Black Sea coastal regions of Bulgaria,
Romania, Ukraine, and Russia, all of Armenia, Georgia (incl.
Abkhazia), Azerbaijan, parts of the North Caucasus, and much of
Central Asia; encompassing around 5.5 million square kilometers,
making it one of the largest empires in history. With some population
estimates of 50 million in 480 BCE, the Achaemenid Empire at its
peak was one of the empires with the highest share of the global
population.
The Ionian Revolt

In 499 BCE, Greeks in the region rose up against Persian rule in the
Ionian Revolt. At the heart of the rebellion lay a deep dissatisfaction
with the tyrants who were appointed by the Persians to rule the local
Greek communities. Specifically, the riot was incited by the Milesian
tyrant Aristagoras, who in the wake of a failed expedition to conquer
Naxos, utilized Greek unrest against Persian king Darius the Great
to his own political purposes.
Athens and other Greek cities sent aid, but were quickly forced to
back down after defeat in 494 BCE, at the Battle of Lade. As a result,
Asia Minor returned to Persian control. Nonetheless, the Ionian
Revolt remains significant as the first major conflict between Greece
and the Persian Empire, as well as the first phase of the Persian
Wars. Darius vowed to exact revenge against Athens, and
developed a plan to conquer all Greeks in an attempt to secure the
stability of his empire.
First Persian Invasion of

Greece
In 492 BCE, the Persian general, Mardonius, led a campaign
through Thrace and Macedonia. During this campaign, Mardonius
re-subjugated Thrace and forced Macedonia to become a fully
submissive client of the Persian Empire, whereas before they had
maintained a broad degree of autonomy. While victorious, he was
wounded and forced to retreat back into Asia Minor. Additionally, he
lost his 1200-ship naval fleet to a storm off the coast of Mount Athos.
Darius sent ambassadors to all Greek cities to demand full
submission in light of the recent Persian victory, and all cities
submitted, with the exceptions of Athens and Sparta, both of which
executed their respective ambassadors. These actions signaled
Athens’ continued defiance and brought Sparta into the conflict.
In 490 BCE, approximately 100,000 Persians landed in Attica

intending to conquer Athens, but were defeated at the Battle of
Marathon by a Greek army of 9,000 Athenian hoplites and 1,000
Plateans, led by the Athenian general, Miltiades. The Persian fleet
continued to sail to Athens but, seeing it garrisoned, decided not to
attempt an assault. The Battle of Marathon was a watershed
moment in the Persian Wars, in that it demonstrated to the Greeks
that the Persians could be defeated. It also demonstrated the
superiority of the more heavily armed Greek hoplites.
Greek-Persian duel
Depiction of a Greek hoplite and a Persian warrior fighting each
other on an ancient kylix.
Interbellum ( 490-48 0 BCE)

After the failure of the first Persian invasion, Darius raised a large
army with the intent of invading Greece again. However, in 486 BCE,
Darius’s Egyptian subjects revolted, postponing any advancement
against Greece. During preparations to march on Egypt, Darius died
and his son, X erxes I, inherited the throne. X erxes quickly crushed
the Egyptians and resumed preparations to invade Greece.
Second Invasion of Greece

In 480 BCE, X erxes sent a much more powerful force of 300,000
soldiers by land, with 1,207 ships in support, across a double
pontoon bridge over the Hellespont. This army took Thrace before
descending on Thessaly and Boetia, whilst the Persian navy skirted
the coast and resupplied the ground troops. The Greek fleet,
meanwhile, dashed to block Cape Artemision. After being delayed by
Leonidas I, the Spartan king of the Agiad Dynasty, at the Battle of
Thermopylae (a battle made famous due to the sheer imbalance of
forces, with 300 Spartans facing the entire Persian Army), X erxes
advanced into Attica, where he captured and burned Athens. But the
Athenians had evacuated the city by sea, and under the command of
Themistocles, defeated the Persian fleet at the Battle of Salamis.
In 483 BCE, during the period of peace between the two Persian
invasions, a vein of silver ore had been discovered in the Laurion (a
small mountain range near Athens), and the ore that was mined
there paid for the construction of 200 warships to combat Aeginetan
piracy. A year later, the Greeks, under the Spartan Pausanias,
defeated the Persian army at Plataea. Meanwhile, the allied Greek
navy won a decisive victory at the Battle of Mycale, destroying the
Persian fleet, crippling X erxe’s sea power, and marking the
ascendency of the Greek fleet. Following the Battle of Plataea and
the Battle of Mycale, the Persians began withdrawing from Greece
and never attempted an invasion again.
Greek Counterattack
The Battle of Mycale was in many ways a turning point, after which
the Greeks went on the offensive against the Persian fleet. The
Athenian fleet turned to chasing the Persians from the Aegean Sea,
and in 478 BCE, the fleet then proceeded to capture Byzantium. In
the course of doing so, Athens enrolled all the island states, and
some mainland states, into an alliance called the Delian League—
so named because its treasury was kept on the sacred island of
Delos, whose purpose was to continue fighting the Persian Empire,
prepare for future invasions, and organize a means of dividing the
spoils of war. The Spartans, although they had taken part in the war,
withdrew into isolation afterwards. The Spartans believed that the
war’s purpose had already been reached through the liberation of
mainland Greece and the Greek cities of Asia Minor. Historians also
speculate that Sparta was unconvinced of the ability of the Delian
League to secure long-term security for Asian Greeks. The Spartan
withdrawal from the League allowed Athens to establish
unchallenged naval and commercial power within the Hellenic world.
7 .3.2: Effects of the Persian W ars

Despite their victories in the Persian Wars, the Greek city-states
emerged from the conflict more divided than united.
Learning Objective
Understand the effect the Persian Wars had on the balance of power
throughout the classical world
Key Points
After the second Persian invasion of Greece was halted, Sparta
withdrew from the Delian League and reformed the
Peloponnesian League with its original allies.
Many Greek city-states had been alienated from Sparta
following the violent actions of Spartan leader Pausanias during
the siege of Byzantium.
Following Sparta’s departure from the Delian League, Athens
was able to use the resources of the League to its own ends,
which led it into conflict with less powerful members of the
League.
The Persian Empire adopted a divide-and-rule strategy in
relation to the Greek city-states in the wake of the Persian Wars,
stoking already simmering conflicts, including the rivalry
between Athens and Sparta, to protect the Persian Empire
against further Greek attacks.
Key Terms
Peloponnesian League
An alliance formed around Sparta in the Peloponnesus, from the

6th to 4th centuries BCE.
Delian League
An association of Greek city-states under the leadership of

Athens, the purpose of which was to continue fighting the
Persian Empire after the Greek victories at the end of the
Second Persian invasion of Greece.
hegemony
The political, economic, or military predominance or control of

one state over others.
Aftermath of the Persian W ars

As a result of the allied Greek success, a large contingent of the
Persian fleet was destroyed and all Persian garrisons were expelled
from Europe, marking an end of Persia’s advance westward into the
continent. The cities of Ionia were also liberated from Persian
control. Despite their successes, however, the spoils of war caused
greater inner conflict within the Hellenic world. The violent actions of
Spartan leader Pausanias at the siege of Byzantium, for instance,
alienated many of the Greek states from Sparta, and led to a shift in
the military command of the Delian League from Sparta to Athens.
This set the stage for Sparta’s eventual withdrawal from the Delian
League.
Two Leagues
Following the two Persian invasions of Greece, and during the Greek
counterattacks that commenced after the Battles of Plataea and
Mycale, Athens enrolled all island and some mainland city-states into
an alliance, called the Delian League, the purpose of which was to
pursue conflict with the Persian Empire, prepare for future invasions,
and organize a means of dividing the spoils of war. The Spartans,
although they had taken part in the war, withdrew from the Delian
League early on, believing that the war’s initial purpose had been
met with the liberation of mainland Greece and the Greek cities of
Asia Minor. Historians also speculate that Sparta decided to leave
the League for pragmatic reasons, remaining unconvinced that it
was possible to secure long-term security for Greeks residing in Asia
Minor, and as a result of their unease with Athenian efforts to
increase their power. Once Sparta withdrew from the Delian League
after the Persian Wars, it reformed the Peloponnesian League, which
had originally been formed in the 6th century and provided the
blueprint for what was now the Delian League. The Spartan
withdrawal from the League had the effect, however, of allowing
Athens to establish unchallenged naval and commercial power,
unrivaled throughout the Hellenic world. In fact, shortly after the
League’s inception, Athens began to use the League’s navy for its
own purposes, which frequently led it into conflict with other, less
powerful League members.
Map of the Athenian Empire c. 431
BCE
The Delian League was the basis for the Athenian Empire, shown
here on the brink of the Peloponnesian War (c. 431 BCE).
Delian League Rebellions

A series of rebellions occurred between Athens and the smaller city-
states that were members of the League. For example, Naxos was
the first member of the League to attempt to secede, in
approximately 471 BCE. It was later defeated and forced to tear
down its defensive city walls, surrender its fleet, and lost voting
privileges in the League. Thasos, another League member, also
defected when, in 465 BCE, Athens founded the colony of
Amphipolis on the Strymon River, which threatened Thasos’ interests
in the mines of Mt Pangaion. Thasos allied with Persia and
petitioned Sparta for assistance, but Sparta was unable to help
because it was facing the largest helot revolution in its history.
Nonetheless, relations between Athens and Sparta were soured by
the situation. After a three-year long siege, Thasos was recaptured
and forced back into the Delian League, though it also lost its
defensive walls and fleet, its mines were turned over to Athens, and
the city-state was forced to pay yearly tribute and fines. According to
Thucydides, the siege of Thasos marked the transformation of the
League from an alliance into a hegemony.
Persia
Following their defeats at the hands of the Greeks, and plagued by
internal rebellions that hindered their ability to fight foreign enemies,
the Persians adopted a policy of divide-and-rule. Beginning in 449
BCE, the Persians attempted to aggravate the growing tensions
between Athens and Sparta, and would even bribe politicians to
achieve these aims. Their strategy was to keep the Greeks
distracted with in-fighting, so as to stop the tide of counterattacks
reaching the Persian Empire. Their strategy was largely successful,
and there was no open conflict between the Greeks and Persia until
396 BCE, when the Spartan king Agesilaus briefly invaded Asia
Minor.
Attributions
The Persian Wars
https://en.wikipedia.org/wiki/Achaemenid_Empire.
WIkipedia CC BY-SA 3.0.
"Classical Greece."
http://en.wikipedia.org/wiki/Classical_Greece%23The_Persi
an_Wars. Wikipedia CC BY-SA.
"Hoplite." https://en.wikipedia.org/wiki/Hoplite. Wikipedia
CC BY-SA 3.0.
"Delian League."
https://en.wikipedia.org/wiki/Delian_League. Wikipedia CC
BY-SA 3.0.
"Greco-Persian Wars." http://en.wikipedia.org/wiki/Greco-
Persian_Wars. Wikipedia CC BY-SA.
"AchaemenidMapBehistunInscription.png."
https://en.wikipedia.org/wiki/File:AchaemenidMapBehistunI
nscription.png. Wikipedia CC BY 1.0 Generic.
"Greek-Persian_duel.jpg."
https://commons.wikimedia.org/wiki/File:Greek-
Persian_duel.jpg. Wikimedia Public domain.
Effects of the Persian Wars
"Greco-Persian Wars." https://en.wikipedia.org/wiki/Greco-
Persian_Wars. Wikipedia CC BY-SA 3.0.
"Delian League."
https://en.wikipedia.org/wiki/Delian_League. Wikipedia CC
BY-SA 3.0.
"Peloponnesian League."
https://en.wikipedia.org/wiki/Peloponnesian_League.
"Hegemony." https://en.wikipedia.org/wiki/Hegemony.
"Map_athenian_empire_431_BC-en.svg."
https://en.wikipedia.org/wiki/File:Map_athenian_empire_431
_BC-en.svg. Wikimedia CC BY-SA 2.5.
7 .4: Athens
7 .4.1: Athens
Athens attained its Golden Age under Pericles in the 5th century
BCE, and flourished culturally as the hegemonic power of the
Hellenic world.
Learning Objective
Understand the factors contributing to the rise and fall of Athens
Key Points
Cleisthenes overthrew the dictator Hippias in 511/510 BCE in
order to establish democracy at Athens.
Athens entered its Golden Age in the 5th century BCE, when it
abandoned the pretense of parity and relocated the treasury of
the Delian League from Delos to Athens. This money funded the
building of the Athenian Acropolis, put half the Athenian
population on the public payroll, and allowed Athens to build and
maintain the dominant naval power in the Greek world.
With the empire's funds, military dominance, and its political
fortunes as guided by statesman and orator Pericles, Athens
produced some of the most influential and enduring cultural
artifacts of the Western tradition.
Tensions within the Delian League brought about the
Peloponnesian War (431-404 BCE), during which Athens was
defeated by its rival, Sparta. Athens lost further power when the
armies of Philip II defeated an alliance of Greek city-states.
Key Terms
Acropolis
A settlement, especially a citadel, built upon an area of elevated

ground, frequently a hill with precipitous sides, chosen for
purposes of defense. Often the nuclei of large cities of classical
antiquity.
Pericles
A prominent and influential Greek statesman, orator, and

general of Athens during its Golden Age, in the time between
the Persian and Peloponnesian wars.
Delian League
Founded in 478 BCE, an association of Greek city-states under

the leadership of Athens, whose purpose was to fight the
Persian Empire during the Greco-Persian Wars.
The Rise of Athens ( 5 08 -448

BCE)
In 514 BCE, the dictator Hippias established stability and prosperity
with his rule of Athens, but remained very unpopular as a ruler. With
the help of an army from Sparta in 511/510 BCE, he was overthrown
by Cleisthenes, a radical politician of aristocratic background who
established democracy in Athens.
Prior to the rise of Athens, Sparta, a city-state with a militaristic

culture, considered itself the leader of the Greeks, and enforced an
hegemony. In 499 BCE, Athens sent troops to aid the Ionian Greeks
of Asia Minor, who were rebelling against the Persian Empire during
the Ionian Revolt. This provoked two Persian invasions of Greece,
both of which were repelled under the leadership of the soldier-
statesmen Miltiades and Themistocles, during the Persian Wars. In
the decades that followed, the Athenians, with the help of the
Spartans and other allied Greek city-states, managed to rout the
Persians. These victories enabled Athens to bring most of the
Aegean, and many other parts of Greece, together in the Delian
League, creating an Athenian-dominated alliance from which Sparta
and its allies withdrew.
Greek-Persian Duel
The artwork shows a Greek hoplite and Persian warrior fighting each
other.
Athenian Hegemony and the

Age of Pericles
The 5th century BCE was a period of Athenian political hegemony,
economic growth, and cultural flourishing that is sometimes referred
to as the Golden Age of Athens. The latter part of this time period is
often called The Age of Pericles. After peace was made with Persia
in the 5th century BCE, what started as an alliance of independent
city-states became an Athenian empire. Athens moved to abandon
the pretense of parity among its allies, and relocated the Delian
League treasury from Delos to Athens, where it funded the building
of the Athenian Acropolis, put half its population on the public
payroll, and maintained the dominant naval power in the Greek
world. With the empire's funds, military dominance, and its political
fortunes as guided by statesman and orator Pericles, Athens
produced some of the most influential and enduring cultural artifacts
of Western tradition, during what became known as the Golden Age
of Athenian democracy, or the Age of Pericles. The playwrights
Aeschylus, Sophocles, and Euripides all lived and worked in Athens
during this time, as did historians Herodotus and Thucydides, the
physician Hippocrates, and the philosopher Socrates.
Caryatid Statues
The caryatid statues of the Erechtheion on the Acropolis.
This image shows six caryatids. A caryatid is a sculpted female

figure serving as an architectural support taking the place of a
column or a pillar supporting an entablature on her head.
Pericles was arguably the most prominent and influential Greek
statesman, orator, and general of Athens during its Golden Age. One
of his most popular reforms while in power was to allow thetes
(Athenians without wealth) to occupy public office. Another success
of his administration was the creation of the misthophoria, a special
salary for the citizens that attended the courts as jurors. As Athens'
ruler, he helped the city to prosper with a resplendent culture and
democratic institutions.
5 th century Athenian Political

Institutions
The administration of the Athenian state was managed by a group of
people referred to as magistrates, who were submitted to rigorous
public control and chosen by lot. Only two magistrates were directly
elected by the Popular Assembly: strategos (or generals), and
magistrates of finance. All magistrates served for a year or less, with
the exception of Pericles, who was elected year after year to public
office. At the end of their service, magistrates were required to give
an account of their administration and use of public finances.
The most elite posts in the Athenian political system belonged to

archons. In ages past, they served as heads of the Athenian state,
but in the Age of Pericles they lost much of their influence and
power, though they still presided over tribunals. The Assembly of the
People was the first organ of democracy in Athens. In theory, it was
composed of all the citizens of Athens. However, it is estimated that
the maximum number of participants it witnessed was 6,000. The
Assembly met in front of the Acropolis and decided on laws and
decrees. Once the Assembly gave its decision in a certain matter,
the issue was raised to the Council, or Boule, to provide definitive
approval.
The Council consisted of 500 members, 50 from each tribe, and

functioned as an extension of the Assembly. Council members were
chosen by lot in a similar manner to magistrates and supervised the
work of the magistrates in addition to other legal projects and
administrative details. They also oversaw the city-state’s external
affairs.
Athenian Defeat and Conquest

By Macedon
Originally intended as an association of Greek city-states to continue
the fight against the Persians, the Delian League soon turned into a
vehicle for Athens's own imperial ambitions and empire-building. The
resulting tensions brought about the Peloponnesian War (431-404
BCE), in which Athens was defeated by its rival, Sparta. By the mid-
4th century BCE, the northern Greek kingdom of Macedon was
becoming dominant in Athenian affairs. In 338 BCE, the armies of
Philip II of Macedon defeated an alliance of some of the Greek city-
states, including Athens and Thebes, at the Battle of Chaeronea,
effectively ending Athenian independence.
7 .4.2: Athenian Society

Classical Athenian society was structured as a democratic patriarchy
that strived towards egalitarian ideals.
Learning Objective
Understand the structures of Athenian society in the classical period
Key Points
The citizens of Athens decided matters of state in the Assembly
of the People, the principle organ of Athen’s democracy.
The Athenian democracy provided a number of governmental
resources to its population in order to encourage participation in
the democratic process.
Many governmental posts in classical Athens were chosen by
lot, in an attempt to discourage corruption and patronage.
The Athenian elite lived relatively modestly, and wealth and land
were not concentrated in the hands of the few, but rather
distributed fairly evenly across the upper classes.
Thetes occupied the lowest rung of Athenian society, but were
granted the right to hold public office during the reforms of
Ephialtes and Pericles.
Athenian society was a patriarchy; men held all rights and
advantages, such as access to education and power.
Athenian women were dedicated to the care and upkeep of the
family home.
Key Terms
thetes
The lowest social class of citizens in ancient Athens.
Assembly of the People
The democratic congregation of classical Athens, which, in

theory, brought together all citizens to decide upon proposed
laws and decrees.
Structure of the Athenian

Government
In the Assembly of the People, Athenian citizens decided matters of
state. In theory, it was composed of all the citizens of Athens;
however, it is estimated that the maximum number of participants it
included was 6,000. Since many citizens were incapable of
exercising political rights, due to their poverty or ignorance, a
number of governmental resources existed to encourage inclusivity.
For example, the Athenian democracy provided the following to its
population:
Concession of salaries to public functionaries

Help finding work for the poor
Land grants for dispossessed villagers
Public assistance for war widows, invalids, orphans, and
indigents
In order to discourage corruption and patronage, most public offices

that did not require specialized expertise were appointed by lot
rather than by election. Offices were also rotated so that members
could serve in all capacities in turn, in order to ensure that political
functions were instituted as smoothly as possible regardless of each
individual official’s capacity.
When the Assembly of the People reached decisions on laws and

decrees, the issue was raised to a body called the Council, or Boule,
to provide definitive approval. The Council consisted of 500
members, 50 from each tribe, and functioned as an extension of the
Assembly. Council members, who were chosen by lot, supervised
the work of other government officials, legal projects, and other
administrative details. They also oversaw the city-state’s external
affairs.
The Acropolis
V iew of the Acropolis in Athens, Greece.
Athenians in the Age of

Pericles
The Athenian elite lived modestly and without great luxuries
compared to the elites of other ancient societies. Wealth and land
ownership was not typically concentrated in the hands of a few
people. In fact, 71-73% of the citizen population owned 60-65% of
the land. By contrast, thetes occupied the lowest social class of
citizens in Athens. Thetes worked for wages or had less than 200
medimnoi as yearly income. Many held crucial roles in the Athenian
navy as rowers, due to the preference of many ancient navies to rely
on free men to row their galleys. During the reforms of Ephialtes and
Pericles around 460-450 BCE, thetes were granted the right to hold
public office.
Boys were educated at home until the age of seven, at which time
they began formal schooling. Subjects included reading, writing,
mathematics, and music, as well as physical education classes that
were intended to prepare students for future military service. At the
age of 18, service in the army was compulsory.
Athenian women were dedicated to the care and upkeep of the

family home. Athenian society was a patriarchy; men held all rights
and advantages, such as access to education and power.
Nonetheless, some women, known as hetaeras, did receive an
education with the specific purpose of entertaining men, similar to
the Japanese geisha tradition. Hetaeras were considered higher in
status than other women, but lower in status than men. One famous
example of a hetaera is Pericles’ mistress, Aspasia of Miletus, who is
said to have debated with prominent writers and thinkers, including
Socrates.
Attributions
Athens
"Caryatid." https://en.wikipedia.org/wiki/Caryatid. Wikipedia
CC BY-SA 3.0.
"Athens." https://en.wikipedia.org/wiki/Athens. Wikipedia
CC BY-SA 3.0.
"Classical Athens."
http://en.wikipedia.org/wiki/Classical_Athens. Wikipedia CC
BY-SA.
"Acropolis." http://en.wikipedia.org/wiki/Acropolis. Wikipedia
CC BY-SA.
"Age of Pericles."
http://en.wikipedia.org/wiki/Age_of_Pericles. Wikipedia CC
BY-SA.
"Delian League."
http://en.wikipedia.org/wiki/Delian_League. Wikipedia CC
BY-SA.
"Pericles." http://en.wiktionary.org/wiki/Pericles. Wiktionary
CC BY-SA 3.0.
"Fifth-century Athens." https://en.wikipedia.org/wiki/Fifth-
century_Athens. Wikipedia CC BY-SA 3.0.
"Greek-Persian Duel."
https://commons.wikimedia.org/wiki/File:Greek-
Persian_duel.jpg. Wikimedia Public domain.
"Classical Athens."
https://commons.wikimedia.org/wiki/File:Ath%C3%A8nes_A
cropole_Caryatides.JPG. Wikimedia GNU FDL 1.2.
Athenian Society
"Thetes." https://en.wikipedia.org/wiki/Thetes. Wikipedia CC
BY-SA 3.0.
"Fifth-century Athens." https://en.wikipedia.org/wiki/Fifth-
century_Athens. Wikipedia CC BY-SA 3.0.
"Lightmatter_acropolis.jpg."
https://commons.wikimedia.org/wiki/File:Lightmatter_acropo
lis.jpg. Wikimedia CC BY 1.0 Generic.
7 .5 : Culture in Classical Greece
7 .5 .1: Classical Greek Philosophy
The three most famous Classical Greek philosophers are Socrates,
Plato, and Aristotle.
Learning Objective
Understand the main philosophical beliefs of Socrates, Plato, and
Aristotle
Key Points
Socrates is best known for having pursued a probing question-
and-answer style of examination on a number of topics, usually
attempting to arrive at a defensible and attractive definition of a
virtue.
In 399 BCE, Socrates was charged for his philosophical
inquiries, convicted, and sentenced to death.
Plato was a student of Socrates, and is the author of numerous
dialogues and letters, as well as one of the primary sources
available to modern scholars on Socrates' life.
In his defining work, The Republic, Plato reaches the conclusion
that a utopian city is likely impossible because philosophers
would refuse to rule and the people would refuse to compel
them to do so.
Aristotle was a student of Plato, the tutor of Alexander the
Great, and founder of the Lyceum and Peripatetic School of
philosophy in Athens. He wrote on a number of subjects,
including logic, physics, metaphysics, ethics, rhetoric, politics,
and botany.
Key Terms
allegory of the cave
A paradoxical analogy wherein Socrates argues that the

invisible world is the most intelligible, and the visible world is the
least knowable and obscure. Plato has Socrates describe a
gathering of people who have lived chained to the wall of a cave
all of their lives, facing a blank wall upon which shadows are
projected. The shadows are as close as the prisoners get to
viewing reality.
Aristotle
The student of Plato, tutor to Alexander the Great, and founder

of the Lyceum. A Greek philosopher who wrote on a number of
topics, including logic, ethics, and metaphysics.
aporia
In philosophy, a paradox or state of puzzlement; in rhetoric, a

useful expression of doubt.
Socrates
A classical Greek (Athenian) philosopher credited as one of the

founders of Western philosophy. Known for a question-answer
style of examination.
Plato
The student of Socrates and author of The Republic. A

philosopher and mathematician in classical Greece.
Classical Greece saw a flourishing of philosophers, especially in

Athens during its Golden Age. Of these philosophers, the most
famous are Socrates, Plato, and Aristotle.
Socrates
Socrates
Bust of Socrates, currently in the Louvre.
Socrates, born in Athens in the 5th century BCE, marks a watershed

in ancient Greek philosophy. Athens was a center of learning, with
sophists and philosophers traveling from across Greece to teach
rhetoric, astronomy, cosmology, geometry, and the like. The great
statesman Pericles was closely associated with these new
teachings, however, and his political opponents struck at him by
taking advantage of a conservative reaction against the
philosophers. It became a crime to investigate issues above the
heavens or below the earth because they were considered impious.
While other philosophers, such as Anaxagoras, were forced to flee
Athens, Socrates was the only documented individual charged under
this law, convicted, and sentenced to death in 399 BCE. In the
version of his defense speech presented by Plato, he claims that the
envy others experience on account of his being a philosopher is
what will lead to his conviction.
Many conversations involving Socrates (as recounted by Plato and

X enophon) end without having reached a firm conclusion, a style
known as aporia. Socrates is said to have pursued this probing
question-and-answer style of examination on a number of topics,
usually attempting to arrive at a defensible and attractive definition of
a virtue. While Socrates' recorded conversations rarely provide a
definitive answer to the question under examination, several maxims
or paradoxes for which he has become known recur. Socrates taught
that no one desires what is bad, and so if anyone does something
that truly is bad, it must be unwillingly or out of ignorance;
consequently, all virtue is knowledge. He frequently remarks on his
own ignorance (claiming that he does not know what courage is, for
example). Plato presents Socrates as distinguishing himself from the
common run of mankind by the fact that, while they know nothing
noble and good, they do not know that they do not know, whereas
Socrates knows and acknowledges that he knows nothing noble and
good.
Socrates was morally, intellectually, and politically at odds with many

of his fellow Athenians. When he was on trial, he used his method of
elenchos, a dialectic method of inquiry that resembles the scientific
method, to demonstrate to the jurors that their moral values are
wrong-headed. He tells them they are concerned with their families,
careers, and political responsibilities when they ought to be worried
about the "welfare of their souls." Socrates' assertion that the gods
had singled him out as a divine emissary seemed to provoke
irritation, if not outright ridicule. Socrates also questioned the
Sophistic doctrine that arete (virtue) can be taught. He liked to
observe that successful fathers (such as the prominent military
general Pericles) did not produce sons of their own quality. Socrates
argued that moral excellence was more a matter of divine bequest
than parental nurture.
Plato
Plato
A copy of Plato's portrait bust by Silanion.
Plato was an Athenian of the generation after Socrates. Ancient

tradition ascribes 36 dialogues and 13 letters to him, although of
these only 24 of the dialogues are now universally recognized as
authentic. Most modern scholars believe that at least 28 dialogues,
and two of the letters, were in fact written by Plato, although all of the
36 dialogues have some defenders. Plato's dialogues feature
Socrates, although not always as the leader of the conversation.
Along with X enophon, Plato is the primary source of information
about Socrates' life and beliefs, and it is not always easy to
distinguish between the two.
Much of what is known about Plato's doctrines is derived from what

Aristotle reports about them, and many of Plato's political doctrines
are derived from Aristotle's works, The Republic, the Laws, and the
Statesman. The Republic contains the suggestion that there will not
be justice in cities unless they are ruled by philosopher kings; those
responsible for enforcing the laws are compelled to hold their
women, children, and property in common; and the individual is
taught to pursue the common good through noble lies. The Republic
determines that such a city is likely impossible, however, and
generally assumes that philosophers would refuse to rule if the
citizenry asked them to, and moreover, the citizenry would refuse to
compel philosophers to rule in the first place.
"Platonism" is a term coined by scholars to refer to the intellectual

consequences of denying, as Plato's Socrates often does, the reality
of the material world. In several dialogues, most notably The
Republic, Socrates inverts the common man's intuition about what is
knowable and what is real. While most people take the objects of
their senses to be real if anything is, Socrates is contemptuous of
people who think that something has to be graspable in the hands to
be real. Socrates's idea that reality is unavailable to those who use
their senses is what puts him at odds with the common man and with
common sense. Socrates says that he who sees with his eyes is
blind, and this idea is most famously captured in his allegory of the
cave, a paradoxical analogy wherein Socrates argues that the
invisible world is the most intelligible and that the visible world is the
least knowable and most obscure. In the allegory, Socrates
describes a gathering of people who have lived chained to the wall of
a cave facing a blank wall. The people watch shadows projected on
the wall from the fire burning behind them, and the people begin to
name and describe the shadows, which are the closest images they
have to reality. Socrates then explains that a philosopher is like a
prisoner released from that cave who comes to understand the
shadows on the wall are not reality.
Aristotle
Aristotle
Roman copy in marble of a Greek bronze bust of Aristotle by
Lysippus, c. 330 BCE. The alabaster mantle is modern.
Aristotle moved to Athens from his native Stageira in 367 BCE, and
began to study philosophy, and perhaps even rhetoric, under
Isocrates. He eventually enrolled at Plato's Academy. He left Athens
approximately twenty years later to study botany and zoology,
became a tutor of Alexander the Great, and ultimately returned to
Athens a decade later to establish his own school, the Lyceum. He is
the founder of the Peripatetic School of philosophy, which aims to
glean facts from experiences and explore the "why" in all things. In
other words, he advocates learning by induction.
At least 29 of Aristotle's treatises have survived, known as the

corpus Aristotelicum, and address a variety of subjects including
logic, physics, optics, metaphysics, ethics, rhetoric, politics, poetry,
botany, and zoology. Aristotle is often portrayed as disagreeing with
his teacher, Plato. He criticizes the regimes described in Plato's
Republic and Laws, and refers to the theory of forms as "empty
words and poetic metaphors." He preferred utilizing empirical
observation and practical concerns in his works. Aristotle did not
consider virtue to be simple knowledge as Plato did, but founded in
one’s nature, habit, and reason. V irtue was gained by acting in
accordance with nature and moderation.
7 .5 .2: Classical Greek Poetry and

History
Homer, one of the greatest Greek poets, significantly influenced
classical Greek historians as their field turned increasingly towards
scientific evidence-gathering and analysis of cause and effect.
Learning Objective
Explain how epic poetry influenced the development of classical
Greek historical texts
Key Points
The formative influence of the Homeric epics in shaping Greek
culture was widely recognized, and Homer was described as the
teacher of Greece.
The I liad, sometimes referred to as the Song of I lion or Song of
I lium, is set during the Trojan War and recounts the battles and
events surrounding a quarrel between King Agamemnon and
the warrior Achilles.
Herodotus is referred to as "The Father of History," and is the
first historian known to have broken from Homeric tradition in
order to treat historical subjects as a method of investigation
arranged into a historiographic narrative.
Thucydides, who had been trained in rhetoric, provided a model
of historical prose-writing based more firmly in factual
progression of a narrative, whereas Herodotus, due to frequent
digressions and asides, appeared to minimize his authorial
control.
Thucydides is sometimes known as the father of "scientific
history," or an early precursor to 20th century scientific
positivism, because of his strict adherence to evidence-
gathering and analysis of historical cause and effect without
reference to divine intervention.
Despite its heavy political slant, scholars cite strong literary and
philosophical influences in Thucydides’ work.
Key Terms
Homer
A Greek poet of the 7th or 8th century BCE; author of the Iliad
and the Odyssey.
dactylic hexameter
A form of meter in poetry or a rhythmic scheme. Traditionally
associated with the quantitative meter of classical epic poetry in
both Greek and Latin, and consequently considered to be the
grand style of classical poetry.
Homer
In the Western classical tradition, Homer is the author of the I liad
and the Odyssey, and is revered as the greatest of ancient Greek
epic poets. These epics lie at the beginning of the Western canon of
literature, and have had an enormous influence on the history of
literature. Whether and when Homer lived is unknown. The ancient
Greek author Herodotus estimates that Homer lived 400 years
before his own time, which would place him at around 850 BCE,
while other ancient sources claim that he lived much nearer to the
supposed time of the Trojan War, in the early 12th century BCE. Most
modern researchers place Homer in the 7th or 8th centuries BCE.
Homer
Idealized portrayal of Homer dating to the Hellenistic period; located
at the British Museum.
The formative influence of the Homeric epics in shaping Greek

culture was widely recognized, and Homer was described as the
"Teacher of Greece." Homer's works, some 50% of which are
speeches, provided models in persuasive speaking and writing that
were emulated throughout the ancient and medieval Greek worlds.
Fragments of Homer account for nearly half of all identifiable Greek
literary papyrus finds.
The Iliad
The I liad (sometimes referred to as the Song of I lion or Song of
I lium) is an ancient Greek epic poem in dactylic hexameter. Set
during the Trojan War (the ten-year siege of the city of Troy (Ilium) by
a coalition of Greek states), it tells of the battles and events
surrounding a quarrel between King Agamemnon and the warrior
Achilles. Although the story covers only a few weeks in the final year
of the war, the I liad mentions or alludes to many of the Greek
legends about the siege. The epic narrative describes events
prophesied for the future, such as Achilles' looming death and the
sack of Troy. The events are prefigured and alluded to more and
more vividly, so that when the story reaches an end, the poem has
told a more or less complete tale of the Trojan War.
Nineteenth century excavations at Hisarlik provided scholars with

historical evidence for the events of the Trojan War, as told by
Homer in the I liad. Additionally, linguistic studies into oral epic
traditions in nearby civilizations, and the deciphering of Linear B in
the 1950s, provided further evidence that the Homeric poems could
have been derived from oral transmissions of long-form tales about a
war that actually took place. The likely historicity of the I liad as a
piece of literature, however, must be balanced against the creative
license that would have been taken over years of transmission, as
well as the alteration of historical fact to conform with tribal
preferences and provide entertainment value to its intended
audiences.
Herodotus
Herodotus was a Greek historian who was born in Halicarnassus
(modern-day Bodrum, Turkey) and lived in the 5th century BCE. He
was a contemporary of Socrates. He is referred to as "The Father of
History" and is the first historian known to have broken from Homeric
tradition in order to treat historical subjects as a method of
investigation arranged into a historiographic narrative. His only
known work is a history on the origins of the Greco-Persian Wars,
entitled, The Histories. Herodotus states that he only reports that
which was told to him, and some of his stories are fanciful and/or
inaccurate; however, the majority of his information appears to be
accurate.
Athenian tragic poets and storytellers appear to have provided heavy

inspiration for Herodotus, as did Homer. Herodotus appears to have
drawn on an Ionian tradition of storytelling, collecting and interpreting
oral histories he happened upon during his travels in much the same
way that oral poetry formed the basis for much of Homer’s works.
While these oral histories often contained folk-tale motifs and fed into
a central moral, they also related verifiable facts relating to
geography, anthropology, and history. For this reason, Herodotus
drew criticism from his contemporaries, being touted as a mere
storyteller and even a falsifier of information. In contrast to this type
of approach, Thucydides, who had been trained in rhetoric, provided
a model of historical prose-writing based more firmly in factual
progression of a narrative, whereas Herodotus, due to frequent
digressions and asides, appeared to minimize his authorial control.
Thucydides
Thucydides was an Athenian historian and general. His History of
the Peloponnesian W ar recounts the 5th century BCE war between
Athens and Sparta. Thucydides is sometimes known as the father of
"scientific history," or an early precursor to 20th century scientific
positivism, because of his strict adherence to evidence-gathering
and analysis of historical cause and effect without reference to divine
intervention. He is also considered the father of political realism,
which is a school of thought within the realm of political science that
views the political behavior of individuals and the relations between
states to be governed by self-interest and fear. More generally,
Thucydides’ texts show concern with understanding why individuals
react the way they do during such crises as plague, massacres, and
civil war.
Unlike Herodotus, Thucydides did not view his historical accounts as
a source of moral lessons, but rather as a factual reporting of
contemporary political and military events. Thucydides viewed life in
political terms rather than moral terms, and viewed history in political
terms. Thucydides also tended to omit, or at least downplay,
geographic and ethnographic aspects of events from his work,
whereas Herodotus recorded all information as part of the narrative.
Thucydides’ accounts are generally held to be more unambiguous
and reliable than those of Herodotus. However, unlike his
predecessor, Thucydides does not reveal his sources. Curiously,
although subsequent Greek historians, such as Plutarch, held up
Thucydides’ writings as a model for scholars of their field, many of
them continued to view history as a source of moral lessons, as did
Herodotus.
Despite its heavy political slant, scholars cite strong literary and
philosophical influences in Thucydides’ work. In particular, the
History of the Peloponnesian W ar echoes the narrative tradition of
Homer, and draws heavily from epic poetry and tragedy to construct
what is essentially a positivistic account of world events. Additionally,
it brings to the forefront themes of justice and suffering in a similar
manner to the philosophical texts of Aristotle and Plato.
7 .5 .3: Classical Greek Theater

Classical Greek theater, whether tragic or comic, has had great
influence on modern literature and drama.
Learning Objective
Describe the common themes found in classical Greek plays
Key Points
The city-state of Athens was the center of cultural power during
this period, and held a drama festival in honor of the god
Dionysus, called the Dionysia.
Two dramatic genres to emerge from this era of Greek theater
were tragedy and comedy, both of which rose to prominence
around 500-490 BCE.
Greek tragedy is an extension of the ancient rites carried out in
honor of Dionysus; it heavily influenced the theater of ancient
Rome and the Renaissance.
Tragic plots were often based upon myths from the oral
traditions of archaic epics, and took the form of narratives
presented by actors.
Aeschylus was the first tragedian to codify the basic rules of
tragic drama, and is considered by many to be the "father of
tragedy."
Athenian comedy is divided into three periods: Old Comedy,
Middle Comedy, and New Comedy.
Key Terms
chorus
In the context of Greek theatre, a homogeneous, non-

individualized group of performers who comment, with a
collective voice, on dramatic action.
deus ex machina
A plot device whereby a seemingly unsolvable problem is

suddenly and abruptly resolved by the unexpected intervention
of some new event, character, ability, or object.
monody
In the context of ancient Greek theater and literature, lyric poetry

sung by a single performer rather than by a chorus.
The theatrical culture of ancient Greece flourished from
approximately 700 BCE onward. The city-state of Athens was the
center of cultural power during this period and held a drama festival
in honor of the god Dionysus, called the Dionysia. This festival was
exported to many of Athen’s numerous colonies to promote a
common cultural identity across the empire. Two dramatic genres to
emerge from this era of Greek theater were tragedy and comedy,
both of which rose to prominence around 500-490 BCE.
Greek Tragedy
Sometimes referred to as Attic tragedy, Greek tragedy is an
extension of the ancient rites carried out in honor of Dionysus, and it
heavily influenced the theater of ancient Rome and the Renaissance.
Tragic plots were often based upon myths from the oral traditions of
archaic epics, and took the form of narratives presented by actors.
Tragedies typically began with a prologue, in which one or more
characters introduce the plot and explain the background to the
ensuing story. The prologue is then followed by paraodos, after
which the story unfolds through three or more episodes. The
episodes are interspersed by stasima, or choral interludes that
explain or comment on the situation that is developing. The tragedy
then ends with an ex odus, which concludes the story.
Aeschylus and the Codification of

Tragic Drama
Aeschylus was the first tragedian to codify the basic rules of tragic
drama. He is often described as the father of tragedy. He is credited
with inventing the trilogy, a series of three tragedies that tell one long
story. Trilogies were often performed in sequence over the course of
a day, from sunrise to sunset. At the end of the last play, a satyr play
was staged to revive the spirits of the public after they had witnessed
the heavy events of the tragedy that had preceded it.
Marble bust of Aeschylus
Marble bust of Aeschylus
According to Aristotle, Aeschylus also expanded the number of

actors in theater to allow for the dramatization of conflict on stage.
Previously, it was standard for only one character to be present and
interact with the homogeneous chorus, which commented in unison
on the dramatic action unfolding on stage. Aeschylus’s works show
an evolution and enrichment in dialogue, contrasts, and theatrical
effects over time, due to the rich competition that existed among
playwrights of this era. Unfortunately, his plays, and those of
Sophocles and Euripides, are the only works of classical Greek
literature to have survived mostly intact, so there are not many rival
texts to examine his works against.
The Reforms of Sophocles
Cast of Sophocles' bust in the

Pushkin Museum
Sophocles
Sophocles was one such rival who triumphed against the famous
and previously unchallenged Aeschylus. Sophocles introduced a
third actor to staged tragedies, increased the chorus to 15 members,
broke the cycle of trilogies (making possible the production of
independent dramas), and introduced the concept of scenery to
theater. Compared to the works of Aeschylus, choruses in
Sophocles’ plays did less explanatory work, shifting the focus to
deeper character development and staged conflict. The events that
took place were often left unexplained or unjustified, forcing the
audience to reflect upon the human condition.
The Realism of Euripides

Euripides differs from Aeschylus and Sophocles in his search for
technical experimentation and increased focus on feelings as a
mechanism to elaborate the unfolding of tragic events. In Euripides’
tragedies, there are three experimental aspects that reoccur. The
first is the transition of the prologue to a monologue performed by an
actor informing spectators of a story’s background. The second is
the introduction of deus ex machina, or a plot device whereby a
seemingly unsolvable problem is suddenly and abruptly resolved by
the unexpected intervention of some new event, character, ability, or
object. Finally, the use of a chorus was minimized in favor of a
monody sung by the characters.
Statue of Euripides
Statue of Euripides
Another novelty introduced by Euripidean drama is the realism with

which characters’ psychological dynamics are portrayed. Unlike in
Aeschylus or Sophocles’ works, heroes in Euripides’ plays were
portrayed as insecure characters troubled by internal conflict rather
than simply resolute. Female protagonists were also used to portray
tormented sensitivity and irrational impulses that collided with the
world of reason.
Greek Comedy
As Aristotle wrote in his Poetics, comedy is defined by the
representation of laughable people, and involves some kind of
blunder or ugliness that does not cause pain or disaster. Athenian
comedy is divided into three periods: Old Comedy, Middle Comedy,
and New Comedy. The Old Comedy period is largely represented by
the 11 surviving plays of Aristophanes, whereas much of the work of
the Middle Comedy period has been lost. New Comedy is known
primarily by the substantial papyrus fragments of Menander. In
general, the divisions between these periods is largely arbitrary, and
ancient Greek comedy almost certainly developed constantly over
the years.
Old Comedy and Aristophanes

Aristophanes, the most important Old Comic dramatist, wrote plays
that abounded with political satire, as well as sexual and scatological
innuendo. He lampooned the most important personalities and
institutions of his day, including Socrates in The Clouds. His works
are characterized as definitive to the genre of comedy even today.
Middle Comedy
Although the line between Old and Middle Comedy is not clearly
marked chronologically, there are some important thematic
differences between the two. For instance, the role of the chorus in
Middle Comedy was largely diminished to the point where it had no
influence on the plot. Additionally, public characters were no longer
impersonated or personified onstage, and objects of ridicule tended
to be more general rather than personal, and in many instances,
literary rather than political. For some time, mythological burlesque
was popular among Middle Comic poets. Stock characters also were
employed during this period. In-depth assessment and critique of the
styling of Middle Comedy is difficult, given the lack of complete
bodies of work. However, given the revival of this style in Sicily and
Magna Graecia, it appears that the works of this period did have
considerable widespread literary and social impact.
New Comedy
The style of New Comedy is comparable to what is contemporarily
referred to as situation comedy or comedy of manners. The
playwrights of Greek New Comedy built upon the devices,
characters, and situations their predecessors had developed.
Prologues to shape the audience’s understanding of events,
messengers’ speeches to announce offstage action, and ex machina
endings were all well established tropes that were used in New
Comedies. Satire and farce occupied less importance in the works of
this time, and mythological themes and subjects were replaced by
everyday concerns. Gods and goddesses were, at best, personified
abstractions rather than actual characters, and no miracles or
metamorphoses occurred. For the first time, love became a principal
element in this type of theater.
Three playwrights are well known from this period: Menander,

Philemon, and Diphilus. Menander was the most successful of the
New Comedians. Menander’s comedies focused on the fears and
foibles of the ordinary man, as opposed to satirical accounts of
political and public life, which perhaps lent to his comparative
success within the genre. His comedies are the first to demonstrate
the five-act structure later to become common in modern plays.
Philemon’s comedies dwell on philosophical issues, whereas
Diphilus was noted for his use of farcical violence.
7 .5 .4: Classical Greek Architecture
Classical Greek architecture can be divided into three separate
styles: the Doric Order, the Ionic Order, and the Corinthian Order.
Learning Objective
Describe the distinguishing characteristics of Classical Greek
Architecture
Key Points
Classical Greek architecture is best represented by substantially
intact ruins of temples and open-air theaters.
The architectural style of classical Greece can be divided into
three separate orders: the Doric Order, the Ionic Order, and the
Corinthian Order. All three styles have had a profound impact on
Western architecture of later periods.
While the three orders of Greek architecture are most easily
recognizable by their capitals, the orders also governed the
form, proportions, details, and relationships of the columns,
entablature, pediment, and stylobate.
The Parthenon is considered the most important surviving
building of classical Greece, and the zenith of Doric Order
architecture.
Key Terms
capitals
In architecture, a capital forms the topmost member of a

column.
entablature
An entablature is the superstructure of moldings and bands that
lay horizontally above columns and rest on capitals.
pediment
A pediment is an element in classical, neoclassical, and

baroque architecture that is placed above the horizontal
structure of an entablature, and is typically supported by
columns.
stylobate
In classical Greek architecture, a stylobate is the top step of a

stepped platform upon which colonnades of temple columns are
placed. In other words, the stylobate comprises the temple
flooring.
Classical Greek architecture is highly formalized in structure and

decoration, and is best known for its temples, many of which are
found throughout the region as substantially intact ruins. Each
classical Greek temple appears to have been conceived as a
sculptural entity within the landscape, and is usually raised on higher
ground so that its proportions and the effects of light on its surface
can be viewed from multiple angles. Open-air theaters are also an
important type of building that survives throughout the Hellenic
world, with the earliest dating from approximately 525-480 BCE.
Greek architectural style can be divided into three separate orders:

the Doric Order, the Ionic Order, and the Corinthian Order. These
styles have had a profound impact on Western architecture of later
periods. In particular, the architecture of ancient Rome grew out of
Greek architecture. Revivals of Classicism have also brought about
renewed interest in the architectural styles of ancient Greece. While
the three orders of Greek architecture are most easily recognizable
by their capitals, the orders also governed the form, proportions,
details, and relationships of the columns, entablature, pediment, and
stylobate. Orders were applied to the whole range of buildings and
monuments.
The Doric Order
The Doric Order developed on mainland Greece and spread to Italy.
It is most easily recognized by its capital, which appears as a circular
cushion placed on top of a column onto which a lintel rests. In early
examples of the Doric Order, the cushion is splayed and flat, but
over time, it became more refined, deeper, and with a greater curve.
Doric columns almost always feature fluting down the length of the
column, numbering up to 20 flutes. The flutes meet at sharp edges,
called arrises. Doric columns typically have no bases, with the
exception of a few examples dating from the Hellenistic period.
Columns of an early Doric temple, such as the Temple of Apollo at
Syracuse, could have a column height to an entablature ratio of 2:1,
and a column height to a base diameter ratio of only 4:1. Later, a
column height to a diameter ratio of 6:1 became more usual, and
there is a column height to an entablature ratio at the Parthenon
oapproximately 3:1.
Doric entablatures consist of three parts: the architrave, the frieze,

and the cornice. The architrave is composed of stone lintels that
span the space between columns. On top of this rests the frieze, one
of the major areas of sculptural decoration. The frieze is divided into
triglyps and metopes. The triglyphs have three vertical grooves,
similar to columnar fluting, and below them are guttae, small strips
that appear to connect the triglyps to the architrave below. The
triglyps are located above the center of each capital and the center
of each lintel.
Pediments in the Doric style were decorated with figures in relief in

early examples; however, by the time the sculptures on the
Parthenon were created, many pediment decorations were
freestanding.
The Parthenon
The Parthenon is considered the most important surviving building of
classical Greece and the zenith of Doric Order architecture. It is a
former temple on the Athenian Acropolis dedicated to the patron
goddess of Athens, Athena. Construction began on the Parthenon in
447 BCE, when the Athenian Empire was at its peak. Construction
was completed in 438 BCE, but decoration of the building continued
until 432 BCE. Although most architectural elements of the
Parthenon belong to the Doric Order, a continuous sculptured frieze
in low relief that sits above the architrave belongs to the Ionic style.
The Parthenon
The Parthenon under restoration in 2008.
The Ionic Order

The Ionic Order coexisted with the Doric Order and was favored by
Greek cities in Ionia, Asia Minor, and the Aegean Islands. It did not
evolve into a clearly defined style until the mid-5th century BCE.
Early Ionic temples in Asia Minor were particularly ambitious in
scale.
The Ionic Order is most easily identified by its voluted capital. The
cushion placed on top of the column is similarly shaped to that of the
Doric Order, but is decorated with a stylized ornament and
surmounted by a horizontal band that scrolls under to either side.
Ionic Order columns are fluted with narrow, shallow flutes that do not
meet at a sharp edge, but have a flat band between them. The usual
number of flutes is 24, but there can be as many as 44. The
architrave is not always decorated, but more often it rises in three
outwardly-stepped bands. The frieze runs in a continuous band and
is separated from other members by rows of small projecting blocks.
The Ionic Order is lighter in appearance than the Doric Order, with
columns that have a 9:1 ratio, and the diameter and the whole
entablature appears much narrower and less heavy than those of the
Doric. Decorations were distributed with some variation, and Ionic
entablatures often featured formalized bands of motifs. The external
frieze often contained a continuous band of figurative sculpture of
ornament, though this was not always the case. Caryatids—draped
female figures used as supporting members to the entablature—
were also a feature of the Ionic Order.
The Erechteum on the Acropolis of
Athens, Greece
Corner capital in the Ionic style with a diagonal volute, showing also
details of the fluting separated by fillets.
The Corinthian Order

The Corinthian Order grew directly from the Ionic in the mid-5th
century BCE, and was initially of a very similar style and proportion,
with the only distinguishing factor being its more ornate capitals. The
capitals of the Corinthian Order were much deeper than those of the
Doric and Ionic Orders. They were shaped like a bell-shaped mixing
bowl and ornamented with a double row of acanthus leaves above
which rose splayed, voluted tendrils. The ratio of column height to
diameter of the Corinthian Order is generally 10:1, with the capital
taking up more than a tenth of the height. The ratio of capital height
to diameter is generally about 1:16:1.
Initially the Corinthian Order was used internally in such sites as the
Temple of Apollo Epicurius at Bassae. By the late 300s, features of
the Corinthian Order began to be used externally at sites such as the
Choragic Monument of Lysicrates and the Temple of Zeus Olympia,
both in Athens. During the Hellenistic period, Corinthian columns
were sometimes built without fluting. The Corinthian Order became
popular among the Romans, who added a number of refinements
and decorative details.
7 .5 .5 : Scientific Advancements in the

Classical Period
The Hellenistic Period witnessed significant scientific advancements,
due to the mixing of Greek and Asian culture and royal patronage.
Learning Objective
Describe the various scientific advancements made during the
Hellenistic period
Key Points
Great seats of learning rose during the Hellenistic Period,
including those at Alexandria and Antioch.
Scientific inquiries were often sponsored by royal patrons.
The discoveries of several Greek mathematicians, including
Pythagoras and Euclid, are still used in mathematical teaching
today. Important developments include the basic rules of
geometry, the idea of a formal mathematical proof, and
discoveries in number theory, mathematical analysis, and
applied mathematics.
The Greeks also developed the field of astronomy, which they
treated as a branch of mathematics to a highly sophisticated
level.
Hippocrates was a physician of the classical period, and is
considered one of the most outstanding figures in the history of
medicine. Most notably, he founded the Hippocratic school of
medicine, which revolutionized medicine in ancient Greece by
establishing it as a discipline distinct from other fields, and
making medicine a profession.
Key Terms
Hellenistic period
The period of ancient Greek and Mediterranean history between

the death of Alexander the Great in 323 BCE and the
emergence of the Roman Empire, as signified by the Battle of
Actium in 31 BCE.
Alexandria
An important seat of learning within the Hellenistic civilization

and the capital of Hellenistic, Roman, and Byzantine Egypt for
almost 1,000 years, until the Muslim conquest of Egypt in 641
CE.
Hellenistic Culture
Hellenistic culture produced seats of learning in Alexandria, Egypt
and Antioch, Syria, along with Greek-speaking populations across
several monarchies. Hellenistic science differed from Greek science
in at least two ways. First, it benefited from the cross-fertilization of
Greek ideas with those that had developed in the larger Hellenistic
world. Secondly, to some extent, it was supported by royal patrons in
the kingdoms founded by Alexander's successors.
Especially important to Hellenistic science was the city of Alexandria

in Egypt, which became a major center of scientific research in the
3rd century BCE. Two institutions established there during the reigns
of Ptolemy I Soter (reigned 323-283 BCE) and Ptolemy II
Philadelphus (reigned 281-246 BCE) were the Library and the
Museum. Unlike Plato's Academy and Aristotle's Lyceum, these
institutions were officially supported by the Ptolemies, although the
extent of patronage could be precarious, depending on the policies
of the current ruler.
The Great Library of Alex andria

The Great Library of Alexandria, O. V on Corven. 19th century.
Mathematics and Astronomy

The discoveries of several Greek mathematicians, including
Pythagoras and Euclid, are still used in mathematical teaching today.
Important developments include the basic rules of geometry, the idea
of a formal mathematical proof, and discoveries in number theory,
mathematical analysis, and applied mathematics. Ancient Greek
mathematicians also came close to establishing integral calculus.
The Greeks also developed the field of astronomy, which they
treated as a branch of mathematics, to a highly sophisticated level.
The first geometrical, three-dimensional models to explain the
apparent motion of the planets was developed in the 4th century
BCE, by Eudoxus of Cnidus and Callippus of Cyzicus. Their younger
contemporary, Heraclides Ponticus, proposed that the Earth rotates
around its axis. In the 3rd century BCE, Aristarchus of Samos was
the first to suggest a heliocentric system. In the 2nd century BCE,
Hipparchus of Nicea made a number of contributions, including the
first measurement of precession and the compilation of the first star
catalog, in which he proposed the modern system of apparent
magnitudes.
The Antikythera mechanism, a device for calculating the movements

of the planets, was the first ancestor of the astronomical computer. It
dates from about 80 BCE, and was discovered in an ancient
shipwreck off the Greek island of Antikythera. The device became
famous for its use of a differential gear, which was previously
believed to have been invented in the 16th century, as well as the
miniaturization and complexity of its parts, which has been compared
to that of clocks produced in the 18th century.
The Medical Field

The ancient Greeks also made important discoveries in the medical
field. Hippocrates was a physician of the classical period, and is
considered one of the most outstanding figures in the history of
medicine. He is sometimes even referred to as the "father of
medicine." Most notably, he founded the Hippocratic school of
medicine, which revolutionized medicine in ancient Greece by
establishing it as a discipline distinct from other fields, and making
medicine a profession.
Other notable Hellenistic scientists and their achievements include:

Herophilos (335-280 BCE), who was the first to base medical
conclusions on dissection of the human body and to describe
the nervous system
Archimedes (c. 287-212 BCE), a geometer, physicist, and
engineer who laid the foundations of hydrostatics and statics,
and explained the principle of the lever
Eratosthenes (c. 276 BCE-195/194 BCE), who measured the
distance between the Sun and the Earth, as well as the size of
the Earth
Attributions
Classical Greek Philosophy
"Aporia." http://en.wikipedia.org/wiki/Aporia. Wikipedia CC
BY-SA.
"Plato." http://en.wikipedia.org/wiki/Plato. Wikipedia CC BY-
SA.
"Ancient Greek Philosophy."
http://en.wikipedia.org/wiki/Classical_Greek_philosophy%2
3Classical_Greek_philosophy. Wikipedia CC BY-SA.
"Socrates." http://en.wikipedia.org/wiki/Socrates. Wikipedia
CC BY-SA.
"Allegory of the Cave."
http://en.wikipedia.org/wiki/Allegory_of_the_cave. Wikipedia
CC BY-SA 3.0.
"Peripatetic school."
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7 .6: The Peloponnesian W ar
7 .6.1: Introduction to the
Peloponnesian W ar
The Peloponnesian War provided a dramatic end to the 5th century
BCE, shattering religious and cultural taboos, devastating vast
swathes of countryside, and destroying whole cities.
Learning Objective
Describe the events of the Peloponnesian War
Key Points
The Peloponnesian War (431-404 BCE) was fought between
Athens and its empire, known as the Delian League, and the
Peloponnesian League, led by Sparta.
During this conflict, Greek warfare evolved from an originally
limited and formalized form of conflict, to all-out struggles
between city-states, with large-scale atrocities.
During the first phase, known as the Archidamian War, Sparta
launched repeated invasions of Attica while Athens took
advantage of its naval supremacy to raid the Peloponnese
coast.
Initially Athens’ strategy, as guided by Pericles, was to avoid
open battle with the more numerous and better trained Spartan
hoplites, and to instead rely on Athens’ superior naval fleet.
In the aftermath of a devastating plague, Athenians turned
against Pericles’s defensive strategy in favor of a more
aggressive one that would bring war directly to Sparta and its
allies.
The Peace of Nicias was signed in 421 BCE, and concluded the
first phase of the war. The treaty was undermined, however, by
continued fighting and calls for revolt throughout the
Peloponnese.
The destruction of Athens’ fleet at Aegospotami during the
Decelean War effectively ended the Peloponnesian War. Athens
surrendered a year later in 404 BCE.
Key Terms
hoplites
Hoplites were citizen-soldiers of Ancient Greek city-states who

were primarily armed with spears and shields.
helot
Helots were a subjugated population group that formed the main

population of Laconia and Messenia, the territories controlled by
Sparta.
The Peloponnesian War (431-404 BCE) was fought between Athens

and its empire, known as the Delian League, and the Peloponnesian
League, led by Sparta. During this conflict, Greek warfare evolved
from an originally limited and formalized form of conflict, to all-out
struggles between city-states, complete with large-scale atrocities.
The Peloponnesian War provided a dramatic end to the 5th century
BCE, shattering religious and cultural taboos, devastating vast
swathes of countryside, and destroying whole cities. Historians have
traditionally divided the war into several different phases.
The Archidamian W ar
During the first phase, known as the Archidamian War, Sparta
launched repeated invasions of Attica while Athens took advantage
of its naval supremacy to raid the Peloponnese coast. Sparta and its
allies, with the exception of Corinth, were almost exclusively land-
based powers, whereas the Athens empire, though based on a
peninsula, had developed impressive naval power. As a result, the
two powers were relatively unable to fight decisive battles.The
Spartan strategy during the Archidamian War was to invade the land
surrounding Athens, depriving Athenians of the productive land
around their city. However, Athens maintained access to the sea and
did not suffer much from this strategy, though many citizens of Attica
abandoned their farms and moved inside the long walls connecting
Athens to port Piraeus.
The W alls Protecting Athens

The walls protecting Athens during the Peloponnesian War.
The walls protecting the city and the port during the Peloponnesian
War in 431 BCE stretched from Athens to Piraeus on the sea. The
northern wall is labelled "North Long Wall" and the southern wall is
labelled the "South Long Wall."
Initially Athens’ strategy, as guided by Pericles, was to avoid open

battle with the more numerous, and better trained Spartan hoplites,
and to instead rely on Athens’ superior fleet. As a result, Athens’
fleet went on the offensive, winning a victory at Naupactus. Their
victory was short-lived, however, because in 430 BCE, an outbreak
of plague hit Athens, ravaging the densely packed city and wiping
out over 30,000 citizens, sailors, and soldiers, which amounted to
roughly one-third to two-thirds of the Athenian population. As a
result, Athenian manpower was drastically reduced, and due to
widespread fears of plague, foreign mercenaries refused to hire
themselves out to Athens. Sparta also abandoned its invasion of
Attica during this time, unwilling to risk contact with their diseased
enemy.
Pericles and his sons perished as a result of plague, and in the

aftermath, Athenians turned against Pericles’s defensive strategy in
favor of a more aggressive one that would bring war directly to
Sparta and its allies. Initially this strategy met with some success as
Athens pursued naval raids throughout the Peloponnese. Their
successes allowed them to fortify posts throughout the Peloponnese.
One such post was near Pylos, on a tiny island called Sphacteria. It
began attracting helot runaways from Sparta, which in turn raised
Spartan fears that Athenian activities throughout the Peloponnese
would incite a mass helot revolt. As a result, the Spartans were
driven into action. During the ensuing conflicts, 300 to 400 Spartans
were taken hostage, providing Athens with a bargaining chip.
In return, the Spartans raised an army of allies and helots and

marched the length of Greece to the Athenian colony of Amphipolis,
which controlled several nearby silver mines. These mines were
particularly important because they provided much of the money that
financed the Athenian war effort. The capture of this colony provided
Sparta a bargaining chip as well, and the two rival city-states agreed
to sign a truce, exchanging the Spartan hostages for Amphipolis and
its silver mines.
Peace of Nicias
The Peace of Nicias was signed in 421 BCE, concluding the first
phase of the war. Due to the loss of war hawks in both city-states
during the previous conflict, the peace endured for approximately six
years. The treaty was undermined, however, by continued fighting
and calls for revolt throughout the Peloponnese. Although the
Spartans refrained from such actions themselves, their allies
remained vocal, particularly Argos. The Athenians supported the
Argives and encouraged them to form a coalition of democratic
states within the Peloponnese and separate from Sparta. Early
Spartan attempts to thwart such a coalition ultimately failed, and the
Argives, their allies, and a small Athenian force moved to seize the
city of Tegea, near Sparta.
The Battle of Mantinea was the largest land battle fought within
Greece during the Peloponnesian War. The Argive allied coalition
initially utilized the sheer strength of their combined forces to score
early successes, but failed to capitalize on them, providing the elite
Spartan forces opportunities to defeat the coalition and save their
city from a strategic defeat. The Argive democratic alliance was
broken up, and most members were reincorporated into Sparta’s
Peloponnesian League, reestablishing Spartan hegemony
throughout the region.
The Sicilian Ex pedition

During the 17th year of war, Athens received news that one of their
distant allies in Sicily was under attack from Syracuse. The people of
Syracuse were ethnically Dorian like the Spartans, and Sicily and
their allies, the Athenians, were ethnically Ionian. In 415 BCE,
Athens dispatched a massive expeditionary force to attack Syracuse
in Sicily. The Athenian force consisted of more than 100 ships,
approximately 5,000 infantry, and lightly armored troops. However,
their cavalry was limited to about 30 horses, which proved to be no
match for the large and highly trained Syracusan cavalry.
Meanwhile, the Syracusans petitioned Sparta for assistance in the
matter, and Sparta sent their general, Gylippus, to Sicily with
reinforcements. Subsequent Athenian attacks failed and Athens'
entire force was destroyed by 413 BCE.
The Second W ar
This ushered in the final phase of the war, known as the Decelean
War, or the Ionian War. By this time, Sparta was receiving support
from Persia, and Sparta bolstered rebellions in Athens’ Aegean Sea
and Ionian subject states, in order to undermine Athens empire. This
eventually led to the erosion of Athens’ naval supremacy. The
Lacedaemonians were no longer content with simply sending aid to
Sicily as a means of supporting their ally. Instead, their focus shifted
to an offensive strategy against Athens. As a result, Decelea, a town
near Athens, was fortified in order to prevent the Athenians from
making use of their land year-round, and to thwart overland
shipments of supplies. Nearby silver mines were also disrupted, with
Spartan hoplites freeing as many as 20,000 Athenian slaves in the
vicinity. Due to this disruption in finance, Athens was forced to
demand increased tribute from its subject allies, further increasing
tension and the threat of rebellion throughout the Athenian empire.
Members of the Peloponnesian League continued to send

reinforcements to Syracuse in hopes of driving off the Athenians, but
instead, Athens sent another 100 ships and 5,000 troops to Sicily.
Gylippus’s forces, combined with those of the Syracusans, defeated
the Athenians on land. The destruction of Athens’ fleet at
Aegospotami effectively ended the war, and Athens surrendered a
year later in 404 BCE. Corinth and Thebes demanded that Athens be
destroyed and all its citizens enslaved, but Sparta refused to destroy
a city that had done good service at a time of great danger to
Greece, and took Athens into their own alliance system.
7 .6.2: Effects of the Peloponnesian
W ar
Following the Peloponnesian War, Athens underwent a period of
harsh oligarchic governance and Sparta enjoyed a brief hegemonic
period.
Learning Objective
Understand the effects of the Peloponnesian War on the Greek city-
states
Key Points
The Peloponnesian War ended in victory for Sparta and its
allies, but signaled the demise of Athenian naval and political
hegemony throughout the Mediterranean.
Democracy in Athens was briefly overthrown in 411 BCE as a
result of its poor handling of the Peloponnesian War. Lysander,
the Spartan admiral who commanded the Spartan fleet at
Aegospotami in 405 BCE, helped to organize the Thirty Tyrants
as Athens’ government for the 13 months they maintained
power.
Lysander established many pro-Spartan governments
throughout the Aegean, where the ruling classes were more
loyal to him than to Sparta as a whole. Eventually Spartan kings,
Agis and Pausanias, abolished these Aegean decarchies,
curbing Lysander’s political influence.
Agesilaus II was one of two Spartan kings during the period of
Spartan hegemony, and is remembered for his multiple
campaigns in the eastern Aegean and Persian territories.
Agesilaus’s loss at the Battle of Leuctra effectively ended
Spartan hegemony throughout the region.
Key Terms
hegemony
The political, economic, or military predominance or control of

one state over others.
harmosts
A Spartan term for a military governor.
oligarchy
A form of power structure in which a small group of people hold

all power and influence in a state.
The Peloponnesian War ended in victory for Sparta and its allies,
and led directly to the rising naval power of Sparta. However, it
marked the demise of Athenian naval and political hegemony
throughout the Mediterranean. The destruction from the
Peloponnesian War weakened and divided the Greeks for years to
come, eventually allowing the Macedonians an opportunity to
conquer them in the mid-4th century BCE.
Athens
Democracy in Athens was briefly overthrown in 411 BCE as a result
of its poor handling of the Peloponnesian War. Citizens reacted
against Athens’ defeat, blaming democratic politicians, such as
Cleon and Cleophon. The Spartan army encouraged revolt, installing
a pro-Spartan oligarchy within Athens, called the Thirty Tyrants, in
404 BCE. Lysander, the Spartan admiral who commanded the
Spartan fleet at Aegospotami in 405 BCE, helped to organize the
Thirty Tyrants as a government for the 13 months they maintained
power.
During the Thirty Tyrants’ rule, five percent of the Athenian
population was killed, private property was confiscated, and
democratic supporters were exiled. The Thirty appointed a council of
500 to serve the judicial functions that had formerly belonged to all
citizens. Despite all this, not all Athenian men had their rights
removed. In fact, 3,000 such men were chosen by the Thirty to share
in the government of Athens. These men were permitted to carry
weapons, entitled to jury trial, and allowed to reside with the city
limits. This list of men was constantly being revised, and selection
was most likely a reflection of loyalty to the regime, with the majority
of Athenians not supporting the Thirty Tyrants’ rule.
Nonetheless, the Thirty’s regime was not met with much overt
opposition for the majority of their rule, as a result of the harsh
penalties placed on dissenters. Eventually, the level of violence and
brutality carried out by the Thirty in Athens led to increased
opposition, stemming primarily from a rebel group of exiles led by
Thrasybulus, a former trierarch in the Athenian navy. The increased
opposition culminated in a revolution that ultimately overthrew the
Thirty’s regime. In the aftermath, Athens gave amnesty to the 3,000
men who were given special treatment under the regime, with the
exception of those who comprised the governing Thirty and their
associated governmental officials. Athens struggled to recover from
the upheaval caused by the Thirty Tyrants in the years that followed.
Sparta
As a result of the Peloponnesian War, Sparta, which had primarily
been a continental culture, became a naval power. At its peak,
Sparta overpowered many key Greek states, including the elite
Athenian navy. By the end of the 5th century BCE, Sparta’s
successes against the Athenian Empire and ability to invade Persian
provinces in Anatolia ushered in a period of Spartan hegemony. This
hegemonic period was to be short-lived, however.
Lysander
After the end of the Peloponnesian War, Lysander established many
pro-Spartan governments throughout the Aegean. Most of the ruling
systems set up by Lysander were ten-man oligarchies, called
decarchies, in which harmosts, Spartan military governors, were the
heads of the government. Because Lysander appointed from within
the ruling classes of these governments, the men were more loyal to
Lysander than Sparta, making these Aegean outposts similar to a
private empire.
Lysander and Spartan king Agis were in agreement with Corinth and
Thebes that Athens should be totally destroyed in the aftermath of
the Peloponnesian War, but they were opposed by a more moderate
faction, headed by Pausanias. Eventually, Pausanias’ moderate
faction gained the upper hand and Athens was spared, though its
defensive walls and port fortifications at Piraeus were demolished.
Lysander also managed to require Athens to recall its exiles, causing
political instability within the city-state, of which Lysander took
advantage to establish the oligarchy that came to be known as the
Thirty Tyrants. Because Lysander was also directly involved in the
selection of the Thirty, these men were loyal to him over Sparta,
causing King Agis and King Pausanias to agree to the abolishment
of his Aegean decarchies, and eventually the restoration of
democracy in Athens, which quickly curbed Lysander’s political
influence.
Lysander
A 16th century engraving of Lysander
Agesilaus and His Campaigns

Agesilaus II was one of two Spartan kings during the period of
Spartan hegemony. Lysander was one of Agesilaus’s biggest
supporters, and was even a mentor. During his kingship, Agesilaus
embarked on a number of military campaigns in the eastern Aegean
and Persian territories. During these campaigns, the Spartans under
Agesilaus’s command met with numerous rebelling Greek poleis,
including the Thebans. The Thebans, Argives, Corinthians, and
Athenians had rebelled during the Corinthian War from 395-386
BCE, and the Persians aided the Thebans, Corinthians, and
Athenians against the Spartans.
During the winter of 379/378 BCE, a group of Theban exiles snuck

into Thebes and succeeded in liberating it, despite resistance from a
1,500-strong Spartan garrison. This led to a number of Spartan
expeditions against Thebes, known as The Boeotian War. The Greek
city-states eventually attempted to broker peace, but Theban
diplomat Epaminondas angered Agesilaus by arguing for the
freedom of non-Spartan citizens within Laconia. As a result,
Agesilaus excluded the Thebans from the treaty, and the Battle of
Leuctra broke out in 371 BCE; the Spartans eventually lost. Sparta’s
international political influence precipitated quickly after their defeat.
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7 .7 : Macedonian Conquest
7 .7 .1: The Rise of the Macedon
Philip II’s conquests during the Third Sacred War cemented his
power, as well as the influence of Macedon, throughout the Hellenic
world.
Learning Objective
Describe Philip II's achievements and how he built up Macedon
Key Points
The military skills Philip II learned while in Thebes, coupled with
his expansionist vision of Macedonian greatness, brought him
early successes when he ascended to the throne in 359 BCE.
Philip earned immense prestige, and secured Macedon’s
position in the Hellenic world during his involvement in the Third
Sacred War, which began in Greece in 356 BCE.
War with Athens would arise intermittently for the duration of
Philip’s campaigns, due to conflicts over land, and/or with allies.
In 337 BCE, Philip created and led the League of Corinth, a
federation of Greek states that aimed to invade the Persian
Empire.
In 336 BCE, Philip was assassinated during the earliest stages of
the League of Corinth’s Persian venture.
Many Macedonian institutions and demonstrations of power
mirrored established Achaemenid conventions.
Key Term
sarissas
A long spear or pike about 13-20 feet in length, used in ancient

Greek and Hellenistic warfare, that was initially introduced by
Philip II of Macedon.
Macedon rose from a small kingdom on the periphery of classical

Greek affairs, to a dominant player in the Hellenic world and beyond,
within the span of 25 years between 359 and 336 BCE. Macedon’s
rise is largely attributable to the policies during Philip II’s rule.
Background
In the aftermath of the Peloponnesian War, Sparta rose as a
hegemonic power in classical Greece. Sparta’s dominance was
challenged by many Greek city-states who had traditionally been
independent during the Corinthian War of 395-387 BCE. Sparta
prevailed in the conflict, but only because Persia intervened on their
behalf, demonstrating the fragility with which Sparta held its power
over the other Greek city-states. In the next decade, the Thebans
revolted against Sparta, successfully liberating their city-state, and
later defeating the Spartans at the Battle of Leuctra (371 BCE).
Theban general Epaminondas then led an invasion of the
Peloponnesus in 370 BCE, invaded Messenia, and liberated the
helots, permanently crippling Sparta.
These series of events allowed the Thebans to replace Spartan

hegemonic power with their own. For the next nine years,
Epaminondas and Theban general Pelopidas further extended
Theban power and influence via a series of campaigns throughout
Greece, bringing almost every city-state in Greece into the conflict.
These years of war ultimately left Greece war-weary and depleted,
and during Epaminondas’s fourth invasion of the Peloponnesus in
362 BCE, Epaminondas was killed at the Battle of Mantinea.
Although Thebes emerged victorious, their losses were heavy, and
the Thebans returned to a defensive policy, allowing Athens to
reclaim its position at the center of the Greek political system for the
first time since the Peloponnesian War. The Athenians’ second
confederacy would be Macedon’s main rivals for control of the lands
of the north Aegean.
Philip II’ s Accession
Philip II of Macedon
Bust of Philip II.
While Philip was young, he was held hostage in Thebes, and

received a military and diplomatic education from Epaminondas. By
364 BCE, Philip returned to Macedon, and the skills he learned while
in Thebes, coupled with his expansionist vision of Macedonian
greatness, brought him early successes when he ascended to the
throne in 359 BCE. When he assumed the throne, the eastern
regions of Macedonia had been sacked and invaded by the
Paionians, and the Thracians and the Athenians had landed a
contingent on the coast at Methoni. Philip pushed the Paionians and
Thracians back, promising them tributes, and defeated the 3,000
Athenian hoplites at Methoni. In the interim between conflicts, Philip
focused on strengthening his army and his overall position
domestically, introducing the phalanx infantry corps and arming them
with long spears, called sarissas.
A Macedonian Phalanx
Depiction of a Macedonian phalanx armed with sarissas.
In 358 BCE, Philip marched against the Illyrians, establishing his

authority inland as far as Lake Ohrid. Subsequently, he agreed to
lease the gold mines of Mount Pangaion to the Athenians in
exchange for the return of the city of Pydna to Macedon. Ultimately,
after conquering Amphipolis in 357 BCE, he reneged on his
agreement, which led to war with Athens. During that conflict, Philip
conquered Potidaea, but ceded it to the Chalkidian League of
Olynthus, with which he was allied. A year later, he also conquered
Crenides and changed its name to Philippi, using the gold from the
mines there to finance subsequent campaigns.
Third Sacred W ar
Philip earned immense prestige and secured Macedon’s position in
the Hellenic world during his involvement in the Third Sacred War,
which began in Greece in 356 BCE. Early in the war, Philip defeated
the Thessalians at the Battle of Crocus Field, allowing him to acquire
Pherae and Magnesia, which was the location of an important harbor,
Pagasae. He did not attempt to advance further into central Greece,
however, because the Athenians occupied Thermopylae. Although
there were no open hostilities between the Athenians and
Macedonians at the time, tensions had arisen as a result of Philip’s
recent land and resource acquisitions. Instead, Philip focused on
subjugating the Balkan hill-country in the west and north, and
attacking Greek coastal cities, many of which Philip maintained
friendly relations with, until he had conquered their surrounding
territories. Nonetheless, war with Athens would arise intermittently for
the duration of Philip’s campaigns, due to conflicts over land and/or
with allies.
Persian Influences
For many Macedonian rulers, the Achaemenid Empire in Persia was
a major sociopolitical influence, and Philip II was no exception. Many
institutions and demonstrations of his power mirrored established
Achaemenid conventions. For example, Philip established a Royal
Secretary and Archive, as well as the institution of Royal Pages,
which would mount the king on his horse in a manner very similar to
the way in which Persian kings were mounted. He also aimed to
make his power both political and religious in nature, utilizing a
special throne stylized after those of the Achaemenid court, to
demonstrate his elevated rank. Achaemenid administrative practices
were also utilized in Macedonia rule of conquered lands, such as
Thrace in 342-334 BCE.
In 337 BCE, Philip created and led the League of Corinth. Members
of the league agreed not to engage in conflict with one another unless
their aim was to suppress revolution. Another stated aim of the
league was to invade the Persian Empire. Ironically, in 336 BCE,
Philip was assassinated during the earliest stages of the Persian
venture, during the marriage of his daughter Cleopatra to Alexander I
of Epirus.
7 .7 .2: Alex ander the Great

In a little over 30 years, Alexander the Great created one of the
largest empires in the ancient world, using his military and tactical
genius.
Learning Objective
Examine Alexander the Great's successes and failures
Key Points
Alexander the Great spent most of his ruling years on an
unprecedented military campaign through Asia and northeast
Africa. By the age of 30, he created an empire that stretched
from Greece to Egypt, and into present-day Pakistan.
Alexander inherited a strong kingdom and experienced army,
both of which contributed to his successes.
Alexander's legacy includes the cultural diffusion his engendered
conquests, and the rise of Hellenistic culture as a result of his
military campaigns.
Alexander's impressive record was largely due to his smart use
of terrain, phalanx and cavalry tactics, bold and adaptive
strategy, and the fierce loyalty of his troops.
Key Terms
Philip II
A king of the Greek kingdom of Macedon from 359 BCE until his
assassination in 336 BCE. He was the father of Alexander the
Great.
Alexander the Great
Formally Alexander III of Macedon, a Macedonian king who was

undefeated in battle and is considered one of history's most
successful commanders.
phalanx
A rectangular mass military formation, usually composed entirely

of heavy infantry armed with spears, pikes, sarissas, or similar
weapons.
Following the decline of the Greek city-states, the Greek kingdom of

Macedon rose to power under Philip II. Alexander III, commonly
known as Alexander the Great, was born to Philip II in Pella in 356
BCE, and succeeded his father to the throne at the age of 20. He
spent most of his ruling years on an unprecedented military campaign
through Asia and northeast Africa, and by the age of 30, had created
one of the largest empires of the ancient world, which stretched from
Greece to Egypt and into present-day Pakistan. He was undefeated
in battle and is considered one of history's most successful
commanders.
Alex ander the Great
Bust of a young Alexander the Great from the Hellenistic era, now at
the British Museum.
During his youth, Alexander was tutored by the philosopher Aristotle,

until the age of 16. When he succeeded his father to the throne in
336 BCE, after Philip was assassinated, Alexander inherited a strong
kingdom and an experienced army. He had been awarded the
generalship of Greece, and used this authority to launch his father's
military expansion plans. In 334 BCE, he invaded the Achaemenid
Empire, ruled Asia Minor, and began a series of campaigns that
lasted ten years. Alexander broke the power of Persia in a series of
decisive battles, most notably the battles of Issus and Gaugamela.
He overthrew the Persian King Darius III, and conquered the entirety
of the Persian Empire. At that point, his empire stretched from the
Adriatic Sea to the Indus River.
Seeking to reach the "ends of the world and the Great Outer Sea," he
invaded India in 326 BCE, but was eventually forced to turn back at
the demand of his troops. Alexander died in Babylon in 323 BCE, the
city he planned to establish as his capital, without executing a series
of planned campaigns that would have begun with an invasion of
Arabia. In the years following his death, a series of civil wars tore his
empire apart, resulting in several states ruled by the Diadochi,
Alexander's surviving generals and heirs. Alexander's legacy includes
the cultural diffusion his engendered conquests. He founded some 20
cities that bore his name, the most notable being Alexandria in Egypt.
Alexander's settlement of Greek colonists, and the spread of Greek
culture in the east, resulted in a new Hellenistic civilization, aspects of
which were still evident in the traditions of the Byzantine Empire in
the mid-15th century. Alexander became legendary as a classical
hero in the mold of Achilles, and he features prominently in the
history and myth of Greek and non-Greek cultures. He became the
measure against which military leaders compared themselves, and
military academies throughout the world still teach his tactics.
Military Generalship
Alexander earned the honorific epithet "the Great" due to his
unparalleled success as a military commander. He never lost a battle,
despite typically being outnumbered. His impressive record was
largely due to his smart use of terrain, phalanx and cavalry tactics,
bold strategy, and the fierce loyalty of his troops. The Macedonian
phalanx, armed with the sarissa, a spear up to 20 feet long, had been
developed and perfected by Alexander's father, Philip II. Alexander
used its speed and maneuverability to great effect against larger, but
more disparate, Persian forces. Alexander also recognized the
potential for disunity among his diverse army, due to the various
languages, cultures, and preferred weapons individual soldiers
wielded. He overcame the possibility of unrest among his troops by
being personally involved in battles, as was common among
Macedonian kings.
In his first battle in Asia, at Granicus, Alexander used only a small

part of his forces— perhaps 13,000 infantry, with 5,000 cavalry—
against a much larger Persian force of 40,000. Alexander placed the
phalanx at the center, and cavalry and archers on the wings, so that
his line matched the length of the Persian cavalry line. By contrast,
the Persian infantry was stationed behind its cavalry. Alexander's
military positioning ensured that his troops would not be outflanked;
further, his phalanx, armed with long pikes, had a considerable
advantage over the Persians' scimitars and javelins. Macedonian
losses were negligible compared to those of the Persians.
At Issus in 333 BCE, his first confrontation with Darius, he used the
same deployment, and again the central phalanx pushed through.
Alexander personally led the charge in the center and routed the
opposing army. At the decisive encounter with Alexander at
Gaugamela, Darius equipped his chariots with scythes on the wheels
to break up the phalanx and equipped his cavalry with pikes.
Alexander in turn arranged a double phalanx, with the center
advancing at an angle, which parted when the chariots bore down
and reformed once they had passed. The advance proved successful
and broke Darius's center, and Darius was forced to retreat once
again.
When faced with opponents who used unfamiliar fighting techniques,

such as in Central Asia and India, Alexander adapted his forces to his
opponents' style. For example, in Bactria and Sogdiana, Alexander
successfully used his javelin throwers and archers to prevent
outflanking movements, while massing his cavalry at the center. In
India, confronted by Porus's elephant corps, the Macedonians
opened their ranks to envelop the elephants, and used their sarissas
to strike upwards and dislodge the elephants' handlers.
7 .7 .3: Alex ander's Empire

Alexander the Great's legacy was the dissemination of Greek culture
throughout Asia.
Learning Objective
Describe the legacy Alexander left within his conquered territories
Key Points
Alexander's campaigns greatly increased contacts and trade
between the East and West, and vast areas to the east were
significantly exposed to Greek civilization and influence.
Successor states remained dominant for the next 300 years
during the Hellenistic period.
Over the course of his conquests, Alexander founded some 20
cities that bore his name, and these cities became centers of
culture and diversity. The most famous of these cities is Egypt's
Mediterranean port of Alexandria.
Hellenization refers to the spread of Greek language, culture,
and population into the former Persian empire after Alexander's
conquest.
Alexander's death was sudden and his empire disintegrated into
a 40-year period of war and chaos in 321 BCE. The Hellenistic
world eventually settled into four stable power blocks: the
Ptolemaic Kingdom of Egypt, the Seleucid Empire in the east,
the Kingdom of Pergamon in Asia Minor, and Macedon.
Key Term
Hellenization
The spread of Greek language, culture, and population into the

former Persian empire after Alexander's conquests.
Alexander's legacy extended beyond his military conquests. His

campaigns greatly increased contacts and trade between the East
and West, and vast areas to the east were exposed to Greek
civilization and influence. Some of the cities he founded became
major cultural centers, and many survived into the 21st century. His
chroniclers recorded valuable information about the areas through
which he marched, while the Greeks themselves attained a sense of
belonging to a world beyond the Mediterranean.
Hellenistic Kingdoms
Alexander's most immediate legacy was the introduction of
Macedonian rule to huge swathes of Asia. Many of the areas he
conquered remained in Macedonian hands or under Greek influence
for the next 200 to 300 years. The successor states that emerged
were, at least initially, dominant forces, and this 300 year period is
often referred to as the Hellenistic period.
Alex ander's name in hieroglyphics

Name of Alexander the Great in Egyptian hieroglyphs (written from
right to left), c. 330 BCE, Egypt; Louvre Museum.
The eastern borders of Alexander's empire began to collapse during

his lifetime. However, the power vacuum he left in the northwest of
the Indian subcontinent directly gave rise to one of the most powerful
Indian dynasties in history. Taking advantage of this, Chandragupta
Maurya (referred to in Greek sources as Sandrokottos), of relatively
humble origin, took control of the Punjab, and with that power base
proceeded to conquer the Nanda Empire.
Helleniz ation
The term "Hellenization" was coined to denote the spread of Greek
language, culture, and population into the former Persian empire after
Alexander's conquest. Alexander deliberately pursued Hellenization
policies in the communities he conquered. While his intentions may
have simply been to disseminate Greek culture, it is more likely that
his policies were pragmatic in nature and intended to aid in the rule of
his enormous empire via cultural homogenization. Alexander’s
Hellenization policies can also be viewed as a result of his probable
megalomania. Later his successors explicitly rejected these policies.
Nevertheless, Hellenization occurred throughout the region,
accompanied by a distinct and opposite "Orientalization" of the
successor states.
The core of Hellenistic culture was essentially Athenian. The close

association of men from across Greece in Alexander's army directly
led to the emergence of the largely Attic-based koine (or "common")
Greek dialect. K oine spread throughout the Hellenistic world,
becoming the lingua franca of Hellenistic lands, and eventually the
ancestor of modern Greek. Furthermore, town planning, education,
local government, and art during the Hellenistic periods were all
based on classical Greek ideals, evolving into distinct new forms
commonly grouped as Hellenistic.
The Founding of Cities

Over the course of his conquests, Alexander founded some 20 cities
that bore his name, most of them east of the Tigris River. The first,
and greatest, was Alexandria in Egypt, which would become one of
the leading Mediterranean cities. The cities' locations reflected trade
routes, as well as defensive positions. At first, the cities must have
been inhospitable, and little more than defensive garrisons. Following
Alexander's death, many Greeks who had settled there tried to return
to Greece. However, a century or so after Alexander's death, many of
these cities were thriving with elaborate public buildings and
substantial populations that included both Greek and local peoples.
Alexander’s cities were most likely intended to be administrative

headquarters for his empire, primarily settled by Greeks, many of
whom would have served in Alexander’s military campaigns. The
purpose of these administrative centers was to control the newly
conquered subject populations. Alexander attempted to create a
unified ruling class in conquered territories like Persia, often using
marriage ties to intermingle the conquered with conquerors. He also
adopted elements of the Persian court culture, adopting his own
version of their royal robes, and imitating some court ceremonies.
Many Macedonians resented these policies, believing hybridization of
Greek and foreign cultures to be irreverent.
Alexander’s attempts at unification also extended to his army. He

placed Persian soldiers, some of who had been trained in the
Macedonian style, within Macedonian ranks, solving chronic
manpower problems.
Division of the Empire

Alexander's death was so sudden that when reports of his death
reached Greece, they were not immediately believed. Alexander had
no obvious or legitimate heir because his son, Alexander IV , was born
after Alexander's death. According to Diodorus, an ancient Greek
historian, Alexander's companions asked him on his deathbed to
whom he bequeathed his kingdom. His laconic reply was, tô i kratistô i
("to the strongest"). Another, more plausible, story claims that
Alexander passed his signet ring to Perdiccas, a bodyguard and
leader of the companion cavalry, thereby nominating him as his
official successor.
Perdiccas initially did not claim power, instead suggesting that

Alexander's unborn baby would be king, if male. He also offered
himself, Craterus, Leonnatus, and Antipater, as guardians of
Alexander's unborn child. However, the infantry rejected this
arrangement since they had been excluded from the discussion.
Instead, they supported Alexander's half-brother, Philip Arrhidaeus,
as Alexander's successor. Eventually the two sides reconciled, and
after the birth of Alexander IV , Perdiccas and Philip III were appointed
joint kings, albeit in name only.
Dissension and rivalry soon afflicted the Macedonians. After the

assassination of Perdiccas in 321 BCE, Macedonian unity collapsed,
and 40 years of war between "The Successors" (Diadochi) ensued,
before the Hellenistic world settled into four stable power blocks: the
Ptolemaic Kingdom of Egypt, the Seleucid Empire in the east, the
Kingdom of Pergamon in Asia Minor, and Macedon. In the process,
both Alexander IV and Philip III were murdered.
7 .7 .4: The Legacy of Alex ander the

Great
Four stable power blocks emerged following the death of Alexander
the Great: the Ptolemaic Kingdom of Egypt, the Seleucid Empire, the
Attalid Dynasty of the Kingdom of Pergamon, and Macedon.
Learning Objective
Evaluate Alexander the Great's legacy as carried out by his
successors
Key Points
After the assassination of Perdiccas in 321 BCE, Macedonian
unity collapsed, and 40 years of war between "The Successors"
(Diadochi) ensued before the Hellenistic world settled into four
stable power blocks: the Ptolemaic Kingdom of Egypt, the
Seleucid Empire, the Kingdom of Pergamon in Asia Minor, and
Macedon.
The Ptolemaic Kingdom was ruled by the Ptolemaic dynasty,
starting with Ptolemy I Soter’s accession to the throne following
the death of Alexander the Great. The dynasty survived until the
death of Cleopatra V II in 30 BCE, at which point Egypt was
conquered by the Romans.
Although the Ptolemaic Kingdom observed the Egyptian religion
and customs, Greek inhabitants were treated as a privileged
minority.
The Seleucid Empire was a major center of Hellenistic culture
where Greek customs prevailed and the Greek political elite
dominated, though mostly in urban areas.
The Attalid kingdom of Pergamon began as a rump state, but
was expanded by subsequent rulers.
The Attalids were some of the most loyal supporters of Rome in
the Hellenistic world and were known for their generous and
intelligent rule.
The Macedonian regime is the only successor state to Alexander
the Great’s empire that maintained archaic perceptions of
kingship, and elided the adoption of Hellenistic monarchical
customs.
Key Terms
satrap
A governor of a province in the Hellenistic empire. The word is

also used metaphorically to refer to leaders who are heavily
influenced by larger superpowers or hegemonies, and regionally
act as a surrogate for those larger players.
proskynesis
A traditional Persian act of bowing or prostrating oneself before a
person of higher social rank.
Background
Alexander's death was so sudden that when reports of his death
reached Greece, they were not immediately believed. Alexander had
no obvious or legitimate heir because his son, Alexander IV , was born
after Alexander's death. According to Diodorus, an ancient Greek
historian, Alexander's companions asked him on his deathbed to
whom he bequeathed his kingdom. His laconic reply was tô i kratistô i
("to the strongest"). Another, more plausible, story claims that
Alexander passed his signet ring to Perdiccas, a bodyguard and
leader of the companion cavalry, thereby nominating him as his
official successor.
Perdiccas initially did not claim power, instead suggesting that

Alexander's unborn baby would be king, if male. He also offered
himself, Craterus, Leonnatus, and Antipater, as guardians of
Alexander’s unborn child. However, the infantry rejected this
arrangement since they had been excluded from the discussion.
Instead, they supported Alexander's half-brother, Philip Arrhidaeus,
as Alexander’s successor. Eventually the two sides reconciled, and
after the birth of Alexander IV , Perdiccas and Philip III were appointed
joint kings, albeit in name only.
Dissension and rivalry soon afflicted the Macedonians. After the

assassination of Perdiccas in 321 BCE, Macedonian unity collapsed,
and 40 years of war between "The Successors" (Diadochi) ensued
before the Hellenistic world settled into four stable power blocks: the
Ptolemaic Kingdom of Egypt, the Seleucid Empire in the east, the
Kingdom of Pergamon in Asia Minor, and Macedon. In the process,
both Alexander IV and Philip III were murdered.
The Ptolemaic Kingdom of
Egypt
The Ptolemaic Kingdom was a Hellenistic kingdom based in Egypt,
and ruled by the Ptolemaic dynasty, starting with Ptolemy I Soter’s
accession to the throne following the death of Alexander the Great.
The Ptolemaic dynasty survived until the death of Cleopatra V II in 30
BCE, at which point Egypt was conquered by the Romans. Ptolemy
was appointed as satrap of Egypt in 323 BCE, by Perdiccas during
the succession crisis that erupted following Alexander the Great.
From that time, Ptolemy ruled Egypt nominally in the name of joint
kings Philip III and Alexander IV . As Alexander the Great’s empire
disintegrated, however, Ptolemy established himself as a ruler in his
own right. In 321 BCE, Ptolemy defended Egypt against an invasion
by Perdiccas. During the Wars of the Diadochi (322-301 BCE),
Ptolemy further consolidated his position within Egypt and the region
by taking the title of King.
Ptolemy I Soter
Bust of Ptolemy I Soter, king of Egypt (305-282 BCE) and founder of
the Ptolemaic dynasty. The identification is based upon coin effigies.
Early in the Ptolemaic dyansty, Egyptian religion and customs were

observed, and magnificent new temples were built in the style of the
old pharaohs. During the reign of Ptolemies II and III, thousands of
Macedonian veterans were rewarded with farm land grants, and
settled in colonies and garrisons throughout the country. Within a
century, Greek influence had spread throughout the country and
intermarriage produced a large Greco-Egyptian educated class.
Despite this, the Greeks remained a privileged minority in Ptolemaic
Egypt. Greek individuals lived under Greek law, received a Greek
education, were tried in Greek courts, and were citizens of Greek
cities, rather than Egyptian cities.
The Seleucid Empire
Seleucid Empire
Seleucid Empire at its greatest extent, 281 BCE.
The Seleucid Empire was a Hellenistic state ruled by the Seleucid

Dynasty, which existed from 312 BCE-63 BCE. It was founded by
Seleucus I Nicator following the dissolution of Alexander the Great’s
empire. Following Ptolemy’s successes in the Wars of the Diadochi,
Seleucus, then a senior officer in the Macedonian Royal Army,
received Babylonia. From there, he expanded his dominion to include
much of Alexander’s near eastern territories. At the height of its
power, the Seleucid Empire encompassed central Anatolia, Persia,
the Levant, Mesopotamia, and what is now Kuwait, Afghanistan, and
parts of Pakistan and Turkmenistan. Seleucus himself traveled as far
as India in his campaigns. Seleucid expansion into Anatolia and
Greece was halted, however, after decisive defeats at the hands of
the Roman army.
The Seleucid Empire was a major center of Hellenistic culture, where
Greek customs prevailed and the Greek political elite dominated,
though mostly in urban areas. Existing Greek populations within the
empire were supplemented with Greek immigrants.
The Kingdom of Pergamon
Asia Minor, 18 8 BCE

The K ingdom of Pergamon (colored olive), shown at its greatest
extent in 188 BCE.
The ancient Greek city of Pergamon was taken by Lysimachus, King

of Thrace, in 301 BCE, a short-lived possession that ended when the
kingdom of Thrace collapsed. It became the capital of a new kingdom
of Pergamon, which Philetaerus founded in 281 BCE, thus beginning
the rule of the Attalid Dynasty. The Attalid kingdom began as a rump
state, but was expanded by subsequent rulers. The Attalids
themselves were some of the most loyal supporters of Rome in the
Hellenistic world. Under Attalus I (r. 241-197 BCE), the Attalids allied
with Rome against Philip V of Macedon, during the first and second
Macedonian Wars. They allied with Rome again under Eumenes II (r.
197-158 BCE) against Perseus of Macedon, during the Third
Macedonian War. Additionally, in exchange for their support against
the Seleucids, the Attalids were given all former Seleucid domains in
Asia Minor.
The Attalids were known for their intelligent and generous rule. Many
historical documents from the era demonstrate that the Attalids
supported the growth of towns by sending in skilled artisans and
remitting taxes. They also allowed Greek cities to maintain nominal
independence and sent gifts to Greek cultural sites, such as Delphi,
Delos, and Athens, and even remodeled the Acropolis of Pergamon
after the Acropolis in Athens. When Attalus III (r. 138-133 BCE) died
without an heir, he bequeathed his entire kingdom to Rome to prevent
civil war.
Macedon
TIS
ON
OP
PR
A
E
G
E
A
N
S
E
A
D
O
D
EC
AN
ES
ES E
LAD
CYC
The Kingdom of Macedon at the death

of Philip II ( 336 BCE)
Macedon, or Macedonia, was the dominant state of Hellenistic
Greece. In the partition of Alexander’s empire among the Diadochi,
Macedon fell to the Antipatrid Dynasty, which was headed by
Antipater and his son, Cassander. Following Cassander’s death in
297 BCE, Macedon slid into a long period of civil strife. Antigonus II
(r. 277-239 BCE) successfully restored order and prosperity in the
region, and established a stable monarchy under the Antigonid
Dynasty, though he lost control of many Greek city-states in the
process.
Notably, the Macedonian regime is the only successor state to
Alexander the Great’s empire that maintained archaic perceptions of
kingship, and elided the adoption of Hellenistic monarchical customs.
The Macedonian king was never deified in the same way that kings of
the Ptolemaic and Seleucid Dynasties had been. Additionally, the
custom of proskynesis, a traditional Persian act of bowing or
prostrating oneself before a person of higher social rank, was never
adopted. Instead, Macedonian subjects addressed their kings in a far
more casual manner, and kings still consulted with their aristocracy in
the process of making decisions.
During the reigns of Philip V (r. 221-179 BCE) and his son Perseus (r.
179-168 BCE), Macedon clashed with the rising Roman republic.
During the 2nd and 1st centuries BCE, Macedon fought a series of
wars against Rome. Two decisive defeats in 197 and 168 BCE
resulted in the deposition of the Antigonid Dynasty, and the
dismantling of the kingdom of Macedon.
Attributions
The Rise of the Macedon
"Rise of Macedon."
https://en.wikipedia.org/wiki/Rise_of_Macedon. Wikipedia
CC BY-SA 3.0.
"Sarissa." https://en.wikipedia.org/wiki/Sarissa. Wikipedia
CC BY-SA 3.0.
"Epaminondas." https://en.wikipedia.org/wiki/Epaminondas.
"Philip II of Macedon."
https://en.wikipedia.org/wiki/Philip_II_of_Macedon.
"Classical Greece: Rise of Macedon."
https://en.wikipedia.org/wiki/Classical_Greece# Rise_of_Mac
edon. Wikipedia CC BY-SA 3.0.
"Makedonische_phalanx.png."
https://en.wikipedia.org/wiki/File:Makedonische_phalanx.png
. Wikipedia Public domain.
"Filip_II_Macedonia.jpg."
https://en.wikipedia.org/wiki/File:Filip_II_Macedonia.jpg.
Alexander the Great
http://en.wikipedia.org/wiki/Alexander_the_great%23Charact
er. Wikipedia CC BY-SA.
"Phalanx." http://en.wikipedia.org/wiki/Phalanx. Wikipedia
CC BY-SA.
http://en.wiktionary.org/wiki/Alexander_the_Great.
http://en.wikipedia.org/wiki/Alexander_the_great%23mediavi
ewer/File:AlexanderTheGreat_Bust.jpg. Wikipedia CC BY-
SA 2.0.
Alexander's Empire
http://en.wikipedia.org/wiki/Alexander_the_Great. Wikipedia
CC BY-SA.
http://en.wikipedia.org/wiki/Alexander_the_Great%23mediav
iewer/File:Name_of_Alexander_the_Great_in_Hieroglyphs_
circa_330_BCE.jpg. Wikipedia CC BY-SA 3.0.
The Legacy of Alexander the Great
"Satrap." https://en.wikipedia.org/wiki/Satrap. Wikipedia CC
BY-SA 3.0.
"Attalid dynasty."
https://en.wikipedia.org/wiki/Attalid_dynasty. Wikipedia CC
BY-SA 3.0.
"Seleucid Empire."
https://en.wikipedia.org/wiki/Seleucid_Empire. Wikipedia CC
BY-SA 3.0.
"Macedonia (ancient kingdom)."
https://en.wikipedia.org/wiki/Macedonia_(ancient_kingdom).
"Pergamon." https://en.wikipedia.org/wiki/Pergamon.
"Proskynesis." https://en.wikipedia.org/wiki/Proskynesis.
"Ptolemaic Kingdom."
https://en.wikipedia.org/wiki/Ptolemaic_Kingdom. Wikipedia
CC BY-SA 3.0.
"Asia_Minor_188_BCE.jpg."
https://commons.wikimedia.org/wiki/File:Asia_Minor_188_B
CE.jpg. Wikimedia Public domain.
"Ptolemy_I_Soter_Louvre_Ma849.jpg."
https://commons.wikimedia.org/wiki/File:Ptolemy_I_Soter_L
ouvre_Ma849.jpg. Wikimedia Public domain.
"Seleucid_Empire_28flat_map29.svg."
https://commons.wikimedia.org/wiki/File:Seleucid_Empire_(fl
at_map).svg. Wikimedia CC BY-SA 4.0.
"Map_Macedonia_336_BC-en.svg."
https://commons.wikimedia.org/wiki/File:Map_Macedonia_3
36_BC-en.svg. Wikimedia CC BY-SA 3.0.
8 : The Roman W orld
8 .1: The Etruscans
8 .1.1: The Origins of Etruria
The Etruscans were a Mediterranean civilization during the 6th to 3rd
century BCE, from whom the Romans derived a great deal of cultural
influence.
Learning Objective
Explain the relationship between the Etruscan and Roman
civilizations
Key Points
The prevailing view is that Rome was founded by Italics who
later merged with Etruscans. Rome was likely a small settlement
until the arrival of the Etruscans, who then established Rome's
urban infrastructure.
The Etruscans were indigenous to the Mediterranean area,
probably stemming from the V illanovan culture.
The mining and commerce of metal, especially copper and iron,
led to an enrichment of the Etruscans, and to the expansion of
their influence in the Italian Peninsula and the western
Mediterranean Sea. Conflicts with the Greeks led the Etruscans
to ally themselves with the Carthaginians.
The Etruscans governed within a state system, with only
remnants of the chiefdom or tribal forms. The Etruscan state
government was essentially a theocracy.
Aristocratic families were important within Etruscan society, and
women enjoyed, comparatively, many freedoms within society.
The Etruscan system of belief was an immanent polytheism that
incorporated indigenous, Indo-European, and Greek influences.
It is believed that the Etruscans spoke a non-Indo-European
language, probably related to what is called the Tyrsenian
language family, which is itself an isolate family, or in other
words, unrelated directly to other known language groups.
Key Terms
Etruscan
The modern name given to a civilization of ancient Italy in the

area corresponding roughly to Tuscany, western Umbria, and
northern Latium.
theocracy
A form of government in which a deity is officially recognized as

the civil ruler, and official policy is governed by officials regarded
as divinely guided, or is pursuant to the doctrine of a particular
religion or religious group.
oligarchic

small number of people. These people could be distinguished by
royalty, wealth, family ties, education, corporate, or military
control. Such states are often controlled by a few prominent
families who typically pass their influence from one generation
to the next; however, inheritance is not a necessary condition for
the application of this term.
Those who subscribe to an Italic (a diverse group of people who

inhabited pre-Roman Italy) foundation of Rome, followed by an
Etruscan invasion, typically speak of an Etruscan "influence" on
Roman culture; that is, cultural objects that were adopted by Rome
from neighboring Etruria. The prevailing view is that Rome was
founded by Italics who later merged with Etruscans. In that case,
Etruscan cultural objects are not a heritage but are, instead,
influences. Rome was likely a small settlement until the arrival of the
Etruscans, who then established its initial urban infrastructure.
Origins
The origins of the Etruscans are mostly lost in prehistory. Historians
have no literature, and no original texts of religion or philosophy.
Therefore, much of what is known about this civilization is derived
from grave goods and tomb findings. The main hypotheses state that
the Etruscans were indigenous to the region, probably stemming
from the V illanovan culture or from the Near East. Etruscan
expansion was focused both to the north, beyond the Apennines,
and into Campania. The mining and commerce of metal, especially
copper and iron, led to an enrichment of the Etruscans, and to the
expansion of their influence in the Italian Peninsula and the western
Mediterranean Sea. Here, their interests collided with those of the
Greeks, especially in the 6th century BCE, when Phoceans of Italy
founded colonies along the coast of Sardinia, Spain, and Corsica.
This led the Etruscans to ally themselves with the Carthaginians,
whose interests also collided with the Greeks.
Map of the Etruscan Civiliz ation
Extent of Etruscan civilization and the 12 Etruscan League cities.
The map shows that Etruria, in 750 BC, covered an area of modern-
day Italy from the Tyrrhenian Sea in the west, to Felathri in the north,
to Perusia in the east, and to the area just north of Rome in the
south. The twelve Etruscan league citiies were Felathri, Arretium,
Curtun, Perusia, Fufluna, Clevsin, V etluna, V elzna, V elch, Tarchna,
Caisra, and V eii. The map also shows the extent of the Etruscan
expansion that occured between 750-500. During that time, their
lands stretched from Corsica in the west, to Mantua in the north, to
Spica in the east, and to Campeva in the south.
Around 540 BCE, the Battle of Alalia led to a new distribution of

power in the western Mediterranean Sea. Though the battle had no
clear winner, Carthage managed to expand its sphere of influence at
the expense of the Greeks, and Etruria saw itself relegated to the
northern Tyrrhenian Sea with full ownership of Corsica. From the first
half of the 5th century BCE, the new international political situation
signaled the beginning of Etruscan decline after they had lost their
southern provinces. In 480 BCE, Etruria's ally, Carthage, was
defeated by a coalition of Magna Graecia cities led by Syracuse. A
few years later, in 474 BCE, Syracuse's tyrant, Hiero, defeated the
Etruscans at the Battle of Cumae. Etruria's influence over the cities
of Latium and Campania weakened, and it was taken over by the
Romans and Samnites. In the 4th century, Etruria saw a Gallic
invasion end its influence over the Po valley and the Adriatic coast.
Meanwhile, Rome had started annexing Etruscan cities. These
events led to the loss of the Northern Etruscan provinces. Etruria
was conquered by Rome in the 3rd century BCE.
Etruscan Government
The Etruscans governed using a state system of society, with only
remnants of the chiefdom and tribal forms. In this way, they were
different from the surrounding Italics. Rome was, in a sense, the first
Italic state, but it began as an Etruscan one. It is believed that the
Etruscan government style changed from total monarchy to an
oligarchic republic (as the Roman Republic did) in the 6th century
BCE, although it is important to note this did not happen to all city-
states.
The Etruscan state government was essentially a theocracy. The

government was viewed as being a central authority over all tribal
and clan organizations. It retained the power of life and death; in
fact, the gorgon, an ancient symbol of that power, appears as a motif
in Etruscan decoration. The adherents to this state power were
united by a common religion. Political unity in Etruscan society was
the city-state, and Etruscan texts name quite a number of
magistrates without explanation of their function (the camthi, the
parnich, the purth, the tamera, the macstrev, etc.).
Etruscan Families
According to inscriptional evidence from tombs, aristocratic families
were important within Etruscan society. Most likely, aristocratic
families rose to prominence over time through the accumulation of
wealth via trade, with many of the wealthiest Etruscan cities located
near the coast.
The Etruscan name for family was lautn, and at the center of the
lautn was the married couple. Etruscans were monogamous, and the
lids of large numbers of sarcophagi were decorated with images of
smiling couples in the prime of their life, often reclining next to each
other or in an embrace. Many tombs also included funerary
inscriptions naming the parents of the deceased, indicating the
importance of the mother’s side of the family in Etruscan society.
Additionally, Etruscan women were allowed considerable freedoms
in comparison to Greek and Roman women, and mixed-sex
socialization outside the domestic realm occurred.
Etruscan Religion
The Etruscan system of belief was an immanent polytheism; that is,
all visible phenomena were considered to be a manifestation of
divine power, and that power was subdivided into deities that acted
continually on the world of man and could be dissuaded or
persuaded in favor of human affairs. Three layers of deities are
evident in the extensive Etruscan art motifs. One appears to be
divinities of an indigenous nature: Catha and Usil, the sun; Tivr, the
moon; Selvans, a civil god; Turan, the goddess of love; Laran, the
god of war; Leinth, the goddess of death; Maris; Thalna; Turms; and
the ever-popular Fufluns, whose name is related in an unknown way
to the city of Populonia and the populus Romanus, the Roman
people.
Ruling over this pantheon of lesser deities were higher ones that
seem to reflect the Indo-European system: Tin or Tinia, the sky; Uni,
his wife (Juno); and Cel, the earth goddess. In addition the Greek
gods were taken into the Etruscan system: Aritimi (Artemis), Menrva
(Minerva), and Pacha (Bacchus). The Greek heroes taken from
Homer also appear extensively in art motifs.
The Greek polytheistic approach was similar to the Etruscan

religious and cultural base. As the Romans emerged from the legacy
created by both of these groups, it shared in a belief system of many
gods and deities.
Etruscan Language and

Etymology
Knowledge of the Etruscan language is still far from complete. It is
believed that the Etruscans spoke a non-Indo-European language,
probably related to what is called the Tyrsenian language family,
which is itself an isolate family, or in other words, unrelated directly
to other known language groups. No etymology exists for Rasna, the
Etruscans’ name for themselves, though Italian historic linguist,
Massimo Pittau, has proposed that it meant "shaved" or "beardless."
The hypothesized etymology for Tusci, a root for "Tuscan" or
"Etruscan," suggests a connection to the Latin and Greek words for
"tower," illustrating the Tusci people as those who built towers. This
was possibly based upon the Etruscan preference for building hill
towns on high precipices that were enhanced by walls. The word
may also be related to the city of Troy, which was also a city of
towers, suggesting large numbers of migrants from that region into
Etruria.
8 .1.2: Etruscan Artifacts

Historians have no literature, or original Etruscan religious or
philosophical texts, on which to base knowledge of their civilization.
So much of what is known is derived from grave goods and tomb
findings.
Learning Objective
Explain the importance of Etruscan artifacts to our understanding of
their history
Key Points
Princely tombs did not house individuals, but families who were
interred over long periods.
Although many Etruscan cities were later assimilated by Italic,
Celtlic, or Roman ethnic groups, the Etruscan names and
inscriptions that survive within the ruins provide historic
evidence as to the range of settlements that the Etruscans
constructed.
It is unclear whether Etruscan cultural objects are influences
upon Roman culture or part of native Roman heritage. The
criterion for deciding whether or not an object originated in
Rome or descended to the Romans from the Etruscans is the
date of the object and the opinion of ancient sources regarding
the provenance of the object’s style.
Although Diodorus of Sicily wrote, in the 1st century, of the great
achievements of the Etruscans, little survives or is known of it.
Key Terms
oligarchic

small number of people. These people could be distinguished by
royalty, wealth, family ties, education, corporate, or military
control. Such states are often controlled by a few prominent
families who typically pass their influence from one generation
to the next, but inheritance is not a necessary condition for the
application of this term.
sarcophagi
A box-like funeral receptacle for a corpse, most commonly

carved in stone and displayed above ground.
Historians have no literature or original Etruscan religious or

philosophical texts on which to base knowledge of their civilization,
so much of what is known is derived from grave goods and tomb
findings. Princely tombs did not house individuals, but families who
were interred over long periods. The decorations and objects
included at these sites paint a picture of Etruscan social and political
life. For instance, wealth from trade seems to have supported the
rise of aristocratic families who, in turn, were likely foundational to
the Etruscan oligarchic system of governance. Indeed, at some
Etruscan tombs, physical evidence of trade has been found in the
form of grave goods, including fine faience ware cups, which was
likely the result of trade with Egypt. Additionally, the depiction of
married couples on many sarcophagi provide insight into the respect
and freedoms granted to women within Etruscan society, as well as
the emphasis placed on romantic love as a basis for marriage
pairings.
Sarcophagus of the Spouses
Sarcophagus of an Etruscan couple in the Louvre, Room 18.
Although many Etruscan cities were later assimilated by Italic, Celtic,

or Roman ethnic groups, the Etruscan names and inscriptions that
survive within the ruins provide historic evidence of the range of
settlements constructed by the Etruscans. Etruscan cities flourished
over most of Italy during the Roman Iron Age. According to ancient
sources, some cities were founded by the Etruscans in prehistoric
times, and bore entirely Etruscan names. Others were later
colonized by the Etruscans from Italic groups.
Nonetheless, relatively little is known about the architecture of the

ancient Etruscans. What is known is that they adapted the native
Italic styles with influence from the external appearance of Greek
architecture. Etruscan architecture is not generally considered part of
the body of Greco-Roman classical architecture. Though the houses
of the wealthy were evidently very large and comfortable, the burial
chambers of tombs, and the grave-goods that filled them, survived in
greater numbers. In the southern Etruscan area, tombs contain
large, rock-cut chambers under a tumulus in large necropoli.
There is some debate among historians as to whether Rome was
founded by Italic cultures and then invaded by the Etruscans, or
whether Etruscan cultural objects were adopted subsequently by
Roman peoples. In other words, it is unclear whether Etruscan
cultural objects are influences upon Roman culture, or part of native
Roman heritage. Among archaeologists, the main criteria for
deciding whether or not an object originated in Rome, or descended
to the Romans from the Etruscans, is the date of the object, which is
often determined by process of carbon dating. After this process, the
opinion of ancient sources is consulted.
Although Diodorus of Sicily wrote in the 1st century of the great

achievements of the Etruscans, little survives or is known of it. Most
Etruscan script that does survive are fragments of religious and
funeral texts. However, it is evident, from Etruscan visual art, that
Greek myths were well known.
8 .1.3: Etruscan Religion

The Etruscan belief system was heavily influenced by other religions
in the region, and placed heavy emphasis on the divination of the
gods’ wills to guide human affairs.
Learning Objective
Describe some of the key characteristics of the Etruscan belief
system
Key Points
The Etruscan system of belief was an immanent polytheism,
meaning all visible phenomena were considered to be a
manifestation of divine power, and that power was subdivided
into deities that acted continually on the world of man.
The Etruscan scriptures were a corpus of texts termed the
Etrusca Disciplina, a set of rules for the conduct of all divination.
Three layers of deities are evident in the extensive Etruscan art
motifs: indigenous, Indo-European, and Greek.
Etruscan beliefs concerning the afterlife were influenced by a
number of sources, particularly those of the early Mediterranean
region.
Key Terms
polytheism
The worship of, or belief in, multiple deities, usually assembled

into a pantheon of gods and goddesses, each with their own
specific religions and rituals.
Etrusca Disciplina
A corpus of texts that comprised the Etruscan scriptures, which

essentially provided a systematic guide to divination.
The Etruscan system of belief was an immanent polytheism; that is,

all visible phenomena were considered to be a manifestation of
divine power and that power was subdivided into deities that acted
continually on the world of man, and could be dissuaded or
persuaded in favor of human affairs. The Greek polytheistic
approach was similar to the Etruscan religious and cultural base. As
the Romans emerged from the legacy created by both of these
groups, it shared in a belief system of many gods and deities.
Etrusca Disciplina
The Etruscan scriptures were a corpus of texts, termed the Etrusca
Disciplina. These texts were not scriptures in the typical sense, and
foretold no prophecies. The Etruscans did not appear to have a
systematic rubric for ethics or morals. Instead, they concerned
themselves with the problem of understanding the will of the gods,
which the Etruscans considered inscrutable. The Etruscans did not
attempt to rationalize or explain divine actions or intentions, but to
simply divine what the gods’ wills were through an elaborate system
of divination. Therefore, the Etrusca Disciplina is mainly a set of
rules for the conduct of all sorts of divination. It does not dictate what
laws shall be made or how humans are to behave, but instead
elaborates rules for how to ask the gods these questions and receive
their answers.
Divinations were conducted by priests, who the Romans called

haruspices or sacerdotes. A special magistrate was designated to
look after sacred items, but every man had religious responsibilities.
In this way, the Etruscans placed special emphasis upon intimate
contact with divinity, consulting with the gods and seeking signs from
them before embarking upon a task.
Spirits and Deities

Three layers of deities are evident in the extensive Etruscan art
motifs. One appears to be divinities of an indigenous nature: Catha
and Usil, the sun; Tivr, the moon; Selvans, a civil god; Turan, the
goddess of love; Laran, the god of war; Leinth, the goddess of death;
Maris; Thalna; Turms; and the ever-popular Fufluns, whose name is
related in some unknown way to the city of Populonia and the
populus Romanus (the Roman people). Ruling over this pantheon of
lesser deities were higher ones that seem to reflect the Indo-
European system: Tin or Tinia, the sky; Uni, his wife (Juno); and Cel,
the earth goddess. In addition, the Greek gods were taken into the
Etruscan system: Aritimi (Artemis), Menrva (Minerva), and Pacha
(Bacchus). The Greek heroes taken from Homer also appear
extensively in art motifs.
Mars of Todi
The Mars of Todi, a life-sized Etruscan bronze sculpture of a soldier
making a votive offering, most likely to Laran, the Etruscan god of
war; late 5th to early 4th century BCE.
The Afterlife
Etruscan beliefs concerning the afterlife seem to be influenced by a
number of sources. The Etruscans shared in general early
Mediterranean beliefs. For instance, much like the Egyptians, the
Etruscans believed that survival and prosperity in the afterlife
depended on the treatment of the deceased’s remains. Souls of
ancestors are found depicted around Etruscan tombs, and after the
5th century BCE, the deceased are depicted in iconography as
traveling to the underworld. In several instances, spirits of the dead
are referred to as hinthial, or one who is underneath. The
transmigrational world beyond the grave was patterned after the
Greek Hades and ruled by Aita. The deceased were guided there by
Charun, the equivalent of Death, who was blue and wielded a
hammer. The Etruscan version of Hades was populated by Greek
mythological figures, some of which were of composite appearance
to those in Greek mythology.
Etruscan tombs imitated domestic structures, contained wall

paintings and even furniture, and were spacious. The deceased was
depicted in the tomb at the prime of their life, and often with a
spouse. Not everyone had a sarcophagus, however. Some
deceased individuals were laid out on stone benches, and
depending on the proportion of inhumation, versus cremation, rites
followed, cremated ashes and bones might be put into an urn in the
shape of a house, or in a representation of the deceased.
Reconstruction of an Etruscan Temple
19th century reconstruction of an Etruscan temple, in the courtyard
of the V illa Giulia Museum in Rome, Italy.
Attributions
The Origins of Etruria
"Etruscan Civilization."
http://en.wikipedia.org/wiki/Etruscan_civilization. Wikipedia
CC BY-SA.
"Oligarchy." http://en.wikipedia.org/wiki/Oligarchy. Wikipedia
CC BY-SA 3.0.
"Theocracy." http://en.wikipedia.org/wiki/Theocracy.
Wikipedia CC BY-SA.
"theocracy." http://en.wiktionary.org/wiki/theocracy.
"Etruscan society."
https://en.wikipedia.org/wiki/Etruscan_society. Wikipedia
CC BY-SA 3.0.
"Etruscan Civliization Map."
https://commons.wikimedia.org/wiki/File:Etruscan_civilizatio
n_map.png. Wikimedia GNU FDL 1.2.
Etruscan Artifacts
"Etruria." https://en.wikipedia.org/wiki/Etruria. Wikipedia CC
BY-SA 3.0.
"Sarcophagus." https://en.wikipedia.org/wiki/Sarcophagus.
"Etruscan civilization."
https://en.wikipedia.org/wiki/Etruscan_civilization. Wikipedia
CC BY-SA 3.0.
"Paris_-_Louvre_-_Sarcophage.jpg."
https://en.wikipedia.org/wiki/File:Paris_-_Louvre_-
_Sarcophage.jpg. Wikipedia GNU FDL 1.2.
Etruscan Religion
"Polytheism." https://en.wikipedia.org/wiki/Polytheism.
"Etruscan mythology."
https://en.wikipedia.org/wiki/Etruscan_mythology. Wikipedia
CC BY-SA 3.0.
"0_Mars_de_Todi_-
_Museo_Gregoriano_Etruscano_28129.JPG."
https://en.wikipedia.org/wiki/File:0_Mars_de_Todi_-
_Museo_Gregoriano_Etruscano_(1).JPG. Wikipedia CC
BY-SA 3.0.
"V illa_Giulia_ricostruzione_del_tempio_etrusco_03.JPG."
https://en.wikipedia.org/wiki/File:V illa_Giulia_ricostruzione_
del_tempio_etrusco_03.JPG. Wikipedia GNU FDL 1.2.
8 .2: Early Rome
8 .2.1: The Founding of Rome
Myths surrounding the founding of Rome describe the city's origins
through the lens of later figures and events.
Learning Objective
Explain how the founding of Rome is rooted in mythology
Key Points
The national epic poem of mythical Rome, the Aeneid by V irgil,
tells the story of how the Trojan prince, Aeneas, came to Italy.
The Aeneid was written under the emperor Augustus, who,
through Julius Caesar, claimed ancestry from Aeneas.
The Alba Longan line, begun by Iulus, Aeneas's son, extends to
King Procas, who fathered two sons, Numitor and Amulius.
According to the myth of Romulus and Remus, Amulius
captured Numitor, sent him to prison, and forced the daughter of
Numitor, Rhea Silvia, to become a virgin priestess among the
V estals.
Despite Amulius' best efforts, Rhea Silvia had twin boys,
Romulus and Remus, by Mars. Romulus and Remus eventually
overthrew Amulius, and restored Numitor.
In the course of a dispute during the founding of the city of
Rome, Romulus killed Remus. Thus Rome began with a
fratricide, a story that was later taken to represent the city's
history of internecine political strife and bloodshed.
According to the archaeological record of the region, the
development of Rome itself is presumed to have coalesced
around the migrations of various Italic tribes, who originally
inhabited the Alban Hills as they moved into the agriculturally-
superior valley near the Tiber River.
The discovery of a series of fortification walls on the north slope
of Palatine Hill, most likely dating to the middle of the 8th
century BCE, provide the strongest evidence of the original site
and date of the founding of the city of Rome.
Key Terms
Romulus
The founder of Rome, and one of two twin sons of Rhea Silvia
and Mars.
Aeneas
A Trojan survivor of the Trojan War who, according to legend,

journeyed to Italy and founded the bloodline that would
eventually lead to the Julio-Claudian emperors.
Rome
An Italic civilization that began on the Italian Peninsula as early

as the 8th century BCE. Located along the Mediterranean Sea,
and centered on one city, it expanded to become one of the
largest empires in the ancient world.
The founding of Rome can be investigated through archaeology, but

traditional stories, handed down by the ancient Romans themselves,
explain the earliest history of their city in terms of legend and myth.
The most familiar of these myths, and perhaps the most famous of
all Roman myths, is the story of Romulus and Remus, the twins who
were suckled by a she-wolf. This story had to be reconciled with a
dual tradition, set earlier in time.
Romulus and the Founding of
Rome
The Capitoline W olf

The iconic sculpture of Romulus and Remus being suckled by the
she-wolf who raised them. Traditional scholarship says the wolf-
figure is Etruscan, 5th century BCE, with figures of Romulus and
Remus added in the 15th century CE by Antonio Pollaiuolo. Recent
studies suggest that the wolf may be a medieval sculpture dating
from the 13th century CE.
Romulus and Remus were purported to be sons of Rhea Silvia and

Mars, the god of war. Because of a prophecy that they would
overthrow their great-uncle Amulius, who had overthrown Silvia's
father, Numitor, they were, in the manner of many mythological
heroes, abandoned at birth. Both sons were left to die on the Tiber
River, but were saved by a number of miraculous interventions. After
being carried to safety by the river itself, the twins were nurtured by a
she-wolf and fed by a woodpecker, until a shepherd, named
Faustulus, found them and took them as his sons.
When Remus and Romulus became adults and learned the truth
about their birth and upbringing, they killed Amulius and restored
Numitor to the throne. Rather than wait to inherit Alba Longa, the city
of their birth, the twins decided to establish their own city. They
quarreled, however, over where to locate the new city, and in the
process of their dispute, Romulus killed his brother. Thus Rome
began with a fratricide, a story that was later taken to represent the
city's history of internecine political strife and bloodshed.
Aeneas and the Aeneid

The national epic of mythical Rome, the Aeneid by V irgil, tells the
story of how the Trojan prince, Aeneas, came to Italy. Although the
Aeneid was written under the emperor Augustus between 29 and 19
BCE, it tells the story of the founding of Rome centuries before
Augustus's time. The hero, Aeneas, was already well known within
Greco-Roman legend and myth, having been a character in the I liad.
But V irgil took the disconnected tales of Aeneas’s wanderings, and
his vague association with the foundation of Rome, and fashioned it
into a compelling foundation myth or national epic. The story tied
Rome to the legends of Troy, explained the Punic Wars, glorified
traditional Roman virtues, and legitimized the Julio-Claudian dynasty
as descendants of the founders, heroes, and gods of Rome and
Troy.
V irgil makes use of symbolism to draw comparisons between the

emperor Augustus and Aeneas, painting them both as founders of
Rome. The Aeneid also contains prophecies about Rome’s future,
the deeds of Augustus, his ancestors, and other famous Romans.
The shield of Aeneas even depicts Augustus’s victory at Actium in 31
BCE. V irgil wrote the Aeneid during a time of major political and
social change in Rome, with the fall of the republic and the Final War
of the Roman Republic tearing through society and causing many to
question Rome’s inherent greatness. In this context, Augustus
instituted a new era of prosperity and peace through the
reintroduction of traditional Roman moral values. The Aeneid was
seen as reflecting this aim by depicting Aeneas as a man devoted
and loyal to his country and its greatness, rather than being
concerned with his own personal gains. The Aeneid also gives
mythic legitimization to the rule of Julius Caesar, and by extension,
to his adopted son, Augustus, by immortalizing the tradition that
renamed Aeneas’s son Iulus, making him an ancestor to the family
of Julius Caesar.
According to the Aeneid, the survivors from the fallen city of Troy
banded together under Aeneas, underwent a series of adventures
around the Mediterranean Sea, including a stop at newly founded
Carthage under the rule of Queen Dido, and eventually reached the
Italian coast. The Trojans were thought to have landed in an area
between modern Anzio and Fiumicino, southwest of Rome, probably
at Laurentum, or in other versions, at Lavinium, a place named for
Lavinia, the daughter of King Latinus, who Aeneas married. Aeneas'
arrival started a series of armed conflicts with Turnus over the
marriage of Lavinia. Before the arrival of Aeneas, Turnus was
engaged to Lavinia, who then married Aeneas, which began the
conflict. Aeneas eventually won the war and killed Turnus, which
granted the Trojans the right to stay and to assimilate with the local
peoples. The young son of Aeneas, Ascanius, also known as Iulus,
went on to found Alba Longa and the line of Alban kings who filled
the chronological gap between the Trojan saga and the traditional
founding of Rome in the 8th century BCE.
Toward the end of this line, King Procas appears as the father of
Numitor and Amulius. At Procas' death, Numitor became king of
Alba Longa, but Amulius captured him and sent him to prison. He
also forced the daughter of Numitor, Rhea Silvia, to become a virgin
priestess among the V estals. For many years, Amulius was the king.
The tortuous nature of the chronology is indicated by Rhea Silvia's
ordination among the V estals, whose order was traditionally said to
have been founded by the successor of Romulus, Numa Pompilius.
The Archaeological Record

According to the archaeological record of the region, the Italic tribes
who originally inhabited the Alban Hills moved down into the valleys,
which provided better land for agriculture. The area around the Tiber
River was particularly advantageous and offered many strategic
resources. For instance, the river itself provided a natural border on
one side of the settlement, and the hills on the other side provided
another defensive position for the townspeople. A settlement in this
area would have also allowed for control of the river, including
commercial and military traffic, as well as a natural observation point
at Isola Tiberina. This was especially important, since Rome was at
the intersection of the principal roads to the sea from Sabinum and
Etruria, and traffic from those roads could not be as easily controlled.
The development of Rome itself is presumed to have coalesced

around the migrations of these various tribes into the valley, as
evidenced by differences in pottery and burial techniques. The
discovery of a series of fortification walls on the north slope of
Palatine Hill, most likely dating to the middle of the 8th century BCE,
provide the strongest evidence for the original site and date of the
founding of the city of Rome.
8 .2.2: The Seven Kings

For its first 200 years, Rome was ruled by seven kings, each of
whom is credited either with establishing a key Roman tradition or
constructing an important building.
Learning Objective
Explain the significance of the Seven Kings of Rome to Roman
culture
Key Points
Romulus was Rome's first king and the city's founder. He is best
known for the Rape of the Sabine Women and the
establishment of the Senate, as well as various voting practices.
Numa Pompilius was a just, pious king who established the cult
of the V estal V irgins at Rome, and the position of Pontifex
Maximus. His reign was characterized by peace.
Tullus Hostilius had little regard for the Roman gods, and
focused entirely on military expansion. He constructed the home
of the Roman Senate, the Curia Hostilia.
Ancus Marcius ruled peacefully and only fought wars when
Roman territories needed defending.
Lucius Tarquinius Priscus increased the size of the Senate and
began major construction works, including the Temple to Jupiter
Optimus Maximus, and the Circus Maximus.
Servius Tullius built the first pomerium— walls that fully
encircled the Seven Hills of Rome. He also made organizational
changes to the Roman army, and implemented a new
constitution for the Romans, further developing the citizen
classes.
Lucius Tarquinius Superbus's reign is remembered for his use of
violence and intimidation, as well as his disrespect of Roman
custom and the Roman Senate. He was eventually overthrown,
thus leading to the establishment of the Roman Republic.
Key Terms
absolute monarchy
A monarchical form of government in which the monarch has

absolute power among his or her people. This amounts to
unrestricted political power over a sovereign state and its
people.
patrician
A group of elite families in ancient Rome.

The first 200 years of Roman history occurred under a monarchy.
Rome was ruled by seven kings over this period of time, and each of
their reigns were characterized by the personality of the ruler in
question. Each of these kings is credited either with establishing a
key Roman tradition, or constructing an important building. None of
the seven kings were known to be dynasts, and no reference is
made to the hereditary nature of kingdom until after the fifth king,
Tarquinius Priscus.
The king of Rome possessed absolute power over the people, and
the Senate provided only a weak, oligarchic counterbalance to his
power, primarily exercising only minor administrative powers. For
these reasons, the kingdom of Rome is considered an absolute
monarchy. Despite this, Roman kings, with the exception of
Romulus, were elected by citizens of Rome who occupied the
Curiate Assembly. There, members would vote on candidates that
had been nominated by a chosen member of the Senate, called an
interrex. Candidates could be chosen from any source.
Romulus
Romulus was Rome's legendary first king and the city's founder. In
753 BCE, Romulus began building the city upon the Palatine Hill.
After founding and naming Rome, as the story goes, he permitted
men of all classes to come to Rome as citizens, including slaves and
freemen, without distinction. To provide his citizens with wives,
Romulus invited the neighboring tribes to a festival in Rome where
he abducted the young women amongst them (this is known as The
Rape of the Sabine Women). After the ensuing war with the Sabines,
Romulus shared the kingship with the Sabine king, Titus Tatius.
Romulus selected 100 of the most noble men to form the Roman
Senate as an advisory council to the king. These men were called
patres (from pater: father, head), and their descendants became the
patricians. He also established voting, and class structures that
would define sociopolitical proceedings throughout the Roman
Republic and Empire.
Numa Pompilius
After the death of Romulus, there was an interregnum for one year,
during which ten men chosen from the senate governed Rome as
successive interreges. Numa Pompilius, a Sabine, was eventually
chosen by the senate to succeed Romulus because of his reputation
for justice and piety. Numa's reign was marked by peace and
religious reform. Numa constructed a new temple to Janus and, after
establishing peace with Rome's neighbors, shut the doors of the
temple to indicate a state of peace. The doors of the temple
remained closed for the balance of his reign. He established the cult
of the V estal V irgins at Rome, as well as the "leaping priests," known
as the Salii, and three flamines, or priests, assigned to Jupiter, Mars,
and Quirinus. He also established the office and duties of Pontifex
Maximus, the head priest of the Roman state religion.
Tullus Hostilius
Tullus Hostilius was much like Romulus in his warlike behavior, and
completely unlike Numa in his lack of respect for the gods. Tullus
waged war against Alba Longa, Fidenae and V eii, and the Sabines.
It was during Tullus' reign that the city of Alba Longa was completely
destroyed, after which Tullus integrated its population into Rome.
According to the Roman historian Livy, Tullus neglected the worship
of the gods until, towards the end of his reign, he fell ill and became
superstitious. However, when Tullus called upon Jupiter and begged
assistance, Jupiter responded with a bolt of lightning that burned the
king and his house to ashes. Tullus is attributed with constructing a
new home for the Senate, the Curia Hostilia, which survived for 562
years after his death.
Ancus Marcius
Following the death of Tullus, the Romans elected a peaceful and
religious king in his place—Numa's grandson, Ancus Marcius. Much
like his grandfather, Ancus did little to expand the borders of Rome,
and only fought war when his territories needed defending.
Lucius Tarquinius Priscus

Lucius Tarquinius Priscus was the fifth king of Rome and the first of
Etruscan birth. After immigrating to Rome, he gained favor with
Ancus, who later adopted him as his son. Upon ascending the
throne, he waged wars against the Sabines and Etruscans, doubling
the size of Rome and bringing great treasures to the city.One of his
first reforms was to add 100 new members to the Senate from the
conquered Etruscan tribes, bringing the total number of senators to
200. He used the treasures Rome had acquired from conquests to
build great monuments for Rome, including the Roman Forum, the
temple to Jupiter on the Capitoline Hill, and the Circus Maximus. His
reign is best remembered for the introduction of Etruscan symbols of
military distinction and civilian authority into the Roman tradition,
including the scepter of the king, the rings worn by senators, and the
use of the tuba for military purposes.
The Temple of J upiter Optimus
Max imus
19th century illustration depicting the Temple of Jupiter Optimus
Maximus above the Tiber River during the Roman Republic.
Servius Tullus
Following Priscus's death, his son-in-law, Servius Tullius, succeeded
him to the throne. Like his father-in-law before him, Servius fought
successful wars against the Etruscans. He used the treasure from
his campaigns to build the first pomerium—walls that fully encircled
the Seven Hills of Rome. He also made organizational changes to
the Roman army, and was renowned for implementing a new
constitution for the Romans and further developing the citizen
classes. Servius's reforms brought about a major change in Roman
life—voting rights were now based on socioeconomic status,
transferring much of the power into the hands of the Roman elite.
The 44-year reign of Servius came to an abrupt end when he was
assassinated in a conspiracy led by his own daughter, Tullia, and her
husband, Lucius Tarquinius Superbus.
Lucius Tarquinius Superbus
While in power, Tarquinius conducted a number of wars against
Rome's neighbors, including the V olsci, Gabii, and the Rutuli.
Tarquinius also engaged in a series of public works, notably the
completion of the Temple of Jupiter Optimus Maximus on the
Capitoline Hill. Tarquin's reign, however, is best remembered for his
use of violence and intimidation in his attempts to maintain control
over Rome, as well as his disrespect of Roman custom and the
Roman Senate. Tensions came to a head when the king's son,
Sextus Tarquinius, raped Lucretia, wife and daughter to powerful
Roman nobles. Lucretia then told her relatives about the attack and
subsequently committed suicide to avoid the dishonor of the
episode. Four men, led by Lucius Junius Brutus, incited a revolution,
and as a result, Tarquinius and his family were deposed and
expelled from Rome in 509 BCE. Because of his actions and the way
they were viewed by the people, the word for King, rex , held a
negative connotation in Roman culture until the fall of the Roman
Empire. Brutus and Collatinus became Rome's first consuls, marking
the beginning of the Roman Republic. This new government would
survive for the next 500 years, until the rise of Julius Caesar and
Caesar Augustus, and cover a period in which Rome's authority and
area of control extended to cover great areas of Europe, North
Africa, and the Middle East.
8 .2.3: Early Roman Society

Multiple, overlapping hierarchies characterized Roman society,
which was also highly patriarchal.
Learning Objective
Describe what Roman society was like in its early years
Key Points
Roman society was extremely patriarchal and hierarchical. The
adult male head of a household had special legal powers and
privileges that gave him jurisdiction over all the members of his
family.
The status of freeborn Romans was established by their
ancestry, census ranking, and citizenship.
The most important division within Roman society was between
patricians, a small elite who monopolized political power, and
plebeians, who comprised the majority of Roman society.
The Roman census divided citizens into six complex classes
based on property holdings.
Most adult, free-born men within the city limits of Rome held
Roman citizenship. Classes of non-citizens existed and held
different legal rights.
Key Terms
tax farming
A technique of financial management in which future, uncertain

revenue streams are fixed into periodic rents via assignment by
legal contract to a third party.
plebeians
A general body of free Roman citizens who were part of the

lower strata of society.
patricians
A group of ruling class families in ancient Rome.
Roman society was extremely patriarchal and hierarchical. The adult

male head of a household had special legal powers and privileges
that gave him jurisdiction over all the members of his family,
including his wife, adult sons, adult married daughters, and slaves,
but there were multiple, overlapping hierarchies at play within society
at large. An individual’s relative position in one hierarchy might have
been higher or lower than it was in another. The status of freeborn
Romans was established by the following:
Their ancestry
Their census rank, which in turn was determined by the
individual’s wealth and political privilege
Citizenship, of which there were grades with varying rights and
privileges
Ancestry
The most important division within Roman society was between
patricians, a small elite who monopolized political power, and
plebeians, who comprised the majority of Roman society. These
designations were established at birth, with patricians tracing their
ancestry back to the first Senate established under Romulus. Adult,
male non-citizens fell outside the realms of these divisions, but
women and children, who were also not considered formal citizens,
took the social status of their father or husband. Originally, all public
offices were only open to patricians and the classes could not
intermarry, but, over time, the differentiation between patrician and
plebeian statuses became less pronounced, particularly after the
establishment of the Roman republic.
Census Rankings
The Roman census divided citizens into six complex classes based
on property holdings. The richest class was called the senatorial
class, with wealth based on ownership of large agricultural estates,
since members of the highest social classes did not traditionally
engage in commercial activity. Below the senatorial class was the
equestrian order, comprised of members who held the same volume
of wealth as the senatorial classes, but who engaged in commerce,
making them an influential early business class. Certain political and
quasi-political positions were filled by members of the equestrian
order, including tax farming and leadership of the Praetorian Guard.
Three additional property-owning classes occupied the rungs
beneath the equestrian order. Finally, the proletarii occupied the
bottom rung with the lowest property values in the kingdom.
Citiz enship
Citizenship in ancient Rome afforded political and legal privileges to
free individuals with respect to laws, property, and governance. Most
adult, free-born men within the city limits of Rome held Roman
citizenship. Men who lived in towns outside of Rome might also hold
citizenship, but some lacked the right to vote. Free-born, foreign
subjects during this period were known as peregrini, and special
laws existed to govern their conduct and disputes, though they were
not considered Roman citizens during the Roman kingdom period.
Free-born women in ancient Rome were considered citizens, but
they could not vote or hold political office. The status of woman’s
citizenship affected the citizenship of her offspring. For example, in a
type of Roman marriage called conubium, both spouses must be
citizens in order to marry. Additionally, the phrase ex duobus civibus
Romanis natos, translated to mean "children born of two Roman
citizens," reinforces the importance of both parents’ legal status in
determining that of their offspring.
Roman citiz enship
The toga, shown here on a statue restored with the head of Nerva,
was the distinctive garb of Roman citizens
Classes of non-citizens existed and held different legal rights. Under

Roman law, slaves were considered property and held no rights.
However, certain laws did regulate the institution of slavery, and
extended protections to slaves that were not granted to other forms
of property. Slaves who had been manumitted became freedmen
and enjoyed largely the same rights and protections as free-born
citizens. Many slaves descended from debtors or prisoners of war,
especially women and children who were captured during foreign
military campaigns and sieges.
Ironically, many slaves originated from Rome’s conquest of Greece,

and yet Greek culture was considered, in some respects by the
Romans, to be superior to their own. In this way, it seems Romans
regarded slavery as a circumstance of birth, misfortune, or war,
rather than being limited to, or defined by, ethnicity or race. Because
it was defined mainly in terms of a lack of legal rights and status, it
was also not considered a permanent or inescapable position. Some
who had received educations or learned skills that allowed them to
earn their own living were manumitted upon the death of their owner,
or allowed to earn money to buy their freedom during their owner’s
lifetime. Some slave owners also freed slaves who they believed to
be their natural children. Nonetheless, many worked under harsh
conditions, and/or suffered inhumanely under their owners during
their enslavement.
Most freed slaves joined the lower plebeian classes, and worked as
farmers or tradesmen, though as time progressed and their numbers
increased, many were also accepted into the equestrian class. Some
went on to populate the civil service, whereas others engaged in
commerce, amassing vast fortunes that were rivaled only by those in
the wealthiest classes.
Attributions
The Founding of Rome
"Romulus and Remus."
https://en.wikipedia.org/wiki/Romulus_and_Remus.
"The Founding of Rome."
http://en.wikipedia.org/wiki/Founding_of_Rome%23Aeneas.
Wikipedia CC BY-SA.
"Aeneid." https://en.wikipedia.org/wiki/Aeneid. Wikipedia
CC BY-SA 3.0.
"Rome." http://en.wiktionary.org/wiki/Rome. Wiktionary CC
BY-SA 3.0.
"Lupa Capitolina."
http://en.wikipedia.org/wiki/Romulus_and_Remus%23medi
aviewer/File:0_Lupa_Capitolina_(2).JPG. Wikipedia CC BY-
SA 3.0.
The Seven Kings
"Absolute monarchy."
https://en.wikipedia.org/wiki/Absolute_monarchy. Wikipedia
CC BY-SA 3.0.
"Seven Kings of Rome."
http://en.wikipedia.org/wiki/Seven_Kings_of_Rome.
Wikipedia CC BY-SA.
"King of Rome."
https://en.wikipedia.org/wiki/King_of_Rome. Wikipedia CC
BY-SA 3.0.
"Patrician (ancient Rome)."
http://en.wikipedia.org/wiki/Patrician_(ancient_Rome).
Wikpedia CC BY-SA.
"patrician." http://en.wiktionary.org/wiki/patrician. Wiktionary
CC BY-SA 3.0.
"City of Rome during time of republic."
https://commons.wikimedia.org/wiki/File:City_of_Rome_duri
ng_time_of_republic.jpg. Wikimedia Public domain.
Early Roman Society
"Patrician (ancient Rome)."
https://en.wikipedia.org/wiki/Patrician_(ancient_Rome).
"Social class in ancient Rome."
https://en.wikipedia.org/wiki/Social_class_in_ancient_Rome
. Wikipedia CC BY-SA 3.0.
"Plebs." https://en.wikipedia.org/wiki/Plebs. Wikipedia CC
BY-SA 3.0.
"Farm (revenue leasing)."
https://en.wikipedia.org/wiki/Farm_(revenue_leasing).
"Roman citizenship."
https://en.wikipedia.org/wiki/Roman_citizenship. Wikipedia
CC BY-SA 3.0.
"220px-
Togato,_I_sec_dc._con_testa_di_restauro_da_un_ritratto_d
i_nerva,_inv._2286.JPG."
https://commons.wikimedia.org/wiki/File:Togato,_I_sec_dc._
con_testa_di_restauro_da_un_ritratto_di_nerva,_inv._2286.
JPG. Wikimedia GNU FDL 1.2.
8 .3: The Roman Republic
8 .3.1: The Establishment of the
Roman Republic
After the public outcry that arose as a result of the rape of Lucretia,
Romans overthrew the unpopular king, Lucius Tarquinius Superbus,
and established a republican form of government.
Learning Objective
Explain why and how Rome transitioned from a monarchy to a
republic
Key Points
The Roman monarchy was overthrown around 509 BCE, during
a political revolution that resulted in the expulsion of Lucius
Tarquinius Superbus, the last king of Rome.
Despite waging a number of successful campaigns against
Rome’s neighbors, securing Rome’s position as head of the
Latin cities, and engaging in a series of public works, Tarquinius
was a very unpopular king, due to his violence and abuses of
power.
When word spread that Tarquinius’s son raped Lucretia, the wife
of the governor of Collatia, an uprising occurred in which a
number of prominent patricians argued for a change in
government.
A general election was held during a legal assembly, and
participants voted in favor of the establishment of a Roman
republic.
Subsequently, all Tarquins were exiled from Rome and an
interrex and two consuls were established to lead the new
republic.
Key Terms
interrex
Literally, this translates to mean a ruler that presides over the

period between the rule of two separate kings; or, in other
words, a short-term regent.
plebeians

patricians
The Roman monarchy was overthrown around 509 BCE, during a

political revolution that resulted in the expulsion of Lucius Tarquinius
Superbus, the last king of Rome. Subsequently, the Roman Republic
was established.
Background
Tarquinius was the son of Lucius Tarquinius Priscus, the fifth king of
Rome’s Seven Kings period. Tarquinius was married to Tullia Minor,
the daughter of Servius Tullius, the sixth king of Rome’s Seven Kings
period. Around 535 BCE, Tarquinius and his wife, Tullia Minor,
arranged for the murder of his father-in-law. Tarquinius became king
following Servius Tullius’s death.
Tarquinius waged a number of successful campaigns against
Rome’s neighbors, including the V olsci, Gabii, and the Rutuli. He
also secured Rome’s position as head of the Latin cities, and
engaged in a series of public works, such as the completion of the
Temple of Jupiter Optimus Maximus. However, Tarquinius remained
an unpopular king for a number of reasons. He refused to bury his
predecessor and executed a number of leading senators whom he
suspected remained loyal to Servius. Following these actions, he
refused to replace the senators he executed and refused to consult
the Senate in matters of government going forward, thus diminishing
the size and influence of the Senate greatly. He also went on to
judge capital criminal cases without the advice of his counselors,
stoking fear among his political opponents that they would be unfairly
targeted.
The Rape of Lucretia and An

Uprising
Tarq uin and Lucretia
Titian's Tarq uin and Lucretia (1571).
Titian's painting shows Tarquinius attacking Lucretia, who is naked in

her bed. Tarquinius clutches Lucretia's right arm with his left hand
while wielding a dagger in his right hand.
During Tarquinius’s war with the Rutuli, his son, Sextus Tarquinius,
was sent on a military errand to Collatia, where he was received with
great hospitality at the governor’s mansion. The governor’s wife,
Lucretia, hosted Sextus while the governor was away at war. During
the night, Sextus entered her bedroom and raped her. The next day,
Lucretia traveled to her father, Spurius Lucretius, a distinguished
prefect in Rome, and, before witnesses, informed him of what had
happened. Because her father was a chief magistrate of Rome, her
pleas for justice and vengeance could not be ignored. At the end of
her pleas, she stabbed herself in the heart with a dagger, ultimately
dying in her own father’s arms. The scene struck those who had
witnessed it with such horror that they collectively vowed to publicly
defend their liberty against the outrages of such tyrants.
Lucius Junius Brutus, a leading citizen and the grandson of Rome’s

fifth king, Tarquinius Priscus, publicly opened a debate on the form of
government that Rome should have in place of the existing
monarchy. A number of patricians attended the debate, in which
Brutus proposed the banishment of the Tarquins from all territories of
Rome, and the appointment of an interrex to nominate new
magistrates and to oversee an election of ratification. It was decided
that a republican form of government should temporarily replace the
monarchy, with two consuls replacing the king and executing the will
of a patrician senate. Spurius Lucretius was elected interrex, and he
proposed Brutus, and Lucius Tarquinius Collatinus, a leading citizen
who was also related to Tarquinius Priscus, as the first two consuls.
His choice was ratified by the comitia curiata, an organization of
patrician families who primarily ratified decrees of the king.
In order to rally the plebeians to their cause, all were summoned to a

legal assembly in the forum, and Lucretia’s body was paraded
through the streets. Brutus gave a speech and a general election
was held. The results were in favor of a republic. Brutus left
Lucretius in command of the city as interrex, and pursued the king in
Ardea where he had been positioned with his army on campaign.
Tarquinius, however, who had heard of developments in Rome, fled
the camp before Brutus arrived, and the army received Brutus
favorably, expelling the king’s sons from their encampment.
Tarquinius was subsequently refused entry into Rome and lived as
an exile with his family.
The Establishment of the
Republic
Brutus and Lucretia

The statue shows Brutus holding the knife and swearing the oath,
with Lucretia.
Although there is no scholarly agreement as to whether or not it

actually took place, Plutarch and Appian both claim that Brutus’s first
act as consul was to initiate an oath for the people, swearing never
again to allow a king to rule Rome. What is known for certain is that
he replenished the Senate to its original number of 300 senators,
recruiting men from among the equestrian class. The new consuls
also created a separate office, called the rex sacrorum, to carry out
and oversee religious duties, a task that had previously fallen to the
king.
The two consuls continued to be elected annually by Roman citizens

and advised by the senate. Both consuls were elected for one-year
terms and could veto each other’s actions. Initially, they were
endowed with all the powers of kings past, though over time these
were broken down further by the addition of magistrates to the
governmental system. The first magistrate added was the praetor, an
office that assumed judicial authority from the consuls. After the
praetor, the censor was established, who assumed the power to
conduct the Roman census.
8 .3.2: Structure of the Republic

The Roman Republic was composed of the Senate, a number of
legislative assemblies, and elected magistrates.
Learning Objective
Describe the political structure of the Roman Republic
Key Points
The Constitution of the Roman Republic was a set of guidelines
and principles passed down, mainly through precedent. The
constitution was largely unwritten and uncodified, and evolved
over time.
Roman citizenship was a vital prerequisite to possessing many
important legal rights. The Senate passed decrees that were
called senatus consulta, ostensibly "advice" from the senate to a
magistrate. The focus of the Roman Senate was usually foreign
policy.
There were two types of legislative assemblies. The first was the
comitia ("committees"), which were assemblies of all Roman
citizens. The second was the concilia ("councils"), which were
assemblies of specific groups of citizens.
The comitia centuriata was the assembly of the centuries
(soldiers), and they elected magistrates who had imperium
powers (consuls and praetors). The comitia tributa, or assembly
of the tribes (the citizens of Rome), was presided over by a
consul and composed of 35 tribes. They elected quaestors,
curule aediles, and military tribunes.
Dictators were sometimes elected during times of military
emergency, during which the constitutional government would
be disbanded.
Key Terms
patricians
plebeian

Roman Senate
A political institution in the ancient Roman Republic. It was not

an elected body, but one whose members were appointed by
the consuls, and later by the censors.
The Constitution of the Roman Republic was a set of guidelines and

principles passed down, mainly through precedent. The constitution
was largely unwritten and uncodified, and evolved over time. Rather
than creating a government that was primarily a democracy (as was
ancient Athens), an aristocracy (as was ancient Sparta), or a
monarchy (as was Rome before, and in many respects after, the
Republic), the Roman constitution mixed these three elements of
governance into their overall political system. The democratic
element took the form of legislative assemblies; the aristocratic
element took the form of the Senate; and the monarchical element
took the form of the many term-limited consuls.
The Roman SPQR Banner

"SPQR" (senatus populusq ue romanus) was the Roman motto,
which stood for "the Senate and people of Rome".
The Roman Senate

The Senate's ultimate authority derived from the esteem and
prestige of the senators, and was based on both precedent and
custom. The Senate passed decrees, which were called senatus
consulta, ostensibly "advice" handed down from the senate to a
magistrate. In practice, the magistrates usually followed the senatus
consulta. The focus of the Roman Senate was usually foreign policy.
However, the power of the Senate expanded over time as the power
of the legislative assemblies declined, and eventually the Senate
took a greater role in civil law-making. Senators were usually
appointed by Roman censors, but during times of military
emergency, such as the civil wars of the 1st century BCE, this
practice became less prevalent, and the Roman dictator, triumvir, or
the Senate itself would select its members.
Curia Iulia - The Roman Senate House

The Curia Julia in the Roman Forum, the seat of the imperial Senate.
Legislative Assemblies
Roman citizenship was a vital prerequisite to possessing many
important legal rights, such as the rights to trial and appeal,
marriage, suffrage, to hold office, to enter binding contracts, and to
enjoy special tax exemptions. An adult male citizen with full legal and
political rights was called optimo j ure. The optimo j ure elected
assemblies, and the assemblies elected magistrates, enacted
legislation, presided over trials in capital cases, declared war and
peace, and forged or dissolved treaties. There were two types of
legislative assemblies. The first was the comitia ("committees"),
which were assemblies of all optimo j ure. The second was the
concilia ("councils"), which were assemblies of specific groups of
optimo j ure.
Citizens on these assemblies were organized further on the basis of

curiae (familial groupings), centuries (for military purposes), and
tribes (for civil purposes), and each would each gather into their own
assemblies. The Curiate Assembly served only a symbolic purpose
in the late Republic, though the assembly was used to ratify the
powers of newly elected magistrates by passing laws known as
leges curiatae. The comitia centuriata was the assembly of the
centuries (soldiers). The president of the comitia centuriata was
usually a consul, and the comitia centuriata would elect magistrates
who had imperium powers (consuls and praetors). It also elected
censors. Only the comitia centuriata could declare war and ratify the
results of a census. It also served as the highest court of appeal in
certain judicial cases.
The assembly of the tribes, the comitia tributa, was presided over by
a consul, and was composed of 35 tribes. The tribes were not ethnic
or kinship groups, but rather geographical subdivisions. While it did
not pass many laws, the comitia tributa did elect quaestors, curule
aediles, and military tribunes. The Plebeian Council was identical to
the assembly of the tribes, but excluded the patricians. They elected
their own officers, plebeian tribunes, and plebeian aediles. Usually a
plebeian tribune would preside over the assembly. This assembly
passed most laws, and could also act as a court of appeal.
Since the tribunes were considered to be the embodiment of the

plebeians, they were sacrosanct. Their sacrosanctness was
enforced by a pledge, taken by the plebeians, to kill any person who
harmed or interfered with a tribune during his term of office. As such,
it was considered a capital offense to harm a tribune, to disregard his
veto, or to interfere with his actions. In times of military emergency, a
dictator would be appointed for a term of six months. The
constitutional government would be dissolved, and the dictator would
be the absolute master of the state. When the dictator's term ended,
constitutional government would be restored.
Ex ecutive Magistrates
Magistrates were the elected officials of the Roman republic. Each
magistrate was vested with a degree of power, and the dictator,
when there was one, had the highest level of power. Below the
dictator was the censor (when they existed), and the consuls, the
highest ranking ordinary magistrates. Two were elected every year
and wielded supreme power in both civil and military powers. The
ranking among both consuls flipped every month, with one
outranking the other.
Below the consuls were the praetors, who administered civil law,
presided over the courts, and commanded provincial armies.
Censors conducted the Roman census, during which time they could
appoint people to the Senate. Curule aediles were officers elected to
conduct domestic affairs in Rome, who were vested with powers
over the markets, public games, and shows. Finally, at the bottom of
magistrate rankings were the quaestors, who usually assisted the
consuls in Rome and the governors in the provinces with financial
tasks. Plebeian tribunes and plebeian aediles were considered
representatives of the people, and acted as a popular check over the
Senate through use of their veto powers, thus safeguarding the civil
liberties of all Roman citizens.
Each magistrate could only veto an action that was taken by an

equal or lower ranked magistrate. The most significant constitutional
power a magistrate could hold was that of imperium or command,
which was held only by consuls and praetors. This gave the
magistrate in question the constitutional authority to issue
commands, military or otherwise.
Election to a magisterial office resulted in automatic membership in
the Senate for life, unless impeached. Once a magistrate’s annual
term in office expired, he had to wait at least ten years before
serving in that office again. Occasionally, however, a magistrate
would have his command powers extended through prorogation,
which effectively allowed him to retain the powers of his office as a
promagistrate.
8 .3.3: Roman Society Under the

Republic
The bulk of Roman politics prior to the 1st century BCE focused on
inequalities among the orders.
Learning Objective
Describe the relationship between the government and the people in
the time of the Roman Republic
Key Points
A number of developments affected the relationship between
Rome’s republican government and society, particularly in
regard to how that relationship differed among patricians and
plebeians.
In 494 BCE, plebeian soldiers refused to march against a
wartime enemy, in order to demand the right to elect their own
officials.
The passage of Lex Trebonia forbade the co-opting of
colleagues to fill vacant positions on tribunes in order to sway
voting in favor of patrician blocs over plebeians.
Throughout the 4th century BCE, a series of reforms were
passed that required all laws passed by the plebeian council to
have the full force of law over the entire population. This gave
the plebeian tribunes a positive political impact over the entire
population for the first time in Roman history.
In 445 BCE, the plebeians demanded the right to stand for
election as consul. Ultimately, a compromise was reached in
which consular command authority was granted to a select
number of military tribunes.
The Licinio-Sextian law was passed in 367 BCE; it addressed
the economic plight of the plebeians and prevented the election
of further patrician magistrates.
In the decades following the passage of the Licinio-Sextian law,
further legislation was enacted that granted political equality to
the plebeians. Nonetheless, it remained difficult for a plebeian
from an unknown family to enter the Senate, due to the rise of a
new patricio-plebeian aristocracy that was less interested in the
plight of the average plebeian.
Key Terms
plebeian

patricians
In the first few centuries of the Roman Republic, a number of

developments affected the relationship between the government and
the Roman people, particularly in regard to how that relationship
differed across the separate strata of society.
The Patrician Era ( 5 09-367 BCE)

The last king of Rome, Lucius Tarquinius Superbus, was overthrown
in 509 BCE. One of the biggest changes that occurred as a result
was the establishment of two chief magistrates, called consuls, who
were elected by the citizens of Rome for an annual term. This stood
in stark contrast to the previous system, in which a king was elected
by senators, for life. Built in to the consul system were checks on
authority, since each consul could provide balance to the decisions
made by his colleague. Their limited terms of office also opened
them up to the possibility of prosecution in the event of abuses of
power. However, when consuls exercised their political powers in
tandem, the magnitude and influence they wielded was hardly
different from that of the old kings.
In 494 BCE, Rome was at war with two neighboring tribes, and
plebeian soldiers refused to march against the enemy, instead
seceding to the Aventine Hill. There, the plebeian soldiers took
advantage of the situation to demand the right to elect their own
officials. The patricians assented to their demands, and the plebeian
soldiers returned to battle. The new offices that were created as a
result came to be known as "plebeian tribunes," and they were to be
assisted by "plebeian aediles."
In the early years of the republic, plebeians were not permitted to

hold magisterial office. Tribunes and aediles were technically not
magistrates, since they were only elected by fellow plebeians, as
opposed to the unified population of plebeians and patricians.
Although plebeian tribunes regularly attempted to block legislation
they considered unfavorable, patricians could still override their veto
with the support of one or more other tribunes. Tension over this
imbalance of power led to the passage of Lex Trebonia, which
forbade the co-opting of colleagues to fill vacant positions on
tribunes in order to sway voting in favor of one or another bloc.
Throughout the 4th century BCE, a series of reforms were passed
that required all laws passed by the plebeian council to have equal
force over the entire population, regardless of status as patrician or
plebeian. This gave the plebeian tribunes a positive political impact
over the entire population for the first time in Roman history.
Gaius Gracchus
This 18th century drawing shows Gaius Gracchus, tribune of the
people, presiding over the plebeian council.
In 445 BCE, the plebeians demanded the right to stand for election
as consul. The Roman Senate initially refused them this right, but
ultimately a compromise was reached in which consular command
authority was granted to a select number of military tribunes, who, in
turn, were elected by the centuriate assembly with veto power being
retained by the senate.
Around 400 BCE, during a series of wars that were fought against
neighboring tribes, the plebeians demanded concessions for the
disenfranchisement they experienced as foot soldiers fighting for
spoils of war that they were never to see. As a result, the Licinio-
Sextian law was eventually passed in 367 BCE, which addressed the
economic plight of the plebeians and prevented the election of
further patrician magistrates.
The Conflict of the Orders Ends

( 367 -28 7 BCE)
In the decades following the passage of the Licinio-Sextian law,
further legislation was enacted that granted political equality to the
plebeians. Nonetheless, it remained difficult for a plebeian from an
unknown family to enter the Senate. In fact, the very presence of a
long-standing nobility, and the Roman population’s deep respect for
it, made it very difficult for individuals from unknown families to be
elected to high office. Additionally, elections could be expensive,
neither senators nor magistrates were paid for their services, and the
Senate usually did not reimburse magistrates for expenses incurred
during their official duties, providing many barriers to the entry of
high political office by the non-affluent.
Ultimately, a new patricio-plebeian aristocracy emerged and

replaced the old patrician nobility. Whereas the old patrician nobility
existed simply on the basis of being able to run for office, the new
aristocracy existed on the basis of affluence. Although a small
number of plebeians had achieved the same standing as the
patrician families of the past, new plebeian aristocrats were less
interested in the plight of the average plebeian than were the old
patrician aristocrats. For a time, the plebeian plight was mitigated,
due higher employment, income, and patriotism that was wrought by
a series of wars in which Rome was engaged; these things
eliminated the threat of plebeian unrest. But by 287 BCE, the
economic conditions of the plebeians deteriorated as a result of
widespread indebtedness, and the plebeians sought relief. Roman
senators, most of whom were also creditors, refused to give in to the
plebeians’ demands, resulting in the first plebeian secession to
Janiculum Hill.
In order to end the plebeian secession, a dictator, Quintus

Hortensius, was appointed. Hortensius, who was himself a plebeian,
passed a law known as the "Hortensian Law." This law ended the
requirement that an auctoritas patrum be passed before a bill could
be considered by either the plebeian council or the tribal assembly,
thus removing the final patrician senatorial check on the plebeian
council. The requirement was not changed, however, in the
centuriate assembly. This provided a loophole through which the
patrician senate could still deter plebeian legislative influence.
8 .3.4: Art and Literature in the Roman

Republic
Culture flourished during the Roman Republic with the emergence of
great authors, such as Cicero and Lucretius, and with the
development of Roman relief and portraiture sculpture.
Learning Objective
Recognize the wide extent of art and literature created during the
Roman Republic
Key Points
Roman literature was, from its very inception, influenced heavily
by Greek authors. Some of the earliest works we possess are of
historical epics that tell the early military history of Rome.
However, authors diversified their genres as the Republic
expanded.
Cicero is one of the most famous Republican authors, and his
letters provide detailed information about an important period in
Roman history.
Romans typically produced historical sculptures in relief, as
opposed to Greek free-standing sculpture. Small sculptures
were considered luxury items, while moulded relief decoration in
pottery vessels and small figurines were produced in great
quantities for a wider section of the population.
The most well-known surviving examples of Roman painting
consist of the wall paintings from Pompeii and Herculaneum that
were preserved in the aftermath of the fatal eruption of Mount
V esuvius in 79 CE.
V eristic portraiture is a hallmark of Roman art during the
Republic, though its use began to diminish during the 1st
century BCE as civil wars threatened the empire and individual
strong men began amassing more power.
Key Terms
veristic portraiture
A hyper-realistic portrayal of the subject's facial characteristics;

a common style of portraiture in the early to mid-Republic.
Cicero
A Roman philosopher, politician, lawyer, orator, political theorist,

consul, and constitutionalist.
Literature
Roman literature was, from its very inception, heavily influenced by
Greek authors. Some of the earliest works we possess are historical
epics telling the early military history of Rome, similar to the Greek
epic narratives of Homer, Herodotus, and Thucydides. V irgil, though
generally considered to be an Augustan poet, represents the
pinnacle of Roman epic poetry. His Aeneid tells the story of the flight
of Aeneas from Troy, and his settlement of the city that would
become Rome. As the Republic expanded, authors began to
produce poetry, comedy, history, and tragedy. Lucretius, in his De
rerum natura (On the Nature of Things) , attempted to explicate
science in an epic poem. The genre of satire was also common in
Rome, and satires were written by, among others, Juvenal and
Persius.
The Age of Cicero

Bust of Cicero
A mid-first century CE bust of Cicero, in the Capitoline Museums,
Rome.
Cicero has traditionally been considered the master of Latin prose.

The writing he produced from approximately 80 BCE until his death
in 43 BCE, exceeds that of any Latin author whose work survives, in
terms of quantity and variety of genre and subject matter. It also
possesses unsurpassed stylistic excellence. Cicero's many works
can be divided into four groups: letters, rhetorical treatises,
philosophical works, and orations. His letters provide detailed
information about an important period in Roman history, and offers a
vivid picture of public and private life among the Roman governing
class. Cicero's works on oratory are our most valuable Latin sources
for ancient theories on education and rhetoric. His philosophical
works were the basis of moral philosophy during the Middle Ages,
and his speeches inspired many European political leaders, as well
as the founders of the United States.
Art
Early Roman art was greatly influenced by the art of Greece and the
neighboring Etruscans, who were also greatly influenced by Greek
art via trade. As the Roman Republic conquered Greek territory,
expanding its imperial domain throughout the Hellenistic world,
official and patrician sculpture grew out of the Hellenistic style that
many Romans encountered during their campaigns, making it
difficult to distinguish truly Roman elements from elements of Greek
style. This was especially true since much of what survives of Greek
sculpture are actually copies made of Greek originals by Romans.
By the 2nd century BCE, most sculptors working within Rome were
Greek, many of whom were enslaved following military conquests,
and whose names were rarely recorded with the work they created.
V ast numbers of Greek statues were also imported to Rome as a
result of conquest as well as trade.
Rather than create free-standing works depicting heroic exploits from

history or mythology, as the Greeks had, the Romans produced
historical works in relief. Small sculptures were considered luxury
items and were frequently the object of client-patron relationships.
The silver Warren Cup and glass Lycurgus cup are examples of the
high quality works that were produced during this period. For a wider
section of the population, moulded relief decoration in pottery
vessels and small figurines were produced in great quantities, and
were often of great quality.
In the 3rd century BCE, Greek art taken during wars became
popular, and many Roman homes were decorated with landscapes
by Greek artists.
Of the vast body of Roman painting that once existed, only a few
examples survive to the modern-age. The most well-known surviving
examples of Roman painting are the wall paintings from Pompeii and
Herculaneum, that were preserved in the aftermath of the fatal
eruption of Mount V esuvius in 79 CE. A large number of paintings
also survived in the catacombs of Rome, dating from the 3rd century
CE to 400, prior to the Christian age, demonstrating a continuation of
the domestic decorative tradition for use in humble burial
chambers.Wall painting was not considered high art in either Greece
or Rome. Sculpture and panel painting, usually consisting of tempera
or encaustic painting on wooden panels, were considered more
prestigious art forms.
A large number of Fayum mummy portraits, bust portraits on wood

added to the outside of mummies by the Romanized middle class,
exist in Roman Egypt. Although these are in some ways distinctively
local, they are also broadly representative of the Roman style of
painted portraits.
Roman portraiture during the Republic is identified by its

considerable realism, known as veristic portraiture. V erism refers to
a hyper-realistic portrayal of the subject's facial characteristics. The
style originated from Hellenistic Greece; however, its use in
Republican Rome and survival throughout much of the Republic is
due to Roman values, customs, and political life. As with other forms
of Roman art, Roman portraiture borrowed certain details from
Greek art, but adapted these to their own needs. V eristic images
often show their male subject with receding hairlines, deep winkles,
and even with warts. While the face of the portrait was often shown
with incredible detail and likeness, the body of the subject would be
idealized, and did not seem to correspond to the age shown in the
face .
Bust of an Old Man
V eristic portraiture of an Old Man. V erism refers to a hyper-realistic
portrayal of the subject's facial characteristics.
Portrait sculpture during the period utilized youthful and classical

proportions, evolving later into a mixture of realism and idealism.
Advancements were also made in relief sculptures, often depicting
Roman victories. The Romans, however, completely lacked a
tradition of figurative vase-painting comparable to that of the ancient
Greeks, which the Etruscans had also emulated.
The Late Republic
The use of veristic portraiture began to diminish during the Late
Republic in the 1st century BCE. During this time, civil wars
threatened the empire and individual men began to gain more power.
The portraits of Pompey the Great and Julius Caesar, two political
rivals who were also the most powerful generals in the Republic,
began to change the style of portraits and their use. The portraits of
Pompey the Great were neither fully idealized, nor were they created
in the same veristic style of Republican senators. Pompey borrowed
a specific parting and curl of his hair from Alexander the Great,
linking Pompey visually to Alexander's likeness, and triggering his
audience to associate him with Alexander's characteristics and
qualities.
Bust of Pompey the Great

The portraits of Pompey the Great were neither fully idealized, nor
were they created in the same veristic style of Republican senators.
This bust clearly shows the specific parting and curl of his hair that
would have likened him to Alexander the Great.
8 .3.5 : Republican W ars and Conquest
By the end of the mid-Republic, Rome had achieved military
dominance on both the Italian peninsula and within the
Mediterranean.
Learning Objective
Describe the key results and effects of major Republican wars
Key Points
Early Roman Republican wars were wars of both expansion and
defense, aimed at protecting Rome from neighboring cities and
nations, and establishing its territory within the region.
The Samnite Wars were fought against the Etruscans and
effectively finished off all vestiges of Etruscan power by 282
BCE.
By the middle of the 3rd century and the end of the Pyrrhic War,
Rome had effectively dominated the Italian peninsula and won
an international military reputation.
Over the course of the three Punic Wars, Rome completely
defeated Hannibal and razed Carthage to the ground, thereby
acquiring all of Carthage's North African and Spanish territories.
After four Macedonian Wars, Rome had established its first
permanent foothold in the Greek world, and divided the
Macedonian Kingdom into four client republics.
Key Terms
Punic Wars
A series of three wars fought between Rome and Carthage,

from 264 BCE to 146 BCE, that resulted in the complete
destruction of Carthage.
Pyrrhus
Greek general and statesman of the Hellenistic era. Later he

became king of Epirus (r. 306-302, 297-272 BCE) and Macedon
(r. 288-284, 273-272 BCE). He was one of the strongest
opponents of early Rome. Some of his battles, though
successful, cost him heavy losses, from which the term "Pyrrhic
victory" was coined.
Roman Conquest of the Italian
Peninsula
This map shows the expansion of Roman territory through the
various wars fought during the Republican period.
The map shows the territory of Rome and her allies between 500
BCE and 272 BCE. It shows that in 500 the territory only included
the city of Rome and its immediate surroundings, including Ostia and
V eii. In 338, after the Latin war, the territory expanded a bit to the
north and east. It also expanded more considerably to the south,
encompassing Antium, Terracina, and Capua. In 298, at the start of
the 3rd Samninte war, the territory expanded south to include
Napolis and also expanded east in an upside U shape to include
Marsi, Aequiculi, V estini, Marrcini, Fretani, and the cities of Arpi,
Luceria, and Asculum on the east coast. In 290, at the end of the 3rd
Samnite war, the territory expanded to include the central interior of
present-day Italy. In 272, at the end of the Pyrrhic war, the territory
expanded to include all of present-day southern Italy. In 264, at the
start of the 1st Punic war, the territory expanded to include large
portions of present-day northern Italy, as far north as Pisae and
Ariminium. Finally, at the start of the 2nd Punic war, the territory
expanded farther north, in addition to covering Corsica, Sardini, and
most of Siciliy.
Early Republic
Early Campaigns ( 45 8 -396 BCE)
The first Roman Republican wars were wars of both expansion and
defense, aimed at protecting Rome from neighboring cities and
nations, as well as establishing its territory in the region. Initially,
Rome's immediate neighbors were either Latin towns and villages or
tribal Sabines from the Apennine hills beyond. One by one, Rome
defeated both the persistent Sabines and the nearby Etruscan and
Latin cities. By the end of this period, Rome had effectively secured
its position against all immediate threats.
Ex pansion into Italy and the Samnite

W ars ( 343-28 2 BCE)
The First Samnite War, of 343 BCE-341 BCE, was a relatively short
affair. The Romans beat the Samnites in two battles, but were forced
to withdraw from the war before they could pursue the conflict
further, due to the revolt of several of their Latin allies in the Latin
War. The Second Samnite War, from 327 BCE-304 BCE, was much
longer and more serious for both the Romans and Samnites, but by
304 BCE the Romans had effectively annexed the greater part of the
Samnite territory and founded several colonies therein. Seven years
after their defeat, with Roman dominance of the area seemingly
assured, the Samnites rose again and defeated a Roman army in
298 BCE, to open the Third Samnite War. With this success in hand,
they managed to bring together a coalition of several of Rome's
enemies, but by 282 BCE, Rome finished off the last vestiges of
Etruscan power in the region.
Pyrrhic W ar ( 28 0-27 5 BCE)

By the beginning of the 3rd century BCE, Rome had established
itself as a major power on the Italian Peninsula, but had not yet
come into conflict with the dominant military powers in the
Mediterranean Basin at the time: the Carthage and Greek kingdoms.
When a diplomatic dispute between Rome and a Greek colony
erupted into a naval confrontation, the Greek colony appealed for
military aid to Pyrrhus, ruler of the northwestern Greek kingdom of
Epirus. Motivated by a personal desire for military accomplishment,
Pyrrhus landed a Greek army of approximately 25,000 men on
Italian soil in 280 BCE. Despite early victories, Pyrrhus found his
position in Italy untenable. Rome steadfastly refused to negotiate
with Pyrrhus as long as his army remained in Italy. Facing
unacceptably heavy losses with each encounter with the Roman
army, Pyrrhus withdrew from the peninsula (thus giving rise to the
term "pyrrhic victory").
In 275 BCE, Pyrrhus again met the Roman army at the Battle of
Beneventum. While Beneventum's outcome was indecisive, it led to
Pyrrhus's complete withdrawal from Italy, due to the decimation of
his army following years of foreign campaigns, and the diminishing
likelihood of further material gains. These conflicts with Pyrrhus
would have a positive effect on Rome. Rome had shown it was
capable of pitting its armies successfully against the dominant
military powers of the Mediterranean, and that the Greek kingdoms
were incapable of defending their colonies in Italy and abroad. Rome
quickly moved into southern Italia, subjugating and dividing the
Greek colonies. By the middle of the 3rd century, Rome effectively
dominated the Italian peninsula, and had won an international
military reputation.
Mid-Republic
Punic W ars
The First Punic War began in 264 BCE, when Rome and Carthage
became interested in using settlements within Sicily to solve their
own internal conflicts. The war saw land battles in Sicily early on, but
focus soon shifted to naval battles around Sicily and Africa. Before
the First Punic War, there was essentially no Roman navy. The new
war in Sicily against Carthage, a great naval power, forced Rome to
quickly build a fleet and train sailors. Though the first few naval
battles of the First Punic War were catastrophic disasters for Rome,
Rome was eventually able to beat the Carthaginians and leave them
without a fleet or sufficient funds to raise another. For a maritime
power, the loss of Carthage's access to the Mediterranean stung
financially and psychologically, leading the Carthaginians to sue for
peace.
Continuing distrust led to the renewal of hostilities in the Second

Punic War, when, in 218 BCE, Carthaginian commander Hannibal
attacked a Spanish town with diplomatic ties to Rome. Hannibal then
crossed the Italian Alps to invade Italy. Hannibal's successes in Italy
began immediately, but his brother, Hasdrubal, was defeated after he
crossed the Alps on the Metaurus River. Unable to defeat Hannibal
on Italian soil, the Romans boldly sent an army to Africa under Scipio
Africanus, with the intention of threatening the Carthaginian capital.
As a result, Hannibal was recalled to Africa, and defeated at the
Battle of Zama.
Carthage never managed to recover after the Second Punic War,

and the Third Punic War that followed was, in reality, a simple
punitive mission to raze the city of Carthage to the ground. Carthage
was almost defenseless, and when besieged offered immediate
surrender, conceding to a string of outrageous Roman demands.
The Romans refused the surrender and the city was stormed and
completely destroyed after a short siege. Ultimately, all of Carthage's
North African and Spanish territories were acquired by Rome.
Hannibal's Famous Crossing of the

Alps
Depiction of Hannibal and his army crossing the Alps during the
Second Punic War.
Macedon and Greece

Rome's preoccupation with its war in Carthage provided an
opportunity for Philip V of the kingdom of Macedonia, located in the
northern part of the Greek peninsula, to attempt to extend his power
westward. Over the next several decades, Rome clashed with
Macedon to protect their Greek allies throughout the First, Second,
and Third Macedonian Wars. By 168 BCE, the Macedonians had
been thoroughly defeated, and Rome divided the Macedonian
Kingdom into four client republics. After a Fourth Macedonian War,
and nearly a century of constant crisis management in Greece
(which almost always was a result of internal instability when Rome
pulled out), Rome decided to divide Macedonia into two new Roman
provinces, Achaea and Epirus.
8 .3.6: Crises of the Republic

The 1st century BCE saw tensions between patricians and plebeians
erupt into violence, as the Republic became increasingly more
divided and unstable.
Learning Objective
Explain how crises in the 1st century BCE further destabilized the
Roman Republic
Key Points
Though the causes and attributes of individual crises varied
throughout the decades, an underlying theme of conflict
between the aristocracy and ordinary citizens drove the majority
of actions.
The Gracchi brothers, Tiberius and Gaius, introduced a number
of populist agrarian and land reforms in the 130s and 120s BCE
that were heavily opposed by the patrician Senate. Both
brothers were murdered by mob violence after political
stalemates.
Political instability continued, as populist Marius and optimate
Sulla engaged in a series of conflicts that culminated in Sulla
seizing power and marching to Asia Minor against the decrees
of the Senate, and Marius seizing power in a coup back at
Rome.
The Catilinarian Conspiracy discredited the populist party, in
turn repairing the image of the Senate, which had come to be
seen as weak and not worthy of such violent attack.
Under the terms of the First Triumvirate, Pompey’s
arrangements would be ratified and Caesar would be elected
consul in 59 BCE; he subsequently served as governor of Gaul
for five years. Crassus was promised the consulship later.
The triumvirate crumbled in the wake of growing political
violence and Crassus and Caesar’s daughter’s death.
A resolution was passed by the Senate that declared that if
Caesar did not lay down his arms by July 49 BCE, he would be
considered an enemy of the Republic. Meanwhile, Pompey was
granted dictatorial powers over the Republic.
On January 10, 49 BCE, Caesar crossed the Rubicon and
marched towards Rome. Pompey, the consuls, and the Senate
all abandoned Rome for Greece, and Caesar entered the city
unopposed.
Key Terms
Gracchi Brothers
Brothers Tiberius and Gaius, Roman plebeian nobiles who both

served as tribunes in the late 2nd century BCE. They attempted
to pass land reform legislation that would redistribute the major
patrician landholdings among the plebeians.
plebeian

patrician

The Crises of the Roman Republic refers to an extended period of
political instability and social unrest that culminated in the demise of
the Roman Republic, and the advent of the Roman Empire from
about 134 BCE-44 BCE. The exact dates of this period of crisis are
unclear or are in dispute from scholar to scholar. Though the causes
and attributes of individual crises varied throughout the decades, an
underlying theme of conflict between the aristocracy and ordinary
citizens drove the majority of actions.
Optimates were a traditionalist majority of the late Roman Republic.

They wished to limit the power of the popular assemblies and the
Tribune of the Plebeians, and to extend the power of the Senate,
which was viewed as more dedicated to the interests of the
aristocrats. In particular, they were concerned with the rise of
individual generals, who, backed by the tribunate, the assemblies,
and their own soldiers, could shift power from the Senate and
aristocracy. Many members of this faction were so-classified
because they used the backing of the aristocracy and the Senate to
achieve personal goals, not necessarily because they favored the
aristocracy over the lower classes. Similarly, the populists did not
necessarily champion the lower classes, but often used their support
to achieve personal goals.
Following a period of great military successes and economic failures

of the early Republican period, many plebeian calls for reform
among the classes had been quieted. However, many new slaves
were being imported from abroad, causing an unemployment crisis
among the lower classes. A flood of unemployed citizens entered
Rome, giving rise to populist ideas throughout the city.
The Gracchi Brothers

Tiberius Gracchus took office as a tribune of the plebeians in late
134 BCE. At the time, Roman society was a highly stratified class
system with tensions bubbling below the surface. This system
consisted of noble families of the senatorial rank (patricians), the
knight or equestrian class, citizens (grouped into two or three
classes of self-governing allies of Rome: landowners; and plebs, or
tenant freemen, depending on the time period), non-citizens who
lived outside of southwestern Italy, and at the bottom, slaves. The
government owned large tracts of farm land that it had gained
through invasion or escheat. This land was rented out to either large
landowners whose slaves tilled the land, or small tenant farmers who
occupied the property on the basis of a sub-lease. Beginning in 133
BCE, Tiberius tried to redress the grievances of displaced small
tenant farmers. He bypassed the Roman Senate, and passed a law
limiting the amount of land belonging to the state that any individual
could farm, which resulted in the dissolution of large plantations
maintained by rich landowners on public land.
A political back-and-forth ensued in the Senate as the other tribune,

Octavius, blocked Tiberius's initiatives, and the Senate denied funds
needed for land reform. When Tiberius sought re-election to his one-
year term (an unprecedented action), the oligarchic nobles
responded by murdering Tiberius, and mass riots broke out in the
city in reaction to the assassination. About nine years later, Tiberius
Gracchus's younger brother, Gaius, passed more radical reforms in
favor of the poorer plebeians. Once again, the situation ended in
violence and murder as Gaius fled Rome and was either murdered
by oligarchs or committed suicide. The deaths of the Gracchi
brothers marked the beginning of a late Republic trend in which
tensions and conflicts erupted in violence.
Gaius Gracchus Addressing the
People
Silvestre David Mirys' rendition of the the tribune, Gaius Gracchus,
addressing the people of Rome.
Marius and Sulla

The next major reformer of the time was Gaius Marius, who like the
Gracchi, was a populist who championed the lower classes. He was
a general who abolished the property requirement for becoming a
soldier, which allowed the poor to enlist in large numbers. Lucius
Cornelius Sulla was appointed as Marius's quaestor (supervisor of
the financial affairs of the state) in 107 BCE, and later competed with
Marius for supreme power. Over the next few decades, he and
Marius engaged in a series of conflicts that culminated in Sulla
seizing power and marching to Asia Minor against the decrees of the
Senate. Marius launched a coup in Sulla's absence, putting to death
some of his enemies and instituting a populist regime, but died soon
after.
Bust of Sulla
The bust of Lucius Cornelius Sulla, an optimate who marched
against Rome and installed himself as dictator in 82-81 BCE.
Pompey, Crassus, and the

Catilinarian Conspiracy
In 77 BCE, two of Sulla’s former lieutenants, Gnaeus Pompeius
Magnus ("Pompey the Great") and Marcus Licinius Crassus, had left
Rome to put down uprisings and found the populist party, attacking
Sulla’s constitution upon their return. In an attempt to forge an
agreement with the populist party, both lieutenants promised to
dismantle components of Sulla’s constitution that the populists found
disagreeable, in return for being elected consul. The two were
elected in 70 BCE and held true to their word. Four years later, in 66
BCE, a movement to use peaceful means to address the plights of
the various classes arose; however, after several failures in
achieving their goals, the movement, headed by Lucius Sergius
Catilina and based in Faesulae, a hotbed of agrarian agitation,
decided to march to Rome and instigate an uprising. Marcus Tullius
Cicero, the consul at the time, intercepted messages regarding
recruitment and plans, leading the Senate to authorize the
assassination of many Catilinarian conspirators in Rome, an action
that was seen as stemming from dubious authority. This effectively
disrupted the conspiracy and discredited the populist party, in turn
repairing the image of the Senate, which had come to be seen as
weak and not worthy of such violent attack.
First Triumvirate
In 62 BCE, Pompey returned from campaigning in Asia to find that
the Senate, elated by its successes against the Catiline conspirators,
was unwilling to ratify any of Pompey’s arrangements, leaving
Pompey powerless. Julius Caesar returned from his governorship in
Spain a year later and, along with Crassus, established a private
agreement with Pompey known as the First Triumvirate. Under the
terms of this agreement, Pompey’s arrangements would be ratified
and Caesar would be elected consul in 59 BCE, subsequently
serving as governor of Gaul for five years. Crassus was promised
the consulship later.
When Caesar became consul, he saw the passage of Pompey’s

arrangements through the Senate, at times using violent means to
ensure their passage. Caesar also facilitated the election of patrician
Publius Clodius Pulcher to the tribunate in 58 BCE, and Clodius
sidelined Caesar’s senatorial opponents, Cato and Cicero. Clodius
eventually formed armed gangs that terrorized Rome and began to
attack Pompey’s followers, who formed counter-gangs in response,
marking the end of the political alliance between Pompey and
Caeser. Though the triumvirate was briefly renewed in the face of
political opposition for the consulship from Domitius Ahenobarbus,
Crassus’s death during an expedition against the Kingdom of
Parthia, and the death of Pompey’s wife, Julia, who was also
Caesar’s daughter, severed any remaining bonds between Pompey
and Caesar.
Beginning in the summer of 54 BCE, a wave of political corruption

and violence swept Rome, reaching a climax in January 52 BCE,
when Clodius was murdered in a gang war. Caesar presented an
ultimatum to the Senate on January 1, 49 BCE, which was ultimately
rejected. Subsequently, a resolution was passed that declared that if
Caesar did not lay down his arms by July, he would be considered
an enemy of the Republic. The senators adopted Pompey as their
champion, and on January 7, Pompey was granted dictatorial
powers over the Republic by the Senate. Pompey’s army, however,
was composed mainly of untested conscripts, and on January 10,
Caesar crossed the Rubicon with his more experienced forces in
defiance of Roman laws, and marched towards Rome. Pompey, the
consuls, and the Senate all abandoned Rome for Greece, in the face
of Caeser’s rapidly advancing forces, and Caesar entered the city
unopposed.
Attributions
The Establishment of the Roman Republic
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https://en.wikipedia.org/wiki/Conflict_of_the_Orders.
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CC BY-SA 3.0.
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Art and Literature in the Roman Republic
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ushkin01.jpg. Wikimedia Commons CC BY-SA.
Republican Wars and Conquest
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e:Hannibal3.jpg. Wikipedia Public domain.
Crises of the Republic
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"Sulla Glyptothek Munich."
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_Glyptothek_Munich_309.jpg. Wikipedia Public domain.
8 .4: The Roman Empire
8 .4.1: J ulius Caesar
Julius Caesar was a late Republic statesman and general who
waged civil war against the Roman Senate, defeating many patrician
conservatives before he declared himself dictator.
Learning Objective
Explain the rise of Julius Caesar and his various successes
Key Points
In 60 BCE, Julius Caesar, Marcus Licinius Crassus, and Gnaeus
Pompeius Magnus (Pompey the Great) formed a political
alliance, known as the First Triumvirate, that was to dominate
Roman politics for several years, though their populist tactics
were opposed by the conservative Senate.
Caesar enjoyed great success as commander in the Gallic
Wars. Upon conclusion of the wars, he refused to return to
Rome as ordered by the Senate, and instead, crossed the
Rubicon in 49 BCE with a legion, entering Roman territory under
arms.
Caesar fought in a civil war against his old colleague, Pompey,
who had aligned himself with conservative interests in the
Senate. Caesar quickly defeated his rival and many other
Senate conservatives who had previously opposed him.
With most of his enemies gone, Caesar installed himself as
dictator in perpetuity. As dictator, he instituted a series of
reforms and, most notably, created the Julian calendar.
Caesar was assassinated in 44 BCE by his remaining enemies
in the Senate, throwing Rome into another period of chaos and
civil war.
Key Terms
dictator
During Caesar's time, in the late Roman Republic, ruler for life.
In the early Republic, by contrast, a dictator was a general
appointed by the Senate, who served temporarily during a
national emergency.
Julius Caesar
A Roman general, statesman, consul, and author, who played a

critical role in the events that led to the demise of the Roman
Republic and the rise of the Roman Empire.
Pompey
A military and political leader of the late Roman Republic, who

represented the Roman Senate in a civil war against Julius
Caesar.
Gaius Julius Caesar was a Roman general, statesman, consul, and

notable author of Latin prose. He played a critical role in the events
that led to the demise of the Roman Republic and the rise of the
Roman Empire. In 60 BCE, Caesar, Marcus Licinius Crassus, and
Gnaeus Pompeius Magnus (Pompey the Great) formed a political
alliance, known as the First Triumvirate, that was to dominate
Roman politics for several years. Caesar made the initial overtures
that led to the informal alliance. An acclaimed military commander
who had also served in a variety of political offices, Caesar sought
election as consul in 59 BCE, along with two other candidates. The
election was particularly contentious, with corruption occurring on all
sides. Caesar won, as well as conservative Marcus Bibulus, but saw
that he could further his political influence with Crassus and Pompey.
Their attempts to amass power through populist tactics were
opposed by the conservative ruling class within the Roman Senate,
among them Cato the Younger and Cicero. Meanwhile, Caesar's
victories in the Gallic Wars, completed by 51 BCE, extended Rome's
territory to the English Channel and the Rhine River. Caesar became
the first Roman general to cross both when he built a bridge across
the Rhine and conducted the first invasion of Britain.
These achievements granted Caesar unmatched military power and

threatened to eclipse the standing of his colleague, Pompey, who
had realigned himself with the Senate after the death of Crassus in
53 BCE. With the Gallic Wars concluded, the Senate ordered Caesar
to step down from his military command and return to Rome. Caesar
refused and marked his defiance in 49 BCE by crossing the Rubicon
(shallow river in northern Italy) with a legion. In doing so, he
deliberately broke the law on imperium and engaged in an open act
of insurrection and treason. Civil War ensued, with Pompey
representing the Roman Senate forces against Caesar, but Caesar
quickly defeated Pompey in 48 BCE, and dispatched Pompey's
supporters in the following year. During this time, many staunch
Senate conservatives, such as Cato the Younger, were either killed
or committed suicide, thereby greatly decreasing the number of
optimates in Rome.
Caesar as Dictator
Bust of J ulius Caesar
Gaius Julius Caesar was a Roman general, statesman, consul, and
notable author of Latin prose.
After assuming control of the government upon the defeat of his

enemies in 45 BCE, Caesar began a program of social and
governmental reforms that included the creation of the Julian
calendar. He centralized the bureaucracy of the Republic and
eventually proclaimed himself "dictator in perpetuity." It is important
to note that Caesar did not declare himself rex (king), but instead,
claimed the title of dictator. Contrary to the negative connotations
that the modern use of the word evokes, the Roman dictator was
appointed by the Senate during times of emergency as a unilateral
decision-maker who could act more quickly than the usual
bureaucratic processes that the Republican government would allow.
Upon bringing the Roman state out of trouble, the dictator would
then resign and restore power back to the Senate. Thus, Caesar's
declaration ostensibly remained within the Republican framework of
power, though the huge amounts of power he had gathered for
himself in practice set him up similar to a monarch.
Caesar used his powers to fill the Senate with his own partisans. He
also increased the number of magistrates who were elected each
year, which created a large pool of experienced magistrates and
allowed Caesar to reward his supporters. He used his powers to
appoint many new senators, which eventually raised the Senate's
membership to 900. All the appointments were of his own partisans,
which robbed the senatorial aristocracy of its prestige and made the
Senate increasingly subservient to him. To minimize the risk that
another general might attempt to challenge him, Caesar passed a
law that subjected governors to term limits. All of these changes
watered down the power of the Senate, which infuriated those used
to aristocratic privilege. Such anger proved to be fuel for Caesar's
eventual assassination.
Despite the defeat of most of his conservative enemies, however,

underlying political conflicts had not been resolved. On the Ides of
March (March 15) 44 BCE, Caesar was scheduled to appear at a
session of the Senate, and a group of senators led by Marcus Junius
Brutus and Gaius Cassius Longinus conspired to assassinate him.
Though some of his assassins may have had ulterior personal
vendettas against Caesar, Brutus is said to have acted out of
concern for the Republic in the face of what he considered to be a
monarchical tyrant. Mark Antony, one of Caesar’s generals and
administrator of Italy during Caesar’s campaigns abroad, learned
such a plan existed the night before, and attempted to intercept
Caesar, but the plotters anticipated this and arranged to meet him
outside the site of the session and detain him him there. Caesar was
stabbed 23 times and lay dead on the ground for some time before
officials removed his body.
A new series of civil wars broke out following Caesar's

assassination, and the constitutional government of the Republic
was never restored. Caesar's adopted heir, Octavian, later known as
Augustus, rose to sole power, and the era of the Roman Empire
began.
8 .4.2: Founding of the Roman Empire

Augustus rose to power after Julius Caesar's assassination, through
a series of political and military maneuvers, eventually establishing
himself as the first emperor of Rome.
Learning Objective
Explain the key features of Augustus's reign and the reasons for its
successes
Key Points
Following the assassination of his maternal great-uncle Julius
Caesar in 44 BCE, Caesar's will named Octavian as his adopted
son and heir when Octavian was only 19 years old.
By ingratiating himself with his father's legions, Octavian was
able to fulfill the military demands of the Roman Senate. He
quickly gained both power and prestige and formed the Second
Triumvirate with Antony and Lepidus in 43 BCE.
By 31 BCE, Octavian had emerged as the sole ruler of Rome,
upon the political and military defeat of the two other triumvirs.
Key Terms
Mark Antony
Julius Caesar's right hand man, and a member of the Second

Triumvirate. He was eventually defeated by Octavian at the
Battle of Actium in 31 BCE.
Augustus
The founder of the Roman Empire, known as Octavian during

his early years and during his rise to power.
Augustus is regarded by many scholars as the founder and first

emperor of the Roman Empire. He ruled from 27 BCE until his death
in 14 CE.
Rise to Power
Augustus was born Gaius Octavius, and in his early years was
known as Octavian. He was from an old and wealthy equestrian
branch of the plebeian Octavii family. Following the assassination of
his maternal great-uncle, Julius Caesar, in 44 BCE, Caesar's will
named Octavian as his adopted son and heir when Octavian was
only 19 years old. The young Octavian quickly took advantage of the
situation and ingratiated himself with both the Roman people and his
adoptive father's legions, thereby elevating his status and
importance within Rome. Octavian found Mark Antony, Julius
Caesar's former colleague and the current consul of Rome, in an
uneasy truce with Caesar’s assassins, who had been granted
general amnesty for their part in the plot. Nonetheless, Antony
eventually succeeded in driving most of them out of Rome, using
Caesar’s eulogy as an opportunity to mount public opinion against
the assassins.
Mark Antony began amassing political support, and Octavian set

about rivaling it. Eventually, many Caesarian sympathizers began to
view Octavian as the lesser evil of the two. Octavian allied himself
with optimate factions, despite their opposition to Caesar when he
was alive. The optimate orator, Marcus Tullius Cicero, began
attacking Antony in a series of speeches, portraying him as a threat
to the republican order of Rome. As public opinion against him
mounted, Antony fled to Cisalpine Gaul at the end of his consular
year.
Octavian further established himself both politically and militarily in

the following months. He was declared a senator and granted the
power of military command, imperium, in 43 BCE, and was further
able to leverage his successes to obtain the vacant consulships left
by the two defeated consuls of that year.
Octavian eventually reached an uneasy truce with Mark Antony and

Marcus Lepidus in October 43 BCE, and together, the three formed
the Second Triumvirate to defeat the assassins of Caesar. Following
their victory against Brutus at Phillipi, the Triumvirate divided the
Roman Republic among themselves and ruled as military dictators.
Relations within the Triumvirate were strained as the various
members sought greater political power. Civil war between Antony
and Octavian was averted in 40 BCE, when Antony married
Octavian's sister, Octavia Minor. Despite his marriage, Antony
continued a love affair with Cleopatra, the former lover of Caesar
and queen of Egypt, further straining political ties to Rome. Octavian
used Antony's relationship with Cleopatra to his own advantage,
portraying Antony as less committed to Rome. With Lepidus expelled
in 36 BCE, the Triumvirate finally disintegrated in the year 33. Finally,
disagreements between Octavian and Antony erupted into civil war
in the year 31 BCE.
The Roman Senate, at Octavian's direction, declared war on

Cleopatra's regime in Egypt and proclaimed Antony a traitor. Antony
was defeated by Octavian at the naval Battle of Actium the same
year. Defeated, Antony fled with Cleopatra to Alexandria where they
both committed suicide. With Antony dead, Octavian was left as the
undisputed master of the Roman world. Octavian would assume the
title Augustus, and reign as the first Roman Emperor.
Augustus of Prima Porta
The statue of Augustus of Prima Porta is perhaps one of the best
known images of the Emperor Augustus. It portrays the emperor as
perpetually youthful, and depicts many of the key propaganda
messages that Augustus put forth during his time as emperor.
8 .4.3: The Pax Romana

The Pax Romana, which began under Augustus, was a 200-year
period of peace in which Rome experienced minimal expansion by
military forces.
Learning Objective
Describe the key reasons for and characteristics of the Pax Romana
Key Points
The Pax Romana was established under Augustus, and for that
reason it is sometimes referred to as the Pax Augusta.
Augustus closed the Gates of Janus three times to signify the
onset of peace: in 29 BCE, 25 BCE, and 13 BCE, likely in
conjunction with the Ara Pacis ceremony.
The Romans regarded peace not as an absence of war, but as
the rare situation that existed when all opponents had been
beaten down and lost the ability to resist. Thus, Augustus had to
persuade Romans that the prosperity they could achieve in the
absence of warfare was better for the Empire than the potential
wealth and honor acquired when fighting a risky war.
The Ara Pacis is a prime example of the propaganda Augustus
employed to promote the Pax Romana, and depicts images of
Roman gods and the city of Rome personified amidst wealth
and prosperity.
Key Terms
Pax Romana
The long period of relative peace and minimal expansion by

military force experienced by the Roman Empire in the 1st and
2nd centuries CE. Also sometimes known as the Pax Augusta.
Ara Pacis Augustae
The Altar of Augustan Peace, a sacrificial altar that displays

imagery of the peace and prosperity Augustus achieved during
the Pax Romana.
Augustus's Constitutional
Reforms
After the demise of the Second Triumvirate, Augustus restored the
outward facade of the free Republic with governmental power vested
in the Roman Senate, the executive magistrates, and the legislative
assemblies. In reality, however, he retained his autocratic power over
the Republic as a military dictator. By law, Augustus held powers
granted to him for life by the Senate, including supreme military
command and those of tribune and censor. It took several years for
Augustus to develop the framework within which a formally
republican state could be led under his sole rule.
Augustus passed a series of laws between the years 30 and 2 BCE

that transformed the constitution of the Roman Republic into the
constitution of the Roman Empire. During this time, Augustus
reformed the Roman system of taxation, developed networks of
roads with an official courier system, established a standing army,
established the Praetorian Guard, created official police and fire-
fighting services for Rome, and rebuilt much of the city during his
reign.
First Settlement
During the First Settlement, Augustus modified the Roman political
system to make it more palatable to the senatorial classes,
eschewing the open authoritarianism exhibited by Julius Caesar and
Mark Anthony. In 28 BCE, in a calculated move, Augustus
eradicated the emergency powers he held as dictator and returned
all powers and provinces to the Senate and the Roman people.
Members of the Senate were unhappy with this prospect, and in
order to appease them, Augustus agreed to a ten-year extension of
responsibilities over disorderly provinces. As a result of this,
Augustus retained imperium over the provinces where the majority of
Rome’s soldiers were stationed. Augustus also rejected monarchical
titles, instead calling himself princeps civitatis ("First Citizen"). The
resulting constitutional framework became known as the Principate,
the first phase of the Roman Empire.
At this time, Augustus was given honorifics that made his full name
I mperator Caesar divi filius Augustus. I mperator stressed military
power and victory and emphasized his role as commander-in-chief.
Divi filius roughly translates to "son of the divine," enhancing his
legitimacy as ruler without deifying him completely. The use of
Caesar provided a link between himself and Julius Caesar, who was
still very popular among lower classes. Finally, the name Augustus
raised associations to Rome’s illustrious and majestic traditions,
without creating heavy authoritarian overtones.
By the end of the first settlement, Augustus was in an ideal political

position. Although he no longer held dictatorial powers, he had
created an identity of such influence that authority followed naturally.
Second Settlement
In the wake of Augustus’s poor health, a second settlement was
announced in 23 BCE. During this time, Augustus outwardly
appeared to rein in his constitutional powers, but really continued to
extend his dominion throughout the Empire. Augustus renounced his
ten-year consulship, but in return, secured the following concessions
for himself.
A seat on the consuls’s platform at the front of the Curia

The right to speak first in a Senate meeting, or ius primae
relationis
The right to summon a meeting of the Senate, which was a
useful tool for policy making
Care of Rome’s grain supply, or cura annonae, which gave him
sweeping patronage powers over the plebs
Augustus was also granted the role of tribunicia potestas, which
enabled him to act as the guardian of the citizens of Rome. This
position came with a number of benefits, including the right to
propose laws to the Senate whenever he wanted, veto power of
laws, and the ability to grant amnesty to any citizen accused of a
crime. Though the role of tribunicia potestas effectively gave
Augustus legislative supremacy, it also had many positive
connotations hearkening back to the Republic, making Augustus’s
position less offensive to the aristocracy. Beyond Rome, Augustus
was granted maius imperium, meaning greater (proconsular) power.
This position enabled him to effectively override the orders of any
other provincial governor in the Roman Empire, in addition to
governing his own provinces and armies.
Augustus and the Pax Romana

The Pax Romana (Latin for "Roman peace") was a long period of
relative peace and minimal expansion by military forces experienced
by the Roman Empire in the 1st and 2nd centuries CE. Since this
period was initiated during Augustus's reign, it is sometimes called
Pax Augusta. Its span was approximately 206 years (27 BCE to 180
CE).
The Pax Romana started after Augustus, then Octavian, met and
defeated Mark Antony in the Battle of Actium in 31 BCE. Augustus
created a junta of the greatest military magnates and gave himself
the titular honor. By binding together these leading magnates into a
single title, he eliminated the prospect of civil war. The Pax Romana
was not immediate, despite the end of the civil war, because fighting
continued in Hispania and in the Alps. Despite continuous wars of
imperial expansion on the Empire's frontiers and one year-long civil
war over the imperial succession, the Roman world was largely free
from large-scale conflict for more than two centuries. Augustus
dramatically enlarged the Empire, annexing Egypt, Dalmatia,
Pannonia, Noricum, and Raetia, expanded possessions in Africa as
well as into Germania, and completed the conquest of Hispania.
Beyond Rome’s frontiers, he secured the Empire with a buffer region
of client states, and made peace with the troublesome Parthian
Empire through diplomacy.
Augustus closed the Gates of Janus (the set of gates to the Temple
of Janus, which was closed in times of peace and opened in times of
war) three times. The first time was in 29 BCE and the second in 25
BCE. The third closure is undocumented, but scholars have
persuasively dated the event to 13 BCE during the Ara Pacis
ceremony, which was held after Augustus and Agrippa jointly
returned from pacifying the provinces.
Augustus faced some trouble making peace an acceptable mode of

life for the Romans, who had been at war with one power or another
continuously for 200 years prior to this period. The Romans regarded
peace not as an absence of war, but the rare situation that existed
when all opponents had been beaten down and lost the ability to
resist. Augustus's challenge was to persuade Romans that the
prosperity they could achieve in the absence of war was better for
the Empire than the potential wealth and honor acquired from
fighting. Augustus succeeded by means of skillful propaganda.
Subsequent emperors followed his lead, sometimes producing lavish
ceremonies to close the Gates of Janus, issuing coins with Pax on
the reverse, and patronizing literature extolling the benefits of the
Pax Romana.
The Ara Pacis Augustae

The Ara Pacis Augustae, or Altar of Augustan Peace, is one of the
best examples of Augustan artistic propaganda and the prime
symbol of the new Pax Romana. It was commissioned by the Senate
in 13 BCE to honor the peace and bounty established by Augustus
following his return from Spain and Gaul. The theme of peace is
seen most notably in the east and west walls of the Ara Pacis, each
of which had two panels, although only small fragments remain for
one panel on each side. On the east side sits an unidentified
goddess presumed by scholars to be Tellus, V enus, or Peace within
an allegorical scene of prosperity and fertility. Twins sit on her lap
along with a cornucopia of fruits. Personifications of the wind and
sea surround her, each riding on a bird or a sea monster. Beneath
the women rests a bull and lamb, both sacrificial animals, and
flowering plants fill the empty space. The nearly incomplete second
eastern panel appears to depict a female warrior, possibly Roma,
amid the spoils of conquest.
The Tellus Mater Panel of the Ara

Pacis
The eastern wall of the Ara Pacis, which depicts the Tellus Mater
surrounded by symbols of fertility and prosperity.
Augustus died in 14 CE at the age of 75. He may have died from

natural causes, although unconfirmed rumors swirled that his wife
Livia poisoned him. His adopted son (also stepson and former son-
in-law), Tiberius, succeeded him to the throne.
8 .4.4: The J ulio-Claudian Emperors

The Julio-Claudian emperors expanded the boundaries of the
Roman Empire and engaged in ambitious construction projects.
However, they were met with mixed public reception due to their
unique ruling methods.
Learning Objective
Describe the reigns of the emperors who followed Augustus
Key Points
Tiberius was the second emperor of the Roman Empire, and
was considered one of Rome’s greatest generals.
Tiberius conquered Pannonia, Dalmatia, Raetia, and
temporarily, parts of Germania. His conquests laid the
foundations for the northern frontier.
When Tiberius died on March 16, 37 CE, his estate and titles
were left to Caligula and Tiberius’s grandson, Gemellus.
However, Caligula’s first act as Princeps was to to void
Tiberius’s will and have Gemellus executed.
Although Caligula is described as a noble and moderate ruler
during the first six months of his reign, sources portray him as a
cruel and sadistic tyrant, immediately thereafter.
In 38 CE, Caligula focused his attention on political and public
reform; however, by 39 CE, a financial crisis had emerged as a
result of Caligula’s use of political payments, which had
overextended the state’s treasury. Despite financial difficulties,
Caligula began a number of construction projects during this
time.
In 41 CE, Caligula was assassinated as part of a conspiracy by
officers of the Paretorian Guard, senators, and courtiers.
Claudius, the fourth emperor of the Roman Empire, was the first
Roman Emperor to be born outside of Italy.
Despite his lack of experience, Claudius was an able and
efficient administrator, as well as an ambitious builder. He
constructed many roads, aqueducts, and canals across the
Empire.
Claudius’s appointment as emperor by the Praetorian Guard
damaged his reputation. This was amplified when Claudius
became the first emperor to resort to bribery as a means to
secure army loyalty. Claudius also rewarded the Praetorian
Guard that had named him emperor with 15,000 sesterces.
Key Terms
Julio-Claudian dynasty
The first five Roman emperors who ruled the Roman Empire,
including Augustus, Tiberius, Caligula, Claudius, and Nero.
Praetorian Guard
A force of bodyguards used by the Roman emperors. They also

served as secret police, and participated in wars.
Tiberius
Tiberius was the second emperor of the Roman Empire and reigned
from 14 to 37 CE. The previous emperor, Augustus, was his
stepfather; this officially made him a Julian. However, his biological
father was Tiberius Claudius Nero, making him a Claudian by birth.
Subsequent emperors would continue the blended dynasty of both
families for the next 30 years, leading historians to name it the Julio-
Claudian Dynasty. Tiberius is also the grand-uncle of Caligula, his
successor, the paternal uncle of Claudius, and the great-grand uncle
of Nero.
Tiberius is considered one of Rome’s greatest generals. During his

reign, he conquered Pannonia, Dalmatia, Raetia, and temporarily,
parts of Germania. His conquests laid the foundations for the
northern frontier. However, he was known by contemporaries to be
dark, reclusive, and somber—a ruler who never really wanted to be
emperor. The tone was set early in his reign when the Senate
convened to validate his position as Princeps. During the
proceedings, Tiberius attempted to play the part of the reluctant
public servant, but came across as derisive and obstructive. His
direct orders appeared vague, inspiring more debate than action and
leaving the Senate to act on its own. After the death of Tiberius’s son
in 23 CE, the emperor became even more reclusive, leaving the
administration largely in the hands of his unscrupulous Praetorian
Prefects.
Tiberius
Tiberius, Romisch-Germanisches Museum, Cologne
Bust of Tiberius
Caligula
When Tiberius died on March 16, 37 CE, his estate and titles were
left to Caligula and Tiberius’s grandson, Gemellus, with the intention
that they would rule as joint heirs. However, Caligula’s first act as
Princeps was to to void Tiberius’s will and have Gemellus executed.
When Tiberius died, he had not been well liked. Caligula, on the
other hand, was almost universally heralded upon his assumption of
the throne. There are few surviving sources on Caligula’s reign.
Caligula’s first acts as emperor were generous in spirit, but political
in nature. He granted bonuses to the military, including the
Praetorian Guard, city troops, and the army outside of Italy. He
destroyed Tiberius’s treason papers and declared that treason trials
would no longer continue as a practice, even going so far as to recall
those who had already been sent into exile for treason. He also
helped those who had been adversely affected by the imperial tax
system, banished certain sexual deviants, and put on large public
spectacles, such as gladiatorial games, for the common people.
Although he is described as a noble and moderate ruler during the

first six months of his reign, sources portray him as a cruel and
sadistic tyrant immediately thereafter. The transitional point seems to
center around an illness Caligula experienced in October of 37 CE. It
is unclear whether the incident was merely an illness, or if Caligula
had been poisoned. Either way, following the incident, the young
emperor began dealing with what he considered to be serious
threats, by killing or exiling those who were close to him. During the
remainder of his reign, he worked to increase the personal power of
the emperor during his short reign, and devoted much of his
attention to ambitious construction projects and luxurious dwellings
for himself.
In 38 CE, Caligula focused his attention on political and public

reform. He published the accounts of public funds, which had not
been done under Tiberius’s reign, provided aid to those who lost
property in fires, and abolished certain taxes. He also allowed new
members into the equestrian and senatorial orders. Perhaps most
significantly, he restored the practice of democratic elections, which
delighted much of the public but was a cause for concern among the
aristocracy.
By 39 CE, a financial crisis had emerged as a result of Caligula’s use

of political payments, which had overextended the state’s treasury. In
order to to restock the treasury, Caligula began falsely accusing,
fining, and even killing individuals in order to seize their estates. He
also asked the public to lend the state money, and raised taxes on
lawsuits, weddings, and prostitution, as well as auctioning the lives
of gladiators at shows. Wills that left items to Tiberius were also
reinterpreted as having left said items to Caligula. Centurions who
had acquired property by plunder were also forced to turn over their
spoils to the state, and highway commissioners were accused of
incompetence and embezzlement and forced to repay money that
they might not have taken in the first place. Around the same time, a
brief famine occurred, possibly as a result of the financial crisis,
though its causes remain unclear.
Despite financial difficulties, Caligula began a number of construction

projects during this time. He initiated the construction of two
aqueducts in Rome, Awua Claudia and Anio Novus, which were
considered contemporary engineering marvels. In 39 CE, he ordered
the construction of a temporary floating bridge between the resort of
Baiae and the port of Puteoli, which rivaled the bridge Persian king
X erxes had constructed across the Hellespont. Caligula had two
large ships constructed for himself that were among the largest
constructed in the ancient world. The larger of the two was
essentially an elaborate floating palace with marble floors and
plumbing. He also improved the harbors at Rhegium and Sicily,
which allowed for increased grain imports from Egypt, possibly in
response to the famine Rome experienced.
During his reign, the Empire annexed the Kingdom of Mauretania as

a province. Mauretania had previously been a client kingdom ruled
by Ptolemy of Mauretania. Details on how and why Mauretania was
ultimately annexed remain unclear. Ptolemy was had been invited to
Rome by Caligula and suddenly executed in what was seemingly a
personal political move, rather than a calculated response to military
of economic needs. However, Roman possession of Mauretania
ultimately proved to be a boon to the territory, as the subsequent
rebellion of Tacfarinas demonstrated how exposed the African
Proconsularis was on its western borders. There also was a northern
campaign to Britannia that was aborted during Caligula’s reign,
though there is not a cohesive narrative of the event.
In 39 CE, relations between Caligula and the Senate deteriorated.

Caligula ordered a new set of treason investigations and trials,
replacing the consul and putting a number of senators to death.
Many other senators were reportedly treated in a degrading fashion
and humiliated by Caligula. In 41 CE, Caligula was assassinated as
part of a conspiracy by officers of the Praetorian Guard, senators,
and courtiers. The conspirators used the assassination as an
opportunity to re-institute the Republic, but were ultimately
unsuccessful.
Caligula
Emperor Caligula, Ny Carlsberg Glyptotek.
Bust of Caligula
Claudius
Claudius, the fourth emperor of the Roman Empire, was the first
Roman Emperor to be born outside of Italy. He was afflicted with a
limp and slight deafness, which caused his family to ostracize him
and exclude him from public office until he shared the consulship
with his nephew, Caligula, in 37 CE. Due to Claudius’s afflictions, it is
likely he was spared from the many purges of Tiberius and Caligula’s
reigns. As a result, Claudius was declared Emperor by the
Praetorian Guard after Caligula’s assassination, due to his position
as the last man in the Julio-Claudian line.
Despite his lack of experience, Claudius was an able and efficient

administrator, as well as an ambitious builder; he constructed many
roads, aqueducts, and canals across the Empire. His reign also saw
the beginning of the conquest of Britain. Additionally, Claudius
presided over many public trials, and issued up to 20 edicts a day.
However, in spite of his capable rule, Claudius continued to be
viewed as vulnerable by the Roman nobility throughout his reign,
forcing Claudius to constantly defend his position. He did so by
emphasizing his place within the Julio-Claudian family, dropping the
cognomen, Nero, from his name, and replacing it with Caesar.
Nonetheless, his appointment as emperor by the Praetorian Guard

caused damage to his reputation, and this was amplified when
Claudius became the first emperor to resort to bribery as a means to
secure army loyalty. Claudius also rewarded the Praetorian Guard
that had named him emperor with 15,000 sesterces.
Claudius
Bust of Emperor Claudius.
8 .4.5 : The Last J ulio-Claudian

Emperors
Nero’s consolidation of personal power led to rebellion, civil war, and
a year-long period of upheaval, during which four separate emperors
ruled Rome.
Learning Objective
Explain how Nero and other factors contributed to the fall of the
Julio-Claudian Dynasty
Key Points
Nero reigned as Roman Emperor from 54 to 68 CE, and was the
last emperor in the Julio-Claudian Dynasty.
V ery early in Nero’s rule, problems arose, due to his mother,
Agrippina the Younger’s competition for influence with Nero’s
two main advisers, Seneca and Burrus.
Nero minimized the influence of all of his advisers and
effectively eliminating all rivals to his throne. He also slowly
removed power from the Senate, despite having promised to
grant them with powers equivalent to those they had under
republican rule.
In March 68, Gaius Gulius V index, the governor of Gallia
Lugdunensis, rebelled against Nero’s tax policies and called
upon the support of Servius Sulpicius Galba, the governor of
Hispania Tarraconensis, who not only joined the rebellion, but
also declared himself emperor in opposition to Nero. Galba
would become the first emperor in what was known as the Year
of the Four Emperors.
V espasian was the fourth and final emperor to rule in the year
69 CE, and established the stable Flavian Dynasty, that was to
succeed the Julio-Claudians.
Key Terms
Praetorian Guard
A force of bodyguards used by the Roman emperors. They also

served as secret police and participated in wars.
Julio-Claudian dynasty
The first five Roman emperors who ruled the Roman Empire,
including Augustus, Tiberius, Caligula, Claudius, and Nero.
Flavian dynasty
A Roman imperial dynasty that ruled the Roman Empire from 69

to 96 CE, encompassing the reigns of V espasian and his two
sons, Titus and Domitian.
Nero
Nero reigned as Roman Emperor from 54 to 68 CE, and was the last
emperor in the Julio-Claudian Dynasty. Nero focused on diplomacy,
trade, and enhancing the cultural life of the Empire during his rule.
He ordered theaters to be built and promoted athletic games.
However, according to Tacitus, a historian writing one generation
after Nero’s rule, Nero was viewed by many Romans as compulsive
and corrupt. Suetonius, another historian writing a generation after
Nero’s rule, claims that Nero began the Great Fire of Rome in 64
CE, in order to clear land for a palatial complex he was planning.
Nero
A marble bust of Nero, at the Antiquarium of the Palatine.
Early Rule
When Claudius died in 54, Nero was established as the new
emperor. According to some ancient historians, Agrippina the
Younger, Nero’s mother, poisoned Claudius in order to make Nero
the youngest Roman emperor (at the age of 17). V ery early in Nero’s
rule, problems arose due to Agrippina’s competition for influence
with Nero’s two main advisers, Seneca and Burrus. For example, in
the year 54, Agrippina caused a scandal by attempting to sit with
Nero while he met with the Armenian envoy, an unheard of act, since
women were not permitted to be in the same room as men while
official business was being conducted. The next year, Agrippina
attempted to intervene on behalf of Nero’s wife, Octavia, with whom
Nero was dissatisfied and cheating on with a former slave. With the
help of his adviser, Seneca, Nero managed to resist his mother’s
interference yet again.
Sensing his resistance to her influence, Agrippina began pushing for

Britannicus, Nero’s stepbrother, to become emperor. Britannicus was
still shy of 14 years old, and legally still a minor, but because he was
the son of the previous emperor, Claudius, by blood, Agrippina held
hope that he would be accepted as the true heir to the throne. Her
efforts were thwarted, however, when Britannicus mysteriously died
one day short of becoming a legal adult. Many ancient historians
claim that Britannicus was poisoned by his stepbrother, Nero. Shortly
thereafter, Agrippina was ordered out of the imperial residence.
Consolidation of Power
Over time, Nero began minimizing the influence of all advisers and
effectively eliminating all rivals to his throne. Even Seneca and
Burrus were accused of conspiring against, and embezzling from the
emperor; they were eventually acquitted, reducing their roles from
careful management of the government to mere moderation of
Nero’s actions on the throne. In 58 CE, Nero became romantically
involved with Poppaea Sabina, the wife of his friend and future
emperor, Otho. Because divorcing his current wife and marrying
Poppaea did not seem politically feasible with his mother still alive,
Nero ordered Agrippina’s murder the following year.
Nero’s consolidation of power included a slow usurpation of authority

from the Senate. Although he had promised the Senate powers
equivalent to those it had under republican rule, over the course of
the first decade of Nero’s rule, the Senate was divested of all its
authority, which led directly to the Pisonian Conspiracy of 65. Gaius
Calpurnius Piso, a Roman statesman, organized the conspiracy
against Nero with the help of Subrius Flavus, a tribune, and Sulpicius
Asper, a centurion of the Praetorian Guard, in order to restore the
Republic and wrest power from the emperor. However, the
conspiracy failed when it was discovered by a freedman, who
reported the details to Nero’s secretary. This led to the execution of
all conspirators. Seneca was also ordered to commit suicide after he
admitted to having prior knowledge of the plot.
V index and Galba’ s Revolt

In March 68, Gaius Gulius V index, the governor of Gallia
Lugdunensis, rebelled against Nero’s tax policies and called upon
the support of Servius Sulpicius Galba, the governor of Hispania
Tarraconensis, who not only joined the rebellion, but also declared
himself emperor in opposition to Nero. Two months later, V index’s
forces were defeated at the Battle of V esontio, and V index
committed suicide. The legions that defeated V index then attempted
to proclaim their own commander, V erginius, as emperor, but
V erginius refused to act against Nero. Meanwhile, public support for
Galba grew despite his being officially declared a public enemy. In
response, Nero began to flee Rome only to turn back when the army
officers that were with him refused to obey his commands. When
Nero returned, he received word that the Senate had declared him a
public enemy and intended to beat him to death—although in
actuality, the Senate remained open to mediating an end to the
conflict, and many senators felt a sense of loyalty to Nero, even if
only on account of him being the last of the Julio-Claudian line.
However, Nero was unaware of this and convinced his private
secretary to help him take his own life.
Y ear of the Four Emperors

The suicide of Emperor Nero was followed by a brief period of civil
war. Then, between June 68 and December 69, four emperors ruled
in succession: Galba, Otho, V itellius, and V espasian.
Galba was recognized as emperor following Nero’s suicide, but he
did not remain popular for long. On his march to Rome, he either
destroyed or took enormous fines from towns that did not accept him
immediately. Once in Rome, Galba made many of Nero’s reforms
redundant, including ones that benefited important people within
Roman society. Galba executed many senators and equites without
trial, in a paranoid attempt to consolidate his power, which unsettled
many, including the Praetorian Guard. Finally, the legions of
Germania Inferior refused to swear allegiance and obedience to
Galba, instead proclaiming the governor V itellius as emperor.
This caused Galba to panic and name Lucius Calpurnius Piso

Licinianus, a young senator, as his successor. This upset many
people, but especially Marcus Salvius Otho, who had coveted after
the title for himself. Otho bribed the Praetorian Guard to support him
and embarked upon a coup d’etat, during which Galba was killed by
the Praetorians. Otho was recognized as emperor by the Senate the
same day and was expected by many to be a fair ruler.
Unfortunately, soon thereafter, V itellius declared himself Imperator in
Germania, and dispatched half his army to march on Italy.
Otho attempted to broker a peace, but V itellius was uninterested,

especially because his legions were some of the finest in the empire,
which gave him a great advantage over Otho. Indeed, Otho was
eventually defeated at the Battle of Bedriacum, and rather than flee
and attempt a counterattack, Otho committed suicide. He had been
emperor for little more than three months. V itellius was recognized
as emperor by the Senate. V ery quickly thereafter, he proceeded to
bankrupt the imperial treasury by throwing a series of feasts,
banquets, and triumphal parades. He tortured and executed money
lenders who demanded payment and killed any citizens who named
him as their heir. He also lured many political rivals to his palace in
order to assassinate them.
Meanwhile, many of the legions in the African province of Egypt, and

the Middle East provinces of Iudaea and Syria, including the
governor of Syria, acclaimed V espasian as their emperor. A force
marched from the Middle East to Rome, and V espasian traveled to
Alexandria, where he was officially named Emperor. From there,
V espasian invaded Italy and won a crushing victory over V itellius’s
army at the Second Battle of Bedriacum. V itellius was found by
V espasian’s men at the imperial palace and put to death. The
Senate acknowledged V espasian as emperor the next day, marking
the beginning of the Flavian Dynasty, which was to succeed the
Julio-Claudian line. V espasian remained emperor for the rest of his
natural life.
V espasian
A plaster cast of V espasian in the Pushkin Museum, after an original
held in the Louvre.
Attributions
Julius Caesar
"Pompey." http://en.wikipedia.org/wiki/Pompey. Wikipedia
CC BY-SA.
"Julius Caesar." http://en.wikipedia.org/wiki/Julius_Caesar.
Wikipedia CC BY-SA.
"Gaius Julius Caesar (100-44 BC)."
http://en.wikipedia.org/wiki/Julius_Caesar%23mediaviewer/
File:Gaius_Julius_Caesar_(100-44_BC).JPG. Wikipedia
Public domain.
Founding of the Roman Empire
"Mark Antony." http://en.wikipedia.org/wiki/Mark_Antony.
Wikipedia CC BY-SA.
"Augustus." http://en.wikipedia.org/wiki/Augustus. Wikipedia
CC BY-SA.
"Statue-Augustus."
http://en.wikipedia.org/wiki/Augustus%23mediaviewer/File:
Statue-Augustus.jpg. Wikipedia CC BY-SA 3.0.
The Pax Romana
"Constitutional reforms of Augustus."
https://en.wikipedia.org/wiki/Constitutional_reforms_of_Aug
ustus. Wikipedia CC BY-SA 3.0.
"Pax Romana." http://en.wiktionary.org/wiki/Pax_Romana.
"Ara Pacis." http://en.wikipedia.org/wiki/Ara_Pacis.
Wikipedia CC BY-SA.
"Ara Pacis Panel Tellus Mater."
http://commons.wikimedia.org/wiki/File:AraPacisReliefTellus
Mater.JPG. Wikimedia Commons GNU FDL.
The Julio-Claudian Emperors
"Caligula." https://en.wikipedia.org/wiki/Caligula. Wikipedia
CC BY-SA 3.0.
"Tiberius." https://en.wikipedia.org/wiki/Tiberius. Wikipedia
CC BY-SA 3.0.
"Praetorian Guard."
https://en.wikipedia.org/wiki/Praetorian_Guard. Wikipedia
CC BY-SA 3.0.
"Julio-Claudian Dynasty." https://en.wikipedia.org/wiki/Julio-
Claudian_dynasty. Wikipedia CC BY-SA 3.0.
"Claudius." https://en.wikipedia.org/wiki/Claudius. Wikipedia
CC BY-SA 3.0.
"Tiberius,_Romisch-
Germanisches_Museum,_Cologne_(8115606671).jpg."
https://commons.wikimedia.org/wiki/File:Tiberius,_Romisch-
Germanisches_Museum,_Cologne_(8115606671).jpg.
"454px-Claudius_crop.jpg."
https://commons.wikimedia.org/wiki/File:Claudius_crop.jpg.
"438px-Gaius_Caesar_Caligula.jpg."
https://commons.wikimedia.org/wiki/File:Gaius_Caesar_Cali
gula.jpg. Wikimedia CC BY-SA 3.0.
The Last Julio-Claudian Emperors
"Year of the Four Emperors."
https://en.wikipedia.org/wiki/Year_of_the_Four_Emperors.
"Nero." https://en.wikipedia.org/wiki/Nero. Wikipedia CC BY-
SA 3.0.
"Flavian dynasty."
https://en.wikipedia.org/wiki/Flavian_dynasty. Wikipedia CC
BY-SA 3.0.
"V espasianus02_pushkin.jpg."
https://commons.wikimedia.org/wiki/File:V espasianus02_pu
shkin.jpg. Wikimedia CC BY-SA 3.0.
"Nero_Palatino_Inv618.jpg."
https://commons.wikimedia.org/wiki/File:Nero_Palatino_Inv
8 .5 : The Flavian Dynasty
8 .5 .1: The Flavian Dynasty
The Flavian Dynasty, which began under the rule of V espasian
during the Year of the Four Emperors, is known for several
significant historic, economic, and military events.
Learning Objective
Analyze how V espasian consolidated control over the empire
Key Points
V espasian, a general for the Roman army, founded the Flavian
Dynasty, which ruled the Empire for 27 years.
While V espasian besieged Jerusalem during the Jewish
rebellion, emperor Nero committed suicide and plunged Rome
into a year of civil war, known as the Year of the Four
Emperors.
After Galba and Otho perished in quick succession, V itellius
became the third emperor in April 69 CE.
The Roman legions of Roman Egypt and Judaea reacted by
declaring V espasian, their commander, emperor on July 1, 69
CE.
In his bid for imperial power, V espasian joined forces with
Mucianus, the governor of Syria, and Primus, a general in
Pannonia, leaving his son, Titus, to command the besieging
forces at Jerusalem; Primus and Mucianus led the Flavian
forces against V itellius, while V espasian took control of Egypt.
On December 20, 69, V itellius was defeated, and the following
day, V espasian was declared Emperor by the Senate.
Little information survives about the government during
V espasian's ten-year rule; he reformed the financial system at
Rome after the campaign against Judaea ended successfully,
and initiated several ambitious construction projects.
Key Terms
Colosseum
Also known as the Flavian Amphitheater, an oval amphitheater

in the center of the city of Rome, Italy, built of concrete and
sand. The largest amphitheater ever built, used for gladiatorial
contests and public spectacles, such as mock sea battles,
animal hunts, executions, re-enactments of famous battles, and
dramas based on Classical mythology.
Year of the Four Emperors
A year in the history of the Roman Empire, 69 CE, in which four

emperors ruled in succession: Galba, Otho, V itellius, and
V espasian.
Praetorian Guard
A force of bodyguards used by Roman Emperors, who also

served as secret police and participated in wars.
Overview
The Flavian Dynasty was a Roman imperial dynasty that ruled the
Roman Empire between 69 CE and 96 CE, encompassing the reigns
of V espasian (69-79 CE), and his two sons Titus (79-81 CE) and
Domitian (81-96 CE). The Flavians rose to power during the civil war
of 69, known as the Year of the Four Emperors. After Galba and
Otho died in quick succession, V itellius became emperor in mid 69
CE. His claim to the throne was quickly challenged by legions
stationed in the Eastern provinces, who declared their commander,
V espasian, emperor in his place. The Second Battle of Bedriacum
tilted the balance decisively in favor of the Flavian forces, who
entered Rome on December 20. The following day, the Roman
Senate officially declared V espasian emperor of the Roman Empire,
thus commencing the Flavian Dynasty. Although the dynasty proved
to be short-lived, several significant historic, economic, and military
events took place during their reign.
The Flavians initiated economic and cultural reforms. Under

V espasian, new taxes were devised to restore the Empire's finances,
while Domitian revalued the Roman coinage by increasing its silver
content. A massive building program was enacted to celebrate the
ascent of the Flavian Dynasty, leaving multiple enduring landmarks
in the city of Rome, the most spectacular of which was the Flavian
Amphitheater, better known as the Colosseum.
Rise to Power
On June 9, 68 CE, amidst growing opposition of the Senate and the
army, Nero committed suicide, and with him the Julio-Claudian
Dynasty came to an end. Chaos ensued, leading to a year of brutal
civil war, known as the Year of the Four Emperors, during which the
four most influential generals in the Roman Empire—Galba, Otho,
V itellius and V espasian—successively vied for imperial power. News
of Nero's death reached V espasian as he was preparing to besiege
the city of Jerusalem. Almost simultaneously the Senate had
declared Galba, then governor of Hispania Tarraconensis (modern
Spain), as Emperor of Rome. Rather than continue his campaign,
V espasian decided to await further orders and send Titus to greet
the new Emperor. Before reaching Italy however, Titus learned that
Galba had been murdered and replaced by Otho, the governor of
Lusitania (modern Portugal). At the same time, V itellius and his
armies in Germania had risen in revolt, and prepared to march on
Rome, intent on overthrowing Otho. Not wanting to risk being taken
hostage by one side or the other, Titus abandoned the journey to
Rome and rejoined his father in Judaea.
Roman Empire in 69 CE
The Roman Empire during the Year of the Four Emperors (69 CE).
Purple areas indicate provinces loyal to V espasian and Gaius
Licinius Mucianus. Green areas indicate provinces loyal to V itellius.
The map shows that Dalmatia (one of four historical regions of

Croatia), Pannonia (an ancient province of the Roman Empire
bounded north and east by the Danube, coterinumus westward with
Noricum and upper Italy, and southward with Dalmatia and upper
Moesia), Moesia (an ancient region and later Roman province
situatioed in the Balkans, along the south bank of the Danube River),
Aegyptus (the Roman province of Egypt), Iudaea (an area that
incorporated the regions of Judea, Samaria, and Idumea, and
extended over parts of the former regions of the Hasmonean and
Herodian kingdoms of Israel), and Syria were loyal to V espasian.
Otho and V itellius realized the potential threat posed by the Flavian
faction. With four legions at his disposal, V espasian commanded a
strength of nearly 80,000 soldiers. His position in Judaea further
granted him the advantage of being nearest to the vital province of
Egypt, which controlled the grain supply to Rome. His brother, Titus
Flavius Sabinus II, as city prefect, commanded the entire city
garrison of Rome. Tensions among the Flavian troops ran high, but
as long as Galba and Otho remained in power, V espasian refused to
take action. When Otho was defeated by V itellius at the First Battle
of Bedriacum however, the armies in Judaea and Egypt took matters
into their own hands, and declared V espasian emperor on July 1, 69.
V espasian accepted, and entered an alliance with Gaius Licinius
Mucianus, the governor of Syria, against V itellius. A strong force
drawn from the Judaean and Syrian legions marched on Rome
under the command of Mucianus, while V espasian himself travelled
to Alexandria, leaving Titus in charge of ending the Jewish rebellion.
Meanwhile in Rome, Domitian was placed under house arrest by

V itellius, as a safeguard against future Flavian aggression. Support
for the old emperor was waning however, as more legions
throughout the empire pledged their allegiance to V espasian. On
October 24, 69, the forces of V itellius and V espasian clashed at the
Second Battle of Bedriacum, which ended in a crushing defeat for
the armies of V itellius. In despair, he attempted to negotiate a
surrender. Terms of peace, including a voluntary abdication, were
agreed upon with Titus Flavius Sabinus II, but the soldiers of the
Praetorian Guard—the imperial bodyguard—considered such a
resignation disgraceful, and prevented V itellius from carrying out the
treaty. After several skirmishes between the factions, eventually
V itellius was killed and on December 21, the Senate proclaimed
V espasian emperor of the Roman Empire.
Although the war had officially ended, a state of anarchy and

lawlessness pervaded in the first days following the demise of
V itellius. In early 70 AD, order was properly restored by Mucianus,
who headed an interim government with Domitian as the
representative of the Flavian family in the Senate. Upon receiving
the tidings of his rival's defeat and death at Alexandria, the new
Emperor at once forwarded supplies of urgently needed grain to
Rome, along with an edict or a declaration of policy, in which he
gave assurance of an entire reversal of the laws of Nero, especially
those relating to treason. However, in early 70, V espasian was still in
Egypt, continuing to consolidate support from the Egyptians before
departing. By the end of the year, he finally returned to Rome, and
was properly installed as Emperor.
V espasian's Rule
Little factual information survives about V espasian's government
during the ten years he was Emperor. V espasian spent his first year
as a ruler in Egypt, during which the administration of the empire
was given to Mucianus, aided by V espasian's son, Domitian. Modern
historians believe that V espasian remained there, in order to
consolidate support from the Egyptians. In mid-70, V espasian first
came to Rome and immediately embarked on a widespread
propaganda campaign to consolidate his power and promote the
new dynasty. His reign is best known for financial reforms following
the demise of the Julio-Claudian Dynasty, such as the institution of
the tax on urinals, and the numerous military campaigns fought
during the 70s. The most significant of these was the First Jewish-
Roman War, which ended in the destruction of the city of Jerusalem
by Titus. In addition, V espasian faced several uprisings in Egypt,
Gaul, and Germania, and reportedly survived several conspiracies
against him. V espasian helped rebuild Rome after the civil war,
adding a temple of peace, and beginning construction of the Flavian
Amphitheater, better known as the Colosseum.
Many modern historians note the increased amount of propaganda

that appeared during V espasian's reign. Stories of a supernatural
emperor, who was destined to rule, circulated in the empire. Nearly
one-third of all coins minted in Rome under V espasian celebrated
military victory or peace. The word vindex was removed from coins
so as not to remind the public of rebellious V index. Construction
projects bore inscriptions praising V espasian and condemning
previous emperors. A temple of peace was constructed in the forum
as well. V espasian approved histories written under his reign,
ensuring biases against him were removed.
V espasian also gave financial rewards to writers. The ancient
historians who lived through the period, such as Tacitus, Suetonius,
Josephus, and Pliny the Elder, speak suspiciously well of V espasian,
while condemning the emperors who came before him. Tacitus
admits that his status was elevated by V espasian, Josephus
identifies V espasian as a patron and savior, and Pliny dedicated his
Natural Histories to V espasian's son, Titus.
Those who spoke against V espasian were punished. A number of

stoic philosophers were accused of corrupting students with
inappropriate teachings and were expelled from Rome. Helvidius
Priscus, a pro-republic philosopher, was executed for his teachings.
V espasian died of natural causes on June 23, 79, and was

immediately succeeded by his eldest son, Titus.
Bust of V espasian
V espasian founded the Flavian Dynasty, which ruled the Empire for
twenty-seven years.
A statue bust of V espasian.
8 .5 .2: Military Achievements of the

Flavians
The Flavian Dynasty's military witnessed the siege and destruction
of Jerusalem by Titus in 70 CE, and substantial conquests in Great
Britain under command of Gnaeus Julius Agricola between 77 and
83 CE.
Learning Objective
Describe some of the military achievements and challenges of the
Flavian emperors
Key Points
The most significant military campaign undertaken during the
Flavian period was the siege and destruction of Jerusalem in 70
CE by Titus; it was a response to a failed Jewish rebellion in 66.
Contemporary estimates claimed that 1,100,000 people were
killed during the siege, of which a majority were Jewish.
Substantial conquests were made in Great Britain under
command of Gnaeus Julius Agricola, between 77 and 83.
The military campaigns undertaken during Domitian's reign were
usually defensive in nature, as the Emperor rejected the idea of
expansionist warfare, and the few battles were mainly fought
with Germanic tribes, especially the Dacians.
Key Terms
Limes Germanicus
A line of frontier fortifications that bounded the ancient Roman

provinces of Germania Inferior, Germania Superior and Raetia,
dividing the Roman Empire and the unsubdued Germanic tribes,
from the years 83 to about 260 CE.
Torah
The central text of the religious Judaic tradition, often referring

specifically to the first five books of the twenty-four books of the
Tanakh.
the Forum
A a rectangular forum (plaza) surrounded by the ruins of several
important ancient government buildings at the center of the city
of Rome, originally a large marketplace.
Overview
The Flavian Dynasty's military witnessed the siege and destruction
of Jerusalem by Titus in 70 CE, following the failed Jewish rebellion
of 66. Substantial conquests were made in Great Britain under
command of Gnaeus Julius Agricola between 77 and 83, while
Domitian was unable to procure a decisive victory against King
Decebalus in the war against the Dacians. In addition, the Empire
strengthened its border defenses by expanding the fortifications
along the Limes Germanicus.
Siege of J erusalem
The most significant military campaign undertaken during the Flavian
period was the siege and destruction of Jerusalem in 70 by Titus.
The destruction of the city was the culmination of the Roman
campaign in Judaea following the Jewish uprising of 66. The Second
Temple was completely demolished, after which Titus's soldiers
proclaimed him imperator, an honorific meaning "commander," in
honor of the victory. Jerusalem was sacked and much of the
population killed or dispersed. Josephus claims that 1,100,000
people were killed during the siege, of which a majority were Jewish.
97,000 were captured and enslaved, including Simon Bar Giora and
John of Gischala. Many fled to areas around the Mediterranean.
Titus reportedly refused to accept a wreath of victory, as there is "no

merit in vanquishing people forsaken by their own God." Upon his
return to Rome in 71, Titus was awarded a triumph. Accompanied by
V espasian and Domitian, he rode into the city, enthusiastically
saluted by the Roman populace, and preceded by a lavish parade
containing treasures and captives from the war. Josephus describes
a procession with large amounts of gold and silver carried along the
route, followed by elaborate re-enactments of the war, Jewish
prisoners, and finally the treasures taken from the Temple of
Jerusalem, including the Menorah and the Torah. Leaders of the
resistance were executed in the Forum, after which the procession
closed with religious sacrifices at the Temple of Jupiter. The
triumphal Arch of Titus, which stands at one entrance to the Forum,
memorializes the victory of Titus.
Siege of J erusalem
This relief from the Arch of Titus depicts Roman soldiers carrying
treasures from the Temple of Jerusalem, including the Menorah. The
city was besieged and destroyed by Titus in 70 CE.
A stone relief showing Roman soldiers carrying treasure from the

sack of Jerusalem, including a menorah.
Conquest of Britain
The conquest of Britain continued under command of Gnaeus Julius
Agricola, who expanded the Roman Empire as far as Caledonia, or
modern day Scotland, between 77 and 84 AD. In 82, Agricola
crossed an unidentified body of water and defeated peoples
unknown to the Romans until then. He fortified the coast facing
Ireland, and Tacitus recalled that his father-in-law often claimed the
island could be conquered with a single legion and a few auxiliaries.
He had given refuge to an exiled Irish king whom he hoped he might
use as the excuse for conquest. This conquest never happened, but
some historians believe that the crossing referred to was in fact a
small-scale exploratory or punitive expedition to Ireland. The
following year, Agricola raised a fleet and pushed beyond the Forth
into Caledonia. To aid the advance, an expansive legionary fortress
was constructed at Inchtuthil. In the summer of 84, Agricola faced
the armies of the Caledonians, led by Calgacus, at the Battle of
Mons Graupius. Although the Romans inflicted heavy losses on the
Calidonians, two-thirds of their army managed to escape and hide in
the Scottish marshes and Highlands, ultimately preventing Agricola
from bringing the entire British island under his control.
Other Military Activity

The military campaigns undertaken during Domitian's reign were
usually defensive in nature, as the Emperor rejected the idea of
expansionist warfare. His most significant military contribution was
the development of the Limes Germanicus, which encompassed a
vast network of roads, forts, and watchtowers constructed along the
Rhine river to defend the Empire from the unsubdued Germanic
tribes. Nevertheless, several important wars were fought in Gaul,
against the Chatti, and across the Danube frontier against the Suebi,
the Sarmatians, and the Dacians. Led by King Decebalus, the
Dacians invaded the province of Moesia around 84 or 85, wreaking
considerable havoc and killing the Moesian governor Oppius
Sabinus. Domitian immediately launched a counteroffensive, which
resulted in the destruction of a legion during an ill-fated expedition
into Dacia. Their commander, Cornelius Fuscus, was killed, and the
battle standard of the Praetorian Guard lost.
In 87, the Romans invaded Dacia once more, this time under
command of Tettius Julianus, and finally managed to defeat
Decebalus late in 88, at the same site where Fuscus had previously
been killed. An attack on Dacia's capital was cancelled, however,
when a crisis arose on the German frontier. This forced Domitian to
sign a peace treaty with Decebalus that was severely criticized by
contemporary authors. For the remainder of Domitian's reign, Dacia
remained a relatively peaceful client kingdom, but Decebalus used
the Roman money to fortify his defenses, and continued to defy
Rome. It was not until the reign of Trajan, in 106, that a decisive
victory against Decebalus was procured. Again, the Roman army
sustained heavy losses, but Trajan succeeded in capturing
Sarmizegetusa and, importantly, annexed the gold and silver mines
of Dacia.
8 .5 .3: Eruptions of V esuvius and

Pompeii
The eruption of Mount V esuvius in 79 CE was one of the most
catastrophic volcanic eruptions in European history, with several
Roman settlements obliterated and buried, and thereby preserved,
under ash.
Learning Objective
Describe the events surrounding the Eruption of Mount V esuvius
Key Points
The eruption of Mount V esuvius in 79 CE, during the reign of
Emperor Titus, was one of the most catastrophic volcanic
eruptions in European history.
Historians have learned about the eruption from the eyewitness
account of Pliny the Younger, a Roman administrator and poet.
Mount V esuvius spewed a deadly cloud of volcanic gas, stones,
and ash to a height of 21 miles, ejecting molten rock and
pulverized pumice at the rate of 1.5 million tons per second,
ultimately releasing a hundred thousand times the thermal
energy of the Hiroshima bombing.
Several Roman settlements were obliterated and buried
underneath massive pyroclastic surges and ashfall deposits, the
most well known of which are Pompeii and Herculaneum.
The preserved remains of about 1,500 people have been found
at Pompeii and Herculaneum, but the overall death toll is still
unknown.
Key Terms
Pliny the Younger
A lawyer, author, and magistrate of Ancient Rome who

witnessed the eruption of Mount V esuvius.
pyroclastic surge
A fluidized mass of turbulent gas and rock fragments, ejected

during some volcanic eruptions.
Pompeii
An ancient Roman town-city near modern Naples, in the

Campania region of Italy, destroyed during the eruption of Mount
V esuvius.
Overview
Although his administration was marked by a relative absence of
major military or political conflicts, Titus faced a number of major
disasters during his brief reign. On August 24, 79 CE, barely two
months after his accession, Mount V esuvius erupted, resulting in the
almost complete destruction of life and property in the cities and
resort communities around the Bay of Naples. The cities of Pompeii
and Herculaneum were buried under meters of stone and lava, killing
thousands of citizens. Titus appointed two ex-consuls to organize
and coordinate the relief effort, while personally donating large
amounts of money from the imperial treasury to aid the victims of the
volcano. Additionally, he visited Pompeii once after the eruption and
again the following year.
The city was lost for nearly 1,700 years before its accidental
rediscovery in 1748. Since then, its excavation has provided an
extraordinarily detailed insight into the life of a city at the height of
the Roman Empire, frozen at the moment it was buried on August
24, 79. The Forum, the baths, many houses, and some out-of-town
villas, like the V illa of the Mysteries, remain surprisingly well
preserved. Today, it is one of the most popular tourist attractions of
Italy and a UNESCO World Heritage Site. On-going excavations
reveal new insights into the Roman history and culture.
The Eruption
Reconstructions of the eruption and its effects vary considerably in
the details but have the same overall features. The eruption lasted
for two days. The morning of the first day, August 24, was perceived
as normal by the only eyewitness to leave a surviving document,
Pliny the Younger, who at that point was staying at Misenum, on the
other side of the Bay of Naples, about 19 miles from the volcano,
which may have prevented him from noticing the early signs of the
eruption. He was not to have any opportunity, during the next two
days, to talk to people who had witnessed the eruption from Pompeii
or Herculaneum (indeed he never mentions Pompeii in his letter), so
he would not have noticed early, smaller fissures and releases of ash
and smoke on the mountain, if such had occurred earlier in the
morning.
Around 1:00 p.m., Mount V esuvius violently exploded, throwing up a

high-altitude column from which ash began to fall, blanketing the
area. Rescues and escapes occurred during this time. At some time
in the night or early the next day, August 25, pyroclastic flows in the
close vicinity of the volcano began. Lights seen on the mountain
were interpreted as fires. People as far away as Misenum fled for
their lives. The flows were rapid-moving, dense, and very hot,
knocking down wholly or partly all structures in their path,
incinerating or suffocating all population remaining there and altering
the landscape, including the coastline. These were accompanied by
additional light tremors and a mild tsunami in the Bay of Naples. By
evening of the second day the eruption was over, leaving only haze
in the atmosphere, through which the sun shone weakly.
Pliny the Younger wrote an account of the eruption:
Broad sheets of flame were lighting up many parts of V esuvius;

their light and brightness were the more vivid for the darkness of
the night... it was daylight now elsewhere in the world, but there
the darkness was darker and thicker than any night.
Casualties
In Pompeii, the eruption destroyed the city, killing its inhabitants and
burying it under tons of ash. Evidence for the destruction originally
came from a surviving letter by Pliny the Younger, who saw the
eruption from a distance and described the death of his uncle, Pliny
the Elder, an admiral of the Roman fleet, who tried to rescue citizens.
The site was lost for about 1,500 years until its initial rediscovery in
1599, and broader rediscovery almost 150 years later by Spanish
engineer Rocque Joaquin de Alcubierre in 1748. The objects that lay
beneath the city have been preserved for centuries because of the
lack of air and moisture. These artifacts provide an extraordinarily
detailed insight into the life of a city during the Pax Romana. During
the excavation, plaster was used to fill in the voids in the ash layers
that once held human bodies. This allowed archaeologists to see the
exact position the person was in when he or she died.
Pompeii's " Garden of the Fugitives"
Plaster casts of victims still in situ; many casts are in the
Archaeological Museum of Naples.
Image of the preserved remains of people killed in the eruption of

Mount V esuvius, lying on the ground.
By 2003, around 1,044 casts made from impressions of bodies in the

ash deposits had been recovered in and around Pompeii, with the
scattered bones of another 100. The remains of about 332 bodies
have been found at Herculaneum (300 in arched vaults discovered in
1980). The percentage these numbers represent of the total dead, or
the percentage of the dead to the total number at risk, remain
completely unknown.
Thirty-eight percent of the 1,044 were found in the ash fall deposits,
the majority inside buildings. These are thought to have been killed
mainly by roof collapses, with the smaller number of victims found
outside buildings probably killed by falling roof slates, or by larger
rocks thrown out by the volcano. This differs from modern
experience, since over the last four hundred years only around 4% of
victims have been killed by ash falls during explosive eruptions. The
remaining 62% of remains found at Pompeii were in the pyroclastic
surge deposits, and thus were probably killed by them. It was initially
believed that due to the state of the bodies found at Pompeii, and the
outline of clothes on the bodies, it was unlikely that high
temperatures were a significant cause. But in 2010, studies indicated
that during the fourth pyroclastic surge–the first surge to reach
Pompeii–temperatures reached 572 ° F. V olcanologist Giuseppe
Mastrolorenzo, who led the study, noted that "[ The temperature was]
enough to kill hundreds of people in a fraction of a second." In
reference as to why the bodies were frozen in suspended action, he
said, "The contorted postures are not the effects of a long agony, but
of the cadaveric spasm, a consequence of heat shock on corpses."
Ring Lady
The skeletal remains of a young woman killed by the eruption of
Mount V esuvius in 79 CE. The skeleton, unearthed from the ruins of
Herculaneum in 1982, was named the "Ring Lady" because of the
emerald and ruby rings found on the woman's left hand. Two gold
bracelets and gold earrings were also found by the woman's side.
An image of a skeleton in ash preserved after the eruption of Mount

V esuvius.
8 .5 .4: Flavian Architecture

Under the Flavian Dynasty, a massive building program was
undertaken, leaving multiple enduring landmarks in the city of Rome,
the most spectacular of which was the Flavian Amphitheater, better
known as the Colosseum.
Learning Objective
Identify some of the key structures erected by the Flavian emperors
Key Points
Perhaps the most enduring legacy of the Flavian Dynasty was
their massive building program, which not only erected new
buildings to celebrate their successes, but also renovated
buildings, statues, and monuments throughout Rome.
The most spectacular of these buildings was the Flavian
Amphitheater, better known as the Colosseum, built from the
spoils of the Siege of Jerusalem.
The Colosseum was used for gladiatorial contests and public
spectacles, such as mock sea battles, animal hunts, executions,
re-enactments of famous battles, and dramas based on
Classical mythology.
The bulk of the Flavian construction projects was carried out
during the reign of Domitian, who spent lavishly to restore and
embellish the city of Rome.
Key Terms
Apollo
One of the most important and complex of the Olympian deities,

variously recognized as a god of music, truth and prophecy,
healing, the sun and light, plague, poetry, and more.
Flavian Amphitheatre
Better known as the Colosseum, an oval amphitheater in the
center of the city of Rome, Italy; used for gladiatorial games,
among other activities.
Overview
The Flavian Dynasty is perhaps best known for its vast construction
program on the city of Rome, intended to restore the capital from the
damage it had suffered during the Great Fire of 64, and the civil war
of 69. V espasian added the temple of Peace and the temple to the
deified Claudius. In 75, a colossal statue of Apollo, begun under
Nero as a statue of himself, was finished on V espasian's orders, and
he also dedicated a stage of the theater of Marcellus. Construction of
the Flavian Amphitheater, presently better known as the Colosseum
(probably after the nearby statue), was begun in 70 CE under
V espasian, and finally completed in 80 under Titus. In addition to
providing spectacular entertainments to the Roman populace, the
building was also conceived as a gigantic triumphal monument to
commemorate the military achievements of the Flavians during the
Jewish wars. Adjacent to the amphitheater, within the precinct of
Nero's Golden House, Titus also ordered the construction of a new
public bath-house, which was to bear his name. Construction of this
building was hastily finished to coincide with the completion of the
Flavian Amphitheater.
The bulk of the Flavian construction projects was carried out during
the reign of Domitian, who spent lavishly to restore and embellish the
city of Rome. Much more than a renovation project however,
Domitian's building program was intended to be the crowning
achievement of an Empire-wide cultural renaissance. Around 50
structures were erected, restored, or completed, a number second
only to the amount erected under Augustus. Among the most
important new structures were an odeum, a stadium, and an
expansive palace on the Palatine Hill, known as the Flavian Palace,
which was designed by Domitian's master architect, Rabirius. The
most important building Domitian restored was the Temple of Jupiter
on the Capitoline Hill, which was said to have been covered with a
gilded roof. Among those he completed were the Temple of
V espasian and Titus, the Arch of Titus, and the Colosseum, to which
he added a fourth level and finished the interior seating area.
The Colosseum
The Colosseum is an oval amphitheater in the center of the city of
Rome, Italy. Built of concrete and sand, it is the largest amphitheater
ever built. The Colosseum is situated just east of the Roman Forum.
Construction began under the emperor V espasian in 72 CE, and was
completed in 80 CE under his successor and heir, Titus. Further
modifications were made during the reign of Domitian (81-96).
The Colosseum could hold, it is estimated, between 50,000 and

80,000 spectators, with an average audience of some 65,000; it was
used for gladiatorial contests and public spectacles, such as mock
sea battles (for only a short time, as the hypogeum was soon filled in
with mechanisms to support the other activities), animal hunts,
executions, re-enactments of famous battles, and dramas based on
Classical mythology.
Construction was funded by the opulent spoils taken from the Jewish
Temple after the Great Jewish Revolt in 70 CE led to the Siege of
Jerusalem. According to a reconstructed inscription found on the
site, "the emperor V espasian ordered this new amphitheater to be
erected from his general's share of the booty." Along with the spoils,
estimated 100,000 Jewish prisoners were brought back to Rome
after the war, and many contributed to the massive workforce
needed for construction. The slaves undertook manual labor, such
as working in the quarries at Tivoli where the travertine was quarried,
along with lifting and transporting the quarried stones 20 miles from
Tivoli to Rome. Along with this free source of unskilled labor, teams
of professional Roman builders, engineers, artists, painters and
decorators undertook the more specialized tasks necessary for
building the Colosseum.
The Flavian Amphitheater
The most enduring landmark of the Flavian Dynasty was the Flavian
Amphitheater, better known as the Colosseum. Its construction was
begun by V espasian, and ultimately finished by Titus and Domitian,
financed from the spoils of the destruction of the Second Jerusalem
Temple.
A photo of the Colosseum as it stands today, lit up at dusk.
8 .5 .5 : Fall of the Flavian Emperors

Domitian, the last of the Flavian emperors, was a ruthless autocrat
who had many enemies, some of whom eventually assassinated
him, giving rise to the long-lived Nerva-Antonine Dynasty.
Learning Objective
Analyze the factors that led to the fall of the Flavian Dynasty
Key Points
Flavian rule came to an end on September 18, 96, when
Domitian was assassinated and was succeeded by the longtime
Flavian supporter and advisor Marcus Cocceius Nerva, who
founded the long-lived Nerva-Antonine Dynasty.
Domitian's government exhibited totalitarian characteristics,
which caused disapproval of the Roman Senate, among others.
He dealt with several revolts during his rule, the last one being a
successful assassination.
The Senate rejoiced at the death of Domitian, and immediately
following Nerva's accession as Emperor, passed damnatio
memoriae on his memory: his coins and statues were melted,
his arches were torn down, and his name was erased from all
public records.
Key Terms
Marcus Cocceius Nerva
Succeeded Domitian as emperor the same day as his

assassination. Founded the Nerva-Antonine Dynasty.
Roman Senate
A political institution in ancient Rome, and one of the most

enduring institutions in Roman history, established in the first
days of the city. By the time of the Roman Empire,it had lost
much of its political power as well as its prestige.
damnatio memoriae
Latin for "condemnation of memory," a form of dishonor that

could be passed by the Roman Senate on traitors or others who
brought discredit to the Roman State; the intent was to erase
the malefactor from history, a task somewhat easier in ancient
times, when documentation was limited.
Flavian rule came to an end on September 18, 96, when Domitian

was assassinated. He was succeeded by the longtime Flavian
supporter and advisor, Marcus Cocceius Nerva, who founded the
long-lived Nerva-Antonine Dynasty.
Opposition to Domitian
Domitian's government exhibited totalitarian characteristics; he saw
himself as the new Augustus, an enlightened despot destined to
guide the Roman Empire into a new era of brilliance. Religious,
military, and cultural propaganda fostered a cult of personality, and
by nominating himself perpetual censor, he sought to control public
and private morals. As a consequence, Domitian was popular with
the people and army, but considered a tyrant by members of the
Roman Senate.
Since the fall of the Republic, the authority of the Roman Senate had
largely eroded under the quasi-monarchical system of government
established by Augustus, known as the Principate. The Principate
allowed the existence of a de facto dictatorial regime, while
maintaining the formal framework of the Roman Republic. Most
Emperors upheld the public facade of democracy, and in return the
Senate implicitly acknowledged the Emperor's status as a de facto
monarch.
Some rulers handled this arrangement with less subtlety than others.
Domitian was not so subtle. From the outset of his reign, he stressed
the reality of his autocracy. He disliked aristocrats and had no fear of
showing it, withdrawing every decision-making power from the
Senate, and instead relying on a small set of friends and equestrians
to control the important offices of state.
The dislike was mutual. After Domitian's assassination, the senators

of Rome rushed to the Senate house, where they immediately
passed a motion condemning his memory to oblivion. Under the
rulers of the Nervan-Antonian Dynasty, senatorial authors published
histories that elaborated on the view of Domitian as a tyrant. Modern
revisionists have instead characterized Domitian as a ruthless but
efficient autocrat, whose cultural, economic, and political program
provided the foundation of the peaceful 2nd century.
Assassination
Domitian dealt with several revolts during his rule, the last of which
was a successful plot to assassinate him. Domitian was
assassinated on September 18, 96, in a palace conspiracy
organized by court officials. A highly detailed account of the plot and
the assassination is provided by Suetonius, who alleges that
Domitian's chamberlain, Parthenius, was the chief instigator behind
the conspiracy, citing the recent execution of Domitian's secretary,
Epaphroditus, as the primary motive. The murder itself was carried
out by a freedman of Parthenius, named Maximus, and a steward of
Domitian's niece Flavia Domitilla, named Stephanus.
The precise involvement of the Praetorian Guard is less clear. At the

time, the Guard was commanded by Titus Flavius Norbanus and
Titus Petronius Secundus, and the latter was almost certainly aware
of the plot. Cassius Dio, writing nearly a hundred years after the
assassination, includes Domitia Longina among the conspirators, but
in light of her attested devotion to Domitian—even years after her
husband had died—her involvement in the plot seems highly
unlikely.
Dio further suggests that the assassination was improvised, while

Suetonius implies a well-organized conspiracy. For some days
before the attack took place, Stephanus feigned an injury so as to be
able to conceal a dagger beneath his bandages. On the day of the
assassination, the doors to the servants' quarters were locked while
Domitian's personal weapon of last resort, a sword he concealed
beneath his pillow, had been removed in advance.
Domitian and Stephanus wrestled on the ground for some time, until
the Emperor was finally overpowered and fatally stabbed by the
conspirators; Stephanus was stabbed by Domitian during the
struggle and died shortly afterward. Around noon, Domitian, just one
month short of his 45th birthday, was dead. His body was carried
away on a common bier, and unceremoniously cremated by his
nurse Phyllis, who later mingled the ashes with those of his niece
Julia, at the Flavian temple.
The End of the Flavian Dynasty

The same day as Domitian's death, the Senate proclaimed Marcus
Cocceius Nerva to be emperor. Despite his political experience, this
was a remarkable choice. Nerva was old and childless, and had
spent much of his career out of the public light, prompting both
ancient and modern authors to speculate on his involvement in
Domitian's assassination.
According to Cassius Dio, the conspirators approached Nerva as a

potential successor prior to the assassination, suggesting that he
was at least aware of the plot. He does not appear in Suetonius'
version of the events, but this may be understandable, since his
works were published under Nerva's direct descendants, Trajan and
Hadrian. To suggest the dynasty owed its accession to murder would
have been less than sensitive.
On the other hand, Nerva lacked widespread support in the Empire,

and as a known Flavian loyalist, his track record would not have
recommended him to the conspirators. The precise facts have been
obscured by history, but modern historians believe Nerva was
proclaimed emperor solely on the initiative of the Senate, within
hours after the news of the assassination broke. The decision may
have been hasty so as to avoid civil war, but neither appears to have
been involved in the conspiracy.
The Senate nonetheless rejoiced at the death of Domitian, and

immediately following Nerva's accession as Emperor, passed
damnatio memoriae on his memory: his coins and statues were
melted, his arches were torn down, and his name was erased from
all public records. Domitian and, over a century later, Publius
Septimius Geta, were the only emperors known to have officially
received a damnatio memoriae, though others may have received de
facto ones. In many instances, existing portraits of Domitian, such as
those found on the Cancelleria Reliefs, were simply recarved to fit
the likeness of Nerva, which allowed quick production of new images
and recycling of previous material. Yet the order of the Senate was
only partially executed in Rome, and wholly disregarded in most of
the provinces outside Italy.
Although Nerva's brief reign was marred by financial difficulties and

his inability to assert his authority over the Roman army (who were
still loyal to Domitian), his greatest success was his ability to ensure
a peaceful transition of power after his death, thus founding the
Nerva-Antonine Dynasty.
Domitian
Domitian as Emperor (V atican Museums), possibly recut from a
statue of Nero.
An image of a full-body statue of Domitian holding up his right hand

with a scroll.
Attributions
The Flavian Dynasty
"Dalmatia." https://en.wikipedia.org/wiki/Dalmatia. Wikipedia
CC BY-SA 3.0.
"V espasian." https://en.wikipedia.org/wiki/V espasian.
"Pannonia." https://en.wikipedia.org/wiki/Pannonia.
"Moesia." https://en.wikipedia.org/wiki/Moesia. Wikipedia
CC BY-SA 3.0.
"Flavian dynasty."
BY-SA 3.0.
"Egypt (Roman province)."
https://en.wikipedia.org/wiki/Egypt_(Roman_province).
"Judea (Roman province)."
https://en.wikipedia.org/wiki/Judea_(Roman_province).
"Roman_Empire_69.svg.png."
https://commons.wikimedia.org/wiki/File:Roman_Empire_69
.svg. Wikimedia CC BY-SA 3.0.
"440px-V espasianus01_pushkin_edit.png."
https://commons.wikimedia.org/wiki/File:V espasianus01_pu
shkin_edit.png. Wikimedia CC BY-SA 3.0.
Military Achievements of the Flavians
"Siege of Jerusalem."
https://en.wikipedia.org/wiki/Siege_of_Jerusalem_(AD_70).
"Flavian dynasty."
BY-SA 3.0.
"660px-Arch_of_Titus_Menorah.png."
https://commons.wikimedia.org/wiki/File:Arch_of_Titus_Men
orah.png. Wikimedia CC BY-SA 3.0.
Eruptions of V esuvius and Pompeii
"Eruption of Mount V esuvius."
https://en.wikipedia.org/wiki/Eruption_of_Mount_V esuvius_i
n_79. Wikipedia CC BY-SA 3.0.
"Flavian dynasty."
BY-SA 3.0.
"Pompeii." https://en.wikipedia.org/wiki/Pompeii. Wikipedia
CC BY-SA 3.0.
"Ring_Lady.JPG."
https://en.wikipedia.org/wiki/File:Ring_Lady.JPG. Wikipedia
CC BY-SA 3.0.
"Pompeii_Garden_of_the_Fugitives_02.jpg."
https://commons.wikimedia.org/wiki/File:Pompeii_Garden_o
f_the_Fugitives_02.jpg. Wikimedia GNU FDL 1.2.
Flavian Architecture
"Colosseum." https://en.wikipedia.org/wiki/Colosseum.
"Flavian dynasty."
https://en.wikipedia.org/wiki/Flavian_dynasty# Construction.
"Colosseum_in_Rome,_Italy_-_April_2007.jpg."
https://commons.wikimedia.org/wiki/File:Colosseum_in_Ro
me,_Italy_-_April_2007.jpg. Wikimedia CC BY-SA 2.5.
Fall of the Flavian Emperors
"Domitian." https://en.wikipedia.org/wiki/Domitian. Wikipedia
CC BY-SA 3.0.
"Flavian dynasty."
BY-SA 3.0.
"Domitian_statue_V atican.png."
https://commons.wikimedia.org/wiki/File:Domitian_statue_V
atican.png. Wikimedia CC BY-SA 3.0.
8 .6: Nerva-Antonine Dynasty
8 .6.1: The Nerva-Antonine Dynasty
The Golden Age of Rome was a period of prosperity that fell under
the "Five Good Emperors" of the Nerva-Antonine Dynasty: Nerva,
Trajan, Hadrian, Antoninus Pius, and Marcus Aurelius.
Learning Objective
Describe the characteristics of the Golden Age and the
achievements of the Five Good Emperors
Key Points
The first five of the six successions within the Nerva-Antonine
Dynasty were notable in that the reigning emperor adopted the
candidate of his choice to be his successor, rather than
choosing a biological heir.
Although much of his life remains obscure, Nerva was
considered a wise and moderate emperor by ancient historians.
Nerva's greatest success was his ability to ensure a peaceful
transition of power after his death, thus founding the Nerva-
Antonine Dynasty.
Trajan is remembered as a successful soldier-emperor who
presided over the greatest military expansion in Roman history,
and led the empire to attain its maximum territorial extent by the
time of his death.
Hadrian was known to be a humanist and a philhellene,
renowned for his building projects and commitment to his
military lifestyle.
Marcus Aurelius, the philosopher-emperor, enjoyed not only
military successes during his reign, but also authored a defining
Stoic tome on equanimity in the midst of conflict.
Key Terms
Marcus Aurelius
Roman Emperor from 161 to 180 CE, as well as a notable Stoic

philosopher.
Hadrian
Roman Emperor from 117 to 138 CE. Known for his grand
building projects and his philhellenism.
Trajan
Roman emperor from 98 CE until 117 CE. Officially declared by

the Senate as optimus princeps, and known for his bold
expansion of Roman borders.
Nerva-Antonine Dynasty
The Nerva-Antonine Dynasty was a dynasty of seven Roman
Emperors who ruled over the Roman Empire during a period of
prosperity from 96 CE to 192 CE. These emperors are Nerva,
Trajan, Hadrian, Antoninus Pius, Marcus Aurelius, Lucius V erus, and
Commodus.
The first five of the six successions within this dynasty were notable
in that the reigning emperor adopted the candidate of his choice to
be his successor. Under Roman law, an adoption established a bond
legally as strong as that of kinship. As such, the second through
sixth Nerva-Antonine emperors are also called Adoptive Emperors.
The importance of official adoption in Roman society has often been

considered as a conscious repudiation of the principle of dynastic
inheritance, and has been deemed as one of the factors of the
period's prosperity. However, this was not a new practice. It was
common for patrician families to adopt, and Roman emperors had
adopted heirs in the past; Emperor Augustus had adopted Tiberius,
and Emperor Claudius had adopted Nero. Julius Caesar, dictator
perpetuo and considered to be instrumental in the transition from
Republic to Empire, adopted Gaius Octavius, who would become
Augustus, Rome's first emperor. Moreover, there was a family
connection, as Trajan adopted his first cousin once removed and
great-nephew by marriage, Hadrian. Hadrian made his half-nephew
by marriage, and heir Antoninus Pius, adopt both Hadrian's second
cousin three times removed, and half-great-nephew by marriage,
Marcus Aurelius, also Antoninus' nephew by marriage, and the son
of his original planned successor, Lucius V erus. The naming by
Marcus Aurelius of his son, Commodus, was considered to be an
unfortunate choice and the beginning of the Empire's decline.
With Commodus' murder in 192, the Nerva-Antonine Dynasty came

to an end; it was followed by a period of turbulence, known as the
Year of the Five Emperors.
The Five Good Emperors

The rulers commonly known as the "Five Good Emperors" were
Nerva, Trajan, Hadrian, Antoninus Pius, and Marcus Aurelius. The
term was coined by the political philosopher, Niccolò Machiavelli, in
1503:
From the study of this history we may also learn how a good
government is to be established; for while all the emperors who
succeeded to the throne by birth, except Titus, were bad, all
were good who succeeded by adoption, as in the case of the
five from Nerva to Marcus. But as soon as the empire fell once
more to the heirs by birth, its ruin recommenced. Titus, Nerva,
Trajan, Hadrian, Antoninus, and Marcus had no need of
praetorian cohorts, or of countless legions to guard them, but
were defended by their own good lives, the good-will of their
subjects, and the attachment of the Senate.
An alternative hypothesis posits that adoptive succession is thought

to have arisen because of a lack of biological heirs. All but the last of
the adoptive emperors had no legitimate biological sons to succeed
them. They were thus obliged to pick a successor somewhere else;
as soon as the Emperor could look towards a biological son to
succeed him, adoptive succession was set aside. Nonetheless, this
period was a time of peace and prosperity.
Nerva
In 96 CE, Domitian was assassinated in a palace conspiracy
involving members of the Praetorian Guard and several of his
freedmen. On the same day, Nerva was declared emperor by the
Roman Senate. This occasion marked the first time the Senate
elected a Roman Emperor.
Nerva's brief reign was marred by financial difficulties and his

inability to assert his authority over the Roman army. A revolt by the
Praetorian Guard in October 97 essentially forced him to adopt an
heir. After some deliberation, Nerva chose Trajan, a young and
popular general, as his successor. After barely fifteen months in
office, Nerva died of natural causes in 98, and upon his death, he
was succeeded and deified by Trajan. Although much of his life
remains obscure, Nerva was considered a wise and moderate
emperor by ancient historians. Nerva's greatest success was his
ability to ensure a peaceful transition of power after his death, thus
founding the Nerva-Antonine Dynasty.
Trajan
Trajan was Roman emperor from 98 CE until his death in 117 CE.
Officially declared by the Senate as optimus princeps ("the best
ruler"), Trajan is remembered as a successful soldier-emperor who
presided over the greatest military expansion in Roman history, and
led the empire to attain its maximum territorial extent by the time of
his death. He is also known for his philanthropic rule, and oversaw
extensive public building programs and implemented social welfare
policies.
Bust of Trajan
Bust of the Emperor Trajan, who ruled from 98-117 CE.
Hadrian
Hadrian was Roman Emperor from 117 to 138 CE. Known for his
grand building projects, he re-built the Pantheon and constructed the
Temple of V enus and Roma. He is also known for building Hadrian's
Wall, which marked the northern limit of Roman Britain. During his
reign, Hadrian traveled to nearly every province of the Empire. An
ardent admirer of Greece, he sought to make Athens the cultural
capital of the empire, and created a popular cult in the name of his
Greek lover, Antinous. He spent extensive amounts of his time with
the military; he usually wore military attire and even dined and slept
amongst the soldiers.
Bust of Hadrian
Bust of the Emperor Hadrian, who ruled from 117-138 CE.
Marcus Aurelius
Hadrian was succeeded by Antoninus Pius, who was subsequently
succeeded by Marcus Aurelius, who was Roman Emperor from 161
to 180 CE. He ruled with Lucius V erus as co-emperor from 161 until
V erus' death in 169. He was the last of the Five Good Emperors and
was a practitioner of Stoicism. His untitled writing, commonly known
as the Meditations, is the most significant source of our modern
understanding of ancient Stoic philosophy.
Marcus Aurelius was an effective military commander, and Rome

enjoyed various military successes against outsiders who were
beginning to threaten the Empire. During his reign, the Empire
defeated a revitalized Parthian Empire in the East: Aurelius' general,
Avidius Cassius, sacked the capital Ctesiphon in 164. In central
Europe, Aurelius fought the Marcomanni, Quadi, and Sarmatians
with success during the Marcomannic Wars, although the threat of
the Germanic tribes began to represent a troubling reality for the
empire. A revolt in the East led by Avidius Cassius failed to gain
momentum and was suppressed immediately.
His Meditations, written in Greek while he was on a campaign

between 170 and 180, is still revered as a literary monument to a
philosophy of service and duty, which describes how to find and
preserve equanimity in the midst of conflict by following nature as a
source of guidance and inspiration.
Bust of Marcus Aurelius
Bust of Marcus Aurelius, who ruled from 161 to 180 CE.
8 .6.2: Military Successes of the Nerva-

Antonine Dynasty
The Nerva-Antonine Dynasty saw the greatest military expansion in
Roman history, leading the empire to attain its maximum territorial
extent.
Learning Objective
Examine the military efforts of the Nerva-Antonine emperors
Key Points
The second emperor in the dynasty, Trajan, is remembered as a
successful soldier-emperor who presided over the greatest
military expansion in Roman history, through the Dacian Wars.
The conclusion of the Dacian Wars marked the beginning of a
period of sustained growth and relative peace in Rome.
Despite his own great reputation as a military administrator,
Hadrian's reign was marked by a general lack of documented
major military conflicts, apart from the Second Roman–Jewish
War, and instead is marked by pacifist tendencies.
The peace policy was strengthened by the erection of
permanent fortifications along the empire's borders, the most
famous of these being the massive Hadrian's Wall in Great
Britain.
Key Terms
Dacian Wars
Two military campaigns fought between the Roman Empire and

Dacia during Roman Emperor Trajan's rule.
Hadrian's Wall
A defensive fortification in the Roman province of Britannia,

begun in 122 CE during the reign of the emperor Hadrian.
Several of the Nerva-Antonine Dynasty emperors were known for

their notable military successes.
Trajan and the Dacian W ars
After Nerva's short rule, his adoptive heir, Trajan, a popular military
leader, ruled as emperor from 98-117 CE. Officially declared by the
Senate as optimus princeps ("the best ruler"), Trajan is remembered
as a successful soldier-emperor who presided over the greatest
military expansion in Roman history, leading the empire to attain its
maximum territorial extent by the time of his death.
The Dacian Wars (101-102, 105-106) were two military campaigns

fought between the Roman Empire and Dacia during Roman
Emperor Trajan's rule. The conflicts were triggered by the constant
Dacian threat on the Danubian Roman Province of Moesia, and also
by the increasing need for resources in the economy of the Roman
Empire.
Dacia, an area north of Macedon and Greece, and east of the

Danube, had been on the Roman agenda since before the days of
Caesar, when they defeated a Roman army at the Battle of Histria. In
85 CE, the Dacians swarmed over the Danube and pillaged Moesia,
and initially defeated the army that Emperor Domitian sent against
them. The Romans were defeated in the Battle of Tapae in 88, and a
truce was established.
Emperor Trajan recommenced hostilities against Dacia and,

following an uncertain number of battles, defeated the Dacian King
Decebalus in the Second Battle of Tapae in 101. With Trajan's troops
pressing towards the Dacian capital, Sarmizegetusa Regia,
Decebalus once more sought truce terms. Decebalus rebuilt his
power over the following years and attacked Roman garrisons again
in 105. In response, Trajan again marched into Dacia, besieging the
Dacian capital in the Siege of Sarmizegetusa, and razing it. With
Dacia quelled, Trajan subsequently invaded the Parthian empire to
the east, his conquests expanding the Roman Empire to its greatest
extent. Rome's borders in the east were indirectly governed through
a system of client states for some time, leading to less direct
campaigning than in the west in this period.
The conclusion of the Dacian Wars marked a triumph for Rome and
its armies. Trajan announced 123 days of celebrations throughout
the Empire. Dacia's rich gold mines were secured, and it is
estimated that Dacia then contributed 700 million Denarii per annum
to the Roman economy, providing finance for Rome's future
campaigns, and assisting with the rapid expansion of Roman towns
throughout Europe.
The two wars were notable victories in Rome's extensive

expansionist campaigns, gaining Trajan the people's admiration and
support. The conclusion of the Dacian Wars marked the beginning of
a period of sustained growth and relative peace in Rome. Trajan
began extensive building projects and became an honorable civil
leader, improving Rome's civic infrastructure, thereby paving the way
for internal growth and reinforcement of the empire as a whole.
Dacian W ars
Fiery battle scene between the Roman and Dacian armies.
A stone relief of a battle scene between Romans and Dacians,

depicting several men with shields battling and several men dead on
the right hand side.
Hadrian and Hadrian's W all
Despite his own great reputation as a military administrator,
Hadrian's reign was marked by a general lack of documented major
military conflicts, apart from the Second Roman-Jewish War. Hadrian
had already surrendered Trajan's conquests in Mesopotamia,
considering them to be indefensible. In the East, Hadrian contented
himself with retaining suzerainty over Osroene, which was ruled by
the client king, Parthamaspates, once client king of Parthia under
Trajan.
Hadrian's abandonment of an aggressive policy was something the

Senate and its historians never forgave: the fourth century historian,
Aurelius V ictor, charged him with being jealous of Trajan's exploits
and deliberately trying to downplay their worthiness. It is more
probable that Hadrian simply considered that the financial strain to
be incurred through keeping a policy of conquests was something
the Roman Empire could not afford. Proof of this is the
disappearance during his reigns of two entire legions. Also, the
acknowledgement of the indefensible character of the Mesopotamian
conquests had perhaps already been made by Trajan himself, who
had disengaged from them at the time of his death.
The peace policy was strengthened by the erection of permanent

fortifications along the empire's borders. The most famous of these
is the massive Hadrian's Wall in Great Britain, built on stone and
doubled on its rear by a ditch (V allum Hadriani), which marked the
boundary between a strictly military zone and the province. The
Danube and Rhine borders were strengthened with a series of
mostly wooden fortifications, forts, outposts, and watchtowers, the
latter specifically improving communications and local area security.
To maintain morale and prevent the troops from becoming restive,

Hadrian established intensive drill routines, and personally inspected
the armies. Although his coins showed military images almost as
often as peaceful ones, Hadrian's policy was peace through
strength, even threat, with an emphasis on discipline, which was the
subject of two monetary series.
Hadrian's W all
Sections of Hadrian's Wall remain along the route, though much of it
has been dismantled over the years, in order to use the stones for
various nearby construction projects.
A photo of a remaining portion of Hadrian's Wall, a stone wall about

5 feet high winding along pasturelands.
8 .6.3: Art and Culture Under the

Nerva-Antonines
Emperor Hadrian, among other Nerva-Antonine emperors,
patronized the arts, held public festivals, and influenced the culture
of Rome and beyond.
Learning Objective
Describe trends in art and culture under the Nerva-Antonines
Key Points
Trajan was known for his philanthropic rule, overseeing
extensive public building programs and implementing social
welfare policies, as well as hosting major public festivals in the
Colosseum.
Emperor Hadrian had a major influence on Roman culture
through his love of Greek culture.
He patronized the arts, building and rebuilding important and
influential structures, such as Hadrian's V illa. He also introduced
Greek styles into public use, such as wearing a beard instead of
being clean-shaven.
As a cultural Hellenophile, Hadrian was familiar with the work of
the philosophers Epictetus, Heliodorus, and Favorinus, and
used their ideas to improve social welfare in Rome.
Key Terms
philhellenism
Used to describe both non-Greeks, such as Romans, who were

fond of Greek culture, and Greeks who patriotically upheld their
culture.
Hadrian's V illa
A large Roman archaeological complex at Tivoli, Italy, built by

Emperor Hadrian and based on Greek architectural styles.
Several of the Nerva-Antonine emperors are known for their support

of the arts and culture of Rome.
Trajan
Trajan was known for his philanthropic rule, overseeing extensive
public building programs and implementing social welfare policies,
which earned him his enduring reputation as the second of the Five
Good Emperors who presided over an era of peace and prosperity in
the Mediterranean world. During a period of peace after the Dacian
wars, he initiated a three-month gladiatorial festival in the great
Colosseum in Rome (the precise date is unknown). Combining
chariot racing, beast fights, and close-quarters gladiatorial
bloodshed, this gory spectacle reputedly left 11,000 dead (mostly
slaves and criminals, not to mention the thousands of wild animals
killed alongside them), and attracted a total of five million spectators
over the course of the festival. The care bestowed by Trajan on the
managing of such public spectacles led the orator Fronto to state
approvingly that Trajan had paid equal attention to entertainments as
well as to serious issues. Fronto concluded that "neglect of serious
matters can cause greater damage, but neglect of amusements
greater discontent."
Hadrian
Hadrian has been described— first in an ancient anonymous source
and later echoed by Ronald Syme, among others—as the most
versatile of all the Roman emperors. He also liked to demonstrate
knowledge of all intellectual and artistic fields. Above all, Hadrian
patronized the arts. Hadrian's V illa at Tibur was the greatest Roman
example of an Alexandrian garden, recreating a sacred landscape,
albeit lost in large part to the despoliation of the ruins by the Cardinal
d'Este, who had much of the marble removed to build V illa d'Este. In
Rome, the Pantheon, originally built by Agrippa but destroyed by fire
in 80, was rebuilt under Hadrian in the domed form it retains to this
day. It is among the best-preserved of Rome's ancient buildings, and
was highly influential to many of the great architects of the Italian
Renaissance and Baroque periods.
Hadrian's V illa
The ruins of Hadrian's V illa in their present state.
A photo of Hadrian's V illa, which includes a half-dome amphitheater

and pathways around a reflecting pool.
Another of Hadrian's contributions to popular Roman culture was the

beard, which symbolised his philhellenism; Dio of Prusa had equated
the generalized using of the beard with Hellenic ethos. Since the
time of Scipio Africanus, it had been fashionable among the Romans
to be clean-shaven. Also, all Roman emperors before Hadrian,
except for Nero (also a great admirer of Greek culture), were clean
shaven. Most of the emperors after Hadrian would be portrayed with
beards. Their beards, however, were not worn out of an appreciation
for Greek culture, but because the beard had, thanks to Hadrian,
become fashionable. This new fashion lasted until the reign of
Constantine the Great and was revived again by Phocas at the start
of the 7th century. Notwithstanding his philhellenism, however, in all
other everyday life matters, Hadrian behaved as a Roman civic
traditionalist, who demanded the use of the toga by senators and
knights in public, and strict separation between the sexes in the
public baths and theaters.
Hadrian wrote poetry in both Latin and Greek; one of the few
surviving examples is a Latin poem he reportedly composed on his
deathbed . Some of his Greek productions found their way into the
Palatine Anthology.
As a cultural Hellenophile, Hadrian was familiar with the work of the

philosophers Epictetus, Heliodorus, and Favorinus. At home he
attended to social needs. Hadrian mitigated slavery; masters were
forbidden from killing their slaves unless allowed by a court to punish
them for a grave offense. Masters were forbidden to sell slaves to a
gladiator trainer or to a procurer, except as justified punishment.
Hadrian also had the legal code humanized and forbade torture of
free defendants and witnesses, legislating against the common
practice of condemning free persons in order to have them tortured
as a means of gathering information on their supposed activities and
accomplices. He also abolished ergastula—private prisons for slaves
in which kidnapped free men could also be kept.
Attributions
The Nerva-Antonine Dynasty
"Nerva–Antonine dynasty."
https://en.wikipedia.org/wiki/NervaAntonine_dynasty.
"Hadrian." http://en.wikipedia.org/wiki/Hadrian. Wikipedia
CC BY-SA.
"Nerva." http://en.wikipedia.org/wiki/Nerva. Wikipedia CC
BY-SA.
"Trajan." http://en.wikipedia.org/wiki/Trajan. Wikipedia CC
BY-SA.
"Marcus Aurelius."
http://en.wikipedia.org/wiki/Marcus_Aurelius. Wikipedia CC
BY-SA.
"Hadrian."
https://commons.wikimedia.org/wiki/File:Bust_Hadrian_Mus
ei_Capitolini_MC817_cropped.jpg. Wikimedia Public
domain.
"Marcus Aurelius."
https://commons.wikimedia.org/wiki/File:L%27Image_et_le_
Pouvoir_-
_Buste_cuirass%C3%A9_de_Marc_Aur%C3%A8le_ag%C
3%A9_-_3.jpg. Wikimedia CC BY-SA 3.0.
"Trajan."
https://commons.wikimedia.org/wiki/File:Traianus_Glyptothe
k_Munich_336.jpg. Wikimedia Public domain.
Military Successes of the Nerva-Antonine Dynasty
"Nerva-Antonine dynasty."
https://en.wikipedia.org/wiki/NervaAntonine_dynasty.
"Trajan."
https://en.wikipedia.org/wiki/Trajan# Roman_Emperor.
"Trajan's Dacian Wars."
https://en.wikipedia.org/wiki/Trajan%27s_Dacian_Wars.
"Hadrian's_wall_at_Greenhead_Lough.jpg."
https://commons.wikimedia.org/wiki/File:Hadrian%27s_wall
_at_Greenhead_Lough.jpg. Wikimedia Public domain.
"032_Conrad_Cichorius,_Die_Reliefs_der_Traianssä ule,_T
afel_X X X II.jpg."
https://commons.wikimedia.org/wiki/File:032_Conrad_Cicho
rius,_Die_Reliefs_der_Traianss%C3%A4ule,_Tafel_X X X II.j
Art and Culture Under the Nerva-Antonines
"Hadrian."
https://en.wikipedia.org/wiki/Hadrian# Cultural_pursuits_and
_patronage. Wikipedia CC BY-SA 3.0.
"Trajan." https://en.wikipedia.org/wiki/Trajan. Wikipedia CC
BY-SA 3.0.
"Nerva-Antonine dynasty."
https://en.wikipedia.org/wiki/Nerva%E2%80%93Antonine_d
ynasty. Wikipedia CC BY-SA 3.0.
"1024px-Hadrian_villa_ruins.JPG."
https://commons.wikimedia.org/wiki/File:Hadrian_villa_ruins
.JPG. Wikimedia GNU FDL 1.2.
8 .7 : Christianity and the Late
Roman Empire
8 .7 .1: Crises of the Roman Empire
The Crisis of the Third Century was a period in which the Roman
Empire nearly collapsed under the combined pressures of invasion,
civil war, plague, and economic depression.
Learning Objective
Describe the problems afflicting the Roman Empire during the third
century
Key Points
The situation of the Roman Empire became dire in 235 CE,
when emperor Alexander Severus was murdered by his own
troops after defeat by Germanic tribes.
In the years following the emperor's death, generals of the
Roman army fought each other for control of the Empire, and
neglected their duties of defending the empire from invasion. As
a result, various provinces became victims of frequent raids.
By 268, the Empire had split into three competing states: the
Gallic Empire, including the Roman provinces of Gaul, Britannia,
and Hispania; the Palmyrene Empire, including the eastern
provinces of Syria Palaestina and Aegyptus; and the Italian-
centered and independent Roman Empire proper.
One of the most profound and lasting effects of the Crisis of the
Third Century was the disruption of Rome's extensive internal
trade network under the Pax Romana.
The continuing problems of the Empire would be radically
addressed by Diocletian, allowing the Empire to continue to
survive in the West for over a century, and in the East for over a
millennium.
Key Terms
Pax Romana
The long period of relative peacefulness and minimal expansion

by the Roman military force that was experienced by the Roman
Empire after the end of the Final War of the Roman Republic,
and before the beginning of the Crisis of the Third Century.
coloni
A tenant farmer from the late Roman Empire and Early Middle
Ages; sharecroppers.
Crisis of the Third Century
A period in which the Roman Empire nearly collapsed under the

combined pressures of invasion, civil war, plague, and economic
depression.
Overview
The Crisis of the Third Century, also known as Military Anarchy or
the Imperial Crisis, (235-284 CE) was a period in which the Roman
Empire nearly collapsed under the combined pressures of invasion,
civil war, plague, and economic depression. The Crisis began with
the assassination of Emperor Severus Alexander by his own troops
in 235, initiating a 50-year period in which there were at least 26
claimants to the title of Emperor, mostly prominent Roman army
generals, who assumed imperial power over all or part of the Empire.
Twenty-six men were officially accepted by the Roman Senate as
emperor during this period, and thus became legitimate emperors.
By 268, the Empire had split into three competing states: the Gallic
Empire, including the Roman provinces of Gaul, Britannia, and
(briefly) Hispania; the Palmyrene Empire, including the eastern
provinces of Syria Palaestina and Aegyptus; and the Italian-centered
and independent Roman Empire proper, between them. Later,
Aurelian (270-275) reunited the empire; the Crisis ended with the
ascension and reforms of Diocletian in 284.
The Crisis resulted in such profound changes in the Empire's

institutions, society, economic life, and, eventually, religion, that it is
increasingly seen by most historians as defining the transition
between the historical periods of classical antiquity and late antiquity.
The Roman Empire in 27 1 CE

The divided Empire during the Crisis of the Third Century.
A map of the divided Roman Empire in 271 CE, showing the Gallic
Empire in the North-Western Europe, Roman Empire in Italy, Middle
East, and Iberia, and Palmyrine Empire in the far East.
History of the Crisis

The situation of the Roman Empire became dire in 235 CE, when
Emperor Alexander Severus was murdered by his own troops. Many
Roman legions had been defeated during a campaign against
Germanic peoples raiding across the borders, while the emperor was
focused primarily on the dangers from the Sassanid Persian Empire.
Leading his troops personally, Alexander Severus resorted to
diplomacy and paying tribute, in an attempt to pacify the Germanic
chieftains quickly. According to Herodian, this cost him the respect of
his troops, who may have felt they should be punishing the tribes
who were intruding on Rome's territory.
In the years following the emperor's death, generals of the Roman

army fought each other for control of the Empire and neglected their
duties of defending the empire from invasion. Provincials became
victims of frequent raids along the length of the Rhine and Danube
rivers, by such foreign tribes as the Carpians, Goths, V andals, and
Alamanni, and attacks from Sassanids in the east. Climate changes
and a rise in sea levels ruined the agriculture of what is now the Low
Countries, forcing tribes to migrate. Additionally, in 251, the Plague
of Cyprian (possibly smallpox) broke out, causing large-scale death,
and possibly weakened the ability of the Empire to defend itself.
After the loss of V alerian in 260, the Roman Empire was beset by
usurpers, who broke it up into three competing states. The Roman
provinces of Gaul, Britain, and Hispania broke off to form the Gallic
Empire. After the death of Odaenathus in 267, the eastern provinces
of Syria, Palestine, and Aegyptus became independent as the
Palmyrene Empire, leaving the remaining Italian-centered Roman
Empire proper in the middle.
An invasion by a vast host of Goths was defeated at the Battle of

Naissus in 268 or 269. This victory was significant as the turning
point of the crisis, when a series of tough, energetic soldier-
emperors took power. V ictories by Emperor Claudius II Gothicus
over the next two years drove back the Alamanni and recovered
Hispania from the Gallic Empire. When Claudius died in 270 of the
plague, Aurelian, who had commanded the cavalry at Naissus,
succeeded him as the emperor and continued the restoration of the
Empire.
Aurelian reigned (270-275) through the worst of the crisis, defeating

the V andals, the V isigoths, the Palmyrenes, the Persians, and then
the remainder of the Gallic Empire. By late 274, the Roman Empire
was reunited into a single entity, and the frontier troops were back in
place. More than a century would pass before Rome again lost
military ascendancy over its external enemies. However, dozens of
formerly thriving cities, especially in the Western Empire, had been
ruined, their populations dispersed and, with the breakdown of the
economic system, could not be rebuilt. Major cities and towns, even
Rome itself, had not needed fortifications for many centuries; many
then surrounded themselves with thick walls.
Finally, although Aurelian had played a significant role in restoring

the Empire's borders from external threat, more fundamental
problems remained. In particular, the right of succession had never
been clearly defined in the Roman Empire, leading to continuous
civil wars as competing factions in the military, Senate, and other
parties put forward their favored candidate for emperor. Another
issue was the sheer size of the Empire, which made it difficult for a
single autocratic ruler to effectively manage multiple threats at the
same time. These continuing problems would be radically addressed
by Diocletian, allowing the Empire to continue to survive in the West
for over a century, and in the East for over a millennium.
Impact
One of the most profound and lasting effects of the Crisis of the
Third Century was the disruption of Rome's extensive internal trade
network. Ever since the Pax Romana, starting with Augustus, the
Empire's economy had depended in large part on trade between
Mediterranean ports and across the extensive road systems to the
Empire's interior. Merchants could travel from one end of the Empire
to the other in relative safety within a few weeks, moving agricultural
goods produced in the provinces to the cities, and manufactured
goods produced by the great cities of the East to the more rural
provinces.
With the onset of the Crisis of the Third Century, however, this vast
internal trade network broke down. The widespread civil unrest made
it no longer safe for merchants to travel as they once had, and the
financial crisis that struck made exchange very difficult with the
debased currency. This produced profound changes that, in many
ways, foreshadowed the very decentralized economic character of
the coming Middle Ages.
Large landowners, no longer able to successfully export their crops

over long distances, began producing food for subsistence and local
barter. Rather than import manufactured goods from the Empire's
great urban areas, they began to manufacture many goods locally,
often on their own estates, thus beginning the self-sufficient "house
economy" that would become commonplace in later centuries,
reaching its final form in the Middle Ages' manorialism. The common
free people of the Roman cities, meanwhile, began to move out into
the countryside in search of food and better protection.
Made desperate by economic necessity, many of these former city

dwellers, as well as many small farmers, were forced to give up
hard-earned, basic civil rights in order to receive protection from
large land-holders. In doing so, they became a half-free class of
Roman citizen known as coloni. They were tied to the land, and in
later Imperial law their status was made hereditary. This provided an
early model for serfdom, the origins of medieval feudal society and of
the medieval peasantry.
8 .7 .2: Diocletian and the Tetrarchy

Facing the pressures of civil war, plague, invasion, and economic
depression, Diocletian was able to stabilize the Roman Empire for
another hundred years through economic reform and the
establishment of the Tetrarchy.
Learning Objective
Describe the change in attitudes towards Christians and their
statuses within the Roman Empire
Key Points
Diocletian secured the empire's borders and purged it of all
threats to his power. He separated and enlarged the empire's
civil and military services, and reorganized the empire's
provincial divisions, establishing the largest and most
bureaucratic government in the history of the empire.
Diocletian also restructured the Roman government by
establishing the Tetrarchy, a system of rule in which four men
shared rule over the massive Roman Empire. The empire was
effectively divided in two, with an Augustus and a subordinate
Caesar in each half.
Diocletian established administrative capitals for each of the
Tetrarchs, which were located closer to the empire's borders.
Though Rome retained its unique Prefect of the City, it was no
longer the administrative capital.
By 313, therefore, there remained only two emperors:
Constantine in the west and Licinius in the east. The tetrarchic
system was at an end, although it took until 324 for Constantine
to finally defeat Licinius, reunite the two halves of the Roman
Empire, and declare himself sole Augustus.
Key Terms
tetrarchy
A form of government in which power is divided between four

individuals. In ancient Rome, a system of government instituted
by Diocletian that split power between two rulers in the east, and
two rulers in the west.
Diocletian
Roman emperor from 284 to 305 CE. Established the tetrarchy

and instituted economic and tax reforms to stabilize the Roman
Empire.
Diocletian and the Stabiliz ation

of the Roman Empire
Diocletian was Roman emperor from 284 to 305 CE. Born to a family
of low status in the Roman province of Dalmatia, Diocletian rose
through the ranks of the military to become cavalry commander to
the Emperor Carus. After the deaths of Carus and his son Numerian
on campaign in Persia, Diocletian was proclaimed emperor.
Diocletian's reign stabilized the empire, and marked the end of the
Crisis of the Third Century. He appointed fellow officer, Maximian, as
Augustus, co-emperor, in 286. Diocletian delegated further in 293,
appointing Galerius and Constantius as caesars, junior co-emperors.
Under this "tetrarchy," or "rule of four," each emperor would rule over
a quarter-division of the empire. Diocletian further secured the
empire's borders and purged it of all threats to his power.
He separated and enlarged the empire's civil and military services

and reorganized the empire's provincial divisions, establishing the
largest and most bureaucratic government in the history of the
empire. He established new administrative centers in Nicomedia,
Mediolanum, Antioch, and Trier, closer to the empire's frontiers than
the traditional capital at Rome had been. Building on third-century
trends towards absolutism, he styled himself an autocrat, elevating
himself above the empire's masses with imposing forms of court
ceremonies and architecture. Bureaucratic and military growth,
constant campaigning, and construction projects increased the
state's expenditures and necessitated a comprehensive tax reform.
From at least 297 on, imperial taxation was standardized, made
more equitable, and levied at generally higher rates.
Illustration depicting Diocletian's

Palace ( original appearance)
Reconstruction of Diocletian's Palace in its original appearance,
upon completion in 305 CE (viewed from the south-west).
While it is referred to as a "palace" because of its intended use as

the retirement residence of Diocletian, the term can be misleading as
the structure is massive and more resembles a large fortress: about
half of it was for Diocletian's personal use, and the rest housed the
military garrison.
The Tetrarchy
The first phase of Diocletian's government restructuring, sometimes
referred to as the diarchy ("rule of two"), involved the designation of
the general Maximian as co-emperor—first as Caesar (junior
emperor) in 285, then Augustus in 286. This reorganization allowed
Diocletian to take care of matters in the eastern regions of the
empire, while Maximian similarly took charge of the western regions,
thereby halving the administrative work required to oversee an
empire as large as Rome's. In 293, feeling more focus was needed
on both civic and military problems, Diocletian, with Maximian's
consent, expanded the imperial college by appointing two Caesars
(one responsible to each Augustus)—Galerius and Constantius
Chlorus.
In 305, the senior emperors jointly abdicated and retired, allowing

Constantius and Galerius to be elevated in rank to Augusti. They in
turn appointed two new Caesars—Severus II in the west under
Constantius, and Maximinus in the east under Galerius—thereby
creating the second tetrarchy.
The four tetrarchs based themselves not at Rome but in other cities
closer to the frontiers, mainly intended as headquarters for the
defense of the empire against bordering rivals. Although Rome
ceased to be an operational capital, it continued to be the nominal
capital of the entire Roman Empire, not reduced to the status of a
province, but under its own, unique Prefect of the City (praefectus
urbis).
Z ones of Influence in the Roman
Tetrarchy
This map shows the four zones of influence under Diocletian's
tetrarchy.
The first zone is the District of Constantius as Caesar, which

included Britanniae, V iennensis, and Galliae. Its capital was Trier.
The second zone is the District of Maximian as Augustus, which
included Hispania, Africa, and Italia. Its capital was Milan. The third
zone is the District of Galerius as Caesar, which included Pannoniae,
Moesiae, and Thracia. Its capital was Sirmium. The fourth zone is
the District of Diocletian as Augustus, which included Asiana,
Pontica, and Oriens. Its capital was Nicomedia.
In terms of regional jurisdiction, there was no precise division

between the four tetrarchs, and this period did not see the Roman
state actually split up into four distinct sub-empires. Each emperor
had his zone of influence within the Roman Empire, but this
influence mainly applied to the theater of war. The tetrarch was
himself often in the field, while delegating most of the administration
to the hierarchic bureaucracy headed by his respective Praetorian
Prefect. The Praetorian Prefect was the title of a high office in the
Roman Empire, originating as the commander of the Praetorian
Guard, the office gradually acquired extensive legal and
administrative functions, with its holders becoming the emperor's
chief aides.
Demise of the Tetrarchy

When, in 305, the 20-year term of Diocletian and Maximian ended,
both abdicated. Their Caesares, Galerius and Constantius Chlorus,
were both raised to the rank of Augustus, and two new Caesares
were appointed: Maximinus (Caesar to Galerius) and Flavius
V alerius Severus (Caesar to Constantius). These four formed the
second tetrarchy.
However, the system broke down very quickly thereafter. When

Constantius died in 306, Galerius promoted Severus to Augustus
while Constantine, Constantius' son, was proclaimed Augustus by
his father's troops. At the same time, Maxentius, the son of
Maximian, who also resented being left out of the new
arrangements, defeated Severus before forcing him to abdicate and
then arranging his murder in 307. Maxentius and Maximian both then
declared themselves Augusti. By 308, there were therefore no fewer
than four claimants to the rank of Augustus (Galerius, Constantine,
Maximian and Maxentius), and only one to that of Caesar
(Maximinus).
In 308, Galerius, together with the retired emperor Diocletian and the
supposedly retired Maximian, called an imperial "conference" at
Carnuntum on the River Danube. The council agreed that Licinius
would become Augustus in the West, with Constantine as his
Caesar. In the East, Galerius remained Augustus, and Maximinus
remained his Caesar. Maximian was to retire, and Maxentius was
declared an usurper. This agreement proved disastrous: by 308
Maxentius had become de facto ruler of Italy and Africa even without
any imperial rank, and neither Constantine nor Maximinus—who had
both been Caesares since 306 and 305, respectively—were
prepared to tolerate the promotion of the Augustus Licinius as their
superior.
After an abortive attempt to placate both Constantine and Maximinus

with the meaningless title filius Augusti ("son of the Augustus,"
essentially an alternative title for Caesar), they both had to be
recognized as Augusti in 309. However, four full Augusti all at odds
with each other did not bode well for the tetrarchic system.
Between 309 and 313, most of the claimants to the imperial office
died or were killed in various civil wars. Constantine forced
Maximian's suicide in 310. Galerius died naturally in 311. Maxentius
was defeated by Constantine at the Battle of the Milvian Bridge in
312, and subsequently killed. Maximinus committed suicide at
Tarsus in 313, after being defeated in battle by Licinius.
By 313, therefore, there remained only two emperors: Constantine in

the west and Licinius in the east. The tetrarchic system was at an
end, although it took until 324 for Constantine to finally defeat
Licinius, reunite the two halves of the Roman Empire, and declare
himself sole Augustus.
8 .7 .3: The Rise of Christianity

Though the early Christians were persecuted under some emperors,
such as Nero and Diocletian, the religion continued to thrive and
grow, eventually becoming the official religion of the Roman Empire
under Constantine.
Learning Objective
Describe the challenges Christians faced in the Roman Empire
Key Points
Christians suffered from sporadic and localized persecutions
over a period of two and a half centuries, as their refusal to
participate in Imperial Cult of Rome was considered an act of
treason, and was thus punishable by execution.
The Diocletianic, or Great Persecution, was the last and most
severe persecution of Christians in the Roman Empire, which
lasted from 302-311 CE. Galerius issued an edict of toleration in
311, which granted Christians the right to practice their religion,
but did not restore any taken property back to them.
The Edict of Milan in 313 made the empire officially neutral with
regard to religious worship; it neither made the traditional
religions illegal nor made Christianity the state religion.
Key Terms
the Great Persecution
The last and most severe persecution of Christians in the

Roman Empire.
Edict of Milan
An agreement in 313 CE by Constantine and Licinius to treat

Christians benevolently within the Roman Empire.
Persecution of Early Christians

Christianity posed a serious threat to the traditional Romans. The
idea of monotheism was considered offensive against the
polytheistic Roman pantheon, and came into further conflict with the
Imperial Cult, in which emperors and some members of their families
were worshipped as divine. As such, Christianity was considered
criminal and was punished harshly.
The first recorded official persecution of Christians on behalf of the

Roman Empire was in 64 CE, when, as reported by the Roman
historian Tacitus, Emperor Nero blamed Christians for the Great Fire
of Rome. According to Church tradition, it was during the reign of
Nero that Peter and Paul were martyred in Rome. However, modern
historians debate whether the Roman government distinguished
between Christians and Jews prior to Nerva's modification of the
Fiscus Judaicus in 96, from which point practicing Jews paid the tax
and Christians did not.
The Diocletianic or Great Persecution was the last and most severe
persecution of Christians in the Roman Empire, which lasted from
302-311 CE. In 303, the emperors Diocletian, Maximian, Galerius,
and Constantius issued a series of edicts rescinding the legal rights
of Christians and demanding that they comply with traditional Roman
religious practices. Later edicts targeted the clergy and ordered all
inhabitants to sacrifice to the Roman gods (a policy known as
universal sacrifice). The persecution varied in intensity across the
empire—it was weakest in Gaul and Britain, where only the first edict
was applied, and strongest in the Eastern provinces. Persecutory
laws were nullified by different emperors at different times, but
Constantine and Licinius's Edict of Milan (313) has traditionally
marked the end of the persecution.
During the Great Persecution, Diocletian ordered Christian buildings

and the homes of Christians torn down, and their sacred books
collected and burned during the Great Persecution. Christians were
arrested, tortured, mutilated, burned, starved, and condemned to
gladiatorial contests to amuse spectators. The Great Persecution
officially ended in April of 311, when Galerius, senior emperor of the
Tetrarchy, issued an edict of toleration which granted Christians the
right to practice their religion, though it did not restore any property
to them. Constantine, Caesar in the western empire, and Licinius,
Caesar in the east, also were signatories to the edict of toleration. It
has been speculated that Galerius' reversal of his long-standing
policy of Christian persecution has been attributable to one or both of
these co-Caesars.
The Rise of Christianity
The Diocletianic persecution was ultimately unsuccessful. As one
modern historian has put it, it was simply "too little and too late."
Christians were never purged systematically in any part of the
empire, and Christian evasion continually undermined the edicts'
enforcement. Although the persecution resulted in death, torture,
imprisonment, or dislocation for many Christians, the majority of the
empire's Christians avoided punishment. Some bribed their way to
freedom or fled. In the end, the persecution failed to check the rise of
the church. By 324, Constantine was sole ruler of the empire, and
Christianity had become his favored religion.
By 324, Constantine, the Christian convert, ruled the entire empire

alone. Christianity became the greatest beneficiary of imperial
largesse. The persecutors had been routed. As the historian J.
Liebeschuetz has written: "The final result of the Great Persecution
provided a testimonial to the truth of Christianity, which it could have
won in no other way." After Constantine, the Christianization of the
Roman empire would continue apace. Under Theodosius I (r. 378-
395), Christianity became the state religion. By the 5th century,
Christianity was the empire's predominant faith, and filled the same
role paganism had at the end of the 3rd century. Because of the
persecution, however, a number of Christian communities were riven
between those who had complied with imperial authorities
(traditores) and those who had refused. In Africa, the Donatists, who
protested the election of the alleged traditor, Caecilian, to the
bishopric of Carthage, continued to resist the authority of the central
church until after 411. The Melitians in Egypt left the Egyptian
Church similarly divided.
The Edict of Milan

In 313, Constantine and Licinius announced in the Edict of Milan
"that it was proper that the Christians and all others should have
liberty to follow that mode of religion which to each of them appeared
best," thereby granting tolerance to all religions, including
Christianity. The Edict of Milan went a step further than the earlier
Edict of Toleration by Galerius in 311, and returned confiscated
Church property. This edict made the empire officially neutral with
regard to religious worship; it neither made the traditional religions
illegal, nor made Christianity the state religion (as did the later Edict
of Thessalonica in 380 CE). The Edict of Milan did, however, raise
the stock of Christianity within the empire, and it reaffirmed the
importance of religious worship to the welfare of the state.
8 .7 .4: Constantine
Constantine the Great was a Roman Emperor from 306 to 337 CE;
he adopted Christianity and declared it the religion of the Roman
Empire.
Learning Objective
Evaluate Constantine's rise to power and relationship with
Christianity
Key Points
The age of Constantine marked a distinct epoch in the history of
the Roman Empire, both for founding Byzantium in the east, as
well as his adoption of Christianity as a state religion.
As emperor, Constantine enacted many administrative, financial,
social, and military reforms to strengthen the empire.
Constantine experienced a dramatic event in 312 at the Battle of
the Milvian Bridge, after which Constantine claimed the
emperorship in the west and converted to Christianity.
According to some sources, on the evening of October 27, with
the armies preparing for battle, Constantine had a vision of a
cross, which led him to fight under the protection of the Christian
god.
The accession of Constantine was a turning point for early
Christianity; after his victory, Constantine took over the role of
patron of the Christian faith.
Key Terms
Battle of the Milvian Bridge
A battle that took place between the Roman Emperors,

Constantine I and Maxentius, on October 28, 312, and is often
seen as the beginning of Constantine's conversion to
Christianity.
Edict of Milan
The February 313 CE agreement to treat Christians

benevolently within the Roman Empire, thereby ending years of
persecution.
Chi-Rho
One of the earliest forms of christogram, which is used by some

Christians, and was used by the Roman emperor, Constantine I
(r. 306-337), as part of a military standard.
Constantine the Great was a Roman Emperor from 306-337 CE.

Constantine was the son of Flavius V alerius Constantius, a Roman
army officer, and his consort, Helena. His father became Caesar, the
deputy emperor in the west, in 293 CE. Constantine was sent east,
where he rose through the ranks to become a military tribune under
the emperors Diocletian and Galerius. In 305, Constantius was
raised to the rank of Augustus, senior western emperor, and
Constantine was recalled west to campaign under his father in
Britannia (modern Great Britain). Acclaimed as emperor by the army
at Eboracum (modern-day York) after his father's death in 306 CE,
Constantine emerged victorious in a series of civil wars against the
emperors Maxentius and Licinius, to become sole ruler of both west
and east by 324 CE.

social, and military reforms to strengthen the empire. The
government was restructured and civil and military authority
separated. A new gold coin, the solidus, was introduced to combat
inflation. It would become the standard for Byzantine and European
currencies for more than a thousand years. As the first Roman
emperor to claim conversion to Christianity, Constantine played an
influential role in the proclamation of the Edict of Milan in 313, which
decreed tolerance for Christianity in the empire. He called the First
Council of Nicaea in 325, at which the Nicene Creed was professed
by Christians. In military matters, the Roman army was reorganized
to consist of mobile field units and garrison soldiers capable of
countering internal threats and barbarian invasions. Constantine
pursued successful campaigns against the tribes on the Roman
frontiers—the Franks, the Alamanni, the Goths, and the Sarmatians
—even resettling territories abandoned by his predecessors during
the Crisis of the Third Century.
Constantine's reputation flourished during the lifetime of his children

and for centuries after his reign. The medieval church upheld him as
a paragon of virtue, while secular rulers invoked him as a prototype,
a point of reference, and the symbol of imperial legitimacy and
identity. One of his major political legacies, aside from moving the
capital of the empire to Constantinople, was that, in leaving the
empire to his sons, he replaced Diocletian's tetrarchy with the
principle of dynastic succession.
The Battle of the Milvian Bridge

Eusebius of Caesarea, and other Christian sources, record that
Constantine experienced a dramatic event in 312 at the Battle of the
Milvian Bridge, after which Constantine claimed the emperorship in
the west, and converted to Christianity. The Battle of the Milvian
Bridge took place between the Roman Emperors, Constantine I and
Maxentius, on October 28, 312. It takes its name from the Milvian
Bridge, an important route over the Tiber. Constantine won the battle
and started on the path that led him to end the tetrarchy and become
the sole ruler of the Roman Empire. Maxentius drowned in the Tiber
during the battle, and his body was later taken from the river and
decapitated.
According to chroniclers, such as Eusebius of Caesarea and

Lactantius, the battle marked the beginning of Constantine's
conversion to Christianity. Eusebius of Caesarea recounts that
Constantine looked up to the sun before the battle and saw a cross
of light above it, and with it the Greek words Ἐ ν Τ ού τῳ Ν ί κα ("in this
sign, conquer! "), often rendered in a Latin version, "in hoc signo
vinces." Constantine commanded his troops to adorn their shields
with a Christian symbol (the Chi-Rho), and thereafter they were
victorious. The Arch of Constantine, erected in celebration of the
victory, certainly attributes Constantine's success to divine
intervention; however, the monument does not display any overtly
Christian symbolism, so there is no scholarly consensus on the
events' relation to Constantine's conversion to Christianity.
Constantine
Missorium depicting Constantine's son Constantius II, accompanied
by a guardsman with the Chi Rho monogram depicted on his shield.
An image of Constantine atop a horse in battle gear with his son and
an attendant beside him, one holding his shield with Chi-Rho symbol
on it.
Following the battle, Constantine ignored the altars to the gods

prepared on the Capitoline, and did not carry out the customary
sacrifices to celebrate a general's victorious entry into Rome, instead
heading directly to the imperial palace. Most influential people in the
empire, however, especially high military officials, had not been
converted to Christianity, and still participated in the traditional
religions of Rome; Constantine's rule exhibited at least a willingness
to appease these factions. The Roman coins minted up to eight
years after the battle still bore the images of Roman gods. The
monuments he first commissioned, such as the Arch of Constantine,
contained no reference to Christianity.
Constantine and Christianity
While the Roman Emperor Constantine the Great reigned (306-337
CE), Christianity began to transition to the dominant religion of the
Roman Empire. Historians remain uncertain about Constantine's
reasons for favoring Christianity, and theologians and historians
have argued about which form of Early Christianity he subscribed to.
There is no consensus among scholars as to whether he adopted his
mother Helena's Christianity in his youth, or (as claimed by Eusebius
of Caesarea) encouraged her to convert to the faith himself. Some
scholars question the extent to which he should be considered a
Christian emperor: "Constantine saw himself as an 'emperor of the
Christian people.' If this made him a Christian is the subject of
debate," although he allegedly received a baptism shortly before his
death.
Constantine's decision to cease the persecution of Christians in the

Roman Empire was a turning point for early Christianity, sometimes
referred to as the Triumph of the Church, the Peace of the Church,
or the Constantinian Shift. In 313, Constantine and Licinius issued
the Edict of Milan, decriminalizing Christian worship. The emperor
became a great patron of the Church and set a precedent for the
position of the Christian emperor within the Church, and the notion of
orthodoxy, Christendom, ecumenical councils, and the state church
of the Roman Empire, declared by edict in 380. He is revered as a
saint and isapostolos in the Eastern Orthodox Church and Oriental
Orthodox Church for his example as a "Christian monarch."
8 .7 .5 : The Shift East

Constantine built a new imperial residence in Byzantium and
renamed the city Constantinople after himself; the city eventually
became the capital of the empire for over one thousand years.
Learning Objective
Explain why Constantine moved the capital of the empire to
Constantinople, and the consequences that had for the empire as a
whole
Key Points
After defeating Maxentius and his rebellion, Constantine
gradually consolidated his military superiority over his rivals in
the crumbling Tetrarchy, in particular Licinius.
Eventually, Constantine defeated Licinius, making him the sole
emperor of the empire, thereby ending the tetrarchy.
Licinius' defeat came to represent the defeat of a rival center of
Pagan and Greek-speaking political activity in the east, and it
was proposed that a new eastern capital should represent the
integration of the east into the Roman Empire as a whole;
Constantine chose Byzantium.
The city was thus founded in 324, dedicated on May 11, 330,
and renamed Constantinople.
The Byzantine Empire considered Constantine its founder, and
the Holy Roman Empire reckoned him among the venerable
figures of its tradition.
Key Terms
Byzantium
An ancient Greek colony on the site that later became

Constantinople, and eventually Istanbul.
Byzantine Empire
Also referred to as the Eastern Roman Empire, was the

continuation of the Roman Empire in the east during Late
Antiquity and the Middle Ages, when the empire's capital city
was Constantinople.
The age of Constantine marked a distinct epoch in the history of the

Roman Empire. He built a new imperial residence at Byzantium, and
renamed the city Constantinople after himself (the laudatory epithet
of "New Rome" came later, and was never an official title). It would
later become the capital of the empire for over one thousand years;
for this reason the later Eastern Empire would come to be known as
the Byzantine Empire.
Background: W ar W ith Licinius

After defeating Maxentius, Constantine gradually consolidated his
military superiority over his rivals in the crumbling tetrarchy. In 313,
he met Licinius in Milan to secure their alliance by the marriage of
Licinius and Constantine's half-sister, Constantia. During this
meeting, the emperors agreed on the so-called Edict of Milan,
officially granting full tolerance to Christianity and all religions in the
Empire. In the year 320, Licinius allegedly reneged on the religious
freedom promised by the Edict of Milan in 313, and began to
oppress Christians anew, generally without bloodshed, but resorting
to confiscations and sacking of Christian office-holders.
This dubious arrangement eventually became a challenge to

Constantine in the west, climaxing in the great civil war of 324.
Licinius, aided by Goth mercenaries, represented the past and the
ancient Pagan faiths. Constantine and his Franks marched under the
standard of the labarum Chi-Rho, and both sides saw the battle in
religious terms. Outnumbered, but fired by their zeal, Constantine's
army emerged victorious in the Battle of Adrianople. Licinius fled
across the Bosphorus and appointed Martius Martinianus, the
commander of his bodyguard, as Caesar, but Constantine next won
the Battle of the Hellespont, and finally the Battle of Chrysopolis on
September 18, 324. Licinius and Martinianus surrendered to
Constantine at Nicomedia on the promise their lives would be
spared: they were sent to live as private citizens in Thessalonica and
Cappadocia, respectively, but in 325, Constantine accused Licinius
of plotting against him and had them both arrested and hanged.
Licinius's son (the son of Constantine's half-sister) was also killed.
Thus, Constantine became the sole emperor of the Roman Empire.
Foundation of Constantinople
Licinius' defeat came to represent the defeat of a rival center of
Pagan and Greek-speaking political activity in the east, as opposed
to the Christian and Latin-speaking Rome, and it was proposed that
a new eastern capital should represent the integration of the east
into the Roman Empire as a whole, as a center of learning,
prosperity, and cultural preservation for the whole of the eastern
Roman Empire. Among the various locations proposed for this
alternative capital, Constantine appears to have toyed earlier with
Serdica (present-day Sofia), as he was reported saying that "Serdica
is my Rome." Sirmium and Thessalonica were also considered.
Eventually, however, Constantine decided to work on the Greek city
of Byzantium, which offered the advantage of having already been
extensively rebuilt on Roman patterns of urbanism, during the
preceding century, by Septimius Severus and Caracalla, who had
already acknowledged its strategic importance.
The city was thus founded in 324, dedicated on May 11, 330, and
renamed Constantinopolis ("Constantine's City" or Constantinople in
English). Special commemorative coins were issued in 330 to honor
the event. The new city was protected by the relics of the True
Cross, the Rod of Moses, and other holy relics, though a cameo now
at the Hermitage Museum also represented Constantine crowned by
the tyche of the new city. The figures of old gods were either
replaced or assimilated into a framework of Christian symbolism.
Constantine built the new Church of the Holy Apostles on the site of
a temple to Aphrodite. Generations later there was the story that a
divine vision led Constantine to this spot, and an angel no one else
could see led him on a circuit of the new walls. The capital would
often be compared to the 'old' Rome as Nova Roma
Constantinopolitana, the "New Rome of Constantinople."
Constantinople was a superb base from which to guard the Danube
River, and it was reasonably close to the eastern frontiers.
Constantine also began the building of the great fortified walls, which
were expanded and rebuilt in subsequent ages.
Constantinopolis Coin
Coin struck by Constantine I to commemorate the founding of
Constantinople.
Image of coins from the founding of Constantinople. On the front is a

soldier's head with a helmet. On the back is an angel in battle gear.
Legacy
Historian J.B. Bury asserts that "the foundation of Constantinople [ ...]
inaugurated a permanent division between the Eastern and Western,
the Greek and the Latin, halves of the empire—a division to which
events had already pointed—and affected decisively the whole
subsequent history of Europe."
The Byzantine Empire considered Constantine its founder, and the

Holy Roman Empire reckoned him among the venerable figures of
its tradition. In the later Byzantine state, it had become a great honor
for an emperor to be hailed as a "new Constantine." Ten emperors,
including the last emperor of the Eastern Roman Empire, carried the
name. Monumental Constantinian forms were used at the court of
Charlemagne to suggest that he was Constantine's successor and
equal. Constantine acquired a mythic role as a warrior against
"heathens."
8 .7 .6: The Decline and Fall of the

Roman Empire
The Fall of the Western Roman Empire was the period of decline
during which the empire disintegrated and split into numerous
successor states.
Learning Objective
Analyze, broadly, the causes of the fall of the Roman Empire
Key Points
Throughout the 5th century, the empire's territories in western
Europe and northwestern Africa, including Italy, fell to various
invading or indigenous peoples, in what is sometimes called the
Migration Period.
By the late 3rd century, the city of Rome no longer served as an
effective capital for the emperor, and various cities were used as
new administrative capitals. Successive emperors, starting with
Constantine, privileged the eastern city of Byzantium, which he
had entirely rebuilt after a siege.
In 476, after being refused lands in Italy, Odacer and his
Germanic mercenaries took Ravenna, the Western Roman
capital at the time, and deposed Western Emperor Romulus
Augustus. The whole of Italy was quickly conquered, and
Odoacer's rule became recognized in the Eastern Empire.
Four broad schools of thought exist on the decline and fall of the
Roman Empire: decay owing to general malaise, monocausal
decay, catastrophic collapse, and transformation.
Key Terms
Migration Period
Also known as the period of the Barbarian Invasions, it was a

period of intensified human migration in Europe from about 400
to 800 CE, during the transition from Late Antiquity to the Early
Middle Ages.
Odoacer
A soldier, who came to power in the Western Roman Empire in

476 CE. His reign is commonly seen as marking the end of the
Western Roman Empire.
The Fall of the Western Roman Empire was the process of decline
during which the empire failed to enforce its rule, and its vast territory
was divided into several successor polities. The Roman Empire lost
the strengths that had allowed it to exercise effective control; modern
historians mention factors including the effectiveness and numbers
of the army, the health and numbers of the Roman population, the
strength of the economy, the competence of the emperor, the
religious changes of the period, and the efficiency of the civil
administration. Increasing pressure from barbarians outside Roman
culture also contributed greatly to the collapse. The reasons for the
collapse are major subjects of the historiography of the ancient
world, and they inform much modern discourse on state failure.
By 476 CE, when Odoacer deposed Emperor Romulus, the Western

Roman Empire wielded negligible military, political, or financial power
and had no effective control over the scattered western domains that
could still be described as Roman. Invading "barbarians" had
established their own polities on most of the area of the Western
Empire. While its legitimacy lasted for centuries longer and its
cultural influence remains today, the Western Empire never had the
strength to rise again.
It is important to note, however, that the so-called fall of the Roman

Empire specifically refers to the fall of the W estern Roman Empire,
since the Eastern Roman Empire, or what became known as the
Byzantine Empire, whose capital was founded by Constantine,
remained for another 1,000 years. Theodosius was the last emperor
who ruled over the whole empire. After his death in 395, he gave the
two halves of the empire to his two sons, Arcadius and Honorius;
Arcadius became ruler in the east, with his capital in Constantinople,
and Honorius became ruler in the west, with his capital in Milan, and
later Ravenna.
Rome in the 5 th Century CE

Throughout the 5th century, the empire's territories in western
Europe and northwestern Africa, including Italy, fell to various
invading or indigenous peoples in what is sometimes called the
Migration Period, also known as the Barbarian Invasions, from the
Roman and South European perspective. The first migrations of
peoples were made by Germanic tribes, such as the Goths, V andals,
Angles, Saxons, Lombards, Suebi, Frisii, Jutes and Franks; they
were later pushed westwards by the Huns, Avars, Slavs, and
Bulgars.
Although the eastern half still survived with borders essentially intact
for several centuries (until the Muslim conquests), the Empire as a
whole had initiated major cultural and political transformations since
the Crisis of the Third Century, with the shift towards a more openly
autocratic and ritualized form of government, the adoption of
Christianity as the state religion, and a general rejection of the
traditions and values of Classical Antiquity.
The reasons for the decline of the Empire are still debated today,
and are likely multiple. Historians infer that the population appears to
have diminished in many provinces (especially western Europe),
judging from the diminishing size of fortifications built to protect the
cities from barbarian incursions from the 3rd century on. Some
historians even have suggested that parts of the periphery were no
longer inhabited, because these fortifications were restricted to the
center of the city only. By the late 3rd century, the city of Rome no
longer served as an effective capital for the emperor, and various
cities were used as new administrative capitals. Successive
emperors, starting with Constantine, privileged the eastern city of
Byzantium, which he had entirely rebuilt after a siege. Later renamed
Constantinople, and protected by formidable walls in the late 4th and
early 5th centuries, it was to become the largest and most powerful
city of Christian Europe in the Early Middle Ages. Since the Crisis of
the Third Century, the empire was intermittently ruled by more than
one emperor at once (usually two), presiding over different regions.
The Latin-speaking west, under dreadful demographic crisis, and the

wealthier Greek-speaking east, also began to diverge politically and
culturally. Although this was a gradual process, still incomplete when
Italy came under the rule of barbarian chieftains in the last quarter of
the 5th century, it deepened further afterward, and had lasting
consequences for the medieval history of Europe.
In 476, after being refused lands in Italy, Orestes' Germanic

mercenaries, under the leadership of the chieftain Odoacer, captured
and executed Orestes and took Ravenna, the Western Roman
capital at the time, deposing Western Emperor Romulus Augustus.
The whole of Italy was quickly conquered, and Odoacer's rule
became recognized in the Eastern Empire. Meanwhile, much of the
rest of the Western provinces were conquered by waves of
Germanic invasions, most of them being disconnected politically
from the east altogether, and continuing a slow decline. Although
Roman political authority in the west was lost, Roman culture would
last in most parts of the former western provinces into the 6th
century and beyond.
Romulus Augustus Resigns the
Crown
Charlotte Mary Yonge's 1880 artist rendition of Romulus Augustus
resigning the crown to Odoacer.
Theories on the Decline and

Fall
The various theories and explanations for the fall of the Roman
Empire in the west may be very broadly classified into four schools
of thought (although the classification is not without overlap):
Decay owing to general malaise

Monocausal decay
Catastrophic collapse
Transformation
The tradition positing general malaise goes back to the historian,

Edward Gibbon, who argued that the edifice of the Roman Empire
had been built on unsound foundations from the beginning.
According to Gibbon, the fall was—in the final analysis—inevitable.
On the other hand, Gibbon had assigned a major portion of the
responsibility for the decay to the influence of Christianity, and is
often, though perhaps unjustly, seen as the founding father of the
school of monocausal explanation. On the other hand, the school of
catastrophic collapse holds that the fall of the empire had not been a
pre-determined event and need not be taken for granted. Rather, it
was due to the combined effect of a number of adverse processes,
many of them set in motion by the Migration Period, that together
applied too much stress to the empire's basically sound structure.
Finally, the transformation school challenges the whole notion of the
'fall' of the empire, asking instead to distinguish between the fall into
disuse of a particular political dispensation, anyway unworkable
towards its end; and the fate of the Roman civilization that under-
girded the empire. According to this school, drawing its basic
premise from the Pirenne thesis, the Roman world underwent a
gradual (though often violent) series of transformations, morphing
into the medieval world. The historians belonging to this school often
prefer to speak of Late Antiquity, instead of the Fall of the Roman
Empire.
Ostrogothic Kingdom
The Ostrogothic Kingdom, which rose from the ruins of the Western
Roman Empire.
The map shows that, at its zenith, the Ostrogothic kingdom stretched
from modern France in the west to modern Serbia in the southeast.
Attributions
Crises of the Roman Empire
"History of the Roman Empire."
https://en.wikipedia.org/wiki/History_of_the_Roman_Empire
"Crisis of the Third Century."
https://en.wikipedia.org/wiki/Crisis_of_the_Third_Century.
"800px-Map_of_Ancient_Rome_271_AD.svg.png."
https://commons.wikimedia.org/wiki/File:Map_of_Ancient_R
ome_271_AD.svg. Wikimedia GNU FDL 1.2.
Diocletian and the Tetrarchy
"Diocletian's Palace."
https://en.wikipedia.org/wiki/Diocletian%27s_Palace.
"Tetrarchy."
http://en.wikipedia.org/wiki/Tetrarchy%23mediaviewer/File:T
etrarchy_map3.jpg. Wikipedia CC BY-SA.
"Praetorian Prefect."
http://en.wikipedia.org/wiki/Praetorian_prefect. Wikipedia
CC BY-SA 3.0.
"Diocletian."
http://en.wikipedia.org/wiki/Diocletian%23Tetrarchy.
Wikipedia CC BY-SA.
"Crisis of the Third Century."
http://en.wikipedia.org/wiki/Crisis_of_the_Third_Century.
Wikipedia CC BY-SA.
"tetrarchy." http://en.wiktionary.org/wiki/tetrarchy. Wiktionary
CC BY-SA 3.0.
"Tetrarchy Map."
https://commons.wikimedia.org/wiki/File:Tetrarchy_map3.jp
g. Wikimedia GNU FDL 1.2.
"Diocletian's Palace (original appearance)."
https://commons.wikimedia.org/wiki/File:Diocletian%27s_Pa
lace_(original_appearance).jpg. Wikimedia Public domain.
The Rise of Christianity
"Diocletianic Persecution."
https://en.wikipedia.org/wiki/Diocletianic_Persecution.
"Edict of Milan." http://en.wikipedia.org/wiki/Edict_of_milan.
Wikipedia CC BY-SA.
"Constantine the Great and Christanity."
http://en.wikipedia.org/wiki/Constantine_the_Great_and_Ch
ristianity. Wikipedia CC BY-SA.
Constantine
"Constantine the Great."
https://en.wikipedia.org/wiki/Constantine_the_Great.
"Constantine the Great and Christianity."
https://en.wikipedia.org/wiki/Constantine_the_Great_and_C
hristianity. Wikipedia CC BY-SA 3.0.
"Battle of the Milvian Bridge."
https://en.wikipedia.org/wiki/Battle_of_the_Milvian_Bridge.
"1280px-Missorium_Kerch.jpg."
https://en.wikipedia.org/wiki/Battle_of_the_Milvian_Bridge# /
media/File:Missorium_Kerch.jpg. Wikipedia CC BY-SA 3.0.
The Shift East
"Byzantine Empire."
https://en.wikipedia.org/wiki/Byzantine_Empire# History.
"Constantine the Great."
https://en.wikipedia.org/wiki/Constantine_the_Great.
"Constantinopolis_coin.jpg."
https://en.wikipedia.org/wiki/Constantine_the_Great# /media
/File:Constantinopolis_coin.jpg. Wikipedia CC BY-SA 3.0.
The Decline and Fall of the Roman Empire
"Ostrogothic Kingdom."
https://en.wikipedia.org/wiki/Ostrogothic_Kingdom.
"Migration Period."
http://en.wikipedia.org/wiki/Migration_period. Wikipedia CC
BY-SA.
"Fall of the Western Roman Emi."
http://en.wikipedia.org/wiki/Fall_of_the_Western_Roman_E
mpire. Wikipedia CC BY-SA.
"Decline of the Roman Empire."
http://en.wikipedia.org/wiki/Decline_of_the_Roman_Empire
%23Theories_of_a_fall.2C_decline.2C_transition_and_cont
inuity. Wikipedia CC BY-SA.
"Odoacer." http://en.wikipedia.org/wiki/Odoacer. Wikipedia
CC BY-SA.
"Ostrogothic Kingdom."
https://commons.wikimedia.org/wiki/File:Ostrogothic_Kingd
om.png. Wikimedia Public domain.
"Young Folks' History of Rome."
https://commons.wikimedia.org/wiki/File:Young_Folks%27_
History_of_Rome_illus420.png. Wikimedia Public domain.
9: The Byz antine Empire
9.1: Byz antium: The New Rome
9.1.1: Naming of the Byz antine Empire
While the Western Roman Empire fell, the Eastern Roman Empire,
now known as the Byzantine Empire, thrived.
Learning Objective
Describe identifying characteristics of the Byzantine Empire
Key Points
While the Western Roman Empire fell in 476 CE, the Eastern
Roman Empire, centered on the city of Constantinople, survived
and thrived.
After the Eastern Roman Empire's much later fall in 1453 CE,
western scholars began calling it the "Byzantine Empire" to
emphasize its distinction from the earlier, Latin-speaking Roman
Empire centered on Rome.
The "Byzantine Empire" is now the standard term used among
historians to refer to the Eastern Roman Empire.
Although the Byzantine Empire had a multi-ethnic character
during most of its history and preserved Romano-Hellenistic
traditions, it became identified with its increasingly predominant
Greek element and its own unique cultural developments.
Key Term
Constantinople
Formerly Byzantium, the capital of the Byzantine Empire as
established by its first emperor, Constantine the Great. (Today
the city is known as Istanbul.)
The Byzantine Empire, sometimes referred to as the Eastern Roman

Empire, was the continuation of the Roman Empire in the east during
Late Antiquity and the Middle Ages, when its capital city was
Constantinople (modern-day Istanbul, originally founded as
Byzantium). It survived the fragmentation and fall of the Western
Roman Empire in the 5th century CE, and continued to exist for an
additional thousand years until it fell to the Ottoman Turks in 1453.
During most of its existence, the empire was the most powerful
economic, cultural, and military force in Europe. Both "Byzantine
Empire" and "Eastern Roman Empire" are historiographical terms
created after the end of the realm; its citizens continued to refer to
their empire as the Roman Empire, and thought of themselves as
Romans. Although the people living in the Eastern Roman Empire
referred to themselves as Romans, they were distinguished by their
Greek heritage, Orthodox Christianity, and their regional
connections. Over time, the culture of the Eastern Roman Empire
transformed. Greek replaced Latin as the language of the empire.
Christianity became more important in daily life, although the
culture's pagan Roman past still exerted an influence.
Several signal events from the 4th to 6th centuries mark the period
of transition during which the Roman Empire's Greek east and Latin
west divided. Constantine I (r. 324-337) reorganized the empire,
made Constantinople the new capital, and legalized Christianity.
Under Theodosius I (r. 379-395), Christianity became the empire's
official state religion, and other religious practices were proscribed.
Finally, under the reign of Heraclius (r. 610-641), the empire's military
and administration were restructured and adopted Greek for official
use instead of Latin. Thus, although the Roman state continued and
Roman state traditions were maintained, modern historians
distinguish Byzantium from ancient Rome insofar as it was centered
on Constantinople, oriented towards Greek rather than Latin culture,
and characterized by Orthodox Christianity.
Just as the Byzantine Empire represented the political continuation
of the Roman Empire, Byzantine art and culture developed directly
out of the art of the Roman Empire, which was itself profoundly
influenced by ancient Greek art. Byzantine art never lost sight of this
classical heritage. For example, the Byzantine capital,
Constantinople, was adorned with a large number of classical
sculptures, although they eventually became an object of some
puzzlement for its inhabitants. And indeed, the art produced during
the Byzantine Empire, although marked by periodic revivals of a
classical aesthetic, was above all marked by the development of a
new aesthetic. Thus, although the Byzantine Empire had a multi-
ethnic character during most of its history, and preserved Romano-
Hellenistic traditions, it became identified by its western and northern
contemporaries with its increasingly predominant Greek element and
its own unique cultural developments.
Map of Constantinople
A map of Constantinople, the capital and founding city of the
Byzantine Empire, drawn in 1422 CE by Florentine cartographer
Cristoforo Buondelmonti. This is the oldest surviving map of the city
and the only one that predates the Turkish conquest of the city in
1453 CE.
The map shows city streets, notable buildings, the city walls, and
surrounding bodies of water.
Nomenclature
The first use of the term "Byzantine" to label the later years of the
Roman Empire was in 1557, when the German historian Hieronymus
Wolf published his work, Corpus Historiæ Byz antinæ, a collection of
historical sources. The term comes from "Byzantium," the name of
the city of Constantinople before it became Constantine's capital.
This older name of the city would rarely be used from this point
onward except in historical or poetic contexts. However, it was not
until the mid-19th century that the term came into general use in the
western world; calling it the "Byzantine Empire" helped to emphasize
its differences from the earlier Latin-speaking Roman Empire,
centered on Rome.
The term "Byzantine" was also useful to the many western European
states that also claimed to be the true successors of the Roman
Empire, as it was used to delegitimize the claims of the Byzantines
as true Romans. In modern times, the term "Byzantine" has also
come to have a pejorative sense, used to describe things that are
overly complex or arcane. "Byzantine diplomacy" has come to mean
excess use of trickery and behind-the-scenes manipulation. These
are all based on medieval stereotypes about the Byzantine Empire
that developed as western Europeans came into contact with the
Byzantines, and were perplexed by their more structured
government.
No such distinction existed in the Islamic and Slavic worlds, where

the empire was more straightforwardly seen as the continuation of
the Roman Empire. In the Islamic world, the Roman Empire was
known primarily as Rû m. The name millet-i Rû m, or "Roman nation,"
was used by the Ottomans through the 20th century to refer to the
former subjects of the Byzantine Empire, that is, the Orthodox
Christian community within Ottoman realms.
9.1.2: The Eastern Roman Empire,

Constantine the Great, and Byz antium
The Christian, Greek-speaking Byzantine Empire had its capital at
Constantinople, established by Emperor Constantine the Great.
Learning Objective
Explain the role of Constantine in Byzantine Empire history
Key Points
The Byzantine Empire (the Eastern Roman Empire) was distinct
from the Western Roman Empire in several ways; most
importantly, the Byzantines were Christians and spoke Greek
instead of Latin.
The founder of the Byzantine Empire and its first emperor,
Constantine the Great, moved the capital of the Roman Empire
to the city of Byzantium in 330 CE, and renamed it
Constantinople.
Constantine the Great also legalized Christianity, which had
previously been persecuted in the Roman Empire. Christianity
would become a major element of Byzantine culture.
Constantinople became the largest city in the empire and a
major commercial center, while the Western Roman Empire fell
in 476 CE.
Key Terms
Christianity
An Abrahamic religion based on the teachings of Jesus Christ

and various scholars who wrote the Christian Bible. It was
legalized in the Byzantine Empire by Constantine the Great, and
the religion became a major element of Byzantine culture.
Germanic barbarians
An uncivilized or uncultured person, originally compared to the

hellenistic Greco-Roman civilization; often associated with
fighting or other such shows of strength.
Constantine the Great and the
Beginning of Byz antium
It is a matter of debate when the Roman Empire officially ended and
transformed into the Byzantine Empire. Most scholars accept that it
did not happen at one time, but that it was a slow process; thus, late
Roman history overlaps with early Byzantine history. Constantine I
("the Great") is usually held to be the founder of the Byzantine
Empire. He was responsible for several major changes that would
help create a Byzantine culture distinct from the Roman past.

social, and military reforms to strengthen the empire. The
government was restructured and civil and military authority
separated. A new gold coin, the solidus, was introduced to combat
inflation. It would become the standard for Byzantine and European
currencies for more than a thousand years. As the first Roman
emperor to claim conversion to Christianity, Constantine played an
influential role in the development of Christianity as the religion of the
empire. In military matters, the Roman army was reorganized to
consist of mobile field units and garrison soldiers capable of
countering internal threats and barbarian invasions. Constantine
pursued successful campaigns against the tribes on the Roman
frontiers—the Franks, the Alamanni, the Goths, and the Sarmatians
—, and even resettled territories abandoned by his predecessors
during the turmoil of the previous century.
The age of Constantine marked a distinct epoch in the history of the

Roman Empire. He built a new imperial residence at Byzantium and
renamed the city Constantinople after himself (the laudatory epithet
of "New Rome" came later, and was never an official title). It would
later become the capital of the empire for over one thousand years;
for this reason the later Eastern Empire would come to be known as
the Byzantine Empire. His more immediate political legacy was that,
in leaving the empire to his sons, he replaced Diocletian's tetrarchy
(government where power is divided among four individuals) with the
principle of dynastic succession. His reputation flourished during the
lifetime of his children, and for centuries after his reign. The medieval
church upheld him as a paragon of virtue, while secular rulers
invoked him as a prototype, a point of reference, and the symbol of
imperial legitimacy and identity.
Constantine the Great

Byzantine Emperor Constantine the Great presents a representation
of the city of Constantinople as tribute to an enthroned Mary and
Christ Child in this church mosaic. St Sophia, c. 1000 CE.
Constantinople and Civil

Reform
Constantine moved the seat of the empire, and introduced important
changes into its civil and religious constitution. In 330, he founded
Constantinople as a second Rome on the site of Byzantium, which
was well-positioned astride the trade routes between east and west;
it was a superb base from which to guard the Danube river, and was
reasonably close to the eastern frontiers. Constantine also began the
building of the great fortified walls, which were expanded and rebuilt
in subsequent ages. J. B. Bury asserts that "the foundation of
Constantinople [ ...] inaugurated a permanent division between the
Eastern and Western, the Greek and the Latin, halves of the empire
—a division to which events had already pointed—and affected
decisively the whole subsequent history of Europe."
Constantine built upon the administrative reforms introduced by

Diocletian. He stabilized the coinage (the gold solidus that he
introduced became a highly prized and stable currency), and made
changes to the structure of the army. Under Constantine, the empire
had recovered much of its military strength and enjoyed a period of
stability and prosperity. He also reconquered southern parts of
Dacia, after defeating the V isigoths in 332, and he was planning a
campaign against Sassanid Persia as well. To divide administrative
responsibilities, Constantine replaced the single praetorian prefect,
who had traditionally exercised both military and civil functions, with
regional prefects enjoying civil authority alone. In the course of the
4th century, four great sections emerged from these Constantinian
beginnings, and the practice of separating civil from military authority
persisted until the 7th century.
Constantine and Christianity

Constantine was the first emperor to stop Christian persecutions and
to legalize Christianity, as well as all other religions and cults in the
Roman Empire.
In February 313, Constantine met with Licinius in Milan, where they

developed the Edict of Milan. The edict stated that Christians should
be allowed to follow the faith without oppression. This removed
penalties for professing Christianity, under which many had been
martyred previously, and returned confiscated Church property. The
edict protected from religious persecution not only Christians but all
religions, allowing anyone to worship whichever deity they chose.
Scholars debate whether Constantine adopted Christianity in his

youth from his mother, St. Helena,, or whether he adopted it
gradually over the course of his life. According to Christian writers,
Constantine was over 40 when he finally declared himself a
Christian, writing to Christians to make clear that he believed he
owed his successes to the protection of the Christian High God
alone. Throughout his rule, Constantine supported the Church
financially, built basilicas, granted privileges to clergy (e.g. exemption
from certain taxes), promoted Christians to high office, and returned
property confiscated during the Diocletianic persecution. His most
famous building projects include the Church of the Holy Sepulchre,
and Old Saint Peter's Basilica.
The reign of Constantine established a precedent for the position of

the emperor as having great influence and ultimate regulatory
authority within the religious discussions involving the early Christian
councils of that time (most notably, the dispute over Arianism, and
the nature of God). Constantine himself disliked the risks to societal
stability that religious disputes and controversies brought with them,
preferring where possible to establish an orthodoxy. One way in
which Constantine used his influence over the early Church councils
was to seek to establish a consensus over the oft debated and
argued issue over the nature of God. In 325, he summoned the
Council of Nicaea, effectively the first Ecumenical Council. The
Council of Nicaea is most known for its dealing with Arianism and for
instituting the Nicene Creed, which is still used today by Christians.
The Fall of the W estern Roman

Empire
After Constantine, few emperors ruled the entire Roman Empire. It
was too big and was under attack from too many directions. Usually,
there was an emperor of the Western Roman Empire ruling from
Italy or Gaul, and an emperor of the Eastern Roman Empire ruling
from Constantinople. While the Western Empire was overrun by
Germanic barbarians (its lands in Italy were conquered by the
Ostrogoths, Spain was conquered by the V isigoths, North Africa was
conquered by the V andals, and Gaul was conquered by the Franks),
the Eastern Empire thrived. Constantinople became the largest city
in the empire and a major commercial center. In 476 CE, the last
Western Roman Emperor was deposed and the Western Roman
Empire was no more. Thus the Eastern Roman Empire was the only
Roman Empire left standing.
9.1.3: J ustinian and Theodora

Emperor Justinian was responsible for substantial expansion, a legal
code, and the Hagia Sophia, but suffered defeats against the
Persians.
Learning Objective
Discuss the accomplishments and failures of Emperor Justinian the
Great
Key Points
Emperor Justinian the Great was responsible for substantial
expansion of the Byzantine Empire, and for conquering Africa,
Spain, Rome, and most of Italy.
Justinian was responsible for the construction of the Hagia
Sophia, the center of Christianity in Constantinople. Even today,
the Hagia Sophia is recognized as one of the greatest buildings
in the world.
Justinian also systematized the Roman legal code that served
as the basis for law in the Byzantine Empire.
After a plague reduced the Byzantine population, they lost
Rome and Italy to the Ostrogoths, and several important cities to
the Persians.
Key Terms
Hagia Sophia
A church built by Byzantine Emperor Justinian; the center of

Christianity in Constantinople and one of the greatest buildings
in the world to this day. It is now a mosque in the Muslim
Istanbul.
Nika riots
When angry racing fans, already angry over rising taxes,

became enraged at Emperor Justinian for arresting two popular
charioteers, and tried to depose him in 532 CE.
Byz antine Empire from

Constantine to J ustinian
One of Constantine's successors, Theodosius I (379-395), was the
last emperor to rule both the Eastern and Western halves of the
empire. In 391 and 392, he issued a series of edicts essentially
banning pagan religion. Pagan festivals and sacrifices were banned,
as was access to all pagan temples and places of worship. The state
of the empire in 395 may be described in terms of the outcome of
Constantine's work. The dynastic principle was established so firmly
that the emperor who died in that year, Theodosius I, could bequeath
the imperial office jointly to his sons, Arcadius in the East and
Honorius in the West.
The Eastern Empire was largely spared the difficulties faced by the
west in the third and fourth centuries, due in part to a more firmly
established urban culture and greater financial resources, which
allowed it to placate invaders with tribute and pay foreign
mercenaries. Throughout the fifth century, various invading armies
overran the Western Empire but spared the east. Theodosius II
further fortified the walls of Constantinople, leaving the city
impervious to most attacks; the walls were not breached until 1204.
To fend off the Huns, Theodosius had to pay an enormous annual

tribute to Attila. His successor, Marcian, refused to continue to pay
the tribute, but Attila had already diverted his attention to the west.
After his death in 453, the Hunnic Empire collapsed, and many of the
remaining Huns were often hired as mercenaries by Constantinople.
Leo I succeeded Marcian as emperor, and after the fall of Attila, the
true chief in Constantinople was the Alan general, Aspar. Leo I
managed to free himself from the influence of the non-Orthodox chief
by supporting the rise of the Isaurians, a semi-barbarian tribe living
in southern Anatolia. Aspar and his son, Ardabur, were murdered in
a riot in 471, and henceforth, Constantinople restored Orthodox
leadership for centuries.
When Leo died in 474, Zeno and Ariadne's younger son succeeded
to the throne as Leo II, with Zeno as regent. When Leo II died later
that year, Zeno became emperor. The end of the Western Empire is
sometimes dated to 476, early in Zeno's reign, when the Germanic
Roman general, Odoacer, deposed the titular Western Emperor
Romulus Augustulus, but declined to replace him with another
puppet.
Emperor J ustinian I
In 527 CE, Justinian I came to the throne in Constantinople. He
dreamed of reconquering the lands of the Western Roman Empire
and ruling a single, united Roman Empire from his seat in
Constantinople.
Emperor J ustinian
Byzantine Emperor Justinian I depicted on one of the famous
mosaics of the Basilica of San V itale, Ravenna.
The western conquests began in 533, as Justinian sent his general,

Belisarius, to reclaim the former province of Africa from the V andals,
who had been in control since 429 with their capital at Carthage.
Belisarius successfully defeated the V andals and claimed Africa for
Constantinople. Next, Justinian sent him to take Italy from the
Ostrogoths in 535 CE. Belisarius defeated the Ostrogoths in a series
of battles and reclaimed Rome. By 540 CE, most of Italy was in
Justinian's hands. He sent another army to conquer Spain.
The Byz antine Empire under J ustinian
The Byzantine Empire at its greatest extent, in 555 CE under
Justinian the Great.
The map shows that Emperor Justinian reconquered many former

territories of the Western Roman Empire, including Italy, Dalmatia,
Africa, and southern Hispania.
Accomplishments in Byz antium

Justinian also undertook many important projects at home. Much of
Constantinople was burned down early in Justinian's reign after a
series of riots called the Nika riots, in 532 CE, when angry racing
fans became enraged at Justinian for arresting two popular
charioteers (though this was really just the last straw for a populace
increasingly angry over rising taxes) and tried to depose him. The
riots were put down, and Justinian set about rebuilding the city on a
grander scale. His greatest accomplishment was the Hagia Sophia,
the most important church of the city. The Hagia Sophia was a
staggering work of Byzantine architecture, intended to awe all who
set foot in the church. It was the largest church in the world for nearly
a thousand years, and for the rest of Byzantine history it was the
center of Christian worship in Constantinople.
The Hagia Sophia
Byzantine Emperor Justinian built the Greek Orthodox Church of the
Holy Wisdom of God, the Hagia Sophia, which was completed in
only four and a half years (532 CE-537 CE). Even now, it is
universally acknowledged as one of the greatest buildings in the
world.
The Hagia Sophia is a massive basilica with four minarets (one in

each corner of the building) and a large central dome.
Emperor Justinian's most important contribution, perhaps, was a

unified Roman legal code. Prior to his reign, Roman laws had
differed from region to region, and many contradicted one another.
The Romans had attempted to systematize the legal code in the fifth
century but had not completed the effort. Justinian set up a
commission of lawyers to put together a single code, listing each law
by subject so that it could be easily referenced. This not only served
as the basis for law in the Byzantine Empire, but it was the main
influence on the Catholic Church's development of canon law, and
went on to become the basis of law in many European countries.
Justinian's law code continues to have a major influence on public
international law to this day.
The impact of a more unified legal code and military conflicts was the
increased ability for the Byzantine Empire to establish trade and
improve their economic standing. Byzantine merchants traded not
only all over the Mediterranean region, but also throughout regions
to the east. These included areas around the Black Sea, the Red
Sea, and the Indian Ocean.
Theodora
Theodora was empress of the Byzantine Empire and the wife of
Emperor Justinian I. She was one of the most influential and
powerful of the Byzantine empresses. Some sources mention her as
empress regnant, with Justinian I as her co-regent. Along with her
husband, she is a saint in the Eastern Orthodox Church,
commemorated on November 14.
Theodora participated in Justinian's legal and spiritual reforms, and

her involvement in the increase of the rights of women was
substantial. She had laws passed that prohibited forced prostitution
and closed brothels. She created a convent on the Asian side of the
Dardanelles called the Metanoia (Repentance), where the ex-
prostitutes could support themselves. She also expanded the rights
of women in divorce and property ownership, instituted the death
penalty for rape, forbade exposure of unwanted infants, gave
mothers some guardianship rights over their children, and forbade
the killing of a wife who committed adultery.
J ustinian's Difficulties
A terrible plague swept through the empire, killing Theodora and
almost killing him. The plague wiped out huge numbers of the
empire's population, leaving villages empty and crops unharvested.
The army was also afflicted, and the Ostrogoths were able to
effectively regain Italy in 546 CE, through guerrilla warfare against
the Byzantine occupiers.
With Justinian's army bogged down fighting in Italy, the empire's
defenses against the Persians on its eastern frontiers were
weakened. In the Roman-Persian Wars, the Persians invaded and
destroyed a number of important cities. Justinian was forced to
establish a humiliating 50-year peace treaty with them in 561 CE.
Still, Justinian kept the empire from collapse. He sent a new general,
Narses, to Italy with a small force. Narses finally defeated the
Ostrogoths and drove them back out of Italy. By the time the war was
over, Italy, once one of the most prosperous lands in the ancient
world, was wrecked. The city of Rome changed hands multiple
times, and most of the cities of Italy were abandoned or fell into a
long period of decline. The impoverishment of Italy and the
weakened Byzantine military made it impossible for the empire to
hold the peninsula. Soon a new Germanic tribe, the Lombards, came
in and conquered most of Italy, though Rome, Naples, and Ravenna
remained isolated pockets of Byzantine control. At the same time,
another new barbarian enemy, the Slavs, appeared from north of the
Danube. They devastated Greece and the Balkans, and in the
absence of strong Byzantine military might, they settled in small
communities in these lands.
9.1.4: The J ustinian Code

Justinian I achieved lasting fame through his judicial reforms,
particularly through the complete revision of all Roman law that was
compiled in what is known today as the Corpus j uris civilis.
Learning Objective
Explain the historical significance of Justinian's legal reforms
Key Points
Shortly after Justinian became emperor in 527, he decided the
empire's legal system needed repair.
Early in his reign, Justinian appointed an official, Tribonian, to
oversee this task.
The project as a whole became known as Corpus juris civilis, or
the Justinian Code.
It consists of the Codex I ustinianus, the Digesta, the
I nstitutiones, and the Novellae.
Many of the laws contained in the Codex were aimed at
regulating religious practice.
The Corpus formed the basis not only of Roman jurisprudence
(including ecclesiastical Canon Law), but also influenced civil
law throughout the Middle Ages and into modern nation states.
Key Terms
Corpus juris civilis
The modern name for a collection of fundamental works in

jurisprudence, issued from 529 to 534 by order of Justinian I,
Eastern Roman Emperor.
Justinian I
A Byzantine emperor from 527 to 565. During his reign, he

sought to revive the empire's greatness and reconquer the lost
western half of the historical Roman Empire; he also enacted
important legal codes.
Byzantine Emperor Justinian I achieved lasting fame through his

judicial reforms, particularly through the complete revision of all
Roman law, something that had not previously been attempted.
There existed three codices of imperial laws and other individual
laws, many of which conflicted or were out of date. The total of
Justinian's legislature is known today as the Corpus j uris civilis.
The work as planned had three parts:

1. Codex : a compilation, by selection and extraction, of imperial
enactments to date, going back to Hadrian in the 2nd century
CE.
2. Digesta: an encyclopedia composed of mostly brief extracts
from the writings of Roman jurists. Fragments were taken out of
various legal treatises and opinions and inserted in the Digesta.
3. I nstitutiones: a student textbook, mainly introducing the Codex ,
although it has important conceptual elements that are less
developed in the Codex or the Digesta.
All three parts, even the textbook, were given force of law. They
were intended to be, together, the sole source of law; reference to
any other source, including the original texts from which the Codex
and the Digesta had been taken, was forbidden. Nonetheless,
Justinian found himself having to enact further laws, and today these
are counted as a fourth part of the Corpus, the Novellae
Constitutiones. As opposed to the rest of the Corpus, the Novellae
appeared in Greek, the common language of the Eastern Empire.
The work was directed by Tribonian, an official in Justinian's court.

His team was authorized to edit what they included. How far they
made amendments is not recorded and, in the main, cannot be
known because most of the originals have not survived. The text was
composed and distributed almost entirely in Latin, which was still the
official language of the government of the Byzantine Empire in 529-
534, whereas the prevalent language of merchants, farmers,
seamen, and other citizens was Greek.
Many of the laws contained in the Codex were aimed at regulating

religious practice, included numerous provisions served to secure
the status of Christianity as the state religion of the empire, uniting
church and state, and making anyone who was not connected to the
Christian church a non-citizen. It also contained laws forbidding
particular pagan practices; for example, all persons present at a
pagan sacrifice may be indicted as if for murder. Other laws, some
influenced by his wife, Theodora, include those to protect prostitutes
from exploitation, and women from being forced into prostitution.
Rapists were treated severely. Further, by his policies, women
charged with major crimes should be guarded by other women to
prevent sexual abuse; if a woman was widowed, her dowry should
be returned; and a husband could not take on a major debt without
his wife giving her consent twice.
J ustinian D igesta
A later copy of Justinian's Digesta: Digestorum, seu Pandectarum
libri q uinq uaginta. Lugduni apud G ulielmum Rouillium, 1581. From
Biblioteca Comunale "Renato Fucini" di Empoli.
A copy of one page from a later copy of the Justinian Code, the
Digesta.
Legacy
The Corpus forms the basis of Latin jurisprudence (including
ecclesiastical Canon Law) and, for historians, provides a valuable
insight into the concerns and activities of the later Roman Empire. As
a collection, it gathers together the many sources in which the laws
and the other rules were expressed or published (proper laws,
senatorial consults, imperial decrees, case law, and jurists' opinions
and interpretations). It formed the basis of later Byzantine law, as
expressed in the Basilika of Basil I and Leo V I the Wise. The only
western province where the Justinian Code was introduced was Italy,
from where it was to pass to western Europe in the 12th century, and
become the basis of much European law code. It eventually passed
to eastern Europe, where it appeared in Slavic editions, and it also
passed on to Russia.
It was not in general use during the Early Middle Ages. After the
Early Middle Ages, interest in it revived. It was "received" or imitated
as private law, and its public law content was quarried for arguments
by both secular and ecclesiastical authorities. The revived Roman
law, in turn, became the foundation of law in all civil law jurisdictions.
The provisions of the Corpus J uris Civilis also influenced the canon
law of the Roman Catholic Church; it was said that ecclesia vivit lege
romana—the church lives by Roman law. Its influence on common
law legal systems has been much smaller, although some basic
concepts from the Corpus have survived through Norman law—such
as the contrast, especially in the Institutes, between "law" (statute)
and custom. The Corpus continues to have a major influence on
public international law. Its four parts thus constitute the foundation
documents of the western legal tradition.
Attributions
Naming of the Byzantine Empire
"Map of Constantinople (1422) by Florentine cartographer
Cristoforo Buondelmonte."
https://commons.wikimedia.org/wiki/File:Map_of_Constantin
ople_(1422)_by_Florentine_cartographer_Cristoforo_Buond
elmonte.jpg. Wikimedia Public domain.
The Eastern Roman Empire, Constantine the Great, and
Byzantium
"Byzantine Empire."
http://en.wikipedia.org/wiki/Byzantine_Empire. Wikipedia
CC BY-SA 3.0.
"Christianity." http://en.wiktionary.org/wiki/Christianity.
"Christianity." http://en.wiktionary.org/wiki/Christianity.
"barbarian definition." http://en.wiktionary.org/wiki/barbarian.
Wiktionary.org CC BY-SA 3.0.
"Constantine I Hagia Sophia."
https://commons.wikimedia.org/wiki/File:Constantine_I_Hag
ia_Sophia.jpg. Wikimedia Public domain.
Justinian and Theodora
"Byzantine Empire."
CC BY-SA 3.0.
"Hagia Sophia." http://en.wiktionary.org/wiki/Hagia_Sophia.
"Aya Sofya."
https://commons.wikimedia.org/wiki/File:Aya_sofya.jpg.
"Justinian 555 AD."
https://commons.wikimedia.org/wiki/File:Justinian555AD.pn
"Justinian."
https://commons.wikimedia.org/wiki/File:Justinian.jpg.
The Justinian Code
"Byzantine Empire under the Justinian dynasty."
https://en.wikipedia.org/wiki/Byzantine_Empire_under_the_
Justinian_dynasty. Wikipedia CC BY-SA 3.0.
"Codex Justinianus."
https://en.wikipedia.org/wiki/Codex_Justinianus. Wikipedia
CC BY-SA 3.0.
"Justinian I."
https://en.wikipedia.org/wiki/Justinian_I# Legislative_activitie
s. Wikipedia CC BY-SA 3.0.
"Byzantine Empire."
https://en.wikipedia.org/wiki/Byzantine_Empire. Wikipedia
CC BY-SA 3.0.
"Corpus Juris Civilis."
https://en.wikipedia.org/wiki/Corpus_Juris_Civilis. Wikipedia
CC BY-SA 3.0.
"Digesto_02.jpg."
https://commons.wikimedia.org/wiki/File:Digesto_02.jpg.
9.2: The Heraclian and Isaurian
Dynasties
9.2.1: Emperor Heracluis
Emperor Heraclius defended the Byzantine Empire from the
Persians, but lost the reconquered land to the Arabs shortly
thereafter.
Learning Objective
Identify the reason for the reduction in size of the Byzantine Empire
Key Points
After Justinian, the Byzantine Empire continued to lose land to
the Persians.
Emperor Heraclius seized the throne in 610 CE, and beat back
the Persians by 628 CE.
However, after Heraclius' victory against the Persians, he had
taken such losses that he was unable to defend the empire
against the Arabs, and so they again lost the lands they had just
reconquered by 641 CE.
Heraclius tried to unite all of the various religious factions within
the empire with a new formula that was more inclusive and more
elastic, called monothelitism, which was eventually deemed
heretical by all factions.
Key Terms
Muhammad
The central figure of Islam, widely regarded as its founder.
Monothelitism
The view that Jesus Christ has two natures but only one will, a
doctrine developed during Heraclius' rule to bring unity to the
Church.
Conflict with the Persians and

Chaos in the Empire
Ever since the fall of the Western Roman Empire, the Eastern
Roman Empire had continued to see western Europe as rightfully
Imperial territory. However, only Justinian I attempted to enforce this
claim with military might. Temporary success in the west was
achieved at the cost of Persian dominance in the east, where the
Byzantines were forced to pay tribute to avert war.
However, after Justinian's death, much of newly recovered Italy fell

to the Lombards, and the V isigoths soon reduced the imperial
holdings in Spain. At the same time, wars with the Persian Empire
brought no conclusive victory. In 591 however, the long war was
ended with a treaty favorable to Byzantium, which gained Armenia.
Thus, after the death of Justinian's successor, Tiberius II, Maurice
sought to restore the prestige of the Empire.
Even though the empire had gained smaller successes over the
Slavs and Avars in pitched battles across the Danube, both
enthusiasm for the army and faith in the government had lessened
considerably. Unrest had reared its head in Byzantine cities as social
and religious differences manifested themselves into Blue and Green
factions that fought each other in the streets. The final blow to the
government was a decision to cut the pay of its army in response to
financial strains. The combined effect of an army revolt led by a
junior officer named Phocas and major uprisings by the Greens and
Blues forced Maurice to abdicate. The Senate approved Phocas as
the new emperor, and Maurice, the last emperor of the Justinian
Dynasty, was murdered along with his four sons.
The Persian King Khosrau II responded by launching an assault on

the empire, ostensibly to avenge Maurice, who had earlier helped
him to regain his throne. Phocas was already alienating his
supporters with his repressive rule (introducing torture on a large
scale), and the Persians were able to capture Syria and
Mesopotamia by 607.
While the Persians were making headway in their conquest of the

eastern provinces, Phocas chose to divide his subjects, rather than
unite them against the threat of the Persians. Perhaps seeing his
defeats as divine retribution, Phocas initiated a savage and bloody
campaign to forcibly convert the Jews to Christianity. Persecutions
and alienation of the Jews, a frontline people in the war against the
Persians helped drive them into aiding the Persian conquerors. As
Jews and Christians began tearing each other apart, some fled the
butchery into Persian territory. Meanwhile, it appears that the
disasters befalling the empire led the emperor into a state of
paranoia.
The Heraclian Dynasty Under

Heraclius
Due to the overwhelming crises that had pitched the empire into
chaos, Heraclius the Younger now attempted to seize power from
Phocas in an effort to better Byzantium's fortunes. As the empire
was led into anarchy, the Exarchate of Carthage remained relatively
out of reach of Persian conquest. Far from the incompetent Imperial
authority of the time, Heraclius, the Exarch of Carthage, with his
brother Gregorius, began building up his forces to assault
Constantinople. In 608, after cutting off the grain supply to the capital
from his territory, Heraclius led a substantial army and a fleet to
restore order in the Empire. The reign of Phocas officially ended in
his execution, and the crowning of Heraclius by the Patriarch of
Constantinople two days later on October 5, 610. After marrying his
wife in an elaborate ceremony and being crowned by the Patriarch,
the 36-year-old Heraclius set out to perform his work as emperor.
The early portion of his reign yielded results reminiscent of Phocas'
reign, with respect to trouble in the Balkans.
To recover from a seemingly endless string of defeats, Heraclius

drew up a reconstruction plan of the military, financing it by fining
those accused of corruption, increasing taxes, and debasing the
currency to pay more soldiers and forced loans.
Instead of facing the waves of invading Persians, he went around

them, sailing over the Black Sea and regrouping in Armenia, where
he found many Christian allies. From there, he invaded the Persian
Empire. By fighting behind enemy lines, he caused the Persians to
retreat from Byzantine lands. He defeated every Persian army sent
against him and then threatened the Persian capital. In a panic, the
Persians killed their king and replaced him with a new ruler who was
willing to negotiate with the Byzantines. In 628 CE, the war ended
with Heraclius' defeat of the Persians.
Emperor Heraclius
A plaque depicting Byzantine Emperor Heraclius overcoming
Persian King Khosrau II, c. 1160-1170 CE.
The Arab Invasion

By this time, it was generally expected by the Byzantine populace
that the emperor would lead Byzantium into a new age of glory.
However, all of Heraclius' achievements would come to naught,
when, in 633, the Byzantine-Arab Wars began.
On June 8, 632, the Islamic Prophet Muhammad died of a fever.

However, the religion he left behind would transform the Middle East.
In 633, the armies of Islam marched out of Arabia with a goal to
spread the word of the prophet, with force if needed. In 634, the
Arabs defeated a Byzantine force sent into Syria and captured
Damascus. The arrival of another large Byzantine army outside
Antioch (some 80,000 troops) forced the Arabs to retreat. The
Byzantines advanced in May 636. However, a sandstorm blew in
against the Byzantines on August 20, 636, and when the Arabs
charged against them, they were utterly annihilated.
Jerusalem surrendered to the Arabs in 637, following a stout

resistance; in 638, the Caliph Omar rode into the city. Heraclius
stopped by Jerusalem to recover the True Cross whilst it was under
siege. The Arab invasions are seen by some historians as the start
of the decline of the Byzantine Empire. Only parts of Syria and Cilicia
would be recovered.
Religious Controversy
The recovery of the eastern areas of the Roman Empire from the
Persians during the early phase of Heraclius' rule raised the
problem of religious unity centering on the understanding of the true
nature of Christ. Most of the inhabitants of these provinces were
Monophysites who rejected the Council of Chalcedon of 451. The
Chalcedonian Definition of Christ as being of two natures, divine and
temporal, maintains that these two states remain distinct within the
person of Christ and yet come together within his one true
substance. This position was opposed by the Monophysites, who
held that Christ possessed one nature only; the human and divine
natures of Christ were fused into one new single (mono) nature. This
internal division was dangerous for the Byzantine Empire, which was
under constant threat from external enemies, many of whom were in
favor of Monophysitism, people on the periphery of the Empire who
also considered the religious hierarchy at Constantinople to be
heretical and only interested in crushing their faith.
Heraclius tried to unite all of the various factions within the empire
with a new formula that was more inclusive and more elastic. With
the successful conclusion to the Persian War, Heraclius would
devote more time to promoting his compromise.
The patriarch Sergius came up with a formula, which Heraclius

released as the Ecthesis in 638. It forbade all mention of Christ
possessing one or two energies, that is, one or two wills; instead, it
now proclaimed that Christ, while possessing two natures, had but a
single will. This approach seemed to be an acceptable compromise,
and it secured widespread support throughout the east. The two
remaining patriarchs in the east also gave their approval to the
doctrine, now referred to as Monothelitism, and so it looked as if
Heraclius would finally heal the divisions in the imperial church.
Unfortunately, he had not counted on the popes at Rome. During

that same year of 638, Pope Honorius I had died. His successor,
Pope Severinus (640), condemned the Ecthesis outright, and so was
forbidden his seat until 640. His successor, Pope John IV (640-42),
also rejected the doctrine completely, leading to a major schism
between the eastern and western halves of the Chalcedonian
Church. When news reached Heraclius of the pope’s condemnation,
he was already old and ill, and the news only hastened his death,
declaring with his dying breath that the controversy was all due to
Sergius, and that the patriarch had pressured him to give his
unwilling approval to the Ecthesis.
9.2.2: The Theme System

The Byzantine-Arab wars wrought havoc on the Byzantine Dynasty,
but led to the creation of the highly efficient military theme system.
Learning Objective
Diagram the Byzantine military and social structure under Heraclius
Key Points
In the Byzantine-Arab wars of the Heraclian Dynasty, the Arabs
nearly destroyed the Byzantine Empire altogether.
In order to fight back, the Byzantines created a new military
system, known as the theme system, in which land was granted
to farmers who, in return, would provide the empire with loyal
soldiers. The efficiency of this system allowed the dynasty to
keep hold of Asia Minor.
The Arabs were finally repulsed through the use of Greek fire,
but Constantinople had decreased massively in size, due to
relocation.
The empire was now poorer and society was dominated by the
military, as a result of the many Arab invasions.
Key Terms
theme system
A new military system created during the Heraclian Dynasty of

the Byzantine Empire, in which land was granted to farmers
who, in return, would provide the empire with loyal soldiers.
Similar to the feudal system of medieval western Europe.
Greek fire
A military weapon invented during the Byzantine Heraclian

Dynasty; flaming projectiles that could burn while floating on
water, and thus could be used for naval warfare.
cosmopolitan
A city/place or person that embraces multicultural

demographics.
Caliphate
Islamic state led by a supreme religious and political leader,

known as a caliph (i.e., "successor") to Muhammad and the
other prophets of Islam.
The themes (themata in Greek) were the main administrative

divisions of the middle Byzantine Empire. They were established in
the mid-7th century in the aftermath of the Slavic invasion of the
Balkans, and Muslim conquests of parts of Byzantine territory. The
themes replaced the earlier provincial system established by
Diocletian and Constantine the Great. In their origin, the first themes
were created from the areas of encampment of the field armies of
the East Roman army, and their names corresponded to the military
units that had existed in those areas. The theme system reached its
apogee in the 9th and 10th centuries, as older themes were split up
and the conquest of territory resulted in the creation of new ones.
The original theme system underwent significant changes in the 11th
and 12th centuries, but the term remained in use as a provincial and
financial circumscription, until the very end of the empire.
Background
During the late 6th and early 7th centuries, the Eastern Roman
Empire was under frequent attack from all sides. The successors of
Heraclius had to fight a desperate war against the Arabs in order to
keep them from conquering the entire Byzantine Empire; these
conflicts were known as the Byzantine-Arab wars. The Arab
invasions were unlike any other threat the Byzantines ever faced.
Fighting a zealous holy war for Islam, the Arabs defeated army after
army of the Byzantines, and nearly destroyed the empire. Egypt fell
to the Arabs in 642 CE, and Carthage as well in 647 CE, and the
Eastern Mediterranean slightly later. From 674-678 CE the Arabs
laid siege to Constantinople itself.
In order to survive and fight back, the Byzantines created a new

military system, known as the theme system. Abandoning the
professional army inherited from the Roman past, the Byzantines
granted land to farmers who, in return, would provide the empire with
loyal soldiers. This was similar to the feudal system in medieval
western Europe, but it differed in one important way—in the
Byzantine theme system, the state continued to own the land, and
simply leased it in exchange for service, whereas in the feudal
system ownership of the lands was given over entirely to vassals.
This efficiency of the theme system allowed the dynasty to keep hold
of the imperial heartland of Asia Minor.
Thus, by the turning of the 8th century, the themes had become the
dominant feature of imperial administration. Their large size and
power, however, made their generals prone to revolt, as had been
evidenced in the turbulent period 695-715, and would again during
the great revolt of Artabasdos in 741-742.
The Theme System

Map depicting the locations of the themes established during the
Heraclian Dynasty of the Byzantine Empire.
The map shows, from northwest to northeast, Opskikion, Optimatoi,

Bucellarians, and Armeniacs. To the south, it shows Thracesians in
the west and Anatolic in the east. South of that, is shows
Cibyrrhaeots.
Despite the prominence of the themes, it was some time before they
became the basic unit of the imperial administrative system.
Although they had become associated with specific regions by the
early 8th century, it took until the end of the 8th century for the civil
fiscal administration to begin being organized around them, instead
of following the old provincial system. This process, resulting in
unified control over both military and civil affairs of each theme by its
strategos, was complete by the mid-9th century, and is the
"classical" thematic model.
Structure of the Themes

The term theme was ambiguous, referring both to a form of military
tenure and to an administrative division. A theme was an
arrangement of plots of land given for farming to the soldiers. The
soldiers were still technically a military unit, under the command of a
strategos, and they did not own the land they worked, as it was still
controlled by the state. Therefore, for its use the soldiers' pay was
reduced. By accepting this proposition, the participants agreed that
their descendants would also serve in the military and work in a
theme, thus simultaneously reducing the need for unpopular
conscription, as well as cheaply maintaining the military. It also
allowed for the settling of conquered lands, as there was always a
substantial addition made to public lands during a conquest.
The commander of a theme, however, did not only command his

soldiers. He united the civil and military jurisdictions in the territorial
area in question. Thus the division set up by Diocletian between civil
governors (praesides) and military commanders (duces) was
abolished, and the empire returned to a system much more similar to
that of the Republic or the Principate, where provincial governors
had also commanded the armies in their area.
Consequences of the Theme

System
Early on, Heraclius had proven himself to be an excellent Emperor—
his reorganization of the empire into themes allowed the Byzantines
to extract as much as they possibly could to increase their military
potential. This became essential after 650, when the Islamic
Caliphate was far more resourceful and powerful then the
Byzantines were. As a result, a high level of efficiency was needed
to combat the Arabs, achieved in part due to the theme system.
The Arabs were finally repulsed through the use of Greek fire,
flaming projectiles that could burn while floating on water, and thus,
could be used for naval warfare. Greek fire was a closely guarded
state secret, a secret that has since been lost. The composition of
Greek fire remains a matter of speculation and debate, with
proposals including combinations of pine resin, naphtha, quicklime,
sulfur, or niter. Byzantine use of incendiary mixtures was especially
effective, thanks to the use of pressurized nozzles or siphō n to
project the liquid onto the enemy. The Arab-Muslim navies eventually
adapted to their use. Under constant threat of attack, Constantinople
had dropped substantially in size, due to relocation, from 500,000 to
40,000-70,000.
Greek Fire
Image from an illuminated manuscript (the Skylitzes manuscript)
showing the Byzantine Navy's use of Greek fire against the fleet of
the rebel Thomas the Slav, c. 12th century CE. The caption above
the left ship reads "the fleet of the Romans setting ablaze the fleet of
the enemies."
By the end of the Heraclian Dynasty in 711 CE, the empire had
transformed from the Eastern Roman Empire, with its urbanized,
cosmopolitan civilization, to the medieval Byzantine Empire, an
agrarian, military-dominated society in a lengthy struggle with the
Muslims. The loss of the empire's richest provinces, coupled with
successive invasions, had reduced the imperial economy to a
relatively impoverished state, compared to the resources available to
the Caliphate. The monetary economy persisted, but the barter
economy experienced a revival as well. However, this state was also
far more homogeneous than the Eastern Roman Empire; the borders
had shrunk, such that many of the Latin-speaking territories were
lost and the dynasty was reduced to its mostly Greek-speaking
territories. This enabled it to weather these storms and enter a
period of stability under the next dynasty, the Isaurian Dynasty.
9.2.3: The Isaurian Dynasty

The Isaurian Dynasty is characterized by relative political stability,
after an important defeat of the Arabs by Leo III, and Iconoclasm,
which resulted in considerable internal turmoil.
Learning Objective
Describe governmental and religious changes that occured during
the Isaurian Dynasty
Key Points
The Isaurian Dynasty, founded by Leo III, was a time of relative
stability, compared to the constant warfare against the Arabs
that characterized the preceding Heraclian Dynasty.
However, the Bulgars, a nomadic tribe, rose up in Europe and
took some Byzantine lands.
The Isaurian Dynasty is chiefly associated with Byzantine
Iconoclasm, an attempt to restore divine favor by purifying the
Christian faith from excessive adoration of icons, which resulted
in considerable internal turmoil.
The Second Arab siege of Constantinople in 717-718 was an
unsuccessful offensive by the Muslim Arabs of the Umayyad
Caliphate against the capital city of the Byzantine Empire,
Constantinople.
The outcome of the siege was of considerable macrohistorical
importance; the Byzantine capital's survival preserved the
empire as a bulwark against Islamic expansion into Europe until
the 15th century, when it fell to the Ottoman Turks.
By the end of the Isaurian Dynasty in 802 CE, the Byzantines
were continuing to fight the Arabs and the Bulgars, and the
empire had been reduced from a Mediterranean-wide empire to
only Thrace and Asia Minor.
Key Terms
iconoclasm
The deliberate destruction within a culture of the culture's own

religious icons and other symbols or monuments, usually for
religious or political motives. It is a frequent component of major
political or religious changes.
Bulgars
A nomadic tribe related to the Huns; they presented a threat to

The Byzantine Empire was ruled by the Isaurian or Syrian Dynasty

from 717-802. The Isaurian emperors were successful in defending
and consolidating the empire against the Caliphate after the
onslaught of the early Muslim conquests, but were less successful in
Europe, where they suffered setbacks against the Bulgars, had to
give up the Exarchate of Ravenna, and lost influence over Italy and
the Papacy to the growing power of the Franks.
The Isaurian Dynasty is chiefly associated with Byzantine

Iconoclasm, an attempt to restore divine favor by purifying the
Christian faith from excessive adoration of icons, which resulted in
considerable internal turmoil.
By the end of the Isaurian Dynasty in 802, the Byzantines were

continuing to fight the Arabs and the Bulgars for their very existence,
with matters made more complicated when Pope Leo III crowned
Charlemagne I mperator Romanorum ("Emperor of the Romans"),
which was seen as making the Carolingian Empire the successor to
the Roman Empire, or at least the western half.
Leo III, who would become the founder of the so-called Isaurian
Dynasty, was actually born in Germanikeia in northern Syria c. 685;
his alleged origin from Isauria derives from a reference in
Theophanes the Confessor, which may be a later addition. After
being raised to spatharios by Justinian II, he fought the Arabs in
Abasgia, and was appointed as strategos of the Anatolics by
Anastasios II. Following the latter's fall in 716, Leo allied himself with
Artabasdos, the general of the Armeniacs, and was proclaimed
emperor while two Arab armies campaigned in Asia Minor. Leo
averted an attack by Maslamah through clever negotiations, in which
he promised to recognize the Caliph's suzerainty. However, on
March 25, 717, he entered Constantinople and deposed Theodosios.
Leo III's Rule

Having preserved the empire from extinction by the Arabs, Leo
proceeded to consolidate its administration, which in the previous
years of anarchy had become completely disorganized. In 718, he
suppressed a rebellion in Sicily and in 719 did the same on behalf of
the deposed Emperor Anastasios II.
Leo secured the empire's frontiers by inviting Slavic settlers into the
depopulated districts, and by restoring the army to efficiency; when
the Umayyad Caliphate renewed their invasions in 726 and 739, as
part of the campaigns of Hisham ibn Abd al-Malik, the Arab forces
were decisively beaten, particularly at Akroinon in 740. His military
efforts were supplemented by his alliances with the Khazars and the
Georgians.
Leo undertook a set of civil reforms, including the abolition of the

system of prepaying taxes, which had weighed heavily upon the
wealthier proprietors; the elevation of the serfs into a class of free
tenants; and the remodeling of family, maritime law, and criminal law,
notably substituting mutilation for the death penalty in many cases.
The new measures, which were embodied in a new code called the
Ecloga (Selection), published in 726, met with some opposition on
the part of the nobles and higher clergy. The emperor also undertook
some reorganization of the theme structure by creating new themata
in the Aegean region.
Byz antine Coin

A gold coin, or solidus, engraved with the emperors of the Byzantine
Isaurian Dynasty, from c. 780 CE. Left: Leo IV with his son
Constantine V I; Right: Leo III with his son Constantine V on the
reverse.
The Siege of Constantinople

The Second Arab siege of Constantinople in 717-718 was a
combined land and sea offensive by the Muslim Arabs of the
Umayyad Caliphate against the capital city of the Byzantine Empire,
Constantinople. The campaign marked the culmination of twenty
years of attacks and progressive Arab occupation of the Byzantine
borderlands, while Byzantine strength was sapped by prolonged
internal turmoil. In 716, after years of preparations, the Arabs, led by
Maslama ibn Abd al-Malik, invaded Byzantine Asia Minor. The Arabs
initially hoped to exploit Byzantine civil strife, and made common
cause with the general Leo III the Isaurian, who had risen up against
Emperor Theodosius III. Leo, however, tricked them and secured the
Byzantine throne for himself.
After wintering in the western coastlands of Asia Minor, the Arab

army crossed into Thrace in early summer 717 and built siege lines
to blockade the city, which was protected by the massive
Theodosian Walls. The Arab fleet, which accompanied the land army
and was meant to complete the city's blockade by sea, was
neutralized soon after its arrival by the Byzantine navy through the
use of Greek fire. This allowed Constantinople to be resupplied by
sea, while the Arab army was crippled by famine and disease during
the unusually hard winter that followed. In spring 718, two Arab fleets
sent as reinforcements were destroyed by the Byzantines after their
Christian crews defected, and an additional army sent overland
through Asia Minor was ambushed and defeated. Coupled with
attacks by the Bulgars on their rear, the Arabs were forced to lift the
siege on August 15, 718. On its return journey, the Arab fleet was
almost completely destroyed by natural disasters and Byzantine
attacks.
The Arab failure was chiefly logistical, as they were operating too far
from their Syrian bases, but the superiority of the Byzantine navy
through the use of Greek fire, the strength of Constantinople's
fortifications, and the skill of Leo III in deception and negotiations,
also played important roles.
The siege's failure had wide-ranging repercussions. The rescue of

Constantinople ensured the continued survival of Byzantium, while
the Caliphate's strategic outlook was altered: although regular
attacks on Byzantine territories continued, the goal of outright
conquest was abandoned. Historians consider the siege to be one of
history's most important battles, as its failure postponed the Muslim
advance into Southeastern Europe for centuries. The Byzantine
capital's survival preserved the empire as a bulwark against Islamic
expansion into Europe until the 15th century, when it fell to the
Ottoman Turks. Along with the Battle of Tours in 732, the successful
defense of Constantinople has been seen as instrumental in
stopping Muslim expansion into Europe.
9.2.4: Iconoclasm in Byz antium

The Byzantine Iconoclasm was the banning of the worship of
religious images, a movement that sparked internal turmoil.
Learning Objective
Understand the reasoning and events that led to iconoclasm
Key Points
Isaurian Emperor Leo III interpreted his many military failures as
a judgment on the empire by God, and decided that it was being
judged for the worship of religious images. He banned religious
images in about 730 CE, the beginning of the Byzantine
Iconoclasm.
At the Council of Hieria in 754 CE, the Church endorsed an
iconoclast position and declared image worship to be
blasphemy.
At the Second Council of Nicaea in 787 CE, the decrees of the
previous iconoclast council were reversed and image worship
was restored, marking the end of the First Iconoclasm.
Emperor Leo V instituted a second period of iconoclasm in 814
CE, again possibly motivated by military failures seen as
indicators of divine displeasure, but only a few decades later, in
842 CE, icon worship was again reinstated.
Key Terms
iconoclasm
The deliberate destruction within a culture of the culture's own

religious icons and other symbols or monuments.
Council of Hieria
The first church council concerned with religious imagery. On

behalf of the church, the council endorsed an iconoclast position
and declared image worship to be blasphemy.
Second Council of Nicaea
This council reversed the decrees of the Council of Hieria and

restored image worship, marking the end of the First Byzantine
Iconoclasm.
Iconoclasm, Greek for "image-breaking," is the deliberate destruction

within a culture of the culture's own religious icons and other
symbols or monuments. Iconoclasm is generally motivated by an
interpretation of the Ten Commandments that declares the making
and worshipping of images, or icons, of holy figures (such as Jesus
Christ, the V irgin Mary, and saints) to be idolatry and therefore
blasphemy.
Most surviving sources concerning the Byzantine Iconoclasm were

written by the victors, or the iconodules (people who worship
religious images), so it is difficult to obtain an accurate account of
events. However, the Byzantine Iconoclasm refers to two periods in
the history of the Byzantine Empire when the use of religious images
or icons was opposed by religious and imperial authorities. The "First
Iconoclasm," as it is sometimes called, lasted between about 730 CE
and 787 CE, during the Isaurian Dynasty. The "Second Iconoclasm"
was between 814 CE and 842 CE. The movement was triggered by
changes in Orthodox worship that were themselves generated by the
major social and political upheavals of the seventh century for the
Byzantine Empire.
Byz antine Iconoclasm

A depiction of the destruction of a religious image under the
Byzantine Iconoclasm, by Chludov Psalter, 9th century CE.
Causes
Traditional explanations for Byzantine Iconoclasm have sometimes
focused on the importance of Islamic prohibitions against images
influencing Byzantine thought. According to Arnold J. Toynbee, for
example, it was the prestige of Islamic military successes in the 7th
and 8th centuries that motivated Byzantine Christians to adopt the
Islamic position of rejecting and destroying idolatrous images. The
role of women and monks in supporting the veneration of images
has also been asserted. Social and class-based arguments have
been put forward, such as the assertion that iconoclasm created
political and economic divisions in Byzantine society, and that it was
generally supported by the eastern, poorer, non-Greek peoples of
the empire who had to constantly deal with Arab raids. On the other
hand, the wealthier Greeks of Constantinople, and also the peoples
of the Balkan and Italian provinces, strongly opposed iconoclasm. In
recent decades in Greece, iconoclasm has become a favorite topic
of progressive and Marxist historians and social scientists, who
consider it a form of medieval class struggle and have drawn
inspiration from it. Re-evaluation of the written and material evidence
relating to the period of Byzantine Iconoclasm by scholars, including
John Haldon and Leslie Brubaker, has challenged many of the basic
assumptions and factual assertions of the traditional account.
The First Iconoclasm: Leo III

The seventh century had been a period of major crisis for the
Byzantine Empire, and believers had begun to lean more heavily on
divine support. The use of images of the holy increased in Orthodox
worship, and these images increasingly came to be regarded as
points of access to the divine. Leo III interpreted his many military
failures as a judgment on the empire by God, and decided that they
were being judged for their worship of religious images.
Emperor Leo III, the founder of the Isaurian Dynasty, and the
iconoclasts of the eastern church, banned religious images in about
730 CE, claiming that worshiping them was heresy; this ban
continued under his successors. He accompanied the ban with
widespread destruction of religious images and persecution of the
people who worshipped them.
The western church remained firmly in support of the use of images

throughout the period, and the whole episode widened the growing
divergence between the eastern and western traditions in what was
still a unified church, as well as facilitating the reduction or removal
of Byzantine political control over parts of Italy.
Leo died in 741 CE, and his son and heir, Constantine V , furthered
his views until the end of his own rule in 775 CE. In 754 CE,
Constantine summoned the first ecumenical council concerned with
religious imagery, the Council of Hieria; 340 bishops attended. On
behalf of the church, the council endorsed an iconoclast position and
declared image worship to be blasphemy. John of Damascus, a
Syrian monk living outside Byzantine territory, became a major
opponent of iconoclasm through his theological writings.
The Brief Return of Icon

W orship
After the death of Constantine's son, Leo IV (who ruled from 775 CE-
780 CE), his wife, Irene, took power as regent for her son,
Constantine V I (who ruled from 780 CE-97 CE). After Leo IV too
died, Irene called another ecumenical council, the Second Council of
Nicaea, in 787 CE, that reversed the decrees of the previous
iconoclast council and restored image worship, marking the end of
the First Iconoclasm. This may have been an attempt to soothe the
strained relations between Constantinople and Rome.
The Second Iconoclasm ( 8 14

CE-8 42 CE)
Emperor Leo V the Armenian instituted a second period of
Iconoclasm in 814 CE, again possibly motivated by military failures
seen as indicators of divine displeasure. The Byzantines had
suffered a series of humiliating defeats at the hands of the Bulgarian
Khan Krum. It was made official in 815 CE at a meeting of the clergy
in the Hagia Sophia. But only a few decades later, in 842 CE, the
regent Theodora again reinstated icon worship.
9.2.5 : The Emperor Irene
Irene of Athens, the first woman emperor of the Byzantine Empire,
fought for recognition as imperial leader throughout her rule, and is
best known for ending the First Iconoclasm in the Eastern Church.
Learning Objective
Analyze the significance of Emperor Irene
Key Points
Irene of Athens was an orphan from a noble family, and was
married to the son of the current emperor, Leo IV , in 768.
When Leo died in 780, Irene became regent for their nine-year-
old son, Constantine, who was too young to rule as emperor,
thereby giving her administrative control over the empire.
As imperial regent, Irene subdued rebellions and fought the
Arabs with mixed success. She also ended the First Iconoclasm
in the Eastern Church.
When Constantine became old enough to become emperor
proper, he eventually rebelled against Irene, although he let her
keep the title of empress.
Soon after, Irene organized her own rebellion and eventually
killed her son, thereby claiming sole rulership over the empire as
empress, the first woman to have that title in the empire.
Although it is often asserted that, as monarch, Irene called
herself "emperor" rather than "empress," in fact she used
"empress" in most of her documents, coins, and seals.
The pope would not recognize a woman as ruler, and in 800,
crowned Charlemagne as imperial ruler over the entire Roman
territory, including Byzantium.
Charlemagne did not attempt to rule Byzantium, but relations
between the two empires remained difficult.
Irene was eventually deposed by her finance minister.
Key Terms
regent
A person appointed to administer a state because the monarch

is a minor, is absent, or is incapacitated.
strategos
A military governor in the Byzantine Empire.
Iconoclasm
The destruction of religious icons, and other images or

monuments, for religious or political motives.
Irene of Athens (c. 752-803 CE) was Byzantine empress from 797 to
802. Before that, Irene was empress consort from 775 to 780, and
empress dowager and regent from 780 to 797. She is best known for
ending iconoclasm.
Empress Irene
Image from "Pala d'Oro," V enice, c. 10th century.
A Byzantine painting of Empress Irene. She wears a crown, holds a

staff, and is surrounded by a dome of gold.
Early Life
Irene was related to the noble Greek Sarantapechos family of
Athens. Although she was an orphan, her uncle or cousin,
Constantine Sarantapechos, was a patrician and was possibly the
strategos of the theme of Hellas at the end of the 8th century. She
was brought to Constantinople by Emperor Constantine V on
November 1, 768, and was married to his son, Leo IV , on December
17.
On 14 January 771, Irene gave birth to a son, the future Constantine

V I. When Constantine V died in September 775, Leo succeeded to
the throne at the age of twenty-five years. Leo, though an iconoclast,
pursued a policy of moderation towards iconodules, but his policies
became much harsher in August 780, when a number of courtiers
were punished for venerating icons. According to tradition, he
discovered icons concealed among Irene's possessions and refused
to share the marriage bed with her thereafter. Nevertheless, when
Leo died on September 8, 780, Irene became regent for their nine-
year-old son, Constantine, thereby giving her administrative control
over the empire.
Regency
Irene was almost immediately confronted with a conspiracy that tried
to raise Caesar Nikephoros, a half-brother of Leo IV , to the throne.
To overcome this challenge, she had Nikephoros and his co-
conspirators ordained as priests, a status which disqualified them
from ruling.
As early as 781, Irene began to seek a closer relationship with the

Carolingian Dynasty and the Papacy in Rome. She negotiated a
marriage between her son, Constantine, and Rotrude, a daughter of
Charlemagne by his third wife, Hildegard. During this time,
Charlemagne was at war with the Saxons, and would later become
the new king of the Franks. Irene went as far as to send an official to
instruct the Frankish princess in Greek; however, Irene herself broke
off the engagement in 787, against her son's wishes.
Irene next had to subdue a rebellion led by Elpidius, the strategos of
Sicily. Irene sent a fleet, which succeeded in defeating the Sicilians.
Elpidius fled to Africa, where he defected to the Abbasid Caliphate.
After the success of Constantine V 's general, Michael
Lachanodrakon, who foiled an Abbasid attack on the eastern
frontiers, a huge Abbasid army under Harun al-Rashid invaded
Anatolia in summer 782. The strategos of the Bucellarian Theme,
Tatzates, defected to the Abbasids, and Irene, in exchange for a
three-year truce, had to agree to pay an annual tribute of 70,000 or
90,000 dinars to the Abbasids, give them 10,000 silk garments, and
provide them with guides, provisions, and access to markets during
their withdrawal.
Ending Iconoclasm
Irene's most notable act was the restoration of the veneration of
icons, thereby ending the First Iconoclasm of the Eastern Church.
Having chosen Tarasios, one of her partisans and her former
secretary, as Patriarch of Constantinople in 784, she summoned two
church councils. The first of these, held in 786 at Constantinople,
was frustrated by the opposition of the iconoclast soldiers. The
second, convened at Nicaea in 787, formally revived the veneration
of icons and reunited the Eastern Church with that of Rome.
While this greatly improved relations with the Papacy, it did not
prevent the outbreak of a war with the Franks, who took over Istria
and Benevento in 788. In spite of these reverses, Irene's military
efforts met with some success: in 782 her favored courtier,
Staurakios, subdued the Slavs of the Balkans and laid the
foundations of Byzantine expansion and re-Hellenization in the area.
Nevertheless, Irene was constantly harried by the Abbasids, and in
782 and 798, had to accept the terms of the respective Caliphs Al-
Mahdi and Harun al-Rashid.
Rule as Empress
As Constantine approached maturity, he began to grow restless
under her autocratic sway. An attempt to free himself by force was
met and crushed by the empress, who demanded that the oath of
fidelity should thenceforward be taken in her name alone. The
discontent that this occasioned swelled in 790 into open resistance,
and the soldiers, headed by the army of the Armeniacs, formally
proclaimed Constantine V I as the sole ruler.
A hollow semblance of friendship was maintained between

Constantine and Irene, whose title of empress was confirmed in 792;
however, the rival factions remained, and in 797, Irene, by cunning
intrigues with the bishops and courtiers, organized a conspiracy on
her own behalf. Constantine could only flee for aid to the provinces,
but even there participants in the plot surrounded him. Seized by his
attendants on the Asiatic shore of the Bosphorus, Constantine was
carried back to the palace at Constantinople. His eyes were gouged
out, and according to most contemporary accounts, he died from his
wounds a few days later, leaving Irene to be crowned as first
empress regnant of Constantinople.
As empress, Irene made determined efforts to stamp out iconoclasm

everywhere in the empire, including within the ranks of the army.
During Irene's reign, the Arabs were continuing to raid into and
despoil the small farms of the Anatolian section of the empire. These
small farmers of Anatolia owed a military obligation to the Byzantine
throne. Indeed, the Byzantine army and the defense of the empire
was largely based on this obligation and the Anatolian farmers. The
iconodule (icon worship) policy drove these farmers out of the army,
and thus off their farms. Thus, the army was weakened and was
unable to protect Anatolia from the Arab raids. Many of the
remaining farmers of Anatolia were driven from the farm to settle in
the city of Byzantium, further reducing the army's ability to raise
soldiers. Additionally, the abandoned farms fell from the tax rolls and
reduced the amount of income that the government received. These
farms were taken over by the largest land owner in the Byzantine
Empire, the monasteries. To make the situation even worse, Irene
had exempted all monasteries from all taxation.
Given the financial ruin into which the empire was headed, it was no
wonder, then, that Irene was, eventually, deposed by her own
minister of finance. The leader of this successful revolt against Irene
replaced her on the Byzantine throne under the name Nicephorus I.
Although it is often asserted that, as monarch, Irene called herself

"basileus" (emperor), rather than "basilissa" (empress), in fact there
are only three instances where it is known that she used the title
"basileus": two legal documents in which she signed herself as
"Emperor of the Romans," and a gold coin of hers found in Sicily
bearing the title of "basileus." She used the title "basilissa" in all
other documents, coins, and seals.
Relationship with the

Carolingian Empire
Irene's unprecedented position as an empress ruling in her own right
was emphasized by the coincidental rise of the Carolingian Empire in
western Europe, which rivaled Irene's Byzantium in size and power.
In 800, Charlemagne was crowned emperor by Pope Leo III, on
Christmas Day. The clergy and nobles attending the ceremony
proclaimed Charlemagne as "Emperor of the Roman Empire." In
support of Charlemagne's coronation, some argued that the imperial
position was actually vacant, deeming a woman unfit to be emperor.
However, Charlemagne made no claim to the Byzantine Empire.
Relations between the two empires remained difficult.
Attributions
Emperor Heracluis
"Byzantine Empire under the Heraclian dynasty."
http://en.wikipedia.org/wiki/Byzantine_Empire_under_the_H
eraclian_dynasty. Wikipedia CC BY-SA 3.0.
"Monothelitism." https://en.wikipedia.org/wiki/Monothelitism.
"Byzantine Empire."
CC BY-SA 3.0.
"Coup." http://en.wiktionary.org/wiki/coup. Wiktionary CC
BY-SA 3.0.
"Cherub plaque Louvre."
https://commons.wikimedia.org/wiki/File:Cherub_plaque_Lo
uvre_MRR245_n2.jpg. Wikimedia Public domain.
The Theme System
"Byzantine Empire under the Heraclian dynasty."
http://en.wikipedia.org/wiki/Byzantine_Empire_under_the_H
eraclian_dynasty. Wikipedia CC BY-SA 3.0.
"Byzantine Empire."
CC BY-SA 3.0.
"Caliphate." http://en.wikipedia.org/wiki/Caliphate.
"Byzantine Empire Themata."
https://commons.wikimedia.org/wiki/File:Byzantine_Empire_
Themata-750-en.svg. Wikimedia Public domain.
"Greekfire Madridskylitzes1."
https://commons.wikimedia.org/wiki/File:Greekfire-
madridskylitzes1.jpg. Wikimedia Public domain.
The Isaurian Dynasty
"Iconoclasm." http://en.wikipedia.org/wiki/Iconoclasm.
"Byzantine Empire."
CC BY-SA 3.0.
"Byzantine Empire under the Isaurian dynasty."
http://en.wikipedia.org/wiki/Byzantine_Empire_under_the_Is
aurian_dynasty. Wikipedia CC BY-SA 3.0.
"Leo IV Constantine V I Coin."
https://commons.wikimedia.org/wiki/File:Leo_iv_constantine
_vi_coin.jpg. Wikimedia GNU FDL 1.2.
Iconoclasm in Byzantium
"Byzantine Empire."
CC BY-SA 3.0.
"Byzantine Iconoclasm."
http://en.wikipedia.org/wiki/Byzantine_iconoclasm.
"iconoclasm." http://en.wiktionary.org/wiki/iconoclasm.
"Clasm Chludov detail 9th century."
https://commons.wikimedia.org/wiki/File:Clasm_Chludov_d
etail_9th_century.jpg. Wikimedia Public domain.
The Emperor Irene
"Regent." https://en.wikipedia.org/wiki/Regent. Wikipedia
CC BY-SA 3.0.
"History of the Byzantine Empire."
https://en.wikipedia.org/wiki/History_of_the_Byzantine_Emp
ire. Wikipedia CC BY-SA 3.0.
"Irene of Athens."
https://en.wikipedia.org/wiki/Irene_of_Athens. Wikipedia CC
BY-SA 3.0.
"Irina_(_Pala_d'Oro).jpg."
https://en.wikipedia.org/wiki/Irene_of_Athens# /media/File:Iri
na_(_Pala_d%27Oro).jpg. Wikipedia CC BY-SA 3.0.
9.3: The Late Byz antine Empire
9.3.1: The Macedonian Dynasty
The Macedonian Dynasty saw expansion and the Byzantine
Renaissance, but also instability, due to competition among nobles in
the theme system.
Learning Objective
Discuss hegemony under the Macedonian Dynasty
Key Points
Shortly after the extended controversy over the Byzantine
Iconoclasm, the Byzantine Empire would recover under the
Macedonian Dynasty, starting in 867 CE.
The Macedonian Dynasty saw the Byzantine Renaissance, a
time of increased interest in classical scholarship and the
assimilation of classical motifs into Christian artwork.
The empire also expanded during this period, conquering Crete,
Cyprus, and most of Syria.
However, the Macedonian Dynasty also saw increasing
dissatisfaction and competition for land among nobles in the
theme system, which weakened the authority of the emperors
and led to instability.
Key Term
Byzantine Renaissance
The time during the Macedonian Dynasty when art, literature,
science, and philosophy flourished.
Emperor Basil I
Shortly after the extended controversy over iconoclasm, which more
or less ended (at least in the east) with the regent Theodora
reinstating icon worship in 842 CE, Emperor Basil I founded a new
dynasty, the Macedonian Dynasty, in 867 CE. Basil was born a
simple peasant in the Byzantine theme of Macedonia; he rose in the
Imperial Court, and usurped the imperial throne from Emperor
Michael III (r. 842-867). Despite his humble origins, he showed great
ability in running the affairs of state, leading to a revival of imperial
power and a renaissance of Byzantine art. He was perceived by the
Byzantines as one of their greatest emperors, and the Macedonian
Dynasty ruled over what is regarded as the most glorious and
prosperous era of the Byzantine Empire.
It was under this dynasty that the Byzantine Empire would recover
from its previous turmoil, and become the most powerful state in the
medieval world. This was also a period of cultural and artistic
flowering in the Byzantine world. The cities of the empire expanded,
and affluence spread across the provinces because of the new-
found security. The population rose, and production increased,
stimulating new demand, while also helping to encourage trade. The
iconoclast movement experienced a steep decline; the decline was
advantageous to the emperors who had softly suppressed
iconoclasm, and to the reconciliation of the religious strife that had
drained the imperial resources in the previous centuries.
Emperor Basil I
A depiction of Byzantine Emperor Basil I, of the Macedonian
Dynasty, on horseback.
Macedonian Renaissance
The time of the Macedonian Dynasty's rule over the Byzantine
Empire is sometimes called the Byzantine Renaissance or the
Macedonian Renaissance. A long period of military struggle for
survival had recently dominated the life of the Byzantine Empire, but
the Macedonians ushered in an age when art and literature once
again flourished. The classical Greco-Roman heritage of Byzantium
was central to the writers and artists of the period. Byzantine
scholars, most notably Leo the Mathematician, read the scientific
and philosophical works of the ancient Greeks and expanded upon
them. Artists adopted their naturalistic style and complex techniques
from ancient Greek and Roman art, and mixed them with Christian
themes. Byzantine painting from this period would have a strong
influence on the later painters of the Italian Renaissance.
Political and Religious
Ex pansion
The Macedonian Dynasty also oversaw the expansion of the
Byzantine Empire, which went on the offensive against its enemies.
For example, Emperor Nikephoros II Phokas (who ruled from 912
CE-969 CE) pursued an aggressive policy of expansion. Before
rising to the throne, he had conquered Crete from the Muslims, and
as emperor he led the conquest of Cyprus and most of Syria.
The Macedonian period also included events of momentous religious

significance. The conversion of the Bulgarians, Serbs, and Rus' to
Orthodox Christianity permanently changed the religious map of
Europe, and still impacts demographics today. Cyril and Methodius,
two Byzantine Greek brothers, contributed significantly to the
Christianization of the Slavs, and in the process devised the
Glagolitic alphabet, ancestor to the Cyrillic script.
Throughout this period there was great competition among nobles

for land in the theme system. Since such governors could collect
taxes and control the military forces of their themes, they became
independent of the emperors and acted independently, weakening
the authority of the emperors. They tended to increase taxes on
small farmers in order to enrich themselves, thereby causing
massive dissatisfaction.
9.3.2: The Great Schism of 105 4

The centuries-long gradual religious separation between the Eastern
and Western Roman Empires culminated in the institutional
separation known as the East-West Schism.
Learning Objective
Identify the consequences of the East-West Schism
Key Points
By the turn of the millennium, the Eastern and Western Roman
Empires had been gradually separating along religious fault
lines for centuries. A separation in the Roman world can be
marked with the construction of Constantine The Great's New
Rome in Byzantium.
The Byzantine Iconoclasm, in particular, widened the growing
divergence and tension between east and west—the Western
Church remained firmly in support of the use of religious images
—though the church was still unified at this time.
In response, the pope in the west declared a new emperor in
Charlemagne, solidifying the rift and causing outrage in the east.
The empire in the west became known as the Holy Roman
Empire.
Finally, 1054 CE saw the East-West Schism: the formal
declaration of institutional separation between east, into the
Orthodox Church (now Eastern Orthodox Church), and west,
into the Catholic Church (now Roman Catholic Church).
Key Terms
East-West Schism
The formal institutional separation in 1054 CE between the

Eastern Church of the Byzantine Empire (into the Orthodox
Church, now called the Eastern Orthodox Church) and the
Western Church of the Holy Roman Empire (into the Catholic
Church, now called the Roman Catholic Church).
Iconoclasm
The destruction or prohibition of religious icons and other

images or monuments for religious or political motives.
The East-West Schism, also called the Great Schism and the
Schism of 1054, was the break of communion between what are now
the Eastern Orthodox and Catholic churches, which has lasted since
the 11th century.
The ecclesiastical differences and theological disputes between the

Greek east and Latin west pre-existed the formal rupture that
occurred in 1054. Prominent among these were the issues of the
source of the Holy Spirit, whether leavened or unleavened bread
should be used in the Eucharist, the Bishop of Rome's claim to
universal jurisdiction, and the place of the See of Constantinople in
relation to the Pentarchy.
Tensions Between East and

W est
By the turn of the millennium, the Eastern and Western Roman
Empires had been gradually separating along religious fault lines for
centuries, beginning with Emperor Leo III's pioneering of the
Byzantine Iconoclasm in 730 CE, in which he declared the worship
of religious images to be heretical. The Western Church remained
firmly in support of the use of religious images. Leo tried to use
military force to compel Pope Gregory III, but he failed, and the pope
condemned Leo's actions. In response, Leo confiscated papal
estates and placed them under the governance of Constantinople.
Therefore, the Iconoclasm widened the growing divergence and

tension between east and west, though the church was still unified at
this time. It also decisively ended the so-called Byzantine Papacy,
under which, since the reign of Justinian I a century before, the
popes in Rome had been nominated or confirmed by the emperor in
Constantinople. The deference of the Western Church to
Constantinople dissolved, and Rome would maintain a consistently
iconodule position (meaning it supports or is in favor of religious
images or icons and their veneration).
A New Emperor in the W est
Regent Irene convened the Second Council of Nicaea in 787 CE,
which temporarily restored image worship, in an attempt to soothe
the strained relations between Constantinople and Rome—but it was
too late. After Charlemagne, the king of the Franks, saved Rome
from a Lombard attack, Pope Leo III (not to be confused with the
Byzantine Leo III) declared him the new Roman emperor in 800 CE,
since a woman (Irene) could not be emperor. It was also a message
that the popes were now loyal to the Franks, who could protect them,
instead of the Byzantines, who had only caused trouble. To the
Byzantines, this was an outrage, attacking their claim to be the true
successors of Rome.
From this point on, the Frankish Empire is usually known as the Holy
Roman Empire. With two Roman empires, the Byzantines and the
Franks, the authority of the Byzantine Empire was weakened. In the
west they were no longer called "Romans," but "Greeks" (and
eventually "Byzantines"). The Byzantines, however, continued to
consider themselves Romans, and looked to the patriarch of
Constantinople, not the pope, as the most important religious figure
of the church.
Crisis and Permanent Schism

The differences in practice and worship between the Church of
Rome in the west and the Church of Constantinople in the east only
increased over time.
In 1053, the first step was taken in the process that led to formal
schism; the Ecumenical Patriarch of Constantinople, Michael I
Cerularius, ordered the closure of all Latin churches in
Constantinople, in response to the Greek churches in southern Italy
having been forced to either close or conform to Latin practices.
According to the historian J. B. Bury, Cerularius' purpose in closing
the Latin churches was "to cut short any attempt at conciliation."
Finally, in 1054 CE, relations between the Eastern and Western

traditions within the Christian Church reached a terminal crisis. The
papal legate sent by Leo IX traveled to Constantinople for purposes
that included refusing to Cerularius the title of "Ecumenical
Patriarch," and insisting that he recognize the Pope's claim to be the
head of all the churches. The main purpose of the papal legation
was to seek help from the Byzantine emperor in view of the Norman
conquest of southern Italy, and to deal with recent attacks by Leo of
Ohrid against the use of unleavened bread and other Western
customs, attacks that had the support of Cerularius. Historian Axel
Bayer contends that the legation was sent in response to two letters,
one from the emperor seeking assistance in arranging a common
military campaign by the Eastern and Western Empires against the
Normans, and the other from Cerularius. On the refusal of Cerularius
to accept the demand, the leader of the legation, Cardinal Humbert
of Silva Candida, excommunicated him, and in return Cerularius
excommunicated Humbert and the other legates. This was only the
first act in a centuries-long process that eventually became a
complete schism.
The gradual separation of the last several centuries culminated in a

formal declaration of institutional separation between east, into the
Orthodox Church (now Eastern Orthodox Church), and west, into the
Catholic Church (now Roman Catholic Church). This was known as
the East-West Schism.
The East-W est Schism
The religious distribution after the East-West Schism between the
churches of the Byzantine Empire and the Holy Roman Empire in
1054 CE.
The map shows that the Eastern Slavic Principalities, the eastern
portion of the Kingdom of Hungary, the Pechenegs, and the
Byzantine Empire were part of the Orthodox Church. It shows that
Norway, Sweden, Denmark, Scotland, the Anglo Saxon Kingdom,
France, Burgundy, the Holy Roman Empire, the Papal State, V enice,
Croatia, Poland, and the western portion of the Kingdom of Hungary
were part of the Catholic Church. Finally, it shows that part of the
population of Croatia and the Byzantine Empire were Bogomils.
The church split along doctrinal, theological, linguistic, political, and

geographical lines, and the fundamental breach has never been
healed, with each side sometimes accusing the other of having fallen
into heresy and of having initiated the division. Conflicts over the
next several centuries (such as the Crusades, the Massacre of the
Latins in 1182 CE, the west's retaliation in the Sacking of
Thessalonica in 1185 CE, the capture and sack of Constantinople in
1204 CE, and the imposition of Latin patriarchs) would only make
reconciliation more difficult.
9.3.3: The Byz antine-Bulgarian W ars

The Byzantine Empire had a long and tumultuous relationship with
the Bulgar Empire to its north.
Learning Objective
Distinguish between the different threats that the Byzantines faced
around the turn of the millennium
Key Points
The Bulgarian Empire was founded in the 5th century and
continued to expand and clash with the Byzantine Empire for
centuries.
During a period of peace, in 864 the Bulgar Empire converted to
Christianity and adopted many Byzantine cultural practices.
Ending 80 years of peace between the two states, the powerful
Bulgarian tsar Simeon I invaded in 894, but was pushed back by
the Byzantines.
In 971, John I Tzimiskes, the Byzantine emperor, subjugated
much of the weakening Bulgarian Empire.
In 1185, however, Bulgarians Theodore Peter and Ivan Asen
started a revolt, and the weakening Byzantine Empire, facing
internal dynastic troubles of its own, was unable to prevent the
revolt from being successful.
In 1396, Bulgaria fell to the Ottoman Turks, and in 1453,
Constantinople was captured. Since both became part of the
Ottoman Empire, this was the end of the long series of
Bulgarian-Byzantine Wars.
Key Terms
lingua franca
A language or dialect systematically used to make

communication possible between people who do not share a
native language or dialect.
Bulgarian
A South Slavic ethnic group who are native to Bulgaria and

neighbouring regions.
The Bulgarian Empire

The First Bulgarian Empire was a medieval Bulgarian state that
existed in southeastern Europe between the 7th and 11th centuries
CE. It was founded circa 681, when Bulgar tribes led by Asparukh
moved to the northeastern Balkans. There they secured Byzantine
recognition of their right to settle south of the Danube, by defeating—
possibly with the help of local South Slavic tribes—the Byzantine
army led by Constantine IV . At the height of its power, Bulgaria
spread from the Danube Bend to the Black Sea, and from the
Dnieper River to the Adriatic Sea.
As the state solidified its position in the Balkans, it entered into a

centuries-long interaction, sometimes friendly and sometimes
hostile, with the Byzantine Empire. Bulgaria emerged as Byzantium's
chief antagonist to its north, resulting in several wars. The two
powers also enjoyed periods of peace and alliance, most notably
during the Second Arab siege of Constantinople, where the
Bulgarian army broke the siege and destroyed the Arab army, thus
preventing an Arab invasion of southeastern Europe. Byzantium had
a strong cultural influence on Bulgaria, which also led to the eventual
adoption of Christianity in 864.
After the adoption of Christianity, Bulgaria became the cultural center

of Slavic Europe. Its leading cultural position was further
consolidated with the invention of the Glagolitic and Early Cyrillic
alphabets shortly after in the capital of Preslav, and literature
produced in Old Bulgarian soon began spreading north. Old
Bulgarian became the lingua franca of much of eastern Europe and it
came to be known as Old Church Slavonic. In 927, the fully
independent Bulgarian Patriarchate was officially recognized.
The Byz antine-Bulgarian W ars

The Byzantine-Bulgarian Wars were a series of conflicts fought
between the Byzantines and Bulgarians, which began when the
Bulgars first settled in the Balkan peninsula in the 5th century, and
intensified with the expansion of the Bulgarian Empire to the
southwest after 680 CE. The Byzantines and Bulgarians continued to
clash over the next century with variable success, until the
Bulgarians, led by Krum, inflicted a series of crushing defeats on the
Byzantines. After Krum died in 814, his son, Omurtag, negotiated a
thirty-year peace treaty. The traditional struggle with the See of
Rome continued through the Macedonian period, spurred by the
question of religious supremacy over the newly Christianized state of
Bulgaria. Ending 80 years of peace between the two states, the
powerful Bulgarian tsar, Simeon I, invaded in 894 but was pushed
back by the Byzantines, who used their fleet to sail up the Black Sea
to attack the Bulgarian rear, enlisting the support of the Hungarians.
The Byzantines were defeated at the Battle of Boulgarophygon in
896, however, and agreed to pay annual subsidies to the Bulgarians.
In 971 John I Tzimiskes, the Byzantine emperor, subjugated much of

the weakening Bulgarian Empire, as it faced wars with Russians,
Pechenegs, Magyars and Croatians, and by defeating Boris II and
capturing Preslav, the Bulgarian capital. Byzantine Emperor Basil II
completely conquered Bulgaria in 1018, as a result of the 1014
Battle of Kleidion. There were rebellions against Byzantine rule from
1040 to 1041, and in the 1070s and the 1080s, but these failed. In
1185, however, Theodore Peter and Ivan Asen started a revolt, and
the weakening Byzantine Empire, facing internal dynastic troubles of
its own, was unable to prevent the revolt from being successful.
The rebellion failed to immediately capture Bulgaria's historic capital,

Preslav, but established a new capital city at Tă rnovo, presumably
the center of the revolt. In 1186, the rebels suffered a defeat, but
Isaac II Angelos failed to exploit his victory and returned to
Constantinople. With the help of the chiefly Cuman population north
of the Danube, Peter and Asen recovered their positions and raided
into Thrace. When Isaac II Angelos penetrated into Moesia again in
1187, he failed to capture either Tă rnovo or Loveč , and he signed a
treaty effectively recognizing the Second Bulgarian Empire, but
neither side had any intention of keeping the peace.
Fighting continued until 1396, when Bulgaria fell to the Ottoman

Turks, and 1453, when Constantinople was captured. Since both
became part of the Ottoman Empire, this was the end of the long
series of Bulgarian-Byzantine Wars.
Bulgarians Fighting the Byz antines
A Byzantine painting depicting Bulgarians slaughtering Byzantines,
who can be seen with halos on their head.
A Byzantine painting of Bulgarians fighting with Byzantines, who

have halos on their head. It appears that the Bulgarians are winning.
9.3.4: The Double Disasters

In 1071, the Byzantine Empire suffered two important defeats,
against the Turks in the Battle of Manzikert, and against the
Normans in Bari. These are sometimes called the Double Disasters.
Learning Objective
Identify the Double Disasters and their consequences
Key Points
A number of wars between the Normans and the Byzantine
Empire were fought from c. 1040 until 1185.
In 1071, the Byzantines were defeated by the Normans during
their conquest of Italy, thereby driving the Byzantines from
southern Italy.
Even more dangerous than the Normans was a new enemy
from the steppe: the Turks.
The Battle of Manzikert was fought between the Byzantine
Empire and the Seljuq Turks on August 26, 1071, and proved a
decisive defeat of the Byzantine army.
This defeat and the capture of the emperor Romanos IV
Diogenes played an important role in undermining Byzantine
authority in Anatolia and Armenia, the heartland of the
Byzantine Empire.
Key Terms
Battle of Manzikert
A major battle between the Byzantines and the Turks that ended
in a Byzantine defeat and ushered in the decline of the
Byzantine Empire.
Normans
The people who in the 10th and 11th centuries gave their name
to Normandy, a region in France. They were descended from
Norse raiders and pirates from Denmark, Iceland, and Norway
who, under their leader Rollo, agreed to swear fealty to King
Charles III of West Francia.
The Normans and the Defeat at

Bari
A number of wars between the Normans and the Byzantine Empire
were fought from 1040 until 1185, when the last Norman invasion of
Byzantine territory was defeated. At the end of the conflict, neither
the Normans nor the Byzantines could boast much power. A
Byzantine defeat in 1071 proved decisive for the disintegration and
collapse of the empire.
The Normans had come from the Duchy of Normandy in West

Francia, which in 911 had been granted to the V iking Rollo in the
Treaty of Saint-Clair-sur-Epte by the French king Charles the Simple.
The Normans and their new land took the name of these
"Northmen." During the time that the Normans had conquered
southern Italy, and the Byzantine Empire was in a state of internal
decay; the administration of the empire had been wrecked, and the
efficient government institutions that provided Basil II with a quarter
of a million troops and adequate resources by taxation had collapsed
within a period of three decades. Attempts by Isaac I Komnenos and
Romanos IV Diogenes to reverse the situation proved unfruitful. The
premature death of the former, and the overthrow of the latter, led to
further collapse as the Normans consolidated their conquest of Sicily
and Italy.
Reggio Calabria, the capital of the tagma of Calabria, was captured

by Robert Guiscard in 1060. At the time, the Byzantines held a few
coastal towns in Apulia, including the capital of the catepanate of
Italy, Bari. Otranto was besieged and fell in October 1068; in the
same year, the Normans besieged Bari itself, and, after defeating the
Byzantines in a series of battles in Apulia, and after any attempt of
relief had failed, the city surrendered in April 1071, ending the
Byzantine presence in southern Italy.
The Norman adventurer Robert Guiscard allied with the pope to

drive the remaining Byzantines from southern Italy and replace them
with a Roman Catholic Norman Kingdom. Guiscard was incredibly
successful, and he turned his eye to conquering the entire Byzantine
Empire. He crossed over into Greece, pillaged the countryside, and
defeated the Byzantine army at the Battle of Dyrrhachium in 1081
CE. He died before he could complete his conquests, but southern
Italy would never again be ruled by the Byzantine Empire.
The Turks and the Defeat at
Manz ikert
Even more dangerous than the Normans was a new enemy from the
steppe, the Turks. These former pastoral nomads converted to Islam
and ushered in a new phase of Islamic conquests. While the
Normans were pillaging Italy, the Turks invaded Asia Minor. Emperor
Romanos Diogenes moved the Byzantine army to meet them. At the
Battle of Manzikert in 1071 CE, the Byzantine army was totally wiped
out by the Turks. It was perhaps the most severe military disaster in
Byzantine history. With this defeat, Anatolia fell into the hands of the
Turks. Anatolia had been the heartland of the Byzantine Empire, the
home of most of its soldiers and farmers. This defeat at Manzikert
meant that the theme system, which had effectively supplied
Byzantium with its army, was destroyed. The Byzantine Empire was
now vulnerable to conquest.
Battle of Manz ikert
In this 15th-century French miniature depicting the Battle of
Manzikert, the combatants are clad in contemporary western
European armor.
In this 15th-century French miniature depicting the Battle of

Manzikert, the combatants are clad in contemporary Western
European armour.
The brunt of the battle was borne by the professional soldiers from
the eastern and western tagmata, as large numbers of mercenaries
and Anatolian levies fled early and survived the battle. The fallout
from Manzikert was disastrous for the Byzantines, resulting in civil
conflicts and an economic crisis that severely weakened the
Byzantine Empire's ability to adequately defend its borders. This led
to the mass movement of Turks into central Anatolia—by 1080, an
area of 78,000 square kilometers (30,000 sq. miles) had been
gained by the Seljuk Turks. It took three decades of internal strife
before Alexius I (1081 to 1118) restored stability to Byzantium.
Historian Thomas Asbridge says, "In 1071, the Seljuqs crushed an
imperial army at the Battle of Manzikert (in eastern Asia Minor), and
though historians no longer consider this to have been an utterly
cataclysmic reversal for the Greeks, it still was a stinging setback." It
was the first time in history a Byzantine emperor had become the
prisoner of a Muslim commander.
Years and decades later, Manzikert came to be seen as a disaster

for the empire; later sources, therefore, greatly exaggerate the
numbers of troops and the number of casualties. Byzantine
historians would often look back and lament the "disaster" of that
day, pinpointing it as the moment the decline of the empire began. It
was not an immediate disaster, but the defeat showed the Seljuks
that the Byzantines were not invincible—they were not the
unconquerable, millennium-old Roman Empire (as both the
Byzantines and Seljuks still called it). The usurpation of Andronikos
Doukas also politically destabilized the empire, and it was difficult to
organize resistance to the Turkish migrations that followed the battle.
9.3.5 : Crisis and Fragmentation

Tensions between eastern and western European powers boiled
over during the Komnenian Dynasty; the west destroyed
Constantinople and, with it, the Byzantine Empire.
Learning Objective
Analyze the relationship between the Holy Roman Empire and the
Byzantine Empire
Key Points
The Komnenian Dynasty saw a restoration of the empire after
the disastrous defeat by the Turks. But, for the first time, the
Byzantines had to look to the estranged western Europe for
help.
The west came to the aid of the east, but tensions mounted
between them until 1182 CE, when riots escalated into a
massacre of tens of thousands of Latins.
Two decades later, western European knights sacked
Constantinople in the Fourth Crusade. This was a disaster for
the Byzantine Empire, which for all purposes ceased to exist.
The leaders of several states fought over who would become
the new Byzantine emperor and regain control; the Empire of
Nicaea won.
Key Term
First Crusade
The 1095 CE campaign begun by the pope in the Holy Roman

Empire to win back Jerusalem from the Muslims.
The Komnenian Dynasty:

Cooperation with the Holy
Roman Empire
In 1081 CE, with the attacks from the Normans and Turks reaching
their height, a new emperor, Alexios I, came to the throne. His
dynasty, the Komnenian Dynasty, would oversee a restoration of the
empire after these disasters. But for the first time, the Byzantines
would have to look west for help, to their estranged fellow Christians
in western Europe. Although western Europe had a history of
religious disagreements with the Byzantines, they now realized that
the Byzantine Empire was all that was holding back the Muslims
from invading Europe.
Having achieved stability in the west, Alexios could turn his attention
to the severe economic difficulties and the disintegration of the
empire's traditional defenses. However, he still did not have enough
manpower to recover the lost territories in Asia Minor, and to
advance against the Seljuks. At the Council of Piacenza in 1095,
envoys from Alexios spoke to Pope Urban II about the suffering of
the Christians of the east, and underscored that without help from
the west, they would continue to suffer under Muslim rule.
Urban saw Alexios' request as a dual opportunity to cement western

Europe and reunite the Eastern Orthodox Churches with the Roman
Catholic Church under his rule. On November 27, 1095, Pope Urban
II called together the Council of Clermont, and urged all those
present to take up arms under the sign of the cross, and launch an
armed pilgrimage to recover Jerusalem and the east from the
Muslims. The response in western Europe was overwhelming.
Tensions Mount During the

First Crusade
Alexios had anticipated help in the form of mercenary forces from the
west, but he was totally unprepared for the immense and
undisciplined force which soon arrived in Byzantine territory. It was
no comfort to Alexios to learn that four of the eight leaders of the
main body of the Crusade were Normans, among them Bohemund.
Relations were rocky from the start. To the Byzantines, the crusaders
were dirty, uneducated brutes. To the crusaders, the Byzantines
were untrustworthy, over-pampered schemers. Still, they tried to
work together. The Byzantines and crusaders agreed that whatever
formerly Byzantine lands the crusaders recaptured from the Turks
would be returned to Byzantine control. The crusaders went back on
this agreement, however, and took the lands for themselves. The
crusaders succeeded in conquering Jerusalem in 1099 CE, but the
Byzantines had come to regard them as just as big a threat as the
Muslims.
The First Crusade

The capture of Jerusalem in 1099 CE marked the success of
western Europe's First Crusade against the Muslims.
A painting of the capture of Jerusalem in 1099
Still, thanks to the Crusades, the Byzantines were able to reassert

control of Anatolia. Emperor Alexios created a new system of leasing
land in exchange for military service, called the Pronoia System,
which was similar to the old theme system. Under his successors,
the Byzantines did not win any major victories, but they were able to
keep the Turks out of Byzantium's Anatolian heartland.
At the same time, in order to secure military aid from the western
powers, the Byzantine emperors had granted financial and trade
concessions to Italy. Large numbers of Italian merchants settled in
Constantinople and put the local merchants out of business.
Tensions between them and the Byzantines of the city worsened. In
1182 CE, these tensions spilled over into riots and a massacre of
Latins (the people from western Europe) by an angry mob. Tens of
thousands were killed.
The recent anti-Latin resentment in the empire led to the Crusader

states losing their protection from Byzantium. However, while the
Crusader states did not rely on Byzantium for protection, the
Byzantines certainly did in that it kept the aggressive expansionism
of Islam in check.
W estern Europe Sacks

Constantinople
In 1198 CE, the pope called a new crusade to permanently secure
western Europe's hold on Jerusalem. When the western Europeans
arrived at Constantinople in 1204 CE, they found civil war among the
Byzantines. In part sparked by the massacre of the Latins of 1182
CE, and in part motivated by the tempting wealth of Constantinople,
the western European knights sacked Constantinople, in what is
known as the Fourth Crusade. They pillaged the city, carrying away
the vast wealth amassed over nine centuries in the Byzantine
capital. For this reason, many great examples of Byzantine art can
be found today in V enice, especially at St. Mark's Cathedral. The
sack was a disaster for the Byzantine Empire, which for all purposes
ceased to exist. The crusaders parceled out Byzantine lands among
themselves. Constantinople became the capital of a new empire,
called the Latin Empire, ruled by western knights.
Constantinople was considered as a bastion of Christianity that

defended Europe from the advancing forces of Islam, and the Fourth
Crusade's sack of the city dealt an irreparable blow to this eastern
bulwark. Although the Greeks retook Constantinople after 57 years
of Latin rule, the Byzantine Empire had been crippled by the Fourth
Crusade.
The Fourth Crusade
An oil painting by Eugè ne Delacroix depicting the arrival of the
Fourth Crusade in Constantinople in 1204 CE.
Fragmentation of the Byz antine

Empire
The Siege of Constantinople in 1204 CE was a turning point in
Byzantine history, but it was not the end. Several members of the
Komnenian royal family had been away from the capital at the time
of the sack, and they declared their own successor states. Each
emperor of these states declared himself to be the rightful Byzantine
emperor. They fought each other and the Latins for control of the
former lands of the Byzantine Empire. It was the Empire of Nicaea,
closest to Constantinople, that would be most successful.
9.3.6: The Last Byz antine Dynasty

Michael V III recaptured Constantinople and restored the Byzantine
Empire, giving rise to the last dynasty of the empire and a brief time
of cultural flourishing.
Learning Objective
Identify the role of Michael V III and the Palaiologos Dynasty
Key Points
After Constantinople was sacked by the west, and the Byzantine
Empire was mostly destroyed with it, Michael V III of the Empire
of Nicaea, a smaller state, claimed the throne and founded the
Palaiologos Dynasty, the longest and last dynasty of Byzantine
rulers.
In 1261 CE, Michael's forces recaptured Constantinople, though
it was a shell of its former self, marking the restoration of the
Byzantine Empire.
Michael attempted to end the schism between the Catholic and
Orthodox churches, but this outraged many of his citizens, who
now hated the Latins of western Europe more than even the
Muslims, due to their sacking of Constantinople.
During the Palaiologan Dynasty, however, the empire
experienced the short but vibrant Palaiologan Renaissance,
when learning, art, and philosophy flourished.
Key Terms
Palaiologan Renaissance
The short but vibrant period when emperors attempted to

restore Constantinople from destruction and encouraged art,
philosophy, and education. The attempt at restoring this cultural
foundation occurred during the Byzantine Empire's longest-lived
dynasty in Byzantine history. Migration of Byzantine scholars at
the end of this period helped to spark the Renaissance in Italy.
Nicaean Empire
The largest of the three Byzantine Greek successor states

founded by the aristocracy of the Byzantine Empire that fled
after Constantinople was occupied by western European and
V enetian forces during the Fourth Crusade.
Background
Following the Fourth Crusade, the Byzantine Empire had fractured
into the Greek successor-states of Nicaea, Epirus and Trebizond,
with a multitude of Frankish and Latin possessions occupying the
remainder, nominally subject to the Latin emperors at
Constantinople. In addition, the disintegration of the Byzantine
Empire allowed the Bulgarians, the Serbs, and the various Turcoman
emirates of Anatolia to make gains. Although Epirus was initially the
strongest of the three Greek states, the Nicaeans were the ones who
succeeded in taking back the city of Constantinople from the Latin
Empire
The Nicaean Empire was successful in holding its own against its
Latin and Seljuk opponents. At the Battle of Meander V alley, a Turkic
force was repelled and an earlier assault on Nicaea led to the death
of the Seljuk Sultan. In the west, the Latins were unable to expand
into Anatolia; consolidating Thrace against Bulgaria was a challenge
that kept the Latins occupied for the duration of the Latin Empire.
In 1261, the Empire of Nicaea was ruled by John IV Laskaris, a boy

of ten years. However, John IV was overshadowed by his co-
emperor, Michael V III Palaiologos. Palaiologos was a leading noble
of military standing and the main figure of the regency of John IV ,
who had used this role to propel himself to the throne, and set the
stage for his becoming sole emperor of the restored Byzantine
Empire.
Restoration of the Byz antine
Empire
In 1259 CE, Michael V III came to the throne of the Empire of Nicaea.
He founded the Palaiologos Dynasty, the longest and last dynasty of
Byzantine rulers. In 1261 CE, Michael's forces succeeded in
capturing Constantinople while the Latin knights were off fighting
elsewhere. They found the city a shell of its former self, sparsely
populated and largely ruined. Still, Michael V III returned to the city
and was proclaimed emperor there, marking the restoration of the
Byzantine Empire.
Byz antine Coin

A gold Byzantine coin, called the hyperpyron (which replaced the
earlier solidus), depicting the first emperor of the Byzantine
Palaiologan Dynasty, Michael V III.
In order to protect his empire from further attacks by western knights,

he attempted to end the schism between the Catholic and Orthodox
churches. This outraged many of his citizens, who blamed the
Catholics for the sack of Constantinople. A decisive change had
taken place: among the citizens of the restored Byzantine Empire,
the "Latins" of western Europe were more hated than even the
Muslims.
The war-ravaged empire was ill-equipped to deal with the enemies
that now surrounded it. In order to maintain his campaigns against
the Latins, Michael pulled troops from Asia Minor, and levied
crippling taxes on the peasantry, causing much resentment. Massive
construction projects were completed in Constantinople to repair the
damages of the Fourth Crusade, but none of these initiatives was of
any comfort to the farmers in Asia Minor, suffering raids from
fanatical ghazis.
As a result, Anatolia, which had formed the very heart of the

shrinking empire, was systematically lost to numerous Turkic ghazis,
whose raids evolved into conquering expeditions inspired by Islamic
zeal. With a decreasing source of food and manpower, the
Palaiologoi were forced to fight on several fronts, most of them being
Christian states: the Second Bulgarian Empire, the Serbian Empire,
the remnants of the Latin Empire, and even the Knights Hospitaller.
The loss of land in the east to the Turks, and in the west to the
Bulgarians, was complemented by two disastrous civil wars, the
Black Death and the 1354 earthquake at Gallipoli, whose destruction
and evacuation allowed the Turks to occupy it. By 1380, the
Byzantine Empire consisted of the capital Constantinople and a few
other isolated exclaves, which only nominally recognized the
emperor as their lord. Nonetheless, Byzantine diplomacy coupled
with the adroit exploitation of internal divisions and external threats
among their enemies, and above all the invasion of Anatolia by
Timur, allowed Byzantium to survive until 1453.
The Palaiologan Renaissance

During the Palaiologan Dynasty, the empire experienced a short but
vibrant renaissance, known as the Palaiologan Renaissance. As the
Palaiologan emperors attempted to restore the glory of
Constantinople, they sponsored art and encouraged philosophy.
Artists and philosophers looked to the classical past and
rediscovered much ancient learning. Although the Palaiologan
Renaissance came too late to save the struggling Byzantine
civilization, it would be a major catalyst for the Italian Renaissance,
especially as Byzantine artists and scholars traveled to Italy to seek
shelter from the new threats that besieged the empire.
Towards the 14th century, as the empire entered into a phase of

terminal crisis, such achievements became less valued. All was not
lost for these seemingly rejected scholars—many in Italy who had
been opened up to Byzantium by the maritime expansions of Genoa
and V enice came to appreciate their achievements, facilitating the
Renaissance. As such, these scholars found themselves in Italian
institutions, expressing their Greco-Roman culture for pay.
Immigration to Italy was made less attractive by the idea of
abandoning the Orthodox faith to practice Catholicism. Nonetheless,
a significant and increasing number of Greeks began traveling to
Italy, first temporarily, to Italian colonies such as Crete or Cyprus
before returning to Byzantium, then, as the Empire began to fail
horribly, in a more permanent manner. The Fall of Constantinople
was marked by large amounts of Greek refugees escaping Turkic
rule into Europe via Italy, and thus accelerating the Renaissance.
9.3.7 : The Fall of Constantinople

The restored Byzantine Empire converted to Catholicism to get aid
from the west against the Ottoman Turks, but the Turks defeated
them by conquering Constantinople, thereby causing the final
collapse of the Byzantines.
Learning Objective
Describe the political situation leading up to the Turkish conquest of
the Byzantine Empire
Key Points
The restored Byzantine Empire was surrounded by enemies.
The Bulgarian Empire and the Serbian Empire conquered many
Byzantine lands, and the Turks overran Asia Minor altogether.
Anatolia gradually transformed from a Byzantine Christian land
into an Islamic land dominated by the Turks. It would ultimately
become the Ottoman Empire.
The west would only provide the east with help against the
Turks if the east converted from Orthodox to Catholic
Christianity. This sparked riots among the eastern Orthodox
populace, who hated the western Catholics for the sack of
Constantinople.
Meanwhile, the Ottomans defeated most of the empire except
for Constantinople.
The east ultimately capitulated and accepted Catholicism, but it
was too late. On May 29, 1453 CE, Constantinople fell to the
Ottoman Turks and the Byzantine Empire came to an end.
Constantinople was transformed into the Islamic city of Istanbul.
Key Terms
Ottoman Empire
A large empire that began as a Turkish sultanate centered on

modern Turkey; founded in the late 13th century, it lasted until
the end of World War I. This empire also defeated
Constantinople and the Byzantine Empire in 1453 CE.
Mehmed II
An Ottoman sultan who, at the age of 21, conquered

Constantinople and brought an end to the Eastern Roman
Empire.
The Rise of the Turks and the

Ottoman Empire
The restored Byzantine Empire was surrounded by enemies. The
Bulgarian Empire, which had rebelled against the Byzantines
centuries earlier, now matched it in strength. A new empire arose in
the western Balkans, the Serbian Empire, who conquered many
Byzantine lands. Even more dangerous to the Byzantines, the Turks
were once again raiding Byzantine lands, and Asia Minor was
overrun. With the theme system a thing of the past, the emperors
had to rely on foreign mercenaries to supply troops, but these
soldiers-for-hire were not always reliable. Anatolia gradually
transformed from a Byzantine Christian land into an Islamic land
dominated by the Turks.
For a long time the Turks in Anatolia were divided up into a

patchwork of small Islamic states. However, one ruler, Osman I, built
up a powerful kingdom that soon absorbed all the others and formed
the Ottoman Empire.
In the century after the death of Osman I, Ottoman rule began to

extend over the eastern Mediterranean and the Balkans. Osman's
son, Orhan, captured the city of Bursa in 1324 and made it the new
capital of the Ottoman state. The fall of Bursa meant the loss of
Byzantine control over northwestern Anatolia. The important city of
Thessaloniki was captured from the V enetians in 1387. The Ottoman
victory at Kosovo in 1389 effectively marked the end of Serbian
power in the region, paving the way for Ottoman expansion into
Europe. The Battle of Nicopolis in 1396, widely regarded as the last
large-scale crusade of the Middle Ages, failed to stop the advance of
the victorious Ottoman Turks. With the extension of Turkish dominion
into the Balkans, the strategic conquest of Constantinople became a
crucial objective.
The empire controlled nearly all former Byzantine lands surrounding

the city, but the Byzantines were temporarily relieved when Timur
invaded Anatolia in the Battle of Ankara in 1402. He took Sultan
Bayezid I as a prisoner. The capture of Bayezid I threw the Turks into
disorder. The state fell into a civil war that lasted from 1402 to 1413,
as Bayezid's sons fought over succession. It ended when Mehmed I
emerged as the sultan and restored Ottoman power.
When Mehmed I's grandson, Mehmed II (also known as Mehmed

the Conquerer) ascended to the throne in 1451, he devoted himself
to strengthening the Ottoman navy and made preparations for the
taking of Constantinople.
Byz antium Looks W est for Aid

Against all these enemies, the Byzantines could only look west in
search of help. The pope, however, continued to stress that aid
would only come if the Byzantines adopted the Catholicism of the
Latin church. While the Byzantine emperors were willing to do so in
order to save their empire, the populace hated the Catholics for the
sack of Constantinople, and so attempts to reconcile with the
Catholic Church only led to riots. Further theological disagreements
inflamed the bitterness between the Orthodox and the Catholics.
While civil war and religious disputes occupied the Byzantines, the
Ottomans slowly closed in on the empire. They crossed into Europe
and annexed most of the lands around Constantinople. By 1400 CE,
the Byzantine Empire was little more than the city-state of
Constantinople. It was clear that the only way they would receive
Europe-wide help in pushing back the Ottomans was if they
reconciled with the Catholic Church.
This was not acceptable for most Byzantines. A popular saying at

the time was "Better the Turkish turban than the Papal tiara." In other
words, the Orthodox Byzantines considered it better to be ruled by
the Muslim Turks than to go against their religious beliefs and give in
to the Catholic Church. Still, the emperors realized that Byzantium
would soon fall without help from the west.
In 1439 CE, Emperor John V III Palaiologos and the most important
Byzantine bishops reached an agreement with the Catholic Church
at the Council of Florence, in which they accepted Catholic
Christianity. When the bishops returned to the Byzantine Empire,
however, they found themselves under attack by their congregations.
Their agreement to join the Catholic Church was exceedingly
unpopular.
The Rise of the Ottoman Empire

The borders of the Byzantine and Ottoman Empires in the eastern
Mediterranean just before the fall of Constantinople in 1453 CE.
The map shows that the East Mediterranean in 1450 CE was split
between the Ottoman Empire, the Karamanid Emirate, the Kingdom
of Cyprus, the Egyptian Maluk Sultanate, V enetian Territories,
Genoese Territories, the Duchy of Naxos, the Knights of St John,
and the Byzantine Empire.
The Fall of Constantinople

By this stage, Constantinople was underpopulated and dilapidated.
The population of the city had collapsed so severely that it was now
little more than a cluster of villages separated by fields. On April 2,
1453, the Ottoman army, led by the 21-year-old Sultan Mehmed II,
laid siege to the city with 80,000 men. Despite a desperate last-ditch
defense of the city by the massively outnumbered Christian forces
(7,000 men, 2,000 of whom were sent by Rome), Constantinople
finally fell to the Ottomans after a two-month siege on May 29, 1453.
The last Byzantine emperor, Constantine X I Palaiologos, was last
seen casting off his imperial regalia and throwing himself into hand-
to-hand combat after the walls of the city were taken.
On the third day of the conquest, Mehmed II ordered all looting to

stop and sent his troops back outside the city walls. Byzantine
historian George Sphrantzes, an eyewitness to the fall of
Constantinople, described the Sultan's actions:
On the third day after the fall of our city, the Sultan celebrated
his victory with a great, joyful triumph. He issued a proclamation:
the citizens of all ages who had managed to escape detection
were to leave their hiding places throughout the city and come
out into the open, as they to were to remain free and no
question would be asked. He further declared the restoration of
houses and property to those who had abandoned our city
before the siege, if they returned home, they would be treated
according to their rank and religion, as if nothing had changed.
The capture of Constantinople (and two other Byzantine splinter

territories soon thereafter) marked the end of the Roman Empire, an
imperial state that had lasted for nearly 1,500 years. The Ottoman
conquest of Constantinople also dealt a massive blow to
Christendom, as the Islamic Ottoman armies thereafter were left
unchecked to advance into Europe without an adversary to their rear.
After the conquest, Sultan Mehmed II transferred the capital of the
Ottoman Empire from Edirne to Constantinople. Constantinople was
transformed into an Islamic city: the Hagia Sophia became a
mosque, and the city eventually became known as Istanbul.
The conquest of the city of Constantinople, and the end of the
Byzantine Empire, was a key event in the Late Middle Ages, which
also marks, for some historians, the end of the Middle Ages.
The W alls of Constantinople

Sometimes known as "The Great Wall of Europe," the walls of
Constantinople stood strong for centuries. Yet in 1453, they fell to
the Ottoman Turks.
Photograph of a restored section of the Walls of Constantinople
9.3.8 : Byz antium's Legacy

The Byzantine Empire had a lasting legacy in religion, architecture,
art, literature, and law.
Learning Objective
Give examples of how the Byzantine Empire continued to have an
impact even after its collapse
Key Points
The Byzantine Empire had lasting legacies on many subsequent
cultures.
The Byzantine Empire insulated Europe from enemies and gave
it the time it needed to recover from the chaotic medieval period.
Byzantium's role in shaping Orthodoxy was also hugely
influential; the modern-day Eastern Orthodox Church is the
second largest Christian church in the world.
Byzantine architecture, particularly in religious buildings, can be
found in diverse regions, from Egypt and Arabia to Russia and
Romania.
Byzantine painting from this period would have a strong
influence on the later painters of the Italian Renaissance.
Key Term
lingua franca
A common language used by people of diverse backgrounds to

communicate with one another; often a basic form of speech
with simplified grammar.
Byzantium has been often identified with absolutism, orthodox

spirituality, orientalism and exoticism, while the terms "Byzantine"
and "Byzantinism" have been used as metaphors for decadence,
complex bureaucracy, and repression. Both eastern and western
European authors have often perceived Byzantium as a body of
religious, political, and philosophical ideas contrary to those of the
west. Even in 19th-century Greece, the focus was mainly on the
classical past, while Byzantine tradition had been associated with
negative connotations.
This traditional approach towards Byzantium has been partially or

wholly disputed and revised by modern studies, which focus on the
positive aspects of Byzantine culture and legacy. Historian Averil
Cameron, for example, regards the Byzantine contribution to the
formation of medieval Europe undeniable, and both Cameron and
Obolensky recognize the major role of Byzantium in shaping
Orthodoxy. The Byzantines also preserved and copied classical
manuscripts, and they are thus regarded as transmitters of the
classical knowledge, as important contributors to the modern
European civilization, and as precursors of both the Renaissance
humanism and the Slav Orthodox culture.
Following the conquest of Constantinople by the Ottoman Turks in

1453, Sultan Mehmed II took the title "Kaysar-i Rû m" (the Ottoman
Turkish equivalent of Caesar of Rome), since he was determined to
make the Ottoman Empire the heir of the Eastern Roman Empire.
Protection of Europe
The Byzantine Empire had kept Greek and Roman culture alive for
nearly a thousand years after the fall of the Roman Empire in the
west. It had preserved this cultural heritage until it was taken up in
the west during the Renaissance. The Byzantine Empire had also
acted as a buffer between western Europe and the conquering
armies of Islam. Thus, in many ways the Byzantine Empire had
insulated Europe and given it the time it needed to recover from its
chaotic medieval period.
Constantinople in the Byz antine era
An artist-restructured photo of what the city of Constantinople looked
like during the Byzantine era.
An aerial view of Byzantine Constantinople and the Propontis (Sea

of Marmara)
Religion
Orthodoxy now occupies a central position in the history and
societies of Greece, Bulgaria, Russia, Serbia, and other countries.
Following the conquest of Constantinople by the Ottoman Turks in
1453 CE, the Ottomans regarded themselves as the "heirs" of
Byzantium and preserved important aspects of its tradition, which in
turn facilitated an "Orthodox revival" during the post-communist
period of the eastern European states. The modern-day Eastern
Orthodox Church is the second largest Christian church in the world.
Modern-Day Eastern Orthodox y
Distribution of Eastern Orthodox Christians in the world by country,
as of 2012. Darker blues indicate main religion (over 50%).
The map shows that more than 75% of the population of Serbia,
Romania, Moldova, Cyprus, and Georgia are Eastern Orthodox
Christians; between 50% and 75% percent of the population of
Montenegro, Russia, Greece, Macedonia, Bulgaria, and Ukraine are
Eastern Orthodox Christians; between 20% and 50% of Bosnia and
Herzegovina, Belarus, and Kazakhstan are Eastern Orthodox
Christians; between 5% and 20% of the population of Alaska (USA),
Albania, Latvia, Estonia, Lebanon, and Kyrgyzstan are Eastern
Orthodox Christians, between 1% and 5% of Canada, Spain, France,
Switzerland, Italy, Germany, Austria, Slovenia, Croatia, Sweden,
Kosovo, Lithuania, Finland, Jordan, Syria, Azerbaijan, Turkmenistan,
Uzbekistan, Tajikistan, and Australia are Eastern Orthodox
Christians; and a very small population of the United States, Poland,
the Czech Republic, Slovakia, Egypt, and Turkey are Eastern
Orthodox Christians.
Diplomacy and Law

After the fall of Rome, the key challenge to the empire was to
maintain a set of relations between itself and its neighbors. When
these nations set about forging formal political institutions, they often
modeled themselves on Constantinople. Byzantine diplomacy soon
managed to draw its neighbors into a network of international and
inter-state relations. This network revolved around treaty-making,
and included the welcoming of the new ruler into the family of kings,
as well as the assimilation of Byzantine social attitudes, values and
institutions. The preservation of the ancient civilization in Europe was
due to the skill and resourcefulness of Byzantine diplomacy, which
remains one of Byzantium's lasting contributions to the history of
Europe.
In the field of law, Justinian I's reforms to the legal code would come
to serve as the basis of not only Byzantine law, but law in many
European countries, and continues to have a major influence on
public international law to this day. Leo III's Ecloga influenced the
formation of legal institutions in the Slavic world. In the 10th century,
Leo V I the Wise achieved the complete codification of the whole of
Byzantine law in Greek, which became the foundation of all
subsequent Byzantine law, which generates interest to the present
day.
Art and Literature

Influences from Byzantine architecture, particularly in religious
buildings, can be found in diverse regions, from Egypt and Arabia to
Russia and Romania.
During the Byzantine Renaissance of the Macedonian Dynasty, art

and literature flourished, and artists adopted a naturalistic style and
complex techniques from ancient Greek and Roman art, mixing them
with Christian themes. Byzantine painting from this period would
have a strong influence on the later painters of the Italian
Renaissance.
The migration waves of Byzantine scholars and é migré s in the

period following the sacking of Constantinople and the fall of
Constantinople in 1453 is considered by many scholars to be key to
the revival of Greek and Roman studies that led to the development
of the Renaissance in humanism and science. These é migré s were
grammarians, humanists, poets, writers, printers, lecturers,
musicians, astronomers, architects, academics, artists, scribes,
philosophers, scientists, politicians and theologians. They brought to
western Europe the far greater preserved and accumulated
knowledge of their own (Greek) civilization.
Byz antine Encyclopedia

A page from a 16th-century edition of the vast Byzantine
encyclopedia, the Suda.
Attributions
The Macedonian Dynasty
"Byzantine Empire."
CC BY-SA 3.0.
"Byzantine Empire under the Macedonian dynasty."
http://en.wikipedia.org/wiki/Byzantine_Empire_under_the_M
acedonian_dynasty. Wikipedia CC BY-SA 3.0.
"Basil I (867-886) from the Chronikon of Ioannis Skylitzes."
https://commons.wikimedia.org/wiki/File:Basil_I_(867-
886)_from_the_Chronikon_of_Ioannis_Skylitzes.jpg.
The Great Schism of 1054
"East-West Schism."
http://en.wikipedia.org/wiki/East%E2%80%93West_Schism.
"Great Schism 1054 with former borders."
https://en.wikipedia.org/wiki/File:Great_Schism_1054_with_
former_borders.png. Wikimedia Public domain.
The Byzantine-Bulgarian Wars
"Byzantine-Bulgarian wars."
http://en.wikipedia.org/wiki/Byzantine%E2%80%93Bulgaria
n_wars. Wikipedia CC BY-SA 3.0.
"Byzantine Empire under the Macedonian dynasty."
http://en.wikipedia.org/wiki/Byzantine_Empire_under_the_M
acedonian_dynasty. Wikipedia CC BY-SA 3.0.
"First Bulgarian Empire."
https://en.wikipedia.org/wiki/First_Bulgarian_Empire.
"Bulgars.jpg."
https://commons.wikimedia.org/wiki/File:Bulgars.jpg.
The Double Disasters
"Battle of Manzikert."
https://en.wikipedia.org/wiki/Battle_of_Manzikert. Wikipedia
CC BY-SA 3.0.
"Byzantine–Norman wars." https://en.wikipedia.org/.
"131_Bataille_de_Malazgirt.jpg."
https://commons.wikimedia.org/wiki/File:131_Bataille_de_M
alazgirt.jpg. Wikimedia Public domain.
Crisis and Fragmentation
"1099 Jerusalem."
https://commons.wikimedia.org/wiki/File:1099jerusalem.jpg.
"Eug& # 232;ne Ferdinand V ictor Delacroix 012."
https://commons.wikimedia.org/wiki/File:Eug%C3%A8ne_F
erdinand_V ictor_Delacroix_012.jpg. Wikimedia Public
domain.
The Last Byzantine Dynasty
"History of the Byzantine Empire."
https://en.wikipedia.org/wiki/History_of_the_Byzantine_Emp
ire. Wikipedia CC BY-SA 3.0.
"Byzantine Empire under the Palaiologos dynasty."
https://en.wikipedia.org/wiki/Byzantine_Empire_under_the_
Palaiologos_dynasty# Learning_under_the_Palaiologoi.
"Hyperpyron-Michael V III Paleologus-sb2241."
https://commons.wikimedia.org/wiki/File:Hyperpyron-
Michael_V III_Paleologus-sb2241.jpg. Wikimedia CC BY-SA
3.0.
The Fall of Constantinople
"Ottoman Empire."
http://en.wiktionary.org/wiki/Ottoman_Empire. Wiktionary
CC BY-SA 3.0.
"Eastern Mediterranean 1450."
https://commons.wikimedia.org/wiki/File:Eastern_Mediterra
nean_1450.svg. Wikimedia CC BY-SA 2.5.
"The Walls of Constantinople."
https://commons.wikimedia.org/wiki/File:Walls_of_Constanti
nople.JPG. Wikimedia CC BY-SA 3.0.
Byzantium's Legacy
"Byzantine Empire."
CC BY-SA 3.0.
"Eastern Orthodox Church."
http://en.wikipedia.org/wiki/Eastern_Orthodox_Church.
"lingua franca." http://en.wiktionary.org/wiki/lingua_franca.
"Lingua franca." http://en.wiktionary.org/wiki/lingua_franca.
"Eastern Orthodoxy by country."
http://en.wikipedia.org/wiki/File:Eastern_Orthodoxy_by_cou
ntry.png. Wikipedia CC0 1.0 Universal.
"Suda." https://commons.wikimedia.org/wiki/File:Suda.jpg.
"Bizansist touchup."
https://commons.wikimedia.org/wiki/File:Bizansist_touchup.j
10: The Rise and Spread of
Islam
10.1: Pre-Islamic Arabia
10.1.1: The Nomadic Tribes of Arabia
The nomadic pastoralist Bedouin tribes inhabited the Arabian
Peninsula before the rise of Islam around 700 CE.
Learning Objective
Describe the societal structure of tribes in Arabia
Key Points
Nomadic Bedouin tribes dominated the Arabian Peninsula
before the rise of Islam.
Family groups called clans formed larger tribal units, which
reinforced family cooperation in the difficult living conditions on
the Arabian peninsula and protected its members against other
tribes.
The Bedouin tribes were nomadic pastoralists who relied on
their herds of goats, sheep, and camels for meat, milk, cheese,
blood, fur/wool, and other sustenance.
The pre-Islamic Bedouins also hunted, served as bodyguards,
escorted caravans, worked as mercenaries, and traded or
raided to gain animals, women, gold, fabric, and other luxury
items.
Arab tribes begin to appear in the south Syrian deserts and
southern Jordan around 200 CE, but spread from the central
Arabian Peninsula after the rise of Islam in the 630s CE.
Key Terms
Nabatean
an ancient Semitic people who inhabited northern Arabia and

Southern Levant, ca. 37–100 CE.
Bedouin
a predominantly desert-dwelling Arabian ethnic group

traditionally divided into tribes or clans.
Pre-Islamic Arabia
Pre-Islamic Arabia refers to the Arabian Peninsula prior to the rise of
Islam in the 630s.
Some of the settled communities in the Arabian Peninsula developed

into distinctive civilizations. Sources for these civilizations are not
extensive, and are limited to archaeological evidence, accounts
written outside of Arabia, and Arab oral traditions later recorded by
Islamic scholars. Among the most prominent civilizations were
Thamud, which arose around 3000 BCE and lasted to about 300 CE,
and Dilmun, which arose around the end of the fourth millennium
and lasted to about 600 CE. Additionally, from the beginning of the
first millennium BCE, Southern Arabia was the home to a number of
kingdoms, such as the Sabaean kingdom, and the coastal areas of
Eastern Arabia were controlled by the Iranian Parthians and
Sassanians from 300 BCE.
Pre-Islamic religion in Arabia consisted of indigenous polytheistic

beliefs, Ancient Arabian Christianity, Nestorian Christianity, Judaism,
and Zoroastrianism. Christianity existed in the Arabian Peninsula,
and was established first by the early Arab traders who heard the
gospel from Peter the apostle at Jerusalem (Acts 2:11), as well as
those evangelized by Paul's ministry in Arabia (Galatians 1:17) and
by St Thomas. While ancient Arabian Christianity was strong in
areas of Southern Arabia, especially with Najran being an important
center of Christianity, Nestorian Christianity was the dominant
religion in Eastern Arabia prior to the advent of Islam.
Tribes in the Arabian Peninsula c. 600

CE
Approximate locations of some of the important tribes and Empire of
the Arabian Peninsula before the dawn of Islam. Family groups
called clans formed larger tribal units, which reinforced family
cooperation in the difficulty living conditions on the Arabian peninsula
and protected its members against other tribes.
The map shows about 40 different tribes spread throughout the

Arabian Peninsula. Most were concentrated on the western coast of
the peninsula along the Red Sea.
Nomadic Tribes in Pre-Islamic Arabia

One of the major cultures that dominated the Arabian Peninsula just
before the rise of Islam was that of the nomadic Bedouin people. The
polytheistic Bedouin clans placed heavy emphasis on kin-related
groups, with each clan clustered under tribes. The immediate family
shared one tent and can also be called a clan. Many of these tents
and their associated familial relations comprised a tribe. Although
clans were made up of family members, a tribe might take in a non-
related member and give them familial status. Society was
patriarchal, with inheritance through the male lines. Tribes provided a
means of protection for its members; death to one clan member
meant brutal retaliation.
Non-members of the tribe were viewed as outsiders or enemies.

Tribes shared common ethical understandings and provided an
individual with an identity. Warfare between tribes was common
among the Bedouin, and warfare was given a high honor. The
difficult living conditions in the Arabian Peninsula created a heavy
emphasis on family cooperation, further strengthening the clan
system.
Bedouin shepherd in the Syrian
desert
While most modern Bedouins have abandoned their nomadic and
tribal traditions for modern urban lifestyles, they retain traditional
Bedouin culture with traditional music, poetry, dances, and other
cultural practices.
The Bedouin tribes in pre-Islamic Arabia were nomadic-pastoralists.

Pastoralists depend on their small herds of goats, sheep, camels,
horses, or other animals for meat, milk, cheese, blood, fur/wool, and
other sustenance. Because of the harsh climate and the seasonal
migrations required to obtain resources, the Bedouin nomadic tribes
generally raised sheep, goats, and camels. Each member of the
family had a specific role in taking care of the animals, from guarding
the herd to making cheese from milk. The nomads also hunted,
served as bodyguards, escorted caravans, and worked as
mercenaries. Some tribes traded with towns in order to gain goods,
while others raided other tribes for animals, women, gold, fabric, and
other luxury items.
Bedouin tribes raised camels as part
of their nomadic-pastoralist lifestyle
Tribes migrated seasonally to reach resources for their herds of
sheep, goats, and camels. Each member of the family had a specific
role in taking care of the animals, from guarding the herd to making
cheese from milk.
Origin of J ewish and Other Tribes

The first mention of Jews in the areas of modern-day Saudi Arabia
dates back, by some accounts, to the time of the First Temple.
Immigration to the Arabian Peninsula began in earnest in the 2nd
century CE, and by the 6th and 7th centuries there was a
considerable Jewish population in Hejaz, mostly in and around
Medina. This was partly because of the embrace of Judaism by
leaders such as Abu Karib Asad and Dhu Nuwas, who was very
aggressive about converting his subjects to Judaism, and who
persecuted Christians in his kingdom as a reaction to Christian
persecution of Jews there by the local Christians. Before the rise of
Islam, there were three main Jewish tribes in the city of Medina: the
Banu Nadir, the Banu Qainuqa, and the Banu Qurayza. Arab tribes,
most notably the Ghassanids and Lakhmids, began to appear in the
south Syrian deserts and southern Jordan from the mid 3rd century
CE, during the mid to later stages of the Roman Empire and
Sassanid Empire. The Nabatean civilization in Jordan was an
Aramaic-speaking ethnic mix of Canaanites, Arameans, and Arabs.
According to tradition, the Saudi Bedouin are descendants of two
groups. One group, the Yemenis, settled in southwestern Arabia, in
the mountains of Yemen, and claimed they descended from a semi-
legendary ancestral figure, Qahtan (or Joktan). The second group,
the Qaysis, settled in north-central Arabia and claimed they were
descendants of the Biblical Ishmael.
10.1.2: Arabian Cities
Cities like Mecca and Medina acted as important centers of trade
and religion in pre-Islamic Arabia.
Learning Objective
Examine the historical significance of Mecca and Medina
Key Points
As sea trade routes became more dangerous, several tribes
built the Arabian city of Mecca into a center of trade to direct
more secure overland caravan routes.
Once a year, the nomadic tribes would declare a truce and
converge upon Mecca in a pilgrimage to pay homage to their
idols at the Kaaba and drink from the Zamzam Well.
The oasis city of Yathrib, also known as Medina, was ruled by
several Jewish tribes until Arab tribes gained political power
around 400 CE.
Key Terms
Ishmael
A figure in the Hebrew Bible and the Qur'an, and Abraham's first
son according to Jews, Christians, and Muslims. He was born of
Abraham's marriage to Sarah's handmaiden Hagar.
Kaaba
A sacred building in the city of Mecca that housed the tribal idols
until the rise of Islam in 7th century, when it became the center
of Islam's most sacred mosque.
Zamzam Well
A well located in the city of Mecca that, according to Islamic

belief, is a miraculously generated source of water from God.
Although the majority of pre-Islamic Arabia was nomadic, there were

several important cities that came into being as centers of trade and
religion, such as Mecca, Medina (Yathrib), Karbala, and Damascus.
The most important of these cities was Mecca, which was an
important center of trade in the area, as well as the location of the
Kaaba (or Ka'ba), one of the most revered shrines in polytheistic
Arabia. After the rise of Islam, the Kaaba became the most sacred
place in Islam.
Islamic tradition attributes the beginning of Mecca to Ishmael's

descendants. Many Muslims point to the Old Testament chapter
Psalm 84:3–6 and a mention of a pilgrimage at the V alley of Baca,
which is interpreted as a reference to Mecca as Bakkah in Qur'an
Surah 3:96. The Greek historian Diodorus Siculus, who lived
between 60 BCE and 30 BCE, wrote about the isolated region of
Arabia in his work Bibliotheca historica, describing a holy shrine that
Muslims see as Kaaba at Mecca: "And a temple has been set up
there, which is very holy and exceedingly revered by all Arabians."
Some time in the 5th century, the Kaaba was a place to worship the
deities of Arabia's pagan tribes. Mecca's most important pagan deity
was Hubal, whose idol had been placed there by the ruling Quraysh
tribe and remained until the 7th century.
The City of Mecca

In the 5th century, the Quraysh tribes took control of Mecca and
became skilled merchants and traders. In the 6th century, they joined
the lucrative spice trade, since battles in other parts of the world
were causing traders to divert from the dangerous sea routes to the
more secure overland routes. The Byzantine Empire had previously
controlled the Red Sea, but piracy had been increasing. Another
previous route, which ran through the Persian Gulf via the Tigris and
Euphrates rivers, was also threatened by exploitations from the
Sassanid Empire, and disrupted by the Lakhmids, the Ghassanids,
and the Roman–Persian Wars.
Mecca's prominence as a trading center eventually surpassed the

cities of Petra and Palmyra. Historical accounts also provide some
indication that goods from other continents may also have flowed
through Mecca. Camel caravans, said to have first been used by
Muhammad's great-grandfather, were a major part of Mecca's
bustling economy. Alliances were struck between the merchants in
Mecca and the local nomadic tribes, who would bring goods—
leather, livestock, and metals mined in the local mountains—to
Mecca to be loaded on the caravans and carried to cities in Syria
and Iraq. Historical accounts provide some indication that goods
from other continents may also have flowed through Mecca. Goods
from Africa and the Far East passed through en route to Syria. The
Meccans signed treaties with both the Byzantines and the Bedouins
to negotiate safe passages for caravans and give them water and
pasture rights. Mecca became the center of a loose confederation of
client tribes, which included those of the Banu Tamim. Other regional
powers such as the Abyssinian, Ghassan, and Lakhm were in
decline, leaving Meccan trade to be the primary binding force in
Arabia in the late 6th century.
The harsh conditions and terrain of the Arabian peninsula meant a

near-constant state of conflict between the local tribes, but once a
year they would declare a truce and converge upon Mecca in a
pilgrimage. Up to the 7th century, this journey was undertaken by the
pagan Arabs to pay homage to their shrine and drink from the
Zamzam Well. However, it was also the time each year when
disputes would be arbitrated, debts would be resolved, and trading
would occur at Meccan fairs. These annual events gave the tribes a
sense of common identity and made Mecca an important focus for
the peninsula.
A modern-day caravan crossing the
Arabian Peninsula
As sea trade routes became more dangerous, several tribes built the
Arabian city of Mecca into a center of trade to direct more secure
overland caravan routes.
The City of Medina ( Y athrib)

Although the city of Medina did not have any great distinction until
the introduction of Islam, it has always held an important place in
trade and agriculture because of its location in a fertile region of the
Hejaz. The city was able to maintain decent amounts of food and
water, and therefore was an important pit stop for trade caravans
traveling along the Red Sea. This was especially important given the
merchant culture of Arabia. Along with the port of Jidda, Medina and
Mecca thrived through years of pilgrimage.
During the pre-Islamic period up until 622 CE, Medina was known as
Yathrib, an oasis city. Yathrib was dominated by Jewish tribes until
around 400 CE, when several Arab tribes gained political power.
Medina is celebrated for containing the mosque of Muhammad.
Medina is 210 miles (340 km) north of Mecca and about 120 miles
(190 km) from the Red Sea coast. It is situated in the most fertile part
of the Hejaz territory, where the streams of the vicinity converge. An
immense plain extends to the south; in every direction the view is
bounded by hills and mountains.
In 622 CE, Muhammad and around 70 Meccan Muhajirun believers

left Mecca for sanctuary in Yathrib, an event that transformed the
religious and political landscape of the city completely. The
longstanding enmity between the Aus and Khazraj tribes was
dampened as many tribe members, and some local Jews, embraced
Islam. Muhammad, linked to the Khazraj through his great-
grandmother, was agreed on as civic leader.
The Muslim converts native to Yathrib—whether pagan Arab or

Jewish—were called Ansar ("the Patrons" or "the Helpers").
According to Ibn Ishaq, the local pagan Arab tribes, the Muslim
Muhajirun from Mecca, the local Muslims (Ansar), and the Jews of
the area signed an agreement, the Constitution of Medina, which
committed all parties to mutual cooperation under the leadership of
Muhammad. The nature of this document as recorded by Ibn Ishaq
and transmitted by Ibn Hisham is the subject of dispute among
modern Western historians. Many maintain that this "treaty" is
possibly a collage of different agreements, oral rather than written, of
different dates, and that it is not clear when they were made. Other
scholars, however, both Western and Muslim, argue that the text of
the agreement—whether it was originally a single document or
several—is possibly one of the oldest Islamic texts we possess.
Medina
Old depiction of Medina during Ottoman times.
A painting of the city of Medina from Ottoman times. Shows inner

courtyards and a palace surrounded by large walls, and a city with
buildings of various sizes surrounding the walls.
10.1.3: Culture and Religion in Pre-

Islamic Arabia
The nomadic tribes of pre-Islamic Arabia primarily practiced
polytheism, although some tribes converted to Judaism and
Christianity.
Learning Objective
Explain the significance of polytheism and monotheism in pre-Islamic
Arabia
Key Points
Before the rise of the monotheistic religions of Judaism,
Christianity, and Islam, most Bedouin tribes practiced
polytheism in the form of animism and idolatry.
Three of the ruling tribes of Yathrib (Medina) were Jewish, one
of the oldest monotheistic religions.
Christianity spread to Arabia after Constantinople conquered
Byzantium in 324 CE, and it was adopted by several Bedouin
tribes.
Poetry was a large part of tribal culture and communication, and
it was often used as propaganda against other tribes.
Key Terms
monotheism
The belief in the existence of a single god.
idolatry
The worship of an idol or a physical object, such as a cult

image, as a god.
animism
The worldview that non-human entities (animals, plants, and

inanimate objects or phenomena) possess a spiritual essence;
often practiced by tribal groups before organized religion.
Ka'aba
A building at the center of Islam's most sacred mosque, Al-

Masjid al-Haram, in Mecca, al-Hejaz, Saudi Arabia. It is the
most sacred Muslim site in the world.
polytheism
The worship of or belief in multiple deities usually assembled

into a pantheon of gods and goddesses, along with their own
religions and rituals.
Overview
Religion in pre-Islamic Arabia was a mix of polytheism, Christianity,
Judaism, and Iranian religions. Arab polytheism, the dominant belief
system, was based on the belief in deities and other supernatural
beings such as djinn. Gods and goddesses were worshipped at local
shrines, such as the Kaaba in Mecca. Some scholars postulate that
Allah may have been one of the gods of the Meccan religion to
whom the shrine was dedicated, although it seems he had little
relevance in the religion. Many of the physical descriptions of the
pre-Islamic gods are traced to idols, especially near the Kaaba,
which is believed to have contained up to 360 of them.
The Kaaba
The Kaaba is a cube-shaped building in Mecca held to be sacred
both by Muslims and pre-Islamic polytheistic tribes.
A photo of the Kaaba, a black cube worshipped by Muslims,

surrounded by people.
Other religions were represented to varying, lesser degrees. The
influence of the adjacent Roman, Axumite, and Sasanian empires
resulted in Christian communities in the northwest, northeast, and
south of Arabia. Christianity made a lesser impact, but secured some
conversions in the remainder of the peninsula. With the exception of
Nestorianism in the northeast and the Persian Gulf, the dominant
form of Christianity was Monophysitism. The Arabian peninsula had
been subject to Jewish migration since Roman times, which had
resulted in a diaspora community supplemented by local converts.
Additionally, the influence of the Sasanian Empire resulted in the
presence Iranian religions. Zoroastrianism existed in the east and
south, and there is evidence of Manichaeism or possibly Mazdakism
being practiced in Mecca.
Polytheism in Pre-Islamic
Arabia
Before the rise of Islam, most Bedouin tribes practiced polytheism,
most often in the form of animism. Animists believe that non-human
entities (animals, plants, and inanimate objects or phenomena)
possess a spiritual essence. Totemism and idolatry, or worship of
totems or idols representing natural phenomena, were also common
religious practices in the pre-Islamic world. Idols were housed in the
Kaaba, an ancient sanctuary in the city of Mecca. The site housed
about 360 idols and attracted worshippers from all over Arabia.
According to the holy Muslim text the Quran, Ibrahim, together with
his son Ishmael, raised the foundations of a house and began work
on the Kaaba around 2130 BCE.
The chief god in pre-Islamic Arabia was Hubal, the Syrian god of the
moon. The three daughters of Hubal were the chief goddesses of
Meccan Arabian mythology: Allāt, Al-‘ Uzzá, and Manāt. Allāt was the
goddess associated with the underworld. Al-‘ Uzzá, "The Mightiest
One" or "The Strong," was a fertility goddess, and she was called
upon for protection and victory before war. Manāt was the goddess
of fate; the Book of Idols describes her as the most ancient of all
these idols. The Book of Idols describes gods and rites of Arabian
religion, but criticizes the idolatry of pre-Islamic religion.
Relief of the goddess Allā t, one of the

three patron gods of the city of Mecca
Before the rise of the monotheistic religions of Judaism, Christianity,
and Islam, most Bedouin tribes practiced polytheism in the form of
animism and idolatry.
Monotheism in Pre-Islamic
Arabia
J udaism
The most well-known monotheists were the Hebrews, although the
Persians and the Medes had also developed monotheism. Judaism
is one of the oldest monotheistic religions.
A thriving community of Jewish tribes existed in pre-Islamic Arabia

and included both sedentary and nomadic communities. Jews
migrated into Arabia starting Roman times. Arabian Jews spoke
Arabic as well as Hebrew and Aramaic and had contact with Jewish
religious centers in Babylonia and Palestine. The Yemeni Himyarites
converted to Judaism in the 4th century, and some of the Kindah, a
tribe in central Arabia who were the Himyarites' vassals, were also
converted in the 4th/5th century. There is evidence that Jewish
converts in the Hejaz were regarded as Jews by other Jews and
non-Jews alike, and sought advice from Babylonian rabbis on
matters of attire and kosher food. In at least one case, it is known
that an Arab tribe agreed to adopt Judaism as a condition for settling
in a town dominated by Jewish inhabitants. Some Arab women in
Yathrib/Medina are said to have vowed to make their child a Jew if
the child survived, since they considered the Jews to be people "of
knowledge and the book." Historian Philip Hitti infers from proper
names and agricultural vocabulary that the Jewish tribes of Yathrib
consisted mostly of Judaized clans of Arabian and Aramaean origin.
Christianity
After Constantine conquered Byzantium in 324 CE, Christianity
spread to Arabia. The principal tribes that embraced Christianity
were the Himyar, Ghassan, Rabi'a, Tagh'ab, Bahra, and Tunukh,
parts of the Tay and Khud'a, the inhabitants of Najran, and the Arabs
of Hira. Traditionally, both Jews and Christians believe in the God of
Abraham, Isaac and Jacob, for Jews the God of the Tanakh, for
Christians the God of the Old Testament, the creator of the
universe. Both religions reject the view that God is entirely
transcendent, and thus separate from the world, as the pre-Christian
Greek Unknown God. Both religions also reject atheism on one hand
and polytheism on the other.
The main areas of Christian influence in Arabia were on the

northeastern and northwestern borders and in what was to become
Yemen in the south. The northwest was under the influence of
Christian missionary activity from the Roman Empire, where the
Ghassanids, residents of a client kingdom of the Romans, were
converted to Christianity. In the south, particularly at Najran, a center
of Christianity developed as a result of the influence of the Christian
kingdom of Axum based on the other side of the Red Sea in
Ethiopia. Both the Ghassanids and the Christians in the south
adopted Monophysitism. The spread of Christianity was halted in
622 CE by the rise of Islam, though the city of Mecca provided a
central location for an intermingling of the two cultures. For example,
in addition to the animistic idols, the pre-Islamic Kaaba housed
statues of Jesus and his holy mother, Mary.
Nomadic Culture and Poetry

Like later cultures in the region, the Bedouin tribes placed heavy
importance on poetry and oral tradition as a means of
communication. Poetry was used to communicate within the
community and sometimes promoted tribal propaganda. Tribes
constructed verses against their enemies, often discrediting their
people or fighting abilities. Poets maintained sacred places in their
tribes and communities because they were thought to be divinely
inspirited. Poets often wrote in classical Arabic, which differed from
the common tribal dialect. Poetry was also a form of entertainment,
as many poets constructed prose about the nature and beauty
surrounding their nomadic lives.
Music
Arabian music extended from the Islamic peoples in Arabia to North
Africa, Persia, and Syria. Although the major writings on Arabian
music appeared after the dawn of Islam (622 CE), music had already
been cultivated for thousands of years. Pre-Islamic Arabian music
was primarily vocal, and it may have developed from simple caravan
songs (huda) to a more sophisticated secular song (nasb).
Instruments were generally used alone and served only to
accompany the singer. The short lute ('ud), long lute (tunbur), flute
(qussaba), tambourine (duff), and drum (tabl) were the most popular
instruments.
An 'ud
The 'ud was one of the instruments used to accompany singers. Pre-
Islamic and post-Islamic music was important for poetry and oral
traditions.
10.1.4: W omen in Pre-Islamic Arabia

Women had almost no legal status under tribal law in pre-Islamic
Arabia.
Learning Objective
Assess the role and rights of women in Islamic and pre-Islamic
Arabia
Key Points
In the nomadic Bedouin tribes, tribal law determined women's
rights, while in the Christian and Jewish southern Arabian
Peninsula, Christian and Hebrew edicts determined women's
rights.
Under the customary tribal law existing in Arabia before the rise
of Islam, women, as a general rule, had virtually no legal status;
fathers sold their daughters into marriage for a price, the
husband could terminate the union at will, and women had little
or no property or succession rights.
One of the most important roles for women was to produce
children, especially male offspring; women also cooked meals,
milked animals, washed clothes, prepared butter and cheese,
spun wool, and wove fabric for tents.
Upper-class women usually had more rights than tribal women
and might own property or even inherit from relatives.
In many modern-day Islamic countries, politics and religion are
linked by Sharia law, including the mandatory wearing of the
hijab in countries like Saudi Arabia.
Key Terms
Jahiliyyah
The period of ignorance before the rise of Islam.
hijab
A veil that covers the head and chest, which is particularly worn
by some Muslim women in the presence of adult males outside
of their immediate family.
Sharia
(Islamic law) deals with many topics addressed by secular law,

including crime, politics, and economics, as well as personal
matters such as sexual intercourse, hygiene, diet, prayer,
everyday etiquette and fasting. Historically, adherence to Islamic
law has served as one of the distinguishing characteristics of the
Muslim faith.
In pre-Islamic Arabia, women's status varied widely according to the

laws and cultural norms of the tribes in which they lived. In the
prosperous southern region of the Arabian Peninsula, for example,
the religious edicts of Christianity and Judaism held sway among the
Sabians and Himyarites. In other places, such as the city of Mecca,
and in the nomadic Bedouin tribes, tribal law determined women's
rights. Therefore, there was no single definition of the roles played
and rights held by women prior to the advent of Islam.
Depiction of the costumes of women
in the 4th-6th centuries
Under the customary tribal law existing in Arabia before the rise of
Islam, as a general rule women had virtually no legal status; fathers
sold their daughters into marriage for a price, the husband could
terminate the union at will, and women had little or no property or
succession rights.
Tribal Law
Under the customary tribal law existing in Arabia at the advent of
Islam, as a general rule women had virtually no legal status. The
tribe acted as the main functional unit of Arabian society and was
composed of people with connections to a common relative. These
tribes were patriarchal and inheritance was passed through the male
lines; women could not inherit property. The tribal leader enforced
the tribe's spoken rules, which generally limited the rights of the
women. Women were often considered property to be inherited or
seized in a tribal conflict.
There were also patterns of homicidal abuse of women and girls,

including instances of killing female infants if they were considered a
liability. The Quran mentions that the Arabs in Jahiliyyah (the period
of ignorance or pre-Islamic period) used to bury their daughters
alive. The motives were twofold: the fear that an increase in female
offspring would result in economic burden, and the fear of the
humiliation frequently caused when girls were captured by a hostile
tribe and subsequently preferring their captors to their parents and
brothers.
W omen in Islam and the Hijab

After the rise of Islam, the Quran (the word of God) and the Hadith
(the traditions of the prophet Muhammad) developed into Sharia, or
Islamic religious law. Sharia dictates that women should cover
themselves with a veil. Women who follow these traditions feel it
wearing the hijab is their claim to respectability and piety. One of the
relevant passages from the Quran translates as "O Prophet! Tell thy
wives and daughters, and the believing women, that they should cast
their outer garments over their persons, that are most convenient,
that they should be known and not molested. And Allah is Oft-
Forgiving, Most Merciful" (Quran Surat Al-Ahzab 33:59). These
areas of the body are known as "awrah" (parts of the body that
should be covered) and are referred to in both the Quran and the
Hadith. "Hijab" can also be used to refer to the seclusion of women
from men in the public sphere.
Modern-day female art students in
Afghanistan
In many modern Islamic countries, Sharia combines politics and
religion. For example, in Saudi Arabia it is mandatory for women to
wear the hijab, while in Afghanistan it is very common but not legally
required by the state.
The practice of women covering themselves with veils was also

known during pre-Islamic times. In the Byzantine Empire and pre-
Islamic Persia, a veil was a symbol of respect worn by the elite and
upper-class women.
Standing woman holding her veil.
Terracotta figurine, c. 400– 37 5 BC
V eils were present in the Byzantine Empire and pre-Islamic Persia,
and veil wearing is now a basic principle of the Islamic faith.
Marriage
In pre-Islamic Arabian culture, women had little control over their
marriages and were rarely allowed to divorce their husbands.
Marriages usually consisted of an agreement between a man and his
future wife's family, and occurred either within the tribe or between
two families of different tribes. As part of the agreement, the man's
family might offer property such as camels or horses in exchange for
the woman. Upon marriage, the woman would leave her family and
reside permanently in the tribe of her husband. Marriage by capture,
or "Ba'al," was also a common pre-Islamic practice.
Under Islam, polygyny (the marriage of multiple women to one man)
is allowed, but not widespread. In some Islamic countries, such as
Iran, a woman's husband may enter into temporary marriages in
addition to permanent marriage. Islam forbids Muslim women from
marrying non-Muslims.
Family Structure
One of the most important roles for women in pre-Islamic tribes was
to produce children, especially male offspring. A woman's male
children could inherit property and increased the wealth of the tribe.
While men often tended the herds of livestock and guarded the tribe,
women played integral roles within tribal society. Women cooked
meals, milked animals, washed clothes, prepared butter and cheese,
spun wool, and wove fabric for tents.
Upper-Class W omen
While the general population of women in pre-Islamic Arabia did not
enjoy the luxury of many rights, many women of upper-class status
did. They married into comfortable homes and were sometimes able
to own property or even inherit from relatives.
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"Women in Early Islam."
http://iah211dspring2010.wikispaces.com/Group+ 4-
1+ Women+ in+ Early+ Islam. iah211dspring2010 Wikispace
CC BY-SA 3.0.
"Center for Contemporary Arts Afghanistan in 2010."
http://en.wikipedia.org/wiki/Hijab%23mediaviewer/File:Cent
er_for_Contemporary_Arts_Afghanistan_in_2010.jpg.
"PLATE8CX ."
http://en.wikipedia.org/wiki/Women_in_Arab_societies%23
mediaviewer/File:PLATE8CX .jpg. Wikimedia Public domain.
"V eil." http://en.wikipedia.org/wiki/V eil. Wikipedia CC BY-SA
3.0.
10.2: Muhammad and the Rise
of Islam
10.2.1: Early Life of Muhammad
Born c. 570 CE in Mecca, Muhammad was raised by his uncle Abu
Talib and later worked as a merchant.
Learning Objective
Describe Muhammad's life before 622 CE
Key Points
Muhammad was born in or around the year 570 CE to the Banu
Hashim clan of the Quraysh tribe, one of Mecca's prominent
families.
Muhammad was orphaned at an early age and brought up
under the care of his paternal uncle Abu Talib.
Muhammad worked mostly as a merchant, as well as a
shepherd, and married Khadijah, a 40-year-old widow, in 595
CE when he was twenty-five.
In 605 CE, Muhammad honored all the Meccan clan leaders
and set the Black Stone back into the correct spot in the Ka'aba.
Key Terms
Quraysh tribe
A powerful merchant group that controlled Mecca and the

Kaaba.
the Black Stone
The eastern cornerstone of the Kaaba, the ancient stone

building located in the center of the Grand Mosque in Mecca,
Saudi Arabia. It is revered by Muslims as an Islamic relic that,
according to Muslim tradition, dates back to the time of Adam
and Eve.
Overview
Muhammad unified Arabia into a single religious polity under Islam.
Muslims and Bahá'ís believe he is a messenger and prophet of God.
The Quran, the central religious text in Islam, alludes to
Muhammad's life. Muhammad's life is traditionally defined into two
periods: pre-hijra (emigration) in Mecca (from 570 to 622 CE) and
post-hijra in Medina (from 622 until 632 CE). There are also
traditional Muslim biographies of Muhammad (the sira literature),
which provide additional information about Muhammad's life.
Muhammad is almost universally considered by Muslims as the last
prophet sent by God to mankind. While non-Muslims regard
Muhammad as the founder of Islam, Muslims consider him to have
restored the unaltered original monotheistic faith of Adam, Noah,
Abraham, Moses, Jesus, and other prophets.
Childhood
Muhammad was born around the year 570 CE to the Banu Hashim
clan of the Quraysh tribe, one of Mecca's prominent families. His
father, Abdullah, died almost six months before Muhammad was
born. According to Islamic tradition, Muhammad was sent to live with
a Bedouin family in the desert, as desert life was considered
healthier for infants. Muhammad stayed with his foster mother,
Halimah bint Abi Dhuayb, and her husband until he was two years
old. At the age of six, Muhammad lost his biological mother, Amina,
to illness and was raised by his paternal grandfather, Abd al-Muttalib,
until he died when Muhammad was eight. He then came under the
care of his uncle Abu Talib, the new leader of Banu Hashim.
Adolescence and Early

Adulthood
While still in his teens, Muhammad accompanied his uncle on
trading journeys to Syria, gaining experience in commercial trade,
which was the only career open to him as an orphan. Islamic
tradition states that when Muhammad was either nine or twelve,
while accompanying a caravan to Syria he met a Christian monk or
hermit named Bahira, who is said to have foreseen Muhammed's
career as a prophet of God. Little is known of Muhammad during his
later youth; available information is fragmented, and it is difficult to
separate history from legend. It is known that he became a merchant
and "was involved in trade between the Indian ocean and the
Mediterranean Sea." Due to his upright character during this time, he
acquired the nickname "al-Amin," meaning "faithful, trustworthy," and
"al-Sadiq," meaning "truthful."
Muhammad worked as a trader for Khadija, a widow, until he married

her in 595 CE at the age of 25. The marriage lasted for 25 years and
was reported to be a happy one. Muhammad relied upon Khadija
and did not enter into a marriage with another woman during his first
marriage. After Khadija's death, Khawla bint Hakim suggested that
Muhammad that should marry Sawda bint Zama, a Muslim widow, or
Aisha, daughter of Um Ruman and Abu Bakr of Mecca. Muhammad
is said to have asked for arrangements to marry both.
According to a text collected by historian Ibn Ishaq, Muhammad was

involved with a well-known story about setting the Black Stone in
place in the wall of the Kaaba in 605 CE. The Black Stone, a sacred
object, had been removed to facilitate renovations to the Kaaba. The
leaders of Mecca could not agree on which clan should have the
honor of setting the Black Stone back in its place. They agreed to
wait for the next man to come through the gate and ask him to
choose. That man was the 35-year-old Muhammad, five years
before his first revelation. He asked for a cloth and put the Black
Stone in its center. The clan leaders held the corners of the cloth and
together carried the Black Stone to the right spot; then Muhammad
set the stone in place, satisfying all who were present.
Muhammad and the Black Stone

An illustration from c. 1315 depicting Muhammad's role in re-setting
the Black Stone in 605 CE.
Occasionally he would retreat to a cave in the mountains for several

nights of seclusion and prayer; it is reported that it was at this spot
that he was visited by Gabriel and received his first revelation from
God.
10.2.2: The Quran

Muhammad received revelations from 609-632 CE, and they
became the basis for the Quran, the central religious text of Islam.
Learning Objective
Discuss the origins of the first Muslim converts
Key Points
Muhammad first received revelations in 609 CE in a cave on
Mount Hira, near Mecca.
Muslims regard the Quran as the most important miracle of
Muhammad, the proof of his prophethood, and the culmination
of a series of divine messages revealed by the angel Gabriel
from 609–632 CE.
The key themes of the early Quranic verses included the
responsibility of man towards his creator; the resurrection of the
dead, God's final judgment followed by vivid descriptions of the
tortures in Hell and pleasures in Paradise; and the signs of God
in all aspects of life. Religious duties included belief in God,
asking for forgiveness of sins, offering frequent prayers,
assisting others particularly those in need, rejecting cheating
and the love of wealth, being chaste, and not killing newborn
girls.
Muhammad's immediate family were the first to believe he was
a prophet, followed by three main groups of early converts to
Islam: younger brothers and sons of great merchants, people
who had fallen out of the first rank in their tribe or failed to attain
it, and unprotected foreigners.
Muslims believe the Quran to be both the unaltered and the final
revelation of God. Religious concepts and practices include the
five pillars of Islam, which are obligatory acts of worship, and
following Islamic law, which touches on virtually every aspect of
life and society, from banking and welfare to the status of
women and the environment.
Key Terms
Quran
Literally meaning "the recitation," it is the central religious text of
Islam, which Muslims believe to be a revelation from God.
Five Pillars of Islam
Five basic acts in Islam, considered mandatory by believers and

are the foundation of Muslim life.
Khadijah
The first wife of Muhammad.
Muhammad's First Revelations

When he was nearly 40, Muhammad began spending many hours
alone in prayer and speculating over the aspects of creation. He was
concerned with the "ignorance of divine guidance" (J ahiliyyah),
social unrest, injustice, widespread discrimination (particularly
against women), fighting among tribes, and abuse of tribal
authorities prevalent in pre-Islamic Arabia. The moral degeneration
of his fellow people, and his own quest for a true religion, further lent
fuel to this, with the result that he began to withdraw periodically to a
cave called Mount Hira, three miles north of Mecca, for
contemplation and reflection. During this period Muhammad began
to have dreams replete with spiritual significance that were fulfilled
according to their true import; this was the commencement of his
divine revelation. Islamic tradition holds that during one of his visits
to Mount Hira in the year 609 CE, the angel Gabriel appeared to him
and commanded Muhammad to recite verses that would later be
included in the Quran. Upon receiving his first revelations,
Muhammad was deeply distressed. When he returned home, he was
consoled and reassured by Khadijah and her Christian cousin.
Muhammad feared that others would dismiss his claims as evidence
of him being possessed. On the other hand, Shi'a tradition maintains
that Muhammad was neither surprised nor frightened at the
appearance of Gabriel, but rather welcomed him as if he was
expected.
The cave Hira

The cave Hira in the mountain Jabal al-Nour where, according to
Muslim belief, Muhammad received his first revelation from the angel
Gabriel.
The initial revelation was followed by a pause of three years (a

period known as fatra) during which Muhammad felt depressed and
further gave himself to prayers and spiritual practices. When the
revelations resumed, he was reassured and began preaching.
The Quran
Quran Al-Qurʾn ‫ا‬
Arabic calligraphy for "Quran"
Muslims believe that the Quran was verbally revealed from God to
Muhammad through the angel Gabriel gradually over a period of
approximately 23 years, beginning on 22 December 609 CE, when
Muhammad was 40, and concluding in 632 CE, the year of his
death. At the beginning of these revelations, Muhammad was
confident that he could distinguish his own thoughts from the
messages. Sahih al-Bukhari narrates Muhammad describing the
revelations as, "Sometimes it is (revealed) like the ringing of a bell,"
and Aisha reported, "I saw the Prophet being inspired Divinely on a
very cold day and noticed the sweat dropping from his forehead (as
the Inspiration was over)."
Muhammad's first revelation, according to the Quran, was

accompanied by a vision. The agent of revelation is mentioned as
the "one mighty in power," the one who "grew clear to view when he
was on the uppermost horizon. Then he drew nigh and came down
till he was (distant) two bows' length or even nearer." The Islamic
studies scholar Welch states in the Encyclopaedia of I slam that he
believes the graphic descriptions of Muhammad's condition at these
moments may be regarded as genuine, because he was severely
disturbed after these revelations. According to Welch, these seizures
would have been seen by those around him as evidence for the
superhuman origin of Muhammad's inspirations. However,
Muhammad's critics accused him of being a possessed man, a
soothsayer or a magician, since his experiences were similar to
those claimed by such figures well known in ancient Arabia. Welch
additionally states that it remains uncertain whether these
experiences occurred before or after Muhammad's initial claim of
prophethood.
The Quran describes Muhammad as "ummi," which is traditionally

interpreted as "illiterate," but the meaning is more complex. Medieval
commentators such as Al-Tabari maintained that the term induced
two meanings: firstly, the inability to read or write in general, and
secondly, the inexperience or ignorance of books or scriptures.
However, priority was given to the first meaning. Muhammad's
illiteracy was taken as a sign of the genuineness of his prophethood.
For example, according to Fakhr al-Din al-Razi, if Muhammad had
mastered writing and reading he possibly would have been
suspected of having studied the books of the ancestors. Some
scholars such as Watt prefer the second meaning.
According to the Quran, one of the main roles of Muhammad is to

warn the unbelievers of their punishment at the end of the world. The
Quran does not explicitly refer to Judgment Day, but provided
examples from the history of extinct communities and warns
Muhammad's contemporaries of similar calamities. Muhammad did
not only warn those who rejected God's revelation, but also
dispensed good news for those who abandoned evil, listening to the
divine words and serving God. Muhammad's mission also involves
preaching monotheism; the Quran commands Muhammad to
proclaim and praise the name of his Lord and instructs him not to
worship idols or associate other deities with God.
A depiction of Muhammad receiving
his first revelation from the angel
Gabriel
Muslims regard the Quran as the most important miracle of
Muhammad, the proof of his prophethood, and the culmination of a
series of divine messages revealed by the angel Gabriel from 609–
632 CE. (From the manuscript Jami' al-tawarikh by Rashid-al-Din
Hamadani, 1307, Ilkhanate period)
The key themes of the early Quranic verses included the

responsibility of man towards his creator; the resurrection of the
dead, God's final judgment followed by vivid descriptions of the
tortures in Hell and pleasures in Paradise; and the signs of God in all
aspects of life. Religious duties required of the believers at this time
were few: belief in God, asking for forgiveness of sins, offering
frequent prayers, assisting others, particularly those in need,
rejecting cheating and the love of wealth (considered to be
significant in the commercial life of Mecca), being chaste, and not
killing newborn girls.
Rise of Islam in Mecca
According to Muslim tradition, Muhammad's wife Khadija was the
first to believe he was a prophet. She was followed by Muhammad's
ten-year-old cousin Ali ibn Abi Talib, close friend Abu Bakr, and
adopted son Zaid. Around 613, Muhammad began to preach to the
public. Most Meccans ignored and mocked him, but he did begin to
gain followers. There were three main groups of early converts to
Islam: younger brothers and sons of great merchants; people who
had fallen out of the first rank in their tribe or failed to attain it; and
the weak, mostly unprotected foreigners.
Basic Tenets and Practices of

Islam
Islam is a monotheistic and Abrahamic religion articulated by the
Quran, which is considered by its adherents to be the verbatim word
of God (Allah), and, for the vast majority of adherents, by the
teachings and normative example (called the sunnah, composed of
accounts called hadith) of Muhammad. An adherent of Islam is
called a Muslim. Muslims believe that God is one and incomparable
and that the purpose of existence is to worship God. Nearly all
Muslims consider Muhammad to be the last prophet of God.
Muslims also believe that Islam is the complete and universal

version of a primordial faith that was revealed many times before
through prophets including Adam, Noah, Abraham, Moses, and
Jesus. Muslims believe the Quran to be both the unaltered and the
final revelation of God. Religious concepts and practices include the
Five Pillars of Islam and following Islamic law, which touches on
virtually every aspect of life and society, from banking and welfare to
the status of women and the environment.
The Five Pillars of Islam are five basic acts in Islam; they are
considered mandatory by believers and are the foundation of Muslim
life. They are summarized in the famous hadith of Gabriel. The Five
Pillars are:
1. Shahada (faith): there is only one God (Allah), and Muhammad

is God's messenger. It is a set statement normally recited in
Arabic: lā ʾilāha ʾillā-llāhu muḥammadun rasūlu-llāh (‫َﻻ إِ ٰﻟﮫَ إِ ﱠﻻ ﷲ‬
‫ﺳو ُل ﷲ‬ُ ‫" ) ُﻣ َﺣ ﱠﻣ ٌد َر‬There is no god but God (and) Muhammad is the
messenger of God."
2. Salat (prayer): consists of five daily prayers, the names referring
to the prayer times: Faj r (dawn), Dhuhr (noon), ʿ Aṣ r (afternoon),
Maghrib (evening), and ʿ I shā ʾ (night). All of these prayers are
recited while facing in the direction of the Kaaba in Mecca, and
are accompanied by a series of set positions including bowing
with hands on knees, standing, prostrating, and sitting in a
special position.
3. Z akā t (charity): the practice of charitable giving based on
accumulated wealth. It is the personal responsibility of each
Muslim to ease the economic hardship of others and to strive
towards eliminating inequality. Z akā t consists of spending a
portion of one's wealth for the benefit of the poor or needy, like
debtors or travelers.
4. Sawm (fasting): three types of fasting are recognized by the
Quran: ritual fasting, fasting as compensation for repentance,
and ascetic fasting. Ritual fasting is an obligatory act during the
month of Ramadan. The fast is meant to allow Muslims to seek
nearness to and look for forgiveness from God, to express their
gratitude to and dependence on him, to atone for their past sins,
and to remind them of the needy.
5. Haj j (pilgrimage to Mecca): every able-bodied Muslim is obliged
to make the pilgrimage to Mecca at least once in his or her life.
The main rituals of the Haj j include walking seven times around
the Kaaba, termed Tawaf; touching the Black Stone, termed
I stilam; traveling seven times between Mount Safa and Mount
Marwah, termed Sa'yee; and symbolically stoning the Devil in
Mina, termed Ramee.
10.2.3: Flight from Mecca to Medina
As Islam faced more political and religious opposition in Mecca,
Muhammad and his followers migrated to Medina in 622 CE.
Learning Objective
Explain the basis for opposition to Muhammad
Key Points
As Islam spread in Mecca, the ruling tribes began to oppose
Muhammad's preaching and his condemnation of idolatry.
The Quraysh tribe controlled the Kaaba and drew their religious
and political power from its polytheistic shrines, so they began to
persecute the Muslims and many of Muhammad's followers
became martyrs.
When Muhammad's wife Khadijah and uncle Abu Talib both died
in 619 CE, Abu Lahab assumed leadership of the Banu Hashim
clan and withdrew the clan's protection from Muhammad.
In 622 CE, Muhammad and his followers migrated to Yathrib in
the Hijra to escape persecution, renaming the city Medina in
honor of the prophet.
Among the first things Muhammad did to ease the longstanding
grievances among the tribes of Medina was draft a document
known as the Constitution of Medina.
Key Terms
Banu Hashim clan
One of Mecca's prominent families and part of the Quraysh

tribe.
Mecca
The birthplace of Muhammad and the site of Muhammad's first
revelation of the Quran, this city is regarded as the holiest city in
the religion of Islam.
Hijra
The migration or journey of the Islamic prophet Muhammad and

his followers from Mecca to Medina in June 622 CE.
Medina
Muhammad's destination during the Hijra, which became the

power base of Islam in its first century (renamed from Yathrib).
Muhammad Starts Preaching

During the first three years of his ministry, Muhammad preached
Islam privately, mainly among his near relatives and close
acquaintances. According to Muslim tradition, Muhammad's wife
Khadija was the first to believe he was a prophet. She was followed
by Muhammad's ten-year-old cousin Ali ibn Abi Talib, close friend
Abu Bakr, and adopted son Zaid. According to Islamic belief, in the
fourth year of Muhammad's prophethood, around 613, he was
ordered by God to make his propagation of this monotheistic faith
public. Muhammad’s earliest teachings were marked by his
insistence on the oneness of God, the denunciation of polytheism,
belief in the last judgment and its recompense, and social and
economic justice.
Most Meccans ignored and mocked him, though a few became his
followers. There were three main groups of early converts to Islam:
younger brothers and sons of great merchants; people who had
fallen out of the first rank in their tribe or failed to attain it; and the
weak, mostly unprotected foreigners.
Opposition in Mecca
According to Ibn Sad, one of Muhammad's companions, the
opposition in Mecca started when Muhammad delivered verses that
condemned idol worship and polytheism. However, the Quran
maintains that it began when Muhammad started public preaching.
As Islam spread, Muhammad threatened the local tribes and Meccan
rulers because their wealth depended on the Kaaba. Muhammad's
preaching was particularly offensive to his own Quraysh tribe
because they guarded the Kaaba and drew their political and
religious power from its polytheistic shrines.
The ruling tribes of Mecca perceived Muhammad as a danger that

might cause tensions similar to the rivalry of Judaism and Bedouin
Polytheism in Yathrib. The powerful merchants in Mecca attempted
to convince Muhammad to abandon his preaching by offering him
admission into the inner circle of merchants and an advantageous
marriage. However, Muhammad turned down both offers.
The last ayah from the sura An-Najm
in the Quran
Muhammad's message of monotheism challenged the traditional
social order in Mecca. The Quraysh tribe controlled the Kaaba and
drew their religious and political power from its polytheistic shrines,
so they began to persecute the Muslims and many of Muhammad's
followers became martyrs.
At first, the opposition was confined to ridicule and sarcasm, but later
morphed into active persecution that forced a section of new
converts to migrate to neighboring Abyssinia (present day Ethiopia).
Upset by the rate at which Muhammad was gaining new followers,
the Quraysh proposed adopting a common form of worship, which
was denounced by the Quran.
Muhammad himself was protected from physical harm as long as he

belonged to the Banu Hashim clan, but his followers were not so
lucky. Sumayyah bint Khabbab, a slave of the prominent Meccan
leader Abu Jahl, is famous as the first martyr of Islam; her master
killed her with a spear when she refused to give up her faith. Bilal,
another Muslim slave, was tortured by Umayyah ibn Khalaf, who
placed more and more rocks on his chest to force his conversion,
until he died.
Death of Khadijah and Abu

Talib in 619 CE
Muhammad's wife Khadijah and uncle Abu Talib both died in 619
CE, the year that became known as the "year of sorrow." With the
death of Abu Talib, Abu Lahab assumed leadership of the Banu
Hashim clan. Soon after, Abu Lahab withdrew the clan's protection
from Muhammad, endangering him and his followers. Muhammad
took this opportunity to look for a new home for himself and his
followers. After several unsuccessful negotiations, he found hope
with some men from Yathrib (later called Medina). The Arab
population of Yathrib were familiar with monotheism and were
prepared for the appearance of a prophet because a Jewish
community existed there as well. They also hoped, by the means of
Muhammad and the new faith, to gain supremacy over Mecca; the
Yathrib were jealous of its importance as the place of pilgrimage.
Converts to Islam came from nearly all Arab tribes in Medina; by
June of the subsequent year, seventy-five Muslims came to Mecca
for pilgrimage and to meet Muhammad.
The Delegation from Medina

A delegation from Medina, consisting of the representatives of the
twelve important clans of Medina, invited Muhammad as a neutral
outsider to serve as the chief arbitrator for the entire community.
There was fighting in Yathrib (Medina) mainly involving its Arab and
Jewish inhabitants for around a hundred years before 620. The
recurring slaughters and disagreements over the resulting claims,
especially after the battle of Bu'ath, in which all the clans were
involved, made it obvious that the tribal conceptions of blood feud
and an eye for an eye were no longer workable unless there was
one man with authority to adjudicate in disputed cases. The
delegation from Medina pledged themselves and their fellow citizens
to accept Muhammad into their community and physically protect
him as one of their own.
The Hijra in 622 CE

The Hijra is the migration of Muhammad and his followers from
Mecca to Medina, 320 kilometers (200 miles) north, in 622 CE.
Muhammad instructed his followers to emigrate to Medina until
nearly all of them left Mecca. According to tradition, the Meccans,
alarmed at the departure, plotted to assassinate Muhammad. In
June 622, when he was warned of the plot, Muhammad slipped out
of Mecca with his companion, Abu Bakr.
On the night of his departure, Muhammad's house was besieged by

the appointed men of Quraysh. It is said that when Muhammad
emerged from his house, he recited the a verse from the Quran and
threw a handful of dust in the direction of the besiegers, which
prevented them seeing him. When the Quraysh learned of
Muhammad's escape, they announced a large reward for bringing
him back to them, alive or dead, and pursuers scattered in all
directions. After eight days' journey, Muhammad entered the
outskirts of Medina, but did not enter the city directly. He stopped at
a place called Quba, some miles from the main city, and established
a mosque there. After a fourteen-days stay at Quba, Muhammad
started for Medina, participating in his first Friday prayer on the way,
and upon reaching the city was greeted cordially by its people.
The Hijra and other early Muslim
migrations
The Hijra is the migration or journey of the Islamic prophet
Muhammad and his followers from Mecca to Yathrib, which he later
renamed Medina, in 622 CE.
The map shows notable ruin sites, pagan cities, cities with a major
Jewish presence, and cities with a major Christian presence. The
ruin sites are Dedan and Medain Saleh, which are both located in
modern-day northwest Saudia Arabia. The pagan cities are—from
north to south along the Red Sea—Qudayd, Jeddah, Mecca, Nakhla,
Taif, Dhul-Khalash, and San'a. The northernmost pagan city,
Qudayd, is located in modern-day west-central Saudi Arabia. The
southernmost pagan city, San'a, is located in modern-day west-
central Yemen. The cities with a major Jewish presence are—from
north to south—Khaybar, Wadi Al-Qura, and Medina, all of which are
located in modern-day mid to northwest Saudia Arabia between the
ruins and Qudayd. Four of the cities with a major Christian presence,
Petra, Tabuk, Dumatul Jandal, and Jabal Tayy, are located north of
the ruins. Petra, the northernmost of those cities, is located in
modern-day southwest Jordan, while Jabal Tayy, the southernmost
of those cities, is located northeast of the ruins. Najran, the other city
with a major Christian presence, is located in modern-day
southwestern Saudi Arabia near the border with Yemen. In addition
to those ruins and cities, the map shows two Muslim migrations: a
migration of Muslims from Mecca to Axum, located in modern-day
northern Ethiopia, in 613 and 615 AD, and a migration of Muslims
from Mecca to Medina in 622 AD led by Mohammed. Finally, the
map shows the Byzantine Empire to the northwest and an area of
land between Petra and Tabuk controlled by the Ghassanids, a
group of Arab Byzantine allies.
Muhammad in Medina
Among the first things Muhammad did to ease the longstanding
grievances among the tribes of Medina was draft a document known
as the Constitution of Medina, "establishing a kind of alliance or
federation" among the eight Medinan tribes and Muslim emigrants
from Mecca. The document specified rights and duties of all citizens
and the relationship of the different communities in Medina (including
between the Muslim community and other communities, specifically
the Jews and other "Peoples of the Book"). The community defined
in the Constitution of Medina, Ummah, had a religious outlook, also
shaped by practical considerations, and substantially preserved the
legal forms of the old Arab tribes.
The first group of pagan converts to Islam in Medina were the clans
who had not produced great leaders for themselves but had suffered
from warlike leaders from other clans. This was followed by the
general acceptance of Islam by the pagan population of Medina, with
some exceptions.
Reconciliation and
Consolidation of the Islamic
State
Around 628 CE, the nascent Islamic state was somewhat
consolidated when Muhammad left Medina to perform pilgrimage at
Mecca. The Quraysh intercepted him en route and made a treaty
with the Muslims. Though the terms of the Hudaybiyyah treaty may
have been unfavorable to the Muslims of Medina, the Quran
declared it a clear victory. Muslim historians suggest that the treaty
mobilized the contact between the Meccan pagans and the Muslims
of Medina. The treaty demonstrated that the Quraysh recognized
Muhammad as their equal and Islam as a rising power.
10.2.4: Islam Ascendant

After eight years of warring with Mecca and finally conquering the
city in 630 CE, Muhammad united Arabia into a single Islamic state.
Learning Objective
Discuss the rise of Islam under Muhammad
Key Points
Muhammad created the first Islamic state when he wrote the
Constitution of Medina, a formal agreement between
Muhammad and all of the significant tribes and families of
Medina, including Muslims, Jews, Christians, and pagans.
The Battle of Badr was a key battle in the early days of Islam
and a turning point in Muhammad's struggle with his opponents
among the Quraysh in Mecca.
The Battle of Uḥud in 625 CE was the second military encounter
between the Meccans and the Muslims, but the Muslims
suffered defeat and withdrew.
After eight years of fighting with the Meccan tribes, Muhammad
gathered an army of 10,000 followers and conquered the city of
Mecca, destroying the pagan idols in the Kaaba.
By the time of Muhammad's unexpected death in 632 CE, he
had united Arabia into a single Muslim religious polity.
Key Terms
Ummah
The collective community of Islamic peoples.
Constitution of Medina
A formal agreement between Muhammad and all of the

significant tribes and families of Medina, including Muslims,
Jews, Christians, and pagans, that formed the basis of the first
Islamic state.
Farewell Pilgrimage
The only Hajj pilgrimage to Mecca by the Islamic prophet

Muhammad, in 632 CE.
The Constitution of Medina

Upon his arrival in Medina, Muhammad unified the tribes by drafting
the Constitution of Medina, which was a formal agreement between
Muhammad and all of the significant tribes and families of Medina,
including Muslims, Jews, Christians, and pagans. This constitution
instituted rights and responsibilities and united the different Medina
communities into the first Islamic state, the Ummah.
An important feature of the Constitution of Medina is the redefinition

of ties between Muslims. It set faith relationships above blood ties
and emphasized individual responsibility. Tribal identities were still
important, and were used to refer to different groups, but the
constitution declared that the "main binding tie" for the newly created
Ummah was religion. This contrasts with the norms of pre-Islamic
Arabia, which was a thoroughly tribal society. This was an important
event in the development of the small group of Muslims in Medina to
the larger Muslim community and empire. While praying in the
Masjid al-Qiblatain in Medina in 624 CE, Muhammad received
revelations that he should be facing Mecca rather than Jerusalem
during prayer. Muhammad adjusted to the new direction, and his
companions praying with him followed his lead, beginning the
tradition of facing Mecca during prayer.
The Masjid al-Qiblatain, where
Muhammad established the new
Qibla, or direction of prayer
Muhammad received revelations that he should face Mecca, rather
than Jerusalem, in 624 CE.
The Masjid al-Qiblatain is a mosque accentuated with twin minarets,

or towers, as well as twin domes.
Beginning of Armed Conflict

Economically uprooted by their Meccan persecutors and with no
available profession, the Muslim migrants turned to raiding Meccan
caravans. This response to persecution and effort to provide
sustenance for Muslim families initiated armed conflict between the
Muslims and the pagan Quraysh of Mecca. Muhammad delivered
Quranic verses permitting the Muslims, "those who have been
expelled from their homes," to fight the Meccans in opposition to
persecution. The caravan attacks provoked and pressured Mecca by
interfering with trade, and allowed the Muslims to acquire wealth,
power, and prestige while working toward their ultimate goal of
inducing Mecca's submission to the new faith.
Battle of Badr
In March 624, Muhammad led three hundred warriors in a raid on a
Meccan merchant caravan. The Muslims set an ambush for the
caravan at Badr, but a Meccan force intervened and the Battle of
Badr commenced. Although outnumbered more than three to one,
the Muslims won the battle, killing at least forty-five Meccans.
Muhammad and his followers saw the victory as confirmation of their
faith, and Muhammad said the victory was assisted by an invisible
host of angels. The victory strengthened Muhammad's position in
Medina and dispelled earlier doubts among his followers.
Battle of Uhud
To maintain economic prosperity, the Meccans needed to restore
their prestige after their defeat at Badr. Abu Sufyan, the leader of the
ruling Quraysh tribe, gathered an army of 3,000 men and set out for
an attack on Medina. Muhammad led his Muslim force to the
Meccans to fight the Battle of Uhud on March 23, 625 CE. When the
battle seemed close to a decisive Muslim victory, the Muslim archers
left their assigned posts to raid the Meccan camp. Meccan war
veteran Khalid ibn al-Walid led a surprise attack, which killed many
Muslims and injured Muhammad. The Muslims withdrew up the
slopes of Uḥud. The Meccans did not pursue the Muslims further, but
marched back to Mecca declaring victory.
For the Muslims, the battle was a significant setback. According to

the Quran, the loss at Uhud was partly a punishment and partly a
test for steadfastness.
Conquest of Mecca and Arabia

After eight years of fighting with the Meccan tribes, Muhammad
gathered an army of 10,000 Muslim converts and marched on the
city of Mecca. The attack went largely uncontested and Muhammad
took over the city with little bloodshed. Most Meccans converted to
Islam. Muhammad declared an amnesty for past offenses, except for
ten men and women who had mocked and made fun of him in songs
and verses. Some of these people were later pardoned. Muhammad
destroyed the pagan idols in the Kaaba and then sent his followers
out to destroy all of the remaining pagan temples in Eastern Arabia.
Following the conquest of Mecca, Muhammad was alarmed by a

military threat from the confederate tribes of Hawazin, who were
raising an army twice the size of Muhammad's. The Banu Hawazin
were old enemies of the Meccans. They were joined by the Banu
Thaqif, who adopted an anti-Meccan policy due to the decline of the
prestige of Meccans. Muhammad defeated the Hawazin and Thaqif
tribes in the Battle of Hunayn.
At the end of the 10th year after the migration to Medina,

Muhammad performed his first truly Islamic pilgrimage, thereby
teaching his followers the rules governing the various ceremonies of
the annual Great Pilgrimage. In 632, a few months after returning to
Medina from the Farewell Pilgrimage, Muhammad fell ill and died. By
the time Muhammad died, most of the Arabian Peninsula had
converted to Islam, and he had united Arabia into a single Muslim
religious polity.
Attributions
Early Life of Muhammad
"Quraysh tribe." http://en.wikipedia.org/wiki/Quraysh_tribe.
"Mohammed kaaba 1315."
http://en.wikipedia.org/wiki/File:Mohammed_kaaba_1315.jp
The Quran
"Quran." http://en.wikipedia.org/wiki/Quran. Wikipedia CC
BY-SA 3.0.
"Abu Bakr." http://en.wikipedia.org/wiki/Abu_Bakr.
"Mohammed receiving revelation from the angel Gabriel."
http://en.wikipedia.org/wiki/File:Mohammed_receiving_revel
ation_from_the_angel_Gabriel.jpg. Wikimedia Public
domain.
"Cave Hira." http://en.wikipedia.org/wiki/File:Cave_Hira.jpg.
"Qu'ran."
http://en.wikipedia.org/wiki/Quran%23mediaviewer/File:Qur
an2.png. Wikipedia CC BY-SA 3.0.
Flight from Mecca to Medina
"Hijra (islam)." http://en.wikipedia.org/wiki/Hijra_(Islam).
"Mecca." http://en.wikipedia.org/wiki/Mecca. Wikipedia CC
BY-SA 3.0.
"Medina." http://en.wikipedia.org/wiki/Medina. Wikipedia CC
BY-SA 3.0.
"Hejira."
Hejaz622.jpg/316px-Hejaz622.jpg. wikipedia CC BY-SA
3.0.
"Surat An-Najm." http://en.wikipedia.org/wiki/File:Surat_An-
Najm.jpg. Wikipedia CC BY-SA 3.0.
Islam Ascendant
"Masjid al-Qiblatayn."
https://en.wikipedia.org/wiki/Masjid_al-Qiblatayn. Wikipedia
CC BY-SA 3.0.
"Battle of Uhud."
http://en.wikipedia.org/wiki/Battle_of_Uhud. Wikipedia CC
BY-SA 3.0.
"Sharia." http://en.wikipedia.org/wiki/Sharia. Wikipedia CC
BY-SA 3.0.
"Hijab." http://en.wikipedia.org/wiki/Hijab. Wikipedia CC BY-
SA 3.0.
"Hadith." http://en.wikipedia.org/wiki/Hadith. Wikipedia CC
BY-SA 3.0.
"Farewell Pilgrimage."
http://en.wikipedia.org/wiki/Farewell_Pilgrimage. Wikipedia
CC BY-SA 3.0.
"Battle of Badr." http://en.wikipedia.org/wiki/Battle_of_badr.
"Conquest of Mecca."
http://en.wikipedia.org/wiki/Conquest_of_Mecca. Wikipedia
CC BY-SA 3.0.
"Sunnah." http://en.wikipedia.org/wiki/Sunnah. Wikipedia
CC BY-SA 3.0.
"Ummah." http://en.wikipedia.org/wiki/Ummah. Wikipedia
CC BY-SA 3.0.
"Constitution of Medina."
http://en.wikipedia.org/wiki/Constitution_of_medina.
"Masjid al-Qiblatain."
http://en.wikipedia.org/wiki/File:Masjid_al-Qiblatain.jpg.
10.3: The Umayyad and
Abbasid Empires
10.3.1: Muhammad's Successors
After Muhammad's death in 632 CE, there were conflicts among his
followers as to who would become his successor, which created a
split in Islam between the Sunni and Shi'a sects.
Learning Objective
Assess the Caliphates' rise to power
Key Points
After Muhammad's death in 632 CE, his friend Abu Bakr was
named caliph and ruler of the Islamic community, or Ummah.
Sunni Muslims believe that Abu Bakr was the proper successor,
while Shi'a Muslims believe that Ali should have succeed
Muhammad as caliph.
After Muhammad's death and the rebellion of several tribes, Abu
Bakr initiated several military campaigns to bring Arabia under
Islam and into the caliphate.
The Rashidun Caliphate (632–661) was led by Abu Bakr, then
by Umar ibn Khattab as the second caliph, Uthman Ibn Affan as
the third caliph, and Ali as the fourth caliph.
Muslim armies conquered most of Arabia by 633, followed by
north Africa, Mesopotamia, and Persia, significantly shaping the
history of the world through the spread of Islam.
Key Terms
Sunni
The branch of Islam that believes that a caliph should be elected

by Muslims or their representatives and that Abu Bakr was the
first caliph.
Ummah
An Arabic word meaning "nation" or "community;" usually refers

to the collective community of Islamic peoples.
Shi'a
The minority Islamic branch that believes Muhammad appointed

his cousin Ali as his successor and that the caliph should be
decided based on this family lineage.
caliph
The head of state in a caliphate, and the title for the ruler of the
Islamic Ummah; a successor of Muhammad.
Succession after Muhammad's

Death
Muhammad united the tribes of Arabia into a single Arab Muslim
religious polity in the last years of his life. He established a new
unified Arabian Peninsula, which led to the Rashidun and Umayyad
Caliphates and the rapid expansion of Muslim power over the next
century.
With Muhammad's death in 632 CE, disagreement broke out among

his followers over deciding his successor. Muhammad's prominent
companion Umar ibn al-Khattab nominated Abu Bakr, Muhammad's
friend and collaborator. With additional support, Abu Bakr was
confirmed as the first caliph (religious successor to Muhammad) that
same year. This choice was disputed by some of Muhammad's
companions, who held that Ali ibn Abi Talib, his cousin and son-in-
law, had been designated the successor by Muhammad at Ghadir
Khumm. Ali was Muhammad's first cousin and closest living male
relative, as well as his son-in-law, having married Muhammad's
daughter Fatimah. Ali would eventually become the fourth Sunni
caliph. These disagreements over Muhammad's true successor led
to a major split in Islam between what became the Sunni and Shi'a
denominations, a division that still holds to this day.
Sunni Muslims believe and confirm that Abu Bakr was chosen by the
community and that this was the proper procedure. Sunnis further
argue that a caliph should ideally be chosen by election or
community consensus. Shi'a Muslims believe that just as God alone
appoints a prophet, only God has the prerogative to appoint the
successor to his prophet. They believe God chose Ali to be
Muhammad's successor and the first caliph of Islam.
Rise of the Caliphates

After Muhammad's death, many Arabian tribes rejected Islam or
withheld the alms tax established by Muhammad. Many tribes
claimed that they had submitted to Muhammad and that with
Muhammad's death, their allegiance had ended. Caliph Abu Bakr
insisted that they had not just submitted to a leader, but joined the
Islamic community of Ummah.
To retain the cohesion of the Islamic state, Abu Bakr divided his
Muslim army to force the Arabian tribes into submission. After a
series of successful campaigns, Abu Bakr's general Khalid ibn Walid
defeated a competing prophet and the Arabian peninsula was united
under the caliphate in Medina. Once the rebellions had been quelled,
Abu Bakr began a war of conquest. In just a few short decades, his
campaigns led to one of the largest empires in history. Muslim
armies conquered most of Arabia by 633, followed by north Africa,
Mesopotamia, and Persia, significantly shaping the history of the
world through the spread of Islam.
Rashidun Caliphate ( 632– 661)

Abu Bakr nominated Umar as his successor on his deathbed. Umar
ibn Khattab, the second caliph, was killed by a Persian named Piruz
Nahavandi. Umar's successor, Uthman Ibn Affan, was elected by a
council of electors (Majlis). Uthman was killed by members of a
disaffected group. Ali then took control, but was not universally
accepted as caliph by the governors of Egypt, and later by some of
his own guard. He faced two major rebellions and was assassinated
by Abdl-alRahman, a Kharijite. Ali's tumultuous rule lasted only five
years. This period is known as the Fitna, or the first Islamic civil war.
The followers of Ali later became the Shi'a minority sect of Islam,
which rejects the legitimacy of the first three caliphs. The followers of
all four Rashidun caliphs (Abu Bakr, Umar, Uthman, and Ali) became
the majority Sunni sect. Under the Rashidun, each region (Sultanate)
of the caliphate had its own governor (Sultan). Muawiyah, a relative
of Uthman and governor (Wali) of Syria, became one of Ali's
challengers, and after Ali's assassination managed to overcome the
other claimants to the caliphate. Muawiyah transformed the caliphate
into a hereditary office, thus founding the Umayyad dynasty. In areas
that were previously under Sassanid Persian or Byzantine rule, the
caliphs lowered taxes, provided greater local autonomy (to their
delegated governors), granted greater religious freedom for Jews
and some indigenous Christians, and brought peace to peoples
demoralized and disaffected by the casualties and heavy taxation
that resulted from the decades of Byzantine-Persian warfare.
10.3.2: Ex pansion Under the Umayyad

Caliphates
The Umayyad Caliphate, the second of the four major Arab
caliphates established after the death of Muhammad, expanded the
territory of the Islamic state to one of the largest empires in history.
Learning Objective
Describe the advancements made under the Umayyad Caliphate
Key Points
The Umayyad Caliphate, which emerged after the Rashidun
Caliphate collapsed, was characterized by hereditary elections
and territory expansion.
The Umayyad Caliphate became one of the largest unitary
states in history and one of the few states to ever extend direct
rule over three continents.
When the Abbasid dynasty revolted against the Umayyads and
killed many of their ruling family members, a few Umayyads
escaped to the Iberian peninsula and founded the Cordoba
Caliphate, characterized by peaceful diplomacy, religious
tolerance, and cultural flourishing.
Key Terms
Umayyad Caliphate
The second of the four major Arab caliphates established after

the death of Muhammad.
Dome of the Rock
A shrine located on the Temple Mount in the Old City of

Jerusalem.
Al-Andalus
Also known as Muslim Spain or Islamic Iberia, a medieval
Muslim territory and cultural domain occupying at its peak most
of modern-day Spain and Portugal.
Umayyad Caliphate ( 661– 7 5 0)

The Umayyad Caliphate was the second of the four major Arab
caliphates established after the death of Muhammad. This caliphate
was centered on the Umayyad dynasty, hailing from Mecca. The
Umayyad family had first come to power under the third caliph,
Uthman ibn Affan (r. 644–656), but the Umayyad regime was
founded by Muawiya ibn Abi Sufyan, long-time governor of Syria,
after the end of the First Muslim Civil War in 661 CE. Syria remained
the Umayyads' main power base thereafter, and Damascus was their
capital.
Under the Umayyads, the caliphate territory grew rapidly. The

Islamic Caliphate became one of the largest unitary states in history,
and one of the few states to ever extend direct rule over three
continents (Africa, Europe, and Asia). The Umayyads incorporated
the Caucasus, Transoxiana, Sindh, the Maghreb, and the Iberian
Peninsula (Al-Andalus) into the Muslim world. At its greatest extent,
the Umayyad Caliphate covered 5.79 million square miles and
included 62 million people (29% of the world's population), making it
the fifth largest empire in history in both area and proportion of the
world's population. Although the Umayyad Caliphate did not rule all
of the Sahara, nomadic Berber tribes paid homage to the caliph.
However, although these vast areas may have recognized the
supremacy of the caliph, de facto power was in the hands of local
sultans and emirs.
Ex pansion of the caliphate
This map shows the extension of Islamic rule under Muhammad, the
Rashidun Caliphate, and the Umayyad Caliphate.
Under Muhammad, from 632-661, the caliphate expanded to cover

the majority of the modern-day Arabian Peninsula, including a
portion of modern-day Jordan, most of modern-day Saudia Arabia,
and the entirety of modern-day Yemen, Oman, and the United Arab
Emirates. Under the Rashidun Caliphate, from 632-661, the
caliphate expanded to cover, from west to east, modern-day northern
Libya and Egypt; the entirety of modern-day Cyprus, Israel, the West
Bank, and Lebanon; portions of modern-day Lebanon, Turkey, and
Saudi Arabia; the entirety of modern-day Syria, Iraq, and Armenia;
and portions of modern-day Georgia, Russia, Azerbaijan, Iran,
Turkmenistan, Afghanistan, and Pakistan. Finally, under the
Umayyad Caliphate, from 661 to 750, the caliphate expanded to
cover, from west to east, the entirety of modern-day Portugal and
Morocco; portions of modern-day Spain, France, and Algeria; the
entirety of modern-day Tunisia; portions of modern-day Libya, Iran,
Turkmenistan, Uzbekistan, Afghanistan, Pakistan, Tajikistan,
Kyrgyzstan, and India.
The Umayyad dynasty was not universally supported within the

Muslim community for a variety of reasons, including their hereditary
election and suggestions of impious behavior. Some Muslims felt
that only members of Muhammad's Banu Hashim clan or those of
his own lineage, such as the descendants of Ali, should rule. Some
Muslims thought that Umayyad taxation and administrative practices
were unjust. While the non-Muslim population had autonomy, their
judicial matters were dealt with in accordance with their own laws
and by their own religious heads or their appointees. Non-Muslims
paid a poll tax for policing to the central state. Muhammad had
stated explicitly during his lifetime that each religious minority should
be allowed to practice its own religion and govern itself, and the
policy had on the whole continued.
There were numerous rebellions against the Umayyads, as well as

splits within the Umayyad ranks, which notably included the rivalry
between Yaman and Qays. Allegedly, The Sunnis killed Ali's son
Hussein and his family at the Battle of Karbala in 680, solidifying the
Shi'a-Sunni split. Eventually, supporters of the Banu Hashim and the
supporters of the lineage of Ali united to bring down the Umayyads in
750. However, the Shiʻ at ʻ Alī , "the Party of Ali," were again
disappointed when the Abbasid dynasty took power, as the Abbasids
were descended from Muhammad's uncle ` Abbas ibn ` Abd al-
Muttalib, and not from Ali.
The Abbasid victors desecrated the tombs of the Umayyads in Syria,

sparing only that of Umar II, and most of the remaining members of
the Umayyad family were tracked down and killed. When Abbasids
declared amnesty for members of the Umayyad family, eighty
gathered to receive pardons, and all were massacred. One grandson
of Hisham, Abd al-Rahman I, survived and established a kingdom in
Al-Andalus (Moorish Iberia), proclaiming his family to be the
Umayyad Caliphate revived.
Umayyad Dynasty in Cordoba, Spain

The revival of the Umayyad Caliphate in Al-Andalus (what would
become modern Spain) was called the Caliphate of Có rdoba, which
lasted until 1031. The period was characterized by an expansion of
trade and culture, and saw the construction of masterpieces of al-
Andalus architecture.
The caliphate enjoyed increased prosperity during the 10th century.

Abd-ar-Rahman III united al-Andalus and brought the Christian
kingdoms of the north under control through force and diplomacy.
Abd-ar-Rahman stopped the Fatimid advance into caliphate land in
Morocco and al-Andalus. This period of prosperity was marked by
increasing diplomatic relations with Berber tribes in north Africa,
Christian kings from the north, and France, Germany, and
Constantinople.
Có rdoba was the cultural and intellectual center of al-Andalus.

Mosques, such as the Great Mosque, were the focus of many
caliphs' attention. The caliph's palace, Medina Azahara, was on the
outskirts of the city, and had many rooms filled with riches from the
East. The library of Al-Ḥ akam II was one of the largest libraries in the
world, housing at least 400,000 volumes, and Có rdoba possessed
translations of ancient Greek texts into Arabic, Latin and Hebrew.
During the Umayyad Caliphate period, relations between Jews and
Arabs were cordial; Jewish stonemasons helped build the columns
of the Great Mosque. Al-Andalus was subject to eastern cultural
influences as well. The musician Ziryab is credited with bringing hair
and clothing styles, toothpaste, and deodorant from Baghdad to the
Iberian peninsula. Advances in science, history, geography,
philosophy, and language occurred during the Umayyad Caliphate
as well.
Mosque
Interior of the Mezquita (Mosque), one of the finest examples of
Umayyad architecture in Spain.
A photo of a Mosque in Spain built during the Caliphate of Cordoba.

It is characterized by marble pillars and arches painted with red
stripes.
Legacy of the Umayyad Caliphate

The Umayyad caliphate was marked both by territorial expansion
and by the administrative and cultural problems that such expansion
created. Despite some notable exceptions, the Umayyads tended to
favor the rights of the old Arab families, and in particular their own,
over those of newly converted Muslims (mawali). Therefore, they
held to a less universalist conception of Islam than did many of their
rivals.
During the period of the Umayyads, Arabic became the

administrative language, in which state documents and currency
were issued. Mass conversions brought a large influx of Muslims to
the caliphate. The Umayyads also constructed famous buildings
such as the Dome of the Rock at Jerusalem and the Umayyad
Mosque at Damascus.
According to one common view, the Umayyads transformed the
caliphate from a religious institution (during the Rashidun) to a
dynastic one. However, the Umayyad caliphs do seem to have
understood themselves as the representatives of God on Earth.
The Umayyads have met with a largely negative reception from later
Islamic historians, who have accused them of promoting a kingship
(mulk, a term with connotations of tyranny) instead of a true
caliphate (khilafa). In this respect it is notable that the Umayyad
caliphs referred to themselves not as khalifat rasul Allah ("successor
of the messenger of God," the title preferred by the tradition), but
rather as khalifat Allah ("deputy of God").
Many Muslims criticized the Umayyads for having too many non-
Muslim, former Roman administrators in their government. St. John
of Damascus was also a high administrator in the Umayyad
administration. As the Muslims took over cities, they left the people's
political representatives and the Roman tax collectors and
administrators. The people's political representatives calculated and
negotiated taxes. The central government and the local governments
got paid respectively for the services they provided. Many Christian
cities used some of the taxes to maintain their churches and run their
own organizations. Later, the Umayyads were criticized by some
Muslims for not reducing the taxes of the people who converted to
Islam.
10.3.3: Spread of Islam

In the years following the Prophet Muhammad's death, the
expansion of Islam was carried out by his successor caliphates, who
increased the territory of the Islamic state and sought converts from
both polytheistic and monotheistic religions.
Learning Objective
Discuss the spread of Islam and identify how the caliphs maintained
authority over conquered territories
Key Points
The expansion of the Arab Empire in the years following the
Prophet Muhammad's death led to the creation of caliphates,
who occupied a vast geographical area and sought converts to
Islamic faith.
The people of the Islamic world created numerous sophisticated
centers of culture and science with far-reaching mercantile
networks, travelers, scientists, hunters, mathematicians,
doctors, and philosophers.
Historians distinguish between two separate strands of converts
of the time. One is animists and polytheists of tribal societies of
the Arabian Peninsula and the Fertile crescent; the other is the
monotheistic populations of the Middle Eastern agrarian and
urbanized societies.
The Arab conquerors generally respected the traditional middle-
Eastern pattern of religious pluralism with regard to the
conquered populations, respecting the practice of other faiths in
Arab territory, although widespread conversions to Islam came
about as a result of the breakdown of historically religiously
organized societies.
Key Terms
Imam
An Islamic leadership position, most commonly in the context of

a worship leader of a mosque and Sunni Muslim community.
Zoroastrianism
an ancient Iranian religion and religious philosophy that arose in

the eastern ancient Persian Empire, when the religious
philosopher Zoroaster simplified the pantheon of early Iranian
gods into two opposing forces.
Overview
The expansion of the Arab Empire in the years following the Prophet
Muhammad's death led to the creation of caliphates occupying a
vast geographical area. Conversion to Islam was boosted by
missionary activities, particularly those of Imams, who easily
intermingled with local populace to propagate religious teachings.
These early caliphates, coupled with Muslim economics and trading
and the later expansion of the Ottoman Empire, resulted in Islam's
spread outwards from Mecca towards both the Atlantic and Pacific
oceans and the creation of the Muslim world. Trading played an
important role in the spread of Islam in several parts of the world,
notably southeast Asia.
Muslim dynasties were soon established and subsequent empires

such as those of the Abbasids, Fatimids, Almoravids, Seljukids, and
Ajurans, Adal and Warsangali in Somalia, Mughals in India, Safavids
in Persia, and Ottomans in Anatolia were among the largest and
most powerful in the world. The people of the Islamic world created
numerous sophisticated centers of culture and science with far-
reaching mercantile networks, travelers, scientists, hunters,
mathematicians, doctors, and philosophers, all contributing to the
Golden Age of Islam. Islamic expansion in South and East Asia
fostered cosmopolitan and eclectic Muslim cultures in the Indian
subcontinent, Malaysia, Indonesia, and China.
Within the first century of the establishment of Islam upon the

Arabian Peninsula and the subsequent rapid expansion of the Arab
Empire during the Muslim conquests, one of the most significant
empires in world history was formed. For the subjects of this new
empire, formerly subjects of the greatly reduced Byzantine and
obliterated Sassanid empires, not much changed in practice. The
objective of the conquests was of a practical nature more than
anything else, as fertile land and water were scarce in the Arabian
Peninsula. A real Islamization therefore only came about in the
subsequent centuries.
Conversions to Islam
Historians distinguish between two separate strands of converts of
the time. One is animists and polytheists of tribal societies of the
Arabian Peninsula and the Fertile crescent; the other is the
monotheistic populations of the Middle Eastern agrarian and
urbanized societies.
For the polytheistic and pagan societies, apart from the religious and
spiritual reasons each individual may have had, conversion to Islam
"represented the response of a tribal, pastoral population to the need
for a larger framework for political and economic integration, a more
stable state, and a more imaginative and encompassing moral vision
to cope with the problems of a tumultuous society." In contrast, for
sedentary and often already monotheistic societies, "Islam was
substituted for a Byzantine or Sassanian political identity and for a
Christian, Jewish or Zoroastrian religious affiliation." Initially,
conversion was neither required nor necessarily wished for: "[ The
Arab conquerors] did not require the conversion as much as the
subordination of non-Muslim peoples. At the outset, they were
hostile to conversions because new Muslims diluted the economic
and status advantages of the Arabs."
Only in subsequent centuries, with the development of the religious

doctrine of Islam and with that the understanding of the Muslim
Ummah, did mass conversion take place. The new understanding by
the religious and political leadership led in many cases to a
weakening or breakdown of the social and religious structures of
parallel religious communities such as Christians and Jews. With the
weakening of many churches, for example, and with the favoring of
Islam and the migration of substantial Muslim Turkish populations
into the areas of Anatolia and the Balkans, the "social and cultural
relevance of Islam" were enhanced and a large number of peoples
were converted.
During the Abbasid Caliphate, expansion ceased and the central

disciplines of Islamic philosophy, theology, law, and mysticism
became more widespread, and the gradual conversions of the
populations within the empire occurred. Significant conversions also
occurred beyond the extents of the empire, such as that of the Turkic
tribes in Central Asia and peoples living in regions south of the
Sahara in Africa through contact with Muslim traders active in the
area and Sufi orders. In Africa it spread along three routes—across
the Sahara via trading towns such as Timbuktu, up the Nile V alley
through the Sudan up to Uganda, and across the Red Sea and down
East Africa through settlements such as Mombasa and Zanzibar.
These initial conversions were of a flexible nature.
The Arab-Muslim conquests followed a general pattern of nomadic

conquests of settled regions, whereby conquering peoples became
the new military elite and reached a compromise with the old elites
by allowing them to retain local political, religious, and financial
authority. Peasants, workers, and merchants paid taxes, while
members of the old and new elites collected them.
The Great Mosque of Kairouan
The Great Mosque of Kairouan, founded in 670 CE by the Arab
general and conqueror Uqba Ibn Nafi, is the oldest mosque in
western Islamic lands and represents an architectural symbol of the
spread of Islam in North Africa, situated in Kairouan, Tunisia.
A photo of a large mosque and a courtyard, characterized by arches

and pillars and a dome in the center.
Policy Toward Non-Muslims

The Arab conquerors did not repeat the mistake made by the
Byzantine and Sasanian empires, who had tried and failed to impose
an official religion on subject populations, which had caused
resentments that made the Muslim conquests more acceptable to
them. Instead, the rulers of the new empire generally respected the
traditional middle-Eastern pattern of religious pluralism, which was
not one of equality but rather of dominance by one group over the
others. After the end of military operations, which involved the
sacking of some monasteries and confiscation of Zoroastrian fire
temples in Syria and Iraq, the early caliphate was characterized by
religious tolerance, and people of all ethnicities and religions blended
in public life. Before Muslims were ready to build mosques in Syria,
they accepted Christian churches as holy places and shared them
with local Christians. In Iraq and Egypt, Muslim authorities
cooperated with Christian religious leaders. Numerous churches
were repaired and new ones built during the Umayyad era.
Some non-Muslim populations did experience persecution, however.

After the Muslim conquest of Persia, Zoroastrians were given dhimmi
(non-Muslim) status and subjected to persecutions; discrimination
and harassment began in the form of sparse violence. Zoroastrians
were made to pay an extra tax called Jizya; if they failed, they were
killed, enslaved, or imprisoned. Those paying Jizya were subjected
to insults and humiliation by the tax collectors. Zoroastrians who
were captured as slaves in wars were given their freedom if they
converted to Islam.
10.3.4: The Islamic Golden Age

Abbasid leadership cultivated intellectual, cultural, and scientific
developments in the Islamic Golden Age.
Learning Objective
Identify the causes of, and developments during, the Islamic Golden
Age
Key Points
The Islamic Golden Age started with the rise of Islam and
establishment of the first Islamic state in 622.
The introduction of paper in the 10th century enabled Islamic
scholars to easily write manuscripts; Arab scholars also saved
classic works of antiquity by translating them into various
languages.
The Arabs assimilated the scientific knowledge of the
civilizations they had overrun, including the ancient Greek,
Roman, Persian, Chinese, Indian, Egyptian, and Phoenician
civilizations.
Scientists advanced the fields of algebra, calculus, geometry,
chemistry, biology, medicine, and astronomy.
Many forms of art flourished during the Islamic Golden Age,
including ceramics, metalwork, textiles, illuminated manuscripts,
woodwork, and calligraphy.
Key Terms
Averroë s
A medieval Andalusian polymath famous for his translations and

commentaries of Aristotle.
calligraphy
A visual art related to writing—the design and execution of

lettering with a broad tip instrument or brush in one stroke.
arabesque
A form of artistic decoration consisting of surface decorations

based on rhythmic linear patterns of scrolling and interlacing
foliage, tendrils, and other elements.
Overview
The Islamic Golden Age refers to a period in the history of Islam,
traditionally dated from the 8th century to the 13th century, during
which much of the historically Islamic world was ruled by various
caliphates and science, economic development, and cultural works
flourished. This period is traditionally understood to have begun
during the reign of the Abbasid caliph Harun al-Rashid (786–809)
with the inauguration of the House of Wisdom in Baghdad, where
scholars from various parts of the world with different cultural
backgrounds were mandated to gather and translate all of the
world's classical knowledge into the Arabic language.
The end of the age is variously given as 1258 with the Mongolian
Sack of Baghdad, or 1492 with the completion of the Christian
Reconquista of the Emirate of Granada in Al-Andalus, Iberian
Peninsula. During the Golden Age, the major Islamic capital cities of
Baghdad, Cairo, and Có rdoba became the main intellectual centers
for science, philosophy, medicine, and education. The government
heavily patronized scholars, and the best scholars and notable
translators, such as Hunayn ibn Ishaq, had salaries estimated to be
the equivalent of those of professional athletes today.
The School of Nisibis and later the School of Edessa became

centers of learning and transmission of classical wisdom. The House
of Wisdom was a library, translation institute, and academy, and the
Library of Alexandria and the Imperial Library of Constantinople
housed new works of literature. Nestorian Christians played an
important role in the formation of Arab culture, with the Jundishapur
hospital and medical academy prominent in the late Sassanid,
Umayyad, and early Abbasid periods. Notably, eight generations of
the Nestorian Bukhtishu family served as private doctors to caliphs
and sultans between the 8th and 11th centuries.
Literature and Philosophy

With the introduction of paper, information was democratized and it
became possible to make a living from simply writing and selling
books. The use of paper spread from China into Muslim regions in
the 8th century, and then to Spain (and then the rest of Europe) in
the 10th century. Paper was easier to manufacture than parchment
and less likely to crack than papyrus, and could absorb ink, making it
difficult to erase and ideal for keeping records. Islamic paper makers
devised assembly-line methods of hand-copying manuscripts to turn
out editions far larger than any available in Europe for centuries. The
best known fiction from the Islamic world is The Book of One
Thousand and One Nights, which took form in the 10th century and
reached its final form by the 14th century, although the number and
type of tales vary.
Painting of the Ali Baba story in The
B ook of O ne Thousand and O ne
Nights by Max field Parrish
The introduction of paper in the 10th century enabled Islamic
scholars to easily write manuscripts, including The Book of One
Thousand and One Nights. Arab scholars also saved classic works
of antiquity by translating them into various languages.
Christians (particularly Nestorian Christians) contributed to the Arab

Islamic civilization during the Ummayad and the Abbasid periods by
translating works of Greek philosophers to Syriac and then to Arabic.
During the 4th through the 7th centuries, scholarly work in the Syriac
and Greek languages was either newly initiated or carried on from
the Hellenistic period. Many classic works of antiquity might have
been lost if Arab scholars had not translated them into Arabic and
Persian and later into Turkish, Hebrew, and Latin. Islamic scholars
also absorbed ideas from China and India, and in turn Arabic
philosophic literature contributed to the development of modern
European philosophy.
Ibn Rushd
Ibn Rushd, also known by his Latinized name Averroë s (April 14,
1126–December 10, 1198), was an Al-Andalus Muslim polymath, a
master of Aristotelian philosophy, Islamic philosophy, Islamic
theology, Maliki law and jurisprudence, logic, psychology, politics,
Andalusian classical music theory, medicine, astronomy, geography,
mathematics, physics, and celestial mechanics. Averroes was born
in Có rdoba, Al-Andalus, present-day Spain, and died in Marrakesh,
present-day Morocco.
The 13th-century philosophical movement based on Averroes' work

is called Averroism. Both Ibn Rushd and the scholar Ibn Sina played
a major role in saving the works of Aristotle, whose ideas came to
dominate the non-religious thought of the Christian and Muslim
worlds. Ibn Rushd has been described as the "founding father of
secular thought in Western Europe." He tried to reconcile Aristotle's
system of thought with Islam. According to him, there is no conflict
between religion and philosophy; rather they are different ways of
reaching the same truth. He believed in the eternity of the universe.
Ibn Ruhd also held that the soul is divided into two parts, one
individual and one divine; while the individual soul is not eternal, all
humans at the basic level share one and the same divine soul.
Science and Mathematics

The Arabs assimilated the scientific knowledge of the civilizations
they had conquered, including the ancient Greek, Roman, Persian,
Chinese, Indian, Egyptian, and Phoenician civilizations. Scientists
recovered the Alexandrian mathematical, geometric, and
astronomical knowledge, such as that of Euclid and Claudius
Ptolemy.
Persian scientist Muhammad ibn Mūsā al-Khwārizmī significantly

developed algebra in in his landmark text, K itab al- J abr wa- l-
Muq abala, from which the term "algebra" is derived. The term
"algorithm" is derived from the name of the scholar al-Khwarizmi,
who was also responsible for introducing the Arabic numerals and
Hindu-Arabic numeral system beyond the Indian subcontinent. In
calculus, the scholar Alhazen discovered the sum formula for the
fourth power, using a method readily generalizable to determine the
sum for any integral power. He used this to find the volume of a
paraboloid.
Medicine
Medicine was a central part of medieval Islamic culture. Responding
to circumstances of time and place, Islamic physicians and scholars
developed a large and complex medical literature exploring and
synthesizing the theory and practice of medicine. Islamic medicine
was built on tradition, chiefly the theoretical and practical knowledge
developed in India, Greece, Persia, and Rome. Islamic scholars
translated their writings from Syriac, Greek, and Sanskrit into Arabic
and then produced new medical knowledge based on those texts. In
order to make the Greek tradition more accessible, understandable,
and teachable, Islamic scholars organized the Greco-Roman
medical knowledge into encyclopedias.
The eye, according to Hunain ibn
Ishaq
Scholars developed large encyclopedias of medical knowledge
during the Islamic Golden Age, such as this one from a manuscript
dated circa 1200.
Art
Ceramics, glass, metalwork, textiles, illuminated manuscripts, and
woodwork flourished during the Islamic Golden Age. Manuscript
illumination became an important and greatly respected art, and
portrait miniature painting flourished in Persia. Calligraphy, an
essential aspect of written Arabic, developed in manuscripts and
architectural decoration.
Arabesque
Typically, though not entirely, Islamic art depicts nature patterns and
Arabic calligraphy, rather than figures, because many Muslims
feared that the depiction of the human form is idolatry and thereby a
sin against God, forbidden in the Quran. There are repeating
elements in Islamic art, such as the use of geometrical floral or
vegetal designs in a repetition known as the arabesque. The
arabesque in Islamic art is often used to symbolize the transcendent,
indivisible, and infinite nature of God. Mistakes in repetitions may be
intentionally introduced as a show of humility by artists who believe
only God can produce perfection, although this theory is disputed.
Detail of arabesque decoration at the

Alhambra in Spain
Arabesque in Islamic art is often used to symbolize the transcendent,
indivisible, and infinite nature of God.
Calligraphy
The traditional instrument of the Arabic calligrapher is the qalam, a
pen made of dried reed or bamboo. Qalam ink is often in color, and
chosen such that its intensity can vary greatly, so that the greater
strokes of the compositions can be very dynamic in their effect.
Islamic calligraphy is applied on a wide range of decorative mediums
other than paper, such as tiles, vessels, carpets, and inscriptions.
Before the advent of paper, papyrus and parchment were used for
writing.
Qur'an manuscript Surat al-Nisa

Coins were another support for calligraphy. Beginning in 692, the
Islamic caliphate reformed the coinage of the Near East by replacing
visual depiction with words. This was especially true for dinars, or
gold coins of high value, which were inscribed with quotes from the
Quran.
Hamdanid gold dinar
10th-century Syria
By the 10th century, the Persians, who had converted to Islam,

began weaving inscriptions on elaborately patterned silks. These
calligraphic-inscribed textiles were so precious that Crusaders
brought them to Europe as prized possessions. A notable example is
the Suaire de Saint-Josse, used to wrap the bones of St. Josse in
the abbey of St. Josse-sur-Mer near Caen in northwestern France.
Architecture and Tilework

There were many advances in architectural construction, and
mosques, tombs, palaces, and forts were inspired by Persian and
Byzantine architecture. Islamic mosaic art anticipated principles of
quasicrystalline geometry, which would not be discovered for 500
more years. This art used symmetric polygonal shapes to create
patterns that can continue indefinitely without repeating. These
patterns have even helped modern scientists understand
quasicrystals at the atomic levels.
Mosque Archway
Geometric patterns: an archway in the Sultan’s lodge in the Ottoman
Green Mosque in Bursa, Turkey (1424), its girih strapwork forming
10-point stars and pentagons.
A close-up photo of a Arabic arch featuring the geometrical pattern

called girih.
10.3.5 : The Abbasid Empire

The Abbasid Caliphate was the third of the Islamic caliphates to
succeed the Islamic prophet Muhammad in 750 CE, and ruled over a
large, flourishing empire for three centuries.
Learning Objective
Discuss the political stability during the Abbasid Era and the
Abbasids' rise to power
Key Points
The Abbasids overthrew the Umayyad dynasty in 750 CE,
supporting the mawali, or non-Arab Muslims, by moving the
capital to Baghdad in 762 CE.
The Persian bureaucracy slowly replaced the old Arab
aristocracy as the Abbasids established the new positions of
vizier and emir to delegate their central authority.
The Abbasids maintained an unbroken line of caliphs for over
three centuries, consolidating Islamic rule and cultivating great
intellectual and cultural developments in the Middle East in the
Golden Age of Islam.
The Fatimid dynasty broke from the Abbasids in 909 and
created separate line of caliphs in Morocco, Algeria, Tunisia,
Libya, Egypt, and Palestine until 1171 CE.
Abbasid control eventually disintegrated, and the edges of the
empire declared local autonomy.
Though lacking in political power, the dynasty continued to claim
authority in religious matters until after the Ottoman conquest of
Egypt in 1517.
Key Terms
mawali
Non-Arab Muslims.
Fatimid dynasty
A Shi'a Islamic caliphate that spanned a large area of North

Africa, from the Red Sea in the east to the Atlantic Ocean in the
west; they claimed lineage from Muhammad's daughter.
emir
A title of high office used in a variety of places in the Muslim

world.
vizier
A high-ranking political advisor or minister in the Muslim world.
Rise of the Abbasid Empire ( c.

7 5 0 CE)
The Umayyad dynasty was overthrown by another family of Meccan
origin, the Abbasids, in 750 CE. The Abbasids distinguished
themselves from the Umayyads by attacking their moral character
and administration. In particular, they appealed to non-Arab Muslims,
known as mawali, who remained outside the kinship-based society
of the Arabs and were perceived as a lower class within the
Umayyad empire. The Abbasid dynasty descended from
Muhammad's youngest uncle, Abbas ibn Abd al-Muttalib (566–653
CE), from whom the dynasty takes its name. Muhammad ibn 'Ali, a
great-grandson of Abbas, began to campaign for the return of power
to the family of Muhammad, the Hashimites, in Persia during the
reign of Umar II, an Umayyad caliph who ruled from 717–720 CE.
Coin of the Abbasids, Baghdad, Iraq,
7 65 CE
A gold coin with Arabic writing.
Power in Baghdad
The Abbasids moved the empire's capital from Damascus, in
modern-day Syria, to Baghdad, in modern-day Iraq, in 762 CE. The
Abbasids had depended heavily on the support of Persians in their
overthrow of the Umayyads, and the geographic power shift
appeased the Persian mawali support base. Abu al-'Abbas's
successor, Al-Mansur, welcomed non-Arab Muslims to his court.
While this helped integrate Arab and Persian cultures, it alienated
the Arabs who had supported the Abbasids in their battles against
the Umayyads. The Abbasids established the new position of vizier
to delegate central authority, and delegated even greater authority to
local emirs. As the viziers exerted greater influence, many Abbasid
caliphs were relegated to a more ceremonial role as Persian
bureaucracy slowly replaced the old Arab aristocracy.
The Abbasids, who ruled from Baghdad, had an unbroken line of

caliphs for over three centuries, consolidating Islamic rule and
cultivating great intellectual and cultural developments in the Middle
East in the Golden Age of Islam. By 940 CE, however, the power of
the caliphate under the Abbasids began waning as non-Arabs
gained influence and the various subordinate sultans and emirs
became increasingly independent.
Map of the Abbasid Caliphate at its

greatest ex tent, c. 8 5 0 CE
The Abbasid dynasty ruled as caliphs from their capital in Baghdad,
in modern Iraq, after taking over authority of the Muslim empire from
the Umayyads in 750 CE.
Decline of the Abbasid Empire

The Abbasid leadership worked to overcome the political challenges
of a large empire with limited communication in the last half of the
8th century (750–800 CE). While the Byzantine Empire was fighting
Abbasid rule in Syria and Anatolia, the caliphate's military operations
were focused on internal unrest. Local governors had begun to exert
greater autonomy, using their increasing power to make their
positions hereditary. Simultaneously, former supporters of the
Abbasids had broken away to create a separate kingdom around
Khorosan in northern Persia.
Several factions left the empire to exercise independent authority. In

793 CE, the Shi'a (also called Shi'ite) dynasty of Idrisids gained
authored over Fez in Morocco. The Berber Kharijites set up an
independent state in North Africa in 801 CE. A family of governors
under the Abbasids became increasingly independent until they
founded the Aghlabid Emirate in the 830s. Within 50 years, the
Idrisids in the Maghreb, the Aghlabids of Ifriqiya, and the Tulunids
and Ikshidids of Misr became independent in Africa.
By the 860s governors in Egypt set up their own Tulunid Emirate, so

named for its founder Ahmad ibn Tulun, starting a dynastic rule
separate from the caliph. In the eastern territories, local governors
decreased their ties to the central Abbasid rule. The Saffarids of
Herat and the Samanids of Bukhara seceded in the 870s to cultivate
a more Persian culture and rule. The Tulinid dynasty managed
Palestine, the Hijaz, and parts of Egypt. By 900 CE, the Abbasids
controlled only central Mesopotamia, and the Byzantine Empire
began to reconquer western Anatolia.
The Fatimid Caliphate ( 909–

117 1 CE)
Several factions challenged the Abbasids' claims to the caliphate.
Most Shi'a Muslims had supported the Abbasid war against the
Umayyads because the Abbasids claimed legitimacy with their
familial connection to Muhammad, an important issue for Shi'a.
However, once in power, the Abbasids embraced Sunni Islam and
disavowed any support for Shi'a beliefs.
The Shiʻ a Ubayd Allah al-Mahdi Billah of the Fatimid dynasty, who
claimed descent from Muhammad's daughter, declared himself
Caliph in 909 CE and created a separate line of caliphs in North
Africa. The Fatimid caliphs initially controlled Morocco, Algeria,
Tunisia, and Libya, and they expanded for the next 150 years, taking
Egypt and Palestine. The Abbasid dynasty finally challenged Fatimid
rule, limiting them to Egypt. By the 920s, a Shi'a sect that only
recognized the first five Imams and could trace its roots to
Muhammad's daughter Fatima, took control of Idrisi and then
Aghlabid domains. This group advanced to Egypt in 969 CE,
establishing their capital near Fustat in Cairo, which they built as a
bastion of Shi'a learning and politics. By 1000 CE, they had become
the chief political and ideological challenge to Abbasid Sunni Islam.
At this point, the Abbasid dynasty had fragmented into several
governorships that were mostly autonomous, although they official
recognized caliphal authority from Baghdad. The caliph himself was
under "protection" of the Buyid Emirs, who possessed all of Iraq and
western Iran, and were quietly Shi'a in their sympathies.
The Fatimid Caliphate at its height, c.

969 CE
The Fatimid dynasty broke from the Abbasids in 909 CE and created
separate lines of caliphs in Morocco, Algeria, Tunisia, Libya, Egypt,
and Palestine until 1171 CE.
Outside Iraq, all the autonomous provinces slowly became states
with hereditary rulers, armies, and revenues. They operated under
only nominal caliph authority, with emirs ruling their own provinces
from their own capitals. Mahmud of Ghazni took the title of "sultan,"
instead of "emir," signifying the Ghaznavid Empire's independence
from caliphal authority, despite Mahmud's ostentatious displays of
Sunni orthodoxy and ritual submission to the caliph. In the 11th
century, the loss of respect for the caliphs continued, as some
Islamic rulers no longer mentioned the caliph's name in the Friday
khutba, or struck it off their coinage. The political power of the
Abbasids largely ended with the rise of the Buyids and the Seljuq
Turks in 1258 CE. Though lacking in political power, the dynasty
continued to claim authority in religious matters until after the
Ottoman conquest of Egypt in 1517.
Attributions
Muhammad's Successors
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http://en.wikipedia.org/wiki/Rashidun_Caliphate. Wikipedia
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BY-SA 3.0.
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CC BY-SA 3.0.
Expansion Under the Umayyad Caliphates
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https://en.wikipedia.org/wiki/Umayyad_Caliphate. Wikipedia
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https://en.wikipedia.org/wiki/Caliphate_of_Cordoba.
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Spread of Islam
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11: The Middle Ages in Europe
11.1: The Germanic Tribes
11.1.1: The Germanic Tribes
The Germanic tribes, an ancient nomadic civilization, used their
superior military strength to lay the foundation for modern Europe.
Learning Objective
Explain the importance of battle and military strength to the
Germanic tribes
Key Points
The Germanic people were a diverse group of migratory tribes
with common linguistic and cultural roots who dominated much
of Europe during the Iron Age. When the Roman Empire lost
strength during the 5th century, Germanic peoples migrated into
Great Britain and Western Europe, and their settlements
became fixed territories.
V arious Germanic tribes migrated into Italy, Gaul, Spain, and
North Africa. Many Germanic tribes merged, including the Jutes
with the Danes in Denmark, the Geats and Gutes with the
Swedes in Sweden, and the Angles with the Saxons in England.
Germanic peoples had a strong military, and warriors were
fiercely devoted to their military leaders, or chieftains.
Political leaders Odoacer and Theoderic the Great shaped later
European civilizations.
Key Terms
nomadic
Leading a wandering life with no fixed abode; peripatetic,
itinerant.
retinues
Bodies of persons "retained" in the service of a noble or royal

personage.
Origins
The Germanic peoples (also called Teutonic, Suebian, or Gothic in
older literature) are an ethno-linguistic Indo-European group of
northern European origin. They are identified by their use of
Germanic languages, which diversified out of Proto-Germanic during
the Pre-Roman Iron Age.
The term "Germanic" originated in classical times when groups of

tribes living in Lower, Upper, and Greater Germania were referred to
using this label by Roman scribes. These tribes generally lived to the
north and east of the Gauls. They were chronicled by Rome's
historians as having had a critical impact on the course of European
history during the Roman-Germanic wars, particularly at the historic
Battle of the Teutoburg Forest, where the vanquishment of three
Roman legions at the hands of Germanic tribal warriors precipitated
the Roman Empire's strategic withdrawal from Magna Germania.
As a linguistic group, modern Germanic peoples include the

Afrikaners, Austrians, Danes, Dutch, English, Flemish, Frisians,
Germans, Icelanders, Lowland Scots, Norwegians, Swedes, and
others (including diaspora populations, such as some groups of
European Americans).
Northernmost Europe, in what now constitutes the European plains

of Denmark and southern Scandinavia, is where the Germanic
peoples most likely originated. This is a region that was "remarkably
stable" as far back as the Neolithic Age, when humans first began
controlling their environment through the use of agriculture and the
domestication of animals. Archeological evidence gives the
impression that the Germanic people were becoming more uniform
in their culture as early as 750 BCE. As their population grew, the
Germanic people migrated westwards into coastal floodplains due to
the exhaustion of the soil in their original settlements.
Germanic Tribes
By approximately 250 BCE, additional expansion further southwards
into central Europe took place, and five general groups of Germanic
people emerged, each employing distinct linguistic dialects but
sharing similar language innovations. These five dialects are
distinguished as North Germanic in southern Scandinavia; North Sea
Germanic in the regions along the North Sea and in the Jutland
peninsula, which forms the mainland of Denmark together with the
north German state of Schleswig-Holstein; Rhine-Weser Germanic
along the middle Rhine and Weser river, which empties into the
North Sea near Bremerhaven; Elbe Germanic directly along the
middle Elbe river; and East Germanic between the middle of the
Oder and V istula rivers.
Some recognizable trends in the archaeological records exist, as it is

known that, generally speaking, western Germanic people, while still
migratory, were more geographically settled, whereas the eastern
Germanics remained transitory for a longer period. Three settlement
patterns and solutions come to the fore; the first being the
establishment of an agricultural base in a region that allowed them to
support larger populations; the second being that the Germanic
peoples periodically cleared forests to extend the range of their
pasturage; and the third (and the most frequent occurrence) being
that they often emigrated to other areas as they exhausted the
immediately available resources.
War and conquest followed as the Germanic people migrated,

bringing them into direct conflict with the Celts who were forced to
either Germanize or migrate elsewhere as a result. West Germanic
people eventually settled in central Europe and became more
accustomed to agriculture, and it is the various western Germanic
people that are described by Caesar and Tacitus. Meanwhile, the
eastern Germanic people continued their migratory habits. Roman
writers characteristically organized and classified people, and it may
very well have been deliberate on their part to recognize the tribal
distinctions of the various Germanic people so as to pick out known
leaders and exploit these differences for their benefit. For the most
part however, these early Germanic people shared a basic culture,
operated similarly from an economic perspective, and were not
nearly as differentiated as the Romans implied. In fact, the Germanic
tribes are hard to distinguish from the Celts on many accounts
simply based on archaeological records.
Migration Period
During the 5th century, as the Western Roman Empire lost military
strength and political cohesion, numerous nomadic Germanic
peoples, under pressure from population growth and invading Asian
groups, began migrating en masse in various directions, taking them
to Great Britain and far south through present-day Continental
Europe to the Mediterranean and Northern Africa.
Over time this wandering meant intrusions into other tribal territories,
and the ensuing wars for land escalated with the dwindling amount
of unoccupied territory. Wandering tribes then began staking out
permanent homes as a means of protection. This resulted in fixed
settlements from which many tribes, under a powerful leader,
expanded outwards.
Ostrogoths, V isigoths, and Lombards made their way into Italy;

V andals, Burgundians, Franks, and V isigoths conquered much of
Gaul; V andals and V isigoths also pushed into Spain, with the
V andals additionally making it into North Africa; and the Alamanni
established a strong presence in the middle Rhine and Alps. In
Denmark, the Jutes merged with the Danes; and in Sweden, the
Geats and Gutes merged with the Swedes. In England, the Angles
merged with the Saxons and other groups (notably the Jutes), and
absorbed some natives, to form the Anglo-Saxons (later known as
the English). Essentially, Roman civilization was overrun by these
variants of Germanic peoples during the 5th century.
The Germanic Kingdoms and the

Eastern Roman Empire in 5 26 CE
A map showing the extent of the Germanic Kingdoms and the East
Roman Empire
Military
Germanic people were fierce in battle, creating a strong military.
Their love of battle was linked to their religious practices and two of
their most important gods, Wodan and his son, Thor, both believed
to be gods of war. The Germanic idea of warfare was quite different
from the pitched battles fought by Rome and Greece, and the
Germanic tribes focused on raids to capture resources and secure
prestige.
Warriors were strong in battle and had great fighting abilities, making
the tribes almost unbeatable. Men began battle training at a young
age and were given a shield and a spear upon manhood, illustrating
the importance of combat in Germanic life. The loss of the shield or
spear meant a loss of honor. The Germanic warrior's intense
devotion to his tribe and his chieftain led to many important military
victories.
Chieftains were the leaders of clans, and clans were divided into
groups by family ties. The earlier Germans elected chieftains, but as
time went on it became hereditary. One of the chieftain's jobs was to
keep peace in the clans, and he did this by keeping the warriors
together and united.
Military chieftains relied upon retinues, a body of followers "retained"

by the chieftain. A chieftain's retinue might include, but was not
limited to, close relatives. The followers depended on the retinue for
military and other services, and in return provided for the retinue's
needs and divided with them the spoils of battle. This relationship
between a chieftain and his followers became the basis for the more
complicated feudal system that developed in medieval Europe.
Major Historical Figures

Political and diplomatic leaders, such as Odoacer and Theoderic the
Great, changed the course of history in the late 400s CE and paved
the way for later kings and conquerors. Odoacer, a German general,
took over the Western Roman Empire in his own name, becoming
the first barbarian king of Italy. Theoderic the Great became a
barbarian king of Italy after he killed Odoacer. He initiated three
decades of peace between the Ostrogoths and the Romans and
united the two Germanic tribes.
Theoderic the Great lived as a hostage at the court of
Constantinople for many years and learned a great deal about
Roman government and military tactics, which served him well when
he became the Gothic ruler of a mixed but largely Romanized
"barbarian people."
Theoderic the Great

Bronze statue of Theoderic the Great, king of the Ostrogoths, by
Peter V ischer the Elder (1512-13) at the tomb of Emperor Maximilian
I in the Court Church in Innsbruck, Austria.
11.1.2: Odoacer and the Fall of Rome
Odoacer was a Germanic soldier in the Roman army who deposed
emperor Augustulus and became the first King of Italy, marking the
end of the Western Roman Empire, the fall of ancient Rome, and the
beginning of the Middle Ages in Western Europe.
Learning Objective
Describe Odoacer's rise to power
Key Points
Odoacer was a Germanic soldier in the Roman army who in 476
became the first King of Italy.
At the time, Rome used many mercenary armies from other
nations, called foederati, who with the rise of Emperor
Augustulus became frustrated by their treatment and status.
These armies, led by Odoacer, revolted against Emperor
Augustulus and deposed him in 476, and granted Odoacer
kingship.
Odoacer cooperated with the existing Roman Senate and
elevated them to prestige, thereby stabilizing his power in Italy.
As Odoacer's position improved, Zeno, the Eastern Emperor,
increasingly saw him as a rival, and in response pitted the
Ostrogoth Theoderic the Great against him; Theoderic proved
victor against Odoacer repeatedly and eventually killed him in
493.
Key Terms
foederati
Any one of several outlying nations to which ancient Rome

provided benefits in exchange for military assistance. The term
was also used, especially under the Roman Empire, for groups
of "barbarian" mercenaries of various sizes, who were typically
allowed to settle within the Empire.
Western Roman Empire
The western provinces of the Roman Empire at any one time

during which they were administered by a separate independent
imperial court, coequal with (or only nominally subordinate to)
that administering the eastern provinces.
Romulus Augustulus
An emperor of the Western Roman Empire from 475–476 AD;

his deposition by Odoacer traditionally marks the end of the
Western Roman Empire, the fall of ancient Rome, and the
beginning of the Middle Ages in Western Europe.
Arian Christian
A Christian sect that asserts that Jesus Christ is the Son of God
who was created by God the Father at a point in time, is distinct
from the Father, and is therefore subordinate to the Father.
Overview
Flavius Odoacer (433–493) was a soldier, probably of Scirian
descent, who in 476 became the first King of Italy (476–493). His
reign is commonly seen as marking the end of the Western Roman
Empire. Though the real power in Italy was in his hands, he
represented himself as the client of Julius Nepos and, after Nepos's
death in 480, of the Emperor in Constantinople. Odoacer generally
used the Roman honorific patrician, granted by the Emperor Zeno,
but is referred to as a king (Latin rex) in many documents. He used
the term "rex" himself at least once, and on another occasion it was
used by the consul Basilius. Odoacer introduced few important
changes into the administrative system of Italy. He had the support
of the Roman Senate and was able to distribute land to his followers
without much opposition. Unrest among his warriors led to violence
in 477–478, but no such disturbances occurred during the later
period of his reign. Although Odoacer was an Arian Christian, he
rarely intervened in the affairs of the orthodox and trinitarian state
church of the Roman Empire.
Coin of Odoacer
Coin of Odoacer, Ravenna, 477, with Odoacer in profile, depicted
with a "barbarian" moustache.
Rise to Power
Odoacer was a military leader in Italy who led the revolt of Herulian,
Rugian, and Scirian soldiers that deposed Romulus Augustulus on
September 4, 476. Augustulus had been declared Western Roman
Emperor by his father, the rebellious general of the army in Italy, less
than a year before, but had been unable to gain allegiance or
recognition beyond central Italy.
In 475 a Roman general named Orestes was appointed Magister
militum and patrician by the Western Roman Emperor Julius Nepos
and became head of the Germanic foederati (barbarian mercenary
armies for Rome). However, Orestes proved to be ambitious, and
before the end of that year drove Nepos from Italy. Orestes then
proclaimed his young son Romulus the new emperor, Romulus
Augustulus. However, Nepos reorganized his court in Salona,
Dalmatia, and received homage and affirmation from the remaining
fragments of the Western Empire beyond Italy and, most importantly,
from Constantinople, which refused to accept Augustulus and
branded him and his father traitors and usurpers.
At around this time, the foederati, who had been quartered on the
Italians all of these years, had grown weary of this arrangement. In
the words of J. B. Bury, "They desired to have roof-trees and lands of
their own, and they petitioned Orestes to reward them for their
services, by granting them lands and settling them permanently in
Italy." Orestes refused their petition, and they turned to Odoacer to
lead a revolt against Orestes. Orestes was killed at Placentia, and
his brother Paulus killed outside Ravenna. The Germanic foederati,
the Scirians, and the Heruli, as well as a large segment of the Italic
Roman army, then proclaimed Odoacer rex I taliae ("king of Italy"). In
476 Odoacer advanced to Ravenna and captured the city,
compelling the young emperor Romulus to abdicate on September 4.
According to the Anonymus V alesianus, Odoacer was moved by
Romulus's youth and beauty to not only spare his life, but also to
give him a pension of 6,000 solidii and send him to Campania to live
with his relatives.
Romulus Augustulus and Odoacer
Romulus Augustulus resigns the crown (from a 19th-century
illustration)
King of Italy
In 476, Odoacer became the first barbarian King of Italy, initiating a
new era. With the backing of the Roman Senate, Odoacer
thenceforth ruled Italy autonomously, paying lip service to the
authority of Julius Nepos, the last Western emperor, and Zeno, the
emperor of the East. Upon Nepos's murder in 480, Odoacer invaded
Dalmatia to punish the murderers. He did so, executing the
conspirators, but within two years also conquered the region and
incorporated it into his domain.
As J.B. Bury points out, "It is highly important to observe that

Odovacar established his political power with the co-operation of the
Roman Senate, and this body seems to have given him their loyal
support throughout his reign, so far as our meagre sources permit us
to draw inferences." He regularly nominated members of the Senate
to the Consulate and other prestigious offices: "Basilius, Decius,
V enantius, and Manlius Boethius held the consulship and were either
Prefects of Rome or Praetorian Prefects; Symmachus and Sividius
were consuls and Prefects of Rome; another senator of old family,
Cassiodorus, was appointed a minister of finance." A. H. M. Jones
also notes that under Odoacer the Senate acquired "enhanced
prestige and influence" in order to counter any desires for restoration
of Imperial rule. As the most tangible example of this renewed
prestige, for the first time since the mid-3rd century copper coins
were issued with the legend S(enatus) C(onsulto) .
Fall and Death

As Odoacer's position improved, Zeno, the Eastern Emperor,
increasingly saw him as a rival. When Illus, master of soldiers of the
Eastern Empire, asked for Odoacer’s help in 484 in his struggle to
depose Zeno, Odoacer invaded Zeno’s westernmost provinces.
Zeno responded first by inciting the Rugi of present-day Austria to
attack Italy. During the winter of 487–488 Odoacer crossed the
Danube and defeated the Rugi in their own territory. In his quest to
destroy Odoacer, Zeno promised Theoderic the Great and his
Ostrogoths the Italian peninsula if they were to defeat and remove
Odoacer from power. In 489, Theoderic led the Ostrogoths across
the Julian Alps and into Italy. On August 28, Odoacer met him at the
Isonzo, only to be defeated. He withdrew to V erona, reaching its
outskirts on September 27, where he immediately set up a fortified
camp. Theoderic followed him and three days later defeated him
again. While Odoacer took refuge in Ravenna, Theoderic continued
across Italy to Mediolanum, where the majority of Odoacer's army,
including his chief general, Tufa, surrendered to the Ostrogothic
king.
The following summer, the V isigothic king Alaric II demonstrated
what Wolfram calls "one of the rare displays of Gothic solidarity" and
sent military aid to help his kinsman, forcing Odoacer to raise his
siege. On August 11, 490, the armies of the two kings clashed on the
Adda River. Odoacer was again defeated and forced back into
Ravenna, where Theoderic besieged him. Ravenna proved to be
invulnerable, surrounded by marshes and estuaries and easily
supplied by small boats from its hinterlands, as Procopius later
pointed out in his History.
By this time, Odoacer had to have lost all hope of victory. A large-
scale sortie out of Ravenna on the night of the 9/10 of July, 491,
ended in failure with the death of his commander-in-chief, Livilia,
along with the best of his Herulian soldiers. On August 29, 492, the
Goths were about to assemble enough ships at Rimini to set up an
effective blockade of Ravenna. Despite these decisive losses, the
war dragged on until February 25, 493, when John, bishop of
Ravenna, was able to negotiate a treaty between Theoderic and
Odoacer that provided for them to occupy Ravenna together and rule
jointly. After a three-year siege, Theoderic entered the city on March
5. Odoacer was dead ten days later, slain by Theoderic while they
shared a meal. Theoderic had plotted to have a group of his
followers kill Odoacer while the two kings were feasting together in
the imperial palace of Honorius "Ad Laurentum" ("At the Laurel
Grove"); when this plan went astray, Theoderic drew his sword and
struck Odoacer on the collarbone. In response to Odoacer's dying
question, "Where is God? " Theoderic cried, "This is what you did to
my friends." Theoderic was said to have stood over the body of his
dead rival and exclaim, "There certainly wasn't a bone in this
wretched fellow."
11.1.3: Theoderic the Great

Theoderic the Great was the King of the Ostrogoths and ruler of Italy
after defeating the first barbarian king, Odoacer; he ruled Italy in its
most peaceful and prosperous period since V alentinian until his
death in 526.
Learning Objective
Analyze the political and military considerations that led to
Theoderic's rise to power
Key Points
Theoderic the Great was King of the Ostrogoths, a tribe of
Germanic peoples in close relation to the Eastern Roman
Empire.
Zeno, the emperor of the Eastern Roman Empire, enlisted
Theoderic to defeat the current King of Italy, Odoacer.
Theoderic defeated and killed Odoacer and took over as ruler of
Italy, where he reigned successfully for 33 years.
Under Theoderic, a considerable degree of Roman and
Germanic cultural and political fusion was achieved; slowly but
surely, the distinction between Germanic rulers and Roman
subjects faded, followed by varying degrees of "cultural
assimilation," which included the adoption of the Gothic
language by some of the indigenous people of the former
Roman Empire.
Theoderic died in 526 while planning an expedition to restore his
power over the V andal kingdom; his death soon led to the
collapse of the Ostrogothic reign.
Key Terms
Ostrogoths
The eastern branch of the Germanic tribes; they traced their

origins to the Greutungi, a branch of the Goths who had
migrated southward from the Baltic Sea and established a
kingdom north of the Black Sea during the 3rd and 4th
centuries.
V isigoths
The western branches of the nomadic tribes of Germanic

peoples referred to collectively as the Goths.
Zeno
Eastern Roman Emperor from 474–475 and again from 476–

491, whose reign saw the end of the Western Roman Empire
under Romulus Augustus.
Overview
Theoderic the Great (454–526) was king of the Ostrogoths (475–
526), ruler of Italy (493–526), regent of the V isigoths (511–526), and
a patricius of the Roman Empire. His Gothic name translates into
"people-king" or "ruler of the people."
Theoderic was born in Pannonia in 454, after his people had

defeated the Huns at the Battle of Nedao. His father was King
Theodemir, a Germanic Amali nobleman, and his mother was
Ereleuva. Theoderic grew up as a hostage in Constantinople,
received a privileged education, and succeeded his father as leader
of the Pannonian Ostrogoths in 473. Settling his people in lower
Moesia, Theoderic came into conflict with Thracian Ostrogoths led
by Theodoric Strabo, whom he eventually supplanted, uniting their
peoples in 484.
Emperor Zeno subsequently gave Theoderic the title of Patrician and

the office of Magister militum (master of the soldiers), and even
appointed him Roman Consul. Seeking further gains, Theoderic
frequently ravaged the provinces of the Eastern Roman Empire,
eventually threatening Constantinople itself. In 488, Emperor Zeno
ordered Theoderic to overthrow the German Foederatus Odoacer,
who had likewise been made Patrician and even King of Italy, but
who had since betrayed Zeno, supporting the rebellious Leontius.
After a victorious three-year war, Theoderic killed Odoacer with his
own hands, settled his 200,000 to 250,000 people in Italy, and
founded an Ostrogothic Kingdom based in Ravenna. While he
promoted separation between the Arian Ostrogoths and the Roman
population, Theoderic stressed the importance of racial harmony,
though intermarriage was outlawed. Seeking to restore the glory of
Ancient Rome, he ruled Italy in its most peaceful and prosperous
period since V alentinian until his death in 526. Memories of his reign
made him a hero of German legend as Dietrich von Bern.
Theoderic the Great
Bronze statue of Theoderic the Great (by Peter V ischer, 1512–13),
from the monument of Emperor Maximilian I in the Court Church at
Innsbruck.
Relationship with Byz antium

and Overthrow of Odoacer
At the time, the Ostrogoths were settled in Byzantine territory as
foederati (allies) of the Romans, but were becoming restless and
increasingly difficult for Zeno to manage. Not long after Theoderic
became king, he and Zeno worked out an arrangement beneficial to
both sides. The Ostrogoths needed a place to live, and Zeno was
having serious problems with Odoacer, the King of Italy who had
come to power in 476. Ostensibly a viceroy for Zeno, Odoacer was
menacing Byzantine territory and not respecting the rights of Roman
citizens in Italy. At Zeno's encouragement, Theoderic invaded
Odoacer's kingdom.
Theoderic came with his army to Italy in 488, where he won the
battles of Isonzo and V erona in 489 and the battle at the Adda in
490. In 493 he took Ravenna. On February 2, 493, Theoderic and
Odoacer signed a treaty that assured both parties would rule over
Italy. A banquet was organized in order to celebrate this treaty. It was
at this banquet that Theoderic, after making a toast, drew his sword
and struck Odoacer on the collarbone, killing him.
Ruler of Italy
Like Odoacer, Theoderic was ostensibly only a viceroy for the
emperor in Constantinople. In reality, he was able to avoid imperial
supervision, and dealings between the emperor and Theoderic were
as relations between equals. Unlike Odoacer, however, Theoderic
respected the agreement he had made and allowed Roman citizens
within his kingdom to be subject to Roman law and the Roman
judicial system. The Goths, meanwhile, lived under their own laws
and customs. In 519, when a mob burned down the synagogues of
Ravenna, Theoderic ordered the town to rebuild them at its own
expense.
Theoderic the Great sought alliances with, or hegemony over, the

other Germanic kingdoms in the West. He allied with the Franks by
his marriage to Audofleda, sister of Clovis I, and married his own
female relatives to princes or kings of the V isigoths, V andals, and
Burgundians. He stopped the V andals from raiding his territories by
threatening the weak V andal king Thrasamund with invasion, and
sent a guard of 5,000 troops with his sister Amalafrida when she
married Thrasamund in 500.
For much of his reign, Theoderic was the de facto king of the
V isigoths as well, becoming regent for the infant V isigothic king, his
grandson Amalaric, following the defeat of Alaric II by the Franks
under Clovis in 507. The Franks were able to wrest control of
Aquitaine from the V isigoths, but otherwise Theoderic was able to
defeat their incursions. The term "V isigoth" was actually an invention
of this period. Cassiodorus, a Roman in the service of Theoderic the
Great, invented the term "V isigothi" to match that of "Ostrogothi;" he
thought of these terms as signifying "western Goths" and "eastern
Goths" respectively. The western–eastern division was a
simplification (and a literary device) of 6th-century historians; political
realities were more complex. Both tribes had variable relations with
Rome throughout their history, ranging from direct conflict to treaties
and mutual support.
Decline and Death

Theoderic's achievements began to unravel even before his death.
He had married off his daughter Amalasuntha to the V isigoth
Eutharic, but Eutharic died in August 522 or 523, so no lasting
dynastic connection of Ostrogoths and V isigoths was established. In
522, the Catholic Burgundian king Sigismund killed his own son,
Theoderic's grandson, Sergeric. Theoderic retaliated by invading the
Burgundian kingdom and then annexing its southern part, probably
in 523. The rest was ruled by Sigismund's Arian brother Godomar,
under Gothic protection against the Franks who had captured
Sigismund. This brought the territory ruled by Theoderic to its height
(see map below), but in 523 or 524 the new Catholic V andal king
Hilderic imprisoned Theoderic's sister Amalafrida and killed her
Gothic guard. Theoderic was planning an expedition to restore his
power over the V andal kingdom when he died in 526.
After his death in Ravenna in 526, Theoderic was succeeded by his
grandson Athalaric. Athalaric was at first represented by his mother
Amalasuntha, who was a regent queen from 526 until 534. The
kingdom of the Ostrogoths, however, began to wane and was
conquered by Justinian I starting after the rebellion of 535 and finally
ending in 553 with the Battle of Mons Lactarius. Theoderic may have
tried too hard to accommodate the various people under his
dominion; indulging "Romans and Goths, Catholics and Arians, Latin
and barbarian culture" resulted in the eventual failure of the
Ostrogothic reign and the subsequent "end of Italy as the heartland
of late antiquity."
Europe in 5 26
The Ostrogothic Kingdom (in yellow) at the death of Theoderic the
Great in 526 AD.
11.1.4: The V ikings

V ikings originated in Scandinavia and raided, traded, explored, and
settled in wide areas of Europe, Asia, and the North Atlantic islands.
Learning Objective
Illustrate how V iking ships were an integral part of V iking culture,
influencing trade and warfare
Key Points
The late 8th to the mid-11th centuries is commonly known as the
V iking Age of Scandinavian history.
V ikings were renowned for their ships, which were an integral
part of their culture, facilitating, trade, exploration, and warfare.
Weapons indicated the social status of a V iking, and warfare
and violence were heavily influenced by pagan religious beliefs.
The V ikings established and engaged in extensive trading
networks throughout the known world and had a profound
influence on the economic development of Europe and
Scandinavia.
V ikings are often thought of as brutal warriors due to the manner
in which they settled in the northeast of England, though in
recent years they have been recognized for their technological
skills and seamanship.
V iking culture and stories were written about in the Sagas,
stories compiled almost one to three hundred years after V iking
raids had mostly ceased.
When settling land in Greenland and Iceland, V ikings
established their form of democratic government which included
discussion of rules of law and other issues during Things,
assemblies open to all free people.
Key Terms
Charlemagne
A ruler of the Carolingian Dynasty renowned for his thirty-year

military campaign to spread Christianity in Europe and for his
interests in education and religion.
longship
A V iking ship intended for warfare and exploration and designed
for speed and agility. Longships were equipped with a sail as
well as oars, making navigation independent of the wind
possible.
Obotrites
A confederation of medieval West Slavic tribes within the

territory of modern northern Germany.
Scandinavia
A historical and cultural-linguistic region in northern Europe

characterized by a common Germanic heritage and related
languages. It includes the three kingdoms of Denmark, Norway,
and Sweden.
Constantinople
The capital city of the Roman, Byzantine, Latin, and Ottoman

empires. During the 12th century, it was the largest and
wealthiest city in Europe.
V ikings were Norse seafarers who originated in Scandinavia and

raided, traded, explored, and settled in wide areas of Europe, Asia,
and the North Atlantic islands. The period from the earliest recorded
raids in the 790s until the Norman conquest of England in 1066 is
commonly known as the V iking Age of Scandinavian history. V ikings
used the Norwegian Sea and Baltic Sea for sea routes to the south.
V iking Ships
There have been several archaeological finds of V iking ships of all
sizes, providing knowledge of the craftsmanship that went into
building them. There were many types of V iking ships, built
according to their intended uses, though the most iconic type is
probably the longship. Longships were intended for warfare and
exploration, designed for speed and agility, and equipped with oars
to complement the sail, making navigation independent of the wind
possible. It was the longship that allowed the Norse to "go V iking"
(on an expedition), which might explain why this type of ship has
become almost synonymous with the concept of V ikings. Longships
were the epitome of Scandinavian naval power at the time, and were
highly valued possessions.
Model of a V iking longship

Model of the Gokstad ship. The Gokstad ship is a V iking ship found
in a burial mound at Gokstad farm in Sandar, Sandefjord, V estfold,
Norway. Dendrochronological dating suggests that the ship was built
around 890 AD.
Ships were an integral part of V iking culture. They facilitated

everyday transportation across seas and waterways, exploration of
new lands, raids, conquests, and trade with neighboring cultures.
They also held a major religious importance; magnates and people
with a high status were sometimes buried in a ship along with animal
sacrifices, weapons, provisions, and other items.
W eapons and W arfare

Our knowledge about the arms and armor of the V iking age is based
on archaeological finds, pictorial representation, and to some extent
on the accounts in the Norse sagas and Norse laws recorded in the
13th century. According to custom, all free Norse men were required
to own weapons and were permitted to carry them all the time.
Weapons were indicative of a V iking's social status; a wealthy V iking
would have a complete ensemble of a helmet, shield, mail shirt, and
sword. A typical bó ndi (freeman) was more likely to fight with a spear
and shield, and most also carried a knife and side-arm. Bows were
used in the opening stages of land battles and at sea, but they
tended to be considered less "honorable" than a weapon that could
be used in close combat. V ikings were relatively unusual for the time
in their use of axes as a main battle weapon.
The warfare and violence of the V ikings were often motivated and
fueled by their belief in Norse religion, focusing on Thor and Odin,
the gods of war and death. Apart from two or three representations
of (ritual) helmets with protrusions that may be either stylized ravens,
snakes, or horns, no depiction of the helmets of V iking warriors, and
no preserved helmet, has horns. The stereotypical V iking helmet
was thus mainly a fiction of a later romanticized image of the V iking.
The formal, close-quarters style of V iking combat (either in shield
walls or aboard "ship islands") would have made horned helmets
cumbersome and hazardous to the warrior's own side.
The V ikings are believed to have engaged in a disordered style of

frenetic, furious fighting, although the brutal perception of the V ikings
is largely a misconception, likely attributed to Christian
misunderstandings regarding paganism at the time.
V iking Ex pansion
Facilitated by advanced seafaring skills, V iking activities at times
also extended into the Mediterranean littoral, North Africa, the Middle
East, and Central Asia. Following extended phases of exploration on
seas and rivers, expansion, and settlement, V iking communities and
polities were established in diverse areas of northwestern Europe,
European Russia, and the North Atlantic islands, and as far as the
northeastern coast of North America. During their explorations,
V ikings raided and pillaged, but also engaged in trade, settled wide-
ranging colonies, and acted as mercenaries. This period of
expansion witnessed the wider dissemination of Norse culture while
simultaneously introducing strong foreign cultural influences into
Scandinavia itself, with profound developmental implications in both
directions.
V ikings under Leif Ericsson, the heir to Erik the Red, reached North
America and set up a short-lived settlement in present-day L'Anse
aux Meadows, Newfoundland and Labrador, Canada. Longer and
more-established settlements were formed in Greenland, Iceland,
Great Britain, and Normandy.
V iking expansion into continental Europe was limited. Their realm

was bordered by powerful cultures to the south. Early on it was the
Saxons, who occupied Old Saxony, located in what is now northern
Germany. The Saxons were a fierce and powerful people and were
often in conflict with the V ikings. To counter the Saxon aggression
and solidify their own presence, the Danes constructed the huge
defense fortification of Danevirke in and around Hedeby. The V ikings
soon witnessed the violent subduing of the Saxons by Charlemagne
in the thirty-year Saxon Wars from 772–804. The Saxon defeat
resulted in their forced christening and the absorption of Old Saxony
into the Carolingian Empire.
Fear of the Franks led the V ikings to further expand Danevirke, and
the defense constructions remained in use throughout the V iking
Age and even up until 1864. The south coast of the Baltic Sea was
ruled by the Obotrites, a federation of Slavic tribes loyal to the
Carolingians and later the Frankish empire. The V ikings, led by King
Gudfred, destroyed the Obotrite city of Reric on the southern Baltic
coast in 808 and transferred the merchants and traders to Hedeby.
This secured their supremacy in the Baltic Sea, which endured
throughout the V iking Age.
V iking ex peditions ( blue line)
Light blue: Itineraries of the V ikings, depicting the immense breadth
of their voyages through most of Europe, the Mediterranean Sea,
Northern Africa, Asia Minor, the Arctic, and North America. Light
green: main settlement areas, in the first millennium
Legacy
The 200-year V iking influence on European history is filled with tales
of plunder and colonization, and the majority of these chronicles
came from western witnesses and their descendants. Medieval
Christians in Europe were totally unprepared for the V iking
incursions and could find no explanation for their arrival and the
accompanying suffering they experienced at their hands, save the
"Wrath of God." More than any other single event, the attack on
Lindisfarne demonized perception of the V ikings for the next twelve
centuries. Not until the 1890s did scholars outside Scandinavia begin
to seriously reassess the achievements of the V ikings, recognizing
their artistry, technological skills, and seamanship.
Studies of genetic diversity have provided scientific confirmation to

accompany archaeological evidence of V iking expansion. They
additionally indicate patterns of ancestry, imply new migrations, and
show the actual flow of individuals between disparate regions.
Genetic evidence contradicts the common perception that V ikings
were primarily pillagers and raiders. An article by Roger Highfield
summarizes recent research and concludes that, as both male and
female genetic markers are present, the evidence is indicative of
colonization instead of raiding and occupying. However, this is also
disputed by unequal ratios of male and female haplotypes, which
indicate that more men settled than women, an element of a raiding
or occupying population.
Attributions
The Germanic Tribes
"Retinue." http://en.wikipedia.org/wiki/Retinue. Wikipedia
CC BY-SA 3.0.
"Germanic Peoples."
http://en.wikipedia.org/wiki/Germanic_peoples. Wikipedia
CC BY-SA 3.0.
"Theoderic the Great."
http://en.wikipedia.org/wiki/Theoderic_the_Great. Wikipedia
CC BY-SA 3.0.
"Nomadic." http://en.wiktionary.org/wiki/nomadic. Wiktionary
CC BY-SA 3.0.
"Germanic Tribes."
https://bmssancientcivilizations.wikispaces.com/Germanic+
Tribes. BMS Ancient Civilizations Wikispace CC BY-SA.
"Germanic kingdoms 526CE."
http://en.wikipedia.org/wiki/File:Germanic_kingdoms_526C
E.png. Wikipedia Public domain.
"Theoderich (V ischer)."
http://en.wikipedia.org/wiki/Theoderic_the_Great%23media
viewer/File:Theoderich_(V ischer).JPG. Wikipedia CC BY-
SA 3.0.
Odoacer and the Fall of Rome
"Foederati." https://en.wikipedia.org/wiki/Foederati.
"Odoacer." https://en.wikipedia.org/wiki/Odoacer. Wikipedia
CC BY-SA 3.0.
"Odovacar_Ravenna_477.jpg."
https://en.wikipedia.org/wiki/Odoacer. Wikipedia CC BY-SA
3.0.
"Romulus_Augustulus_and_Odoacer.jpg."
https://en.wikipedia.org/wiki/Odoacer# /media/File:Romulus_
Augustulus_and_Odoacer.jpg. Wikipedia CC BY-SA 3.0.
Theoderic the Great
"V isigoths." https://en.wikipedia.org/wiki/V isigoths.
"Theoderic the Great."
https://en.wikipedia.org/wiki/Theoderic_the_Great.
"Ostrogoths." https://en.wikipedia.org/wiki/Ostrogoths.
"Germanic peoples."
https://en.wikipedia.org/wiki/Germanic_peoples. Wikipedia
CC BY-SA 3.0.
"Theoderich_(V ischer).JPG."
https://en.wikipedia.org/wiki/Theoderic_the_Great# /media/F
ile:Theoderich_(V ischer).JPG. Wikipedia CC BY-SA 3.0.
"Europe_at_the_death_of_Theoderic_the_Great_in_526.jp
g."
https://en.wikipedia.org/wiki/Theoderic_the_Great# /media/F
ile:Europe_at_the_death_of_Theoderic_the_Great_in_526.j
pg. Wikipedia CC BY-SA 3.0.
The V ikings
"Constantinople."
http://en.wikipedia.org/wiki/Constantinople. Wikipedia CC
BY-SA 3.0.
"Obotrites." http://en.wikipedia.org/wiki/Obotrites. Wikipedia
CC BY-SA 3.0.
"V ikings." http://en.wikipedia.org/wiki/V ikings. Wikipedia CC
BY-SA 3.0.
"Scandinavia." http://en.wikipedia.org/wiki/Scandinavia.
"Charlemagne." http://en.wikipedia.org/wiki/Charlemagne.
"V ikings-V oyages."
http://en.wikipedia.org/wiki/V iking_Age%23mediaviewer/File
:V ikings-V oyages.png. Wikipedia CC BY-SA 3.0.
"Gokstad-ship-model."
http://commons.wikimedia.org/wiki/File:Gokstad-ship-
model.jpg. Wikimedia Commons CC BY-SA 2.5.
11.2: The Catholic Church
11.2.1: The Catholic Church
After the fall of the Western Roman Empire in 476, the Catholic
Church became a powerful social and political institution and its
influence spread throughout Europe.
Learning Objective
Outline the role of the Catholic Church in Medieval Europe
Key Points
Christianity spread throughout the early Roman Empire despite
persecutions due to conflicts with the pagan state religion.
When the Western Roman Empire fell in 476, the Catholic
Church competed with Arian Christians for the conversion of the
barbarian tribes and quickly became the dominant form of
Christianity.
Monastic communities were centers for learning and
preservation of classical culture.
Once the cultural and political boundaries of Rome were
weakened, Catholicism spread throughout Europe to the Irish,
English, Franks, and Goths.
Key Terms
missionaries
Members of a religious group sent into an area to evangelize or

offer ministries of service, such as education, literacy, social
justice, health care, and economic development.
Pope
The Bishop of Rome and the leader of the worldwide Catholic

Church, and the traditional successor to Saint Peter, to whom
Jesus is supposed to have given the keys of Heaven, naming
him as the "rock" upon which the church would be built.
Orthodoxy
Conforming to the Christian faith as represented in the creeds of

the early church.
Byzantine Empire
Sometimes referred to as the Eastern Roman Empire, was the

continuation of the Roman Empire in the East during Late
Antiquity and the Middle Ages, when its capital city was
Constantinople.
Early History and the Fall of

Rome
The history of the Catholic Church begins with the teachings of
Jesus Christ, who lived in the 1st century CE in the province of
Judea of the Roman Empire. The contemporary Catholic Church
says that it is the continuation of the early Christian community
established by Jesus.
Christianity spread throughout the early Roman Empire despite

persecutions due to conflicts with the pagan state religion. In 313,
the struggles of the early church were lessened by the legalization of
Christianity by the Emperor Constantine I. In 380, under Emperor
Theodosius I, Christianity became the state religion of the Roman
Empire by the decree of the emperor, which would persist until the
fall of the Western Empire, and later with the Eastern Roman Empire
until the fall of Constantinople.
After the destruction of the Western Roman Empire, the church in

the West was a major factor in preserving classical civilization,
establishing monasteries, and sending missionaries to convert the
peoples of northern Europe as far north as Ireland. In the East, the
Byzantine Empire preserved Orthodoxy well after the massive
invasions of Islam in the mid-7th century.
The Catholic Church in the

Middle Ages
After the fall of the Western Roman Empire in 476, the Catholic faith
competed with Arianism for the conversion of the barbarian tribes.
The 496 conversion of Clovis I, pagan king of the Franks, saw the
beginning of a steady rise of the Catholic faith in the West.
Saint Remigius baptiz es Clovis
In 530, Saint Benedict wrote his Rule of Saint Benedict as a practical
guide for monastic community life, and its message spread to
monasteries throughout Europe. Monasteries became major
conduits of civilization, preserving craft and artistic skills while
maintaining intellectual culture within their schools, scriptoria, and
libraries. They functioned as centers for spiritual life as well as for
agriculture, economy, and production.
During this period the V isigoths and Lombards moved away from
Arianism toward Catholicism. Pope Gregory the Great played a
notable role in these conversions and dramatically reformed the
ecclesiastical structures and administration, which then launched
renewed missionary efforts. Missionaries such as Augustine of
Canterbury, who was sent from Rome to begin the conversion of the
Anglo-Saxons, and, coming the other way in the Hiberno-Scottish
mission, Saints Colombanus, Boniface, Willibrord, and Ansgar,
among many others, took Christianity into northern Europe and
spread Catholicism among the Germanic and Slavic peoples. Such
missions reached the V ikings and other Scandinavians in later
centuries. The Synod of Whitby of 664, though not as decisive as
sometimes claimed, was an important moment in the reintegration of
the Celtic Church of the British Isles into the Roman hierarchy, after
having been effectively cut off from contact with Rome by the pagan
invaders.
In the early 8th century, Byzantine iconoclasm became a major

source of conflict between the eastern and western parts of the
church. Byzantine emperors forbade the creation and veneration of
religious images as violations of the Ten Commandments. Sometime
between 726 and 730 the Byzantine Emperor Leo III the Isaurian
ordered that an image of Jesus prominently placed over the Chalke
gate, the ceremonial entrance to the Great Palace of Constantinople,
be removed, and replaced with a cross. This was followed by orders
banning the pictorial representation of the family of Christ,
subsequent Christian saints, and biblical scenes. Other major
religions in the East, such as Judaism and Islam, had similar
prohibitions, but Pope Gregory III vehemently disagreed. Empress
Irene, siding with the pope, called for an Ecumenical Council. In 787,
the fathers of the Second Council of Nicaea "warmly received the
papal delegates and his message." At the conclusion, 300 bishops,
who were led by the representatives of Pope Hadrian I "adopted the
Pope's teaching," in favor of icons.
Spread of Catholicism Beyond

Rome
As the political boundaries of the Roman Empire diminished and
then collapsed in the West, Christianity spread beyond the old
borders of the Empire and into lands that had never been under
Rome.
Beginning in the 5th century, a unique culture developed around the

Irish Sea, consisting of what today would be called Wales and
Ireland. In this environment, Christianity spread from Roman Britain
to Ireland, especially aided by the missionary activity of Saint Patrick.
Patrick had been captured into slavery in Ireland and, following his
escape and later consecration as bishop, he returned to the isle that
had enslaved him so that he could bring them the Gospel. Soon,
Irish missionaries such as Saints Columba and Columbanus spread
this Christianity, with its distinctively Irish features, to Scotland and
the Continent. One such feature was the system of private
penitence, which replaced the former practice of penance as a public
rite.
Although southern Britain had been a Roman province, in 407 the

imperial legions left the isle, and the Roman elite followed. Some
time later that century, various barbarian tribes went from raiding and
pillaging the island to settling and invading. These tribes are referred
to as the "Anglo-Saxons," predecessors of the English. They were
entirely pagan, having never been part of the Empire, and although
they experienced Christian influence from the surrounding peoples,
they were converted by the mission of Saint Augustine sent by Pope
Gregory the Great. Later, under Archbishop Theodore, the Anglo-
Saxons enjoyed a golden age of culture and scholarship. Soon,
important English missionaries such as Saints Wilfrid, Willibrord,
Lullus, and Boniface would begin evangelizing their Saxon relatives
in Germany.
11.2.2: The Development of Papal

Supremacy
During the decline and fall of the Western Roman Empire, and
throughout the Middle Ages, the office of pope not only gained
supremacy over the entire Christian Church but also developed
political power rivaling that of the secular rulers of Europe.
Learning Objective
Explain the development of papal supremacy
Key Points
During the early history of Christianity, Rome became an
increasingly important center of the faith, which gave the bishop
of Rome (the pope) more power over the entire church, thereby
ushering in the era of papal supremacy.
When Catholicism became the official religion of the Roman
Empire in 380, the power of the pope increased, although he
was still subordinate to the emperor.
After the fall of the Western Roman Empire, the pope served as
a source of authority and continuity; however, for several
centuries afterward the Eastern Roman Emperor still maintained
authority over the church.
From the late-6th to the late-8th century there was a turning of
the papacy to the West and an escape from subordination to the
authority of the Byzantine emperors of Constantinople.
When Pope Leo III crowned Charlemagne as Roman Emperor
in 800, he established the precedent that, in Western Europe,
no man would be emperor without being crowned by a pope.
After a conflict known as the Investiture Controversy, as well as
from the launching of the Crusades, the papacy increased its
power in relation to the secular rulers of Europe.
Throughout the Middle Ages, popes struggled with monarchs
over power.
Key Terms
Papal supremacy
The doctrine of the Roman Catholic Church that the pope, by
reason of his office as V icar of Christ and as pastor of the entire
Christian Church, has full, supreme, and universal power over
the whole church.
Investiture Controversy
The most significant conflict between church and state in

medieval Europe, in which a series of popes challenged the
authority of European monarchies.
Arianism
A Christian sect in late antiquity that asserts that Jesus Christ is

the Son of God who was created by God the Father at a point in
time, is distinct from the Father, and is therefore subordinate to
the Father.
Byzantine Papacy
A period of Byzantine domination of the papacy from 537 to 752,

when popes required the approval of the Byzantine Emperor for
episcopal consecration.
Overview
Papal supremacy is the doctrine of the Roman Catholic Church that
the pope, by reason of his office as V icar of Christ and as pastor of
the entire Christian Church, has full, supreme, and universal power
over the whole church, a power which he can always exercise
unhindered—that, in brief, "the Pope enjoys, by divine institution,
supreme, full, immediate, and universal power in the care of souls."
The doctrine had the most significance in the relationship between

the church and the temporal state, in matters such as ecclesiastic
privileges, the actions of monarchs, and even successions. The
creation of the term "papal supremacy" dates back to the 6th
century, at the time of the fall of the Western Roman Empire, which
was the beginning of the rise of the bishops of Rome to not just the
position religious authority, but the power to be the ultimate ruler of
the kingdoms within the Christian community (Christendom), which it
has since retained.
The Church and the Roman

Empire
In the early Christian era, Rome and a few other cities had claims on
the leadership of the worldwide church. During the 1st century of the
church (c. 30–130), the Roman capital became recognized as a
Christian center of exceptional importance. In the late 2nd century
CE, there were more manifestations of Roman authority over other
churches. In 189, assertion of the primacy of the Church of Rome
may be indicated in Irenaeus's Against Heresies: "With [ the Church
of Rome] , because of its superior origin, all the churches must agree
... and it is in her that the faithful everywhere have maintained the
apostolic tradition." In 195 CE, Pope V ictor I, in what is seen as an
exercise of Roman authority over other churches, excommunicated
the Quartodecimans for observing Easter on the 14th of Nisan, the
date of the Jewish Passover. Celebration of Easter on a Sunday, as
insisted on by the pope, is the system that has prevailed.
When Constantine became emperor of the Western Roman Empire

in 312, he attributed his victory to the Christian God. Many soldiers in
his army were Christians, and his army was his base of power. With
Licinius (Eastern Roman emperor), he issued the Edict of Milan,
which mandated toleration of all religions in the empire. Decisions
made at the Council of Nicea (325) about the divinity of Christ led to
a schism; the new religion, Arianism, flourished outside the Roman
Empire. Partially to distinguish themselves from Arians, Catholic
devotion to Mary became more prominent. This led to further
schisms.
In 380, the Edict of Thessalonica declared Nicene Christianity, as
opposed to Arianism, to be the state religion of the empire, with the
name "Catholic Christians" reserved for those who accepted that
faith. While the civil power in the Eastern Roman Empire controlled
the church, and the Ecumenical Patriarch of Constantinople, the
capital, wielded much power, in the Western Roman Empire the
Bishops of Rome were able to consolidate the influence and power
they already possessed. After the fall of the Western Roman Empire,
barbarian tribes were converted to Arian Christianity or Catholicism;
Clovis I, king of the Franks, was the first important barbarian ruler to
convert to Catholicism rather than Arianism, allying himself with the
papacy. Other tribes, such as the V isigoths, later abandoned
Arianism in favor of Catholicism.
The Middle Ages

After the fall of the Western Roman Empire, the pope served as a
source of authority and continuity. Pope Gregory I (c. 540–604)
administered the church with strict reform. Gregory was from an
ancient senatorial family, and worked with the stern judgement and
discipline typical of ancient Roman rule. Theologically, he represents
the shift from the classical to the medieval outlook; his popular
writings are full of dramatic miracles, potent relics, demons, angels,
ghosts, and the approaching end of the world.
Gregory the Great
Pope Gregory I (c. 540–604) who established medieval themes in
the church, in a painting by Carlo Saraceni, c. 1610, Rome.
The Byzantine Papacy was a period of Byzantine domination of the

papacy from 537 to 752, when popes required the approval of the
Byzantine Emperor for episcopal consecration, and many popes
were chosen from the apocrisiarii (liaisons from the pope to the
emperor) or the inhabitants of Byzantine Greece, Byzantine Syria, or
Byzantine Sicily. Justinian I conquered the Italian peninsula in the
Gothic War (535–554) and appointed the next three popes, a
practice that would be continued by his successors and later be
delegated to the Exarchate of Ravenna. With the exception of Pope
Martin I, no pope during this period questioned the authority of the
Byzantine monarch to confirm the election of the bishop of Rome
before consecration could occur.
From the late-6th to the late-8th century there was a turning of the
papacy to the West and an escape from subordination to the
authority of the Byzantine emperors of Constantinople. This phase
has sometimes incorrectly been credited to Pope Gregory I (who
reigned from 590 to 604 CE), who, like his predecessors,
represented to the people of the Roman world a church that was still
identified with the empire. Unlike some of those predecessors,
Gregory was compelled to face the collapse of imperial authority in
northern Italy. As the leading civil official of the empire in Rome, he
was compelled to take over the civil administration of the cities and
negotiate for the protection of Rome itself with the Lombard invaders
threatening it. Another part of this phase occurred in the 8th century,
after the rise of the new religion of Islam had weakened the
Byzantine Empire and the Lombards had renewed their pressure in
Italy. The popes finally sought support from the Frankish rulers of the
West and received from the Frankish king Pepin The Short the first
part of the Italian territories later known as the Papal States. With
Pope Leo III's coronation of Charlemagne, first of the Carolingian
emperors, the papacy also gained the emperor's protection; this
action established the precedent that, in Western Europe, no man
would be emperor without being crowned by a pope.
Second Phase of Papal

Supremacy
The second great phase in the process of papal supremacy's rise to
prominence extended from the mid-11th to the mid-13th century. It
was distinguished, first, by Gregory V II's bold attack after 1075 on
the traditional practices whereby the emperor had controlled
appointments to the higher church offices. This attack spawned the
protracted civil and ecclesiastical strife in Germany and Italy known
as the Investiture Controversy. At issue was who, the pope or the
monarchs, had the authority to appoint (invest) local church officials
such as bishops of cities and abbots of monasteries. The conflict
ended in 1122, when Emperor Henry V and Pope Calixtus II agreed
on the Concordat of Worms, which differentiated between the royal
and spiritual powers and gave the emperors a limited role in
selecting bishops. The outcome seemed mostly a victory for the
pope and his claim that he was God's chief representative in the
world. However, the emperor did retain considerable power over the
Church.
Papal supremacy was also increased by Urban II's launching in 1095

of the Crusades, which, in an attempt to liberate the Holy Land from
Muslim domination, marshaled under papal leadership the
aggressive energies of the European nobility. Both these efforts,
although ultimately unsuccessful, greatly enhanced papal prestige in
the 12th and 13th centuries. Such powerful popes as Alexander III (r.
1159–81), Innocent III (r. 1198–1216), Gregory IX (r. 1227–41), and
Innocent IV (r. 1243–54) wielded a primacy over the church that
attempted to vindicate a jurisdictional supremacy over emperors and
kings in temporal and spiritual affairs. Throughout the rest of the
Middle Ages, popes struggled with monarchs over power.
11.2.3: The Rise of the Monasteries

Christian monasticism, which consists of individuals living ascetic
and often cloistered lives that are dedicated to Christian worship,
became popular during the Middle Ages and gave rise to several
monastic orders with different goals and lifestyles.
Learning Objective
Compare and contrast some of the monastic orders that were
formed during the Middle Ages
Key Points
Because of the ubiquitous power of religion, and especially
Christianity, monasticism flourished in medieval Europe.
Medieval monastic life consisted of prayer, reading, and manual
labor.
From the 6th century onward, most of the monasteries in the
West were of the Benedictine Order, founded by Benedict of
Nursia, who wrote influential rules for monastic life.
By the 11th century, the Cistercians reformed the Benedictine
way of life, adhering more strictly to Benedict's original rules and
focusing on manual labour and self-sufficiency.
During the rule of Pope Innocent III (1198–1216), two mendicant
orders, the Franciscan and the Dominican, were founded.
Francis of Assisi founded the order of the Franciscans, who
were known for their charitable work.
The Dominicans, founded by Saint Dominic, focused on
teaching, preaching, and suppressing heresy.
Key Terms
Benedict's Rule
A book of precepts written by Benedict of Nursia (c. 480–550)

for monks living communally under the authority of an abbot.
mendicant
Certain Christian religious orders that have adopted a lifestyle of

poverty, traveling, and living in urban areas for purposes of
preaching, evangelization, and ministry, especially to the poor;
more generally an ascetic lifestyle that includes poverty and
begging.
Christian monasticism
The devotional practice of individuals who live ascetic and
typically cloistered lives that are dedicated to Christian worship.
Monasticism in the Middle Ages

Christian monasticism is the devotional practice of individuals who
live ascetic and typically cloistered lives that are dedicated to
Christian worship. Monasticism became quite popular in the Middle
Ages, with religion being the most important force in Europe. Monks
and nuns were to live isolated from the world to become closer to
God. Monks provided service to the church by copying manuscripts,
creating art, educating people, and working as missionaries.
Convents were especially appealing to women. It was the only place
they would receive any sort of education or power. It also let them
escape unwanted marriages.
The Benedictines
From the 6th century onward most of the monasteries in the West
were of the Benedictine Order. The Benedictines were founded by
Benedict of Nursia, the most influential of western monks and called
"the father of western monasticism." He was educated in Rome but
soon sought the life of a hermit in a cave at Subiaco, outside the city.
He then attracted followers with whom he founded the monastery of
Monte Cassino, between Rome and Naples, around 520. He
established the Rule, adapting in part the earlier anonymous Rule of
the Master (Regula magistri), which was written somewhere south of
Rome around 500, and defined the activities of the monastery, its
officers, and their responsibilities.
By the 9th century, largely under the inspiration of Emperor

Charlemagne, Benedict's Rule became the basic guide for Western
monasticism. Early Benedictine monasteries were relatively small
and consisted of an oratory, a refectory, a dormitory, a scriptorium,
guest accommodation, and out-buildings, a group of often quite
separate rooms more reminiscent of a decent-sized Roman villa than
a large medieval abbey. A monastery of about a dozen monks would
have been normal during this period.
Medieval monastic life consisted of prayer, reading, and manual

labor. Prayer was a monk’s first priority. Apart from prayer, monks
performed a variety of tasks, such as preparing medicine, lettering,
and reading. These monks would also work in the gardens and on
the land. They might also spend time in the Cloister, a covered
colonnade around a courtyard, where they would pray or read. Some
monasteries held a scriptorium where monks would write or copy
books. When the monks wrote, they used very neat handwriting and
would draw illustrations in the books. As a part of their unique writing
style, they decorated the first letter of each paragraph.
The efficiency of Benedict's cenobitic Rule, in addition to the stability

of the monasteries, made them very productive. The monasteries
were the central storehouses and producers of knowledge.
Saint Benedict
Saint Benedict, the founder of the Benedictine Monastic Rule, by
Herman Nieg, Heiligenkreuz Abbey, Austria.
Cistercian Movement
The next wave of monastic reform after the Benedictines came with
the Cistercian movement. The first Cistercian abbey was founded in
1098, at Cî teaux Abbey. The keynote of Cistercian life was a return
to a literal observance of the Benedictine Rule, rejecting the
developments of the Benedictines. The most striking feature in the
reform was the return to manual labour, and especially to field work.
Inspired by Bernard of Clairvaux, the primary builder of the
Cistercians, the Cistercians became the main force of technological
diffusion in medieval Europe. By the end of the 12th century the
Cistercian houses numbered 500, and at its height in the 15th
century the order claimed to have close to 750 houses. Most of
these were built in wilderness areas, and played a major part in
bringing such isolated parts of Europe into economic cultivation.
Mendicant Orders
During the rule of Pope Innocent III (1198–1216), two of the most
famous monastic orders were founded. They were called the
mendicant, or begging, orders because their members begged for
the food and clothes. At their foundation these orders rejected the
previously established monastic model of living in one stable,
isolated community where members worked at a trade and owned
property in common, including land, buildings, and other wealth. By
contrast, the mendicants avoided owning property, did not work at a
trade, and embraced a poor, often itinerant lifestyle. They depended
for their survival on the goodwill of the people to whom they
preached. They would usually travel in pairs, preaching, healing the
sick, and helping the poor. Francis of Assisi founded the order of the
Franciscans, who were known for their charitable work. The
Dominicans, founded by Saint Dominic, focused on teaching,
preaching, and suppressing heresy.
The Dominican Order came into being in the Middle Ages at a time
when religion was starting to be contemplated in a new way. Men of
God were no longer expected to stay behind the walls of a cloister.
Instead, they traveled among the people, taking as their examples
the apostles of the primitive Church. Like his contemporary, Francis,
Dominic saw the need for a new type of organization, and the quick
growth of the Dominicans and Franciscans during their first century
of existence confirms that the orders of mendicant friars met a need.
The inspiration for the Franciscan Order came in 1209 when Francis
heard a sermon on Matthew 10:9 that made such an impression on
him that he decided to devote himself wholly to a life of apostolic
poverty. Clad in a rough garment, barefoot, and, after the
Evangelical precept, without staff or scrip, he began to preach
repentance.
Francis was soon joined by a prominent fellow townsman, Bernard of

Quintavalle, who contributed all that he had to the work, and by other
companions, who are said to have reached eleven within a year. The
brothers lived in the deserted leper colony of Rivo Torto near Assisi,
but they spent much of their time traveling through the mountainous
districts of Umbria, always cheerful and full of songs, yet making a
deep impression on their hearers by their earnest exhortations. Their
life was extremely ascetic, though such practices were apparently
not prescribed by the first rule that Francis gave them (probably as
early as 1209), which seems to have been nothing more than a
collection of Scriptural passages emphasizing the duty of poverty.
Similar to Francis, Dominic sought to establish a new kind of order,

one that would bring the dedication and systematic education of the
older monastic orders like the Benedictines to bear on the religious
problems of the burgeoning population of cities, but with more
organizational flexibility than either monastic orders or the secular
clergy. Dominic's new order was to be a preaching order, with its
members trained to preach in the vernacular languages. Rather than
earning their living on vast farms as the monasteries had done, the
new friars would survive by begging— "selling" themselves through
persuasive preaching.
Dominic inspired his followers with loyalty to learning and virtue, a

deep recognition of the spiritual power of worldly deprivation and the
religious state, and a highly developed governmental structure. At
the same time, Dominic encouraged the members of his order to
develop a "mixed" spirituality. They were both active in preaching
and contemplative in study, prayer, and meditation. The brethren of
the Dominican Order were urban and learned, as well as
contemplative and mystical in their spirituality. While these traits had
an impact on the women of the order, the nuns especially absorbed
the latter characteristics and made them their own. In England, the
Dominican nuns blended these elements with their own defining
characteristics and created a spirituality and collective personality
that set them apart.
Saint Francis
Saint Francis of Assisi, founder of the Order of Friars Minor.
11.2.4: The W estern Schism

The Western Schism was a prolonged period of crisis in Latin
Christendom from 1378 to 1416, when there was conflict concerning
the rightful holder of the papacy.
Learning Objective
Explain the events that led to the Western Schism, as well as its
eventual resolution
Key Points
From 1309 to 1377, the seat of the papacy resided in Avignon,
France, rather than Rome.
Gregory X I returned to Rome in 1377, thus ending the Avignon
Papacy, at which point Romans rioted to ensure the election of a
Roman for pope.
Urban V I, born Bartolomeo Prignano, the Archbishop of Bari,
was elected in 1378.
As pope, Urban V I proved suspicious, reformist, and prone to
violent outbursts of temper, and thus many of the cardinals who
had elected him soon regretted their decision and moved to
Anagni, where they elected Robert of Geneva as a rival pope on
September 20 of the same year.
The second election threw the church into turmoil, and it quickly
escalated from a church problem to a diplomatic crisis that
divided Europe.
The conflict was finally resolved by a council was convened by a
third Pisan pope, John X X III, in 1414, which resulted in the
excommunication of some of the claimants to the papacy.
Key Terms
Avignon Papacy
The period from 1309 to 1377, during which seven successive

popes resided in Avignon, France, rather than in Rome.
Antipope
A person who, in opposition to the one who is generally seen as
the legitimately elected pope, makes a significantly accepted
competing claim to be the pope.
The Western Schism, or Papal Schism, was a split within the Roman
Catholic Church that lasted from 1378 to 1417. During that time,
three men simultaneously claimed to be the true pope. Driven by
politics rather than any theological disagreement, the schism was
ended by the Council of Constance (1414–1418). For a time these
rival claims to the papal throne damaged the reputation of the office.
Origin
The schism in the Western Roman Church resulted from the return
of the papacy to Rome under Gregory X I on January 17, 1377,
ending the Avignon Papacy, which had developed a reputation for
corruption that estranged major parts of western Christendom. This
reputation can be attributed to perceptions of predominant French
influence and to the papal curia's efforts to extend its powers of
patronage and increase its revenues.
After Pope Gregory X I died in 1378, the Romans rioted to ensure the
election of a Roman for pope. On April 8, 1378 the cardinals elected
a Neapolitan when no viable Roman candidates presented
themselves. Urban V I, born Bartolomeo Prignano, the Archbishop of
Bari, was elected. Urban had been a respected administrator in the
papal chancery at Avignon, but as pope he proved suspicious,
reformist, and prone to violent outbursts of temper. Many of the
cardinals who had elected him soon regretted their decision; the
majority removed themselves from Rome to Anagni, where, even
though Urban was still reigning, they elected Robert of Geneva as a
rival pope on September 20, 1378. Robert took the name Clement
V II and reestablished a papal court in Avignon. This second election
threw the church into turmoil. There had been antipopes—rival
claimants to the papacy—before, but most of them had been
appointed by various rival factions; in this case, a single group of
church leaders had created both the pope and the antipope.
The conflict quickly escalated from a church problem to a diplomatic

crisis that divided Europe. Secular leaders had to choose which
claimant they would recognize. France, Aragon, Castile and Leó n,
Cyprus, Burgundy, Savoy, Naples, Scotland, and Owain Glyndwr's
rebellion in Wales recognized the Avignon claimant. Denmark,
England, Flanders, the Holy Roman Empire, Hungary, Ireland,
Norway, Portugal, Poland, Sweden, Republic of V enice, and other
city states of northern Italy recognized the Roman claimant. In the
Iberian Peninsula there were the Ferdinand Wars and the 1383–
1385 Crisis in Portugal, during which dynastic opponents supported
rival claimants to the papal office.
Consequences
Sustained by such national and factional rivalries throughout
Catholic Christianity, the schism continued after the deaths of both
initial claimants; Boniface IX , crowned at Rome in 1389, and
Benedict X III, who reigned in Avignon from 1394, maintained their
rival courts. When Boniface died in 1404, the eight cardinals of the
Roman conclave offered to refrain from electing a new pope if
Benedict would resign, but when his legates refused on his behalf,
the Roman party then proceeded to elect Innocent V II. In the intense
partisanship characteristic of the Middle Ages, the schism
engendered a fanatical hatred between factions.
Efforts were made to end the schism through force or diplomacy. The
French crown even tried to coerce Benedict X III, whom it nominally
supported, into resigning. None of these remedies worked. The
suggestion to have a church council resolve the schism was first
made in 1378, but was not initially adopted because canon law
required that a pope call a council. Eventually, theologians like Pierre
d'Ailly and Jean Gerson, as well as canon lawyers like Francesco
Zabarella, adopted arguments that equity permitted the Church to
act for its own welfare in defiance of the letter of the law.
Eventually the cardinals of both factions secured an agreement that

Benedict and Pope Gregory X II would meet at Savona. They balked
at the last moment, and both colleges of cardinals abandoned their
popes. A church council was held at Pisa in 1409 under the auspices
of the cardinals to try solving the dispute. At the fifteenth session, on
June 5, 1409, the Council of Pisa deposed the two pontiffs as
schismatical, heretical, perjured, and scandalous. But it then added
to the problem by electing another incumbent, Alexander V . He
reigned briefly from June 26, 1409, until his death in 1410, when he
was succeeded by John X X III, who won some, but not universal,
support.
Resolution
Finally, a council was convened at Constance by Pisan pope John
X X III in 1414 to resolve the issue. This was endorsed by Gregory
X II, Innocent V II's successor in Rome, thus ensuring the legitimacy
of any election. The council, advised by the theologian Jean Gerson,
secured the resignations of John X X III and Gregory X II in 1415,
while excommunicating the claimant who refused to step down,
Benedict X III. The council elected Pope Martin V in 1417, essentially
ending the schism. Nonetheless, the Crown of Aragon did not
recognize Martin V and continued to recognize Benedict X III.
Archbishops loyal to Benedict X III subsequently elected Antipope
Benedict X IV (Bernard Garnier), and three followers simultaneously
elected Antipope Clement V III, but the Western Schism was by then
practically over. Clement V III resigned in 1429 and apparently
recognized Martin V .
Habem us Pap am 1415
Habemus Papam (the announcement of a new pope) at the Council
of Constance, 1415.
Attributions
The Catholic Church
"Unit 7 - Later Middle Ages."
http://mrgrayhistory.wikispaces.com/UNIT+ 7+ -
+ LATER+ MIDDLE+ AGES. mrgrayhistory Wikispace CC BY-
SA 3.0.
"Sacrament." http://en.wikipedia.org/wiki/Sacrament.
"History of the Catholic Church."
https://en.wikipedia.org/wiki/History_of_the_Catholic_Churc
h. Wikipedia CC BY-SA 3.0.
"Saint Dominic." http://en.wikipedia.org/wiki/Saint_Dominic.
"Francis of Assisi."
http://en.wikipedia.org/wiki/Francis_of_Assisi. Wikipedia CC
BY-SA 3.0.
"Missionary." http://en.wikipedia.org/wiki/Missionary.
"Dictatus papae."
http://en.wikipedia.org/wiki/Dictatus_papae. Wikipedia CC
BY-SA 3.0.
"Excommunication."
http://en.wikipedia.org/wiki/Excommunication. Wikipedia CC
BY-SA 3.0.
"Investiture Controversy."
http://en.wikipedia.org/wiki/Investiture_Controversy.
"The Middle Ages in Europe."
http://en.wikibooks.org/wiki/World_History/The_Middle_Age
s_in_Europe%23Medieval_Society. Wikibooks CC BY-SA
3.0.
"History of Christianity during the Middle Ages."
https://en.wikipedia.org/wiki/History_of_Christianity_during_
the_Middle_Ages. Wikipedia CC BY-SA 3.0.
"Chlodwigs_taufe.jpg."
the_Middle_Ages# /media/File:Chlodwigs_taufe.jpg.
The Development of Papal Supremacy
https://en.wikipedia.org/wiki/Investiture_Controversy.
"Papal supremacy."
https://en.wikipedia.org/wiki/Papal_supremacy. Wikipedia
CC BY-SA 3.0.
"Pope." https://en.wikipedia.org/wiki/Pope# History.
"Gregorythegreat.jpg."
https://en.wikipedia.org/wiki/Pope# /media/File:Gregorythegr
eat.jpg. Wikipedia CC BY-SA 3.0.
The Rise of the Monasteries
"Dominican Order."
https://en.wikipedia.org/wiki/Dominican_Order. Wikipedia
CC BY-SA 3.0.
"Order of Saint Benedict."
https://en.wikipedia.org/wiki/Order_of_Saint_Benedict.
"Christian monasticism."
https://en.wikipedia.org/wiki/Christian_monasticism.
"Franciscans." https://en.wikipedia.org/wiki/Franciscans.
the_Middle_Ages. Wikipedia CC BY-SA 3.0.
"StFrancis_part.jpg."
https://en.wikipedia.org/wiki/Franciscans# /media/File:StFra
ncis_part.jpg. Wikipedia CC BY-SA 3.0.
"Heiligenkreuz.St._Benedict.jpg."
https://en.wikipedia.org/wiki/Christian_monasticism# /media/
File:Heiligenkreuz.St._Benedict.jpg. Wikipedia CC BY-SA
3.0.
The Western Schism
the_Middle_Ages# Western_Schism. Wikipedia CC BY-SA
3.0.
"Western Schism."
https://en.wikipedia.org/wiki/Western_Schism. Wikipedia
CC BY-SA 3.0.
"Habemus_Papam_1415.jpg."
https://en.wikipedia.org/wiki/Western_Schism# /media/File:H
abemus_Papam_1415.jpg. Wikipedia CC BY-SA 3.0.
11.3: The Carolingian Dynasty
11.3.1: The Coronation of 8 00 CE
Charlemagne reached the height of his power in 800 when he was
crowned Emperor of the Romans by Pope Leo III on Christmas Day
at Old St. Peter's Basilica.
Learning Objective
Describe the reasons for Charlemagne receiving the title of Emperor
Key Points
In 800, Pope Leo III crowned Charlemagne the Emperor of the
Romans, thereby extending Charlemagne's power and authority.
Some historians believe that Charlemagne was surprised by the
coronation and would not have gone into the church that day
had he known the pope's plan.
Nonetheless, Charlemagne used these circumstances to claim
that he was the renewer of the Roman Empire, which would
remain in continuous existence for nearly a millennium, as the
Holy Roman Empire.
Although one of the aims was ostensibly to reunite the entire
Roman Empire, given that many at the time (including the pope)
did not recognize Empress Irene of the Byzantine Empire as a
legitimate ruler, the two empires remained independent and
continued to fight for sovereignty throughout the Middle Ages.
The Pope's motivation for crowning Charlemagne was to give
the papacy and the church implicit authority over the empire,
since with this act Leo set a precedent for crowning emperors,
which subsequent popes would do throughout the reign of the
Holy Roman Empire.
Key Terms
Holy Roman Empire
A multi-ethnic complex of territories in central Europe that

developed during the Early Middle Ages and continued until its
dissolution in 1806; founded by the coronation of Charlemagne
by Pope Leo III.
Empress Irene
A Byzantine empress who ruled from 797–802, during the time

of Charlemagne's coronation.
Byzantine Empire
Sometimes referred to as the Eastern Roman Empire, was the

continuation of the Roman Empire in the East during Late
Constantinople.
Coronation
In 799, after Pope Leo III was abused by Romans who tried to put
out his eyes and tear out his tongue, he escaped and fled to
Charlemagne at Paderborn. Charlemagne, advised by scholar Alcuin
of York, travelled to Rome in November 800 and held a council on
December 1. On December 23, Leo swore an oath of innocence. At
Mass, on Christmas Day (December 25), when Charlemagne knelt
at the altar to pray, the pope crowned him I mperator Romanorum
("Emperor of the Romans") in Saint Peter's Basilica. In so doing, the
pope effectively nullified the legitimacy of Empress Irene of
Constantinople. As historian James Bryce writes:
When Odoacer compelled the abdication of Romulus

Augustulus, he did not abolish the Western Empire as a
separate power, but caused it to be reunited with or sink into the
Eastern, so that from that time there was a single undivided
Roman Empire ... [ Pope Leo III and Charlemagne] , like their
predecessors, held the Roman Empire to be one and indivisible,
and proposed by the coronation of [ Charlemagne] not to
proclaim a severance of the East and West.
Charlemagne's coronation as emperor, though intended to represent

the continuation of the unbroken line of emperors from Augustus to
Constantine V I, had the effect of setting up two separate (and often
opposing) empires and two separate claims to imperial authority. For
centuries to come, the emperors of both West and East would make
competing claims of sovereignty over the whole.
In support of Charlemagne's coronation, some argued that the

imperial position had actually been vacant, deeming a woman (Irene)
unfit to be emperor. However, Charlemagne made no claim to the
Byzantine Empire. Whether he actually desired a coronation at all
remains controversial—his biographer Einhard related that
Charlemagne had been surprised by the pope. Regardless,
Byzantium felt its role as the sole heir of the Roman Empire
threatened and began to emphasize its superiority and its Roman
identity. Relations between the two empires remained difficult. Irene
is said to have sought a marriage alliance between herself and
Charlemagne, but according to Theophanes the Confessor, who
alone mentions it, the scheme was frustrated by Aetios, one of her
favorite advisors.
Coronation of Charlemagne
The Coronation of Charlemagne, by assistants of Raphael, c. 1516–
1517.
Motivation
For both the pope and Charlemagne, the Roman Empire remained a
significant power in European politics at this time, and continued to
hold a substantial portion of Italy, with borders not far south of the
city of Rome itself. This is the empire that historiography has been
labelled the Byzantine Empire, for its capital was Constantinople
(ancient Byzantium) and its people and rulers were Greek; it was a
thoroughly Hellenic state. Indeed, Charlemagne was usurping the
prerogatives of the Roman emperor in Constantinople simply by
sitting in judgement over the pope in the first place. Historian John
Julius Norwich writes of their motivation:
By whom, however, could he [ the Pope] be tried? In normal

circumstances the only conceivable answer to that question
would have been the Emperor at Constantinople; but the
imperial throne was at this moment occupied by Irene. That the
Empress was notorious for having blinded and murdered her
own son was, in the minds of both Leo and Charles, almost
immaterial: it was enough that she was a woman. The female
sex was known to be incapable of governing, and by the old
Salic tradition was debarred from doing so. As far as Western
Europe was concerned, the Throne of the Emperors was
vacant: Irene's claim to it was merely an additional proof, if any
were needed, of the degradation into which the so-called
Roman Empire had fallen.
For the pope, then, there was "no living Emperor at the that time."
Furthermore, the papacy had since 727 been in conflict with Irene's
predecessors in Constantinople over a number of issues, chiefly the
continued Byzantine adherence to the doctrine of iconoclasm, the
destruction of Christian images. From 750, the secular power of the
Byzantine Empire in central Italy had been nullified.
Norwich explains that by bestowing the imperial crown upon

Charlemagne, the pope arrogated to himself "the right to appoint the
Emperor of the Romans, establishing the imperial crown as his own
personal gift but simultaneously granting himself implicit superiority
over the Emperor whom he had created." And "because the
Byzantines had proved so unsatisfactory from every point of view—
political, military and doctrinal—he would select a westerner: the one
man who by his wisdom and statesmanship and the vastness of his
dominions stood out head and shoulders above his contemporaries."
How realistic either Charlemagne or the pope felt it to be that the

people of Constantinople would ever accept the king of the Franks
as their emperor, we cannot know; Alcuin speaks hopefully in his
letters of an I mperium Christianum ("Christian Empire"), wherein,
"just as the inhabitants of the [ Roman Empire] had been united by a
common Roman citizenship," presumably this new empire would be
united by a common Christian faith.
Roman Emperor
In any event, Charlemagne used these circumstances to claim that
he was the renewer of the Roman Empire, which was perceived to
have fallen into degradation under the Byzantines. The title of
Emperor remained in the Carolingian family for years to come, but
divisions of territory and in-fighting over supremacy of the Frankish
state weakened its power and ability to lead. The papacy itself never
forgot the title nor abandoned the right to bestow it. When the family
of Charlemagne ceased to produce worthy heirs, the pope gladly
crowned whichever Italian magnate could best protect him from his
local enemies. This devolution led to the dormancy of the title from
924 to 962. The title was revived when Otto I was crowned emperor
in 962, fashioning himself as the successor of Charlemagne. The
empire would remain in continuous existence for nearly a
millennium, as the Holy Roman Empire, a true imperial successor to
Charlemagne.
11.3.2: The Rise of Charlemagne

Charlemagne is considered the greatest ruler of the Carolingian
Dynasty because of the actions he took to bring Europe out of
turmoil.
Learning Objective
Discuss the political and territorial achievements of Charlemagne
Key Points
Charlemagne was determined to improve education and religion
and bring Europe out of turmoil; to do this he launched a thirty-
year military campaign of conquests that united Europe and
spread Christianity.
First he conquered the Lombards in Italy, supporting Pope
Adrian I.
In the Saxon Wars, spanning thirty years and eighteen battles,
he conquered Saxony and proceeded to convert the conquered
to Christianity.
By 800 he was the ruler of Western Europe and had control of
present-day France, Switzerland, Belgium, the Netherlands,
Germany, and parts of Austria and Spain.
Key Terms
Carolingian Dynasty
An empire during the late medieval realm of the Franks, ruled by

the Carolingian family, a Frankish noble family to which
Charlemagne belonged.
Frankish state
Territory inhabited and ruled by the Franks, a confederation of

Germanic tribes, from the 400s to 800s CE.
Saxons
A group of Germanic tribes first mentioned as living near the

North Sea coast of what is now Germany (Old Saxony) in late
Roman times.
Lombards
A Germanic people who ruled large parts of the Italian

Peninsula from 568 to 774.
Charlemagne's Rise to Power

Charlemagne, also known as Charles the Great or Charles I, was the
king of the Franks from 768 and the king of Italy from 774, and from
800 was the first emperor in western Europe since the collapse of
the Western Roman Empire three centuries earlier. The expanded
Frankish state he founded is called the Carolingian Empire.
Charlemagne is considered to be the greatest ruler of the
Carolingian Dynasty because of the achievements he made during
what seemed like the very middle of the Dark Ages.
Charlemagne was the oldest son of Pepin the Short and Bertrada of
Laon. He became king in 768 following the death of his father, and
initially was a co-ruler with his brother, Carloman I. Charles received
Pepin's original share as Mayor—the outer parts of the kingdom
bordering on the sea, namely Neustria, western Aquitaine, and the
northern parts of Austrasia—while Carloman was awarded his
uncle's former share, the inner parts—southern Austrasia,
Septimania, eastern Aquitaine, Burgundy, Provence, and Swabia,
lands bordering Italy. Carloman's sudden death in 771 under
unexplained circumstances left Charlemagne as the undisputed ruler
of the Frankish Kingdom.
Territorial Ex pansion
Charlemagne was determined to improve education and religion and
bring Europe out of turmoil. To do this he launched a thirty-year
military campaign from 772–804 of conquests that united Europe
and spread Christianity. Charlemagne was engaged in almost
constant battle throughout his reign, often at the head of his elite
scara bodyguard squadrons, with his legendary sword Joyeuse in
hand. The first step that Charlemagne took in building his empire
was to conquer new territories.
The first of these conquering campaigns was against the Lombards;

Charlemagne came out victorious and won the Lombard lands to the
north of Italy. At his succession in 772, Pope Adrian I demanded the
return of certain cities in the former exarchate of Ravenna in
accordance with a promise at the succession of Desiderius. Instead,
Desiderius took over certain papal cities and invaded the Pentapolis,
heading for Rome. Adrian sent ambassadors to Charlemagne in the
autumn, requesting he enforce the policies of his father, Pepin.
Desiderius sent his own ambassadors denying the pope's charges.
The ambassadors met at Thionville, and Charlemagne upheld the
pope's side. Charlemagne demanded that Desiderius comply with
the pope, but Desiderius promptly swore he never would.
Charlemagne and his uncle Bernard crossed the Alps in 773 and
chased the Lombards back to Pavia, which they then besieged. The
siege lasted until the spring of 774, when Charlemagne visited the
pope in Rome. There he confirmed his father's grants of land. Some
later chronicles falsely claimed that he also expanded them, granting
Tuscany, Emilia, V enice, and Corsica. After the pope granted
Charlemagne the title of patrician, he returned to Pavia, where the
Lombards were on the verge of surrendering. In return for their lives,
the Lombards conceded and opened the gates in early summer.
Charlemagne and Pope Adrian I
The Frankish king Charlemagne was a devout Catholic who
maintained a close relationship with the papacy throughout his life. In
772, when Pope Adrian I was threatened by invaders, the king
rushed to Rome to provide assistance. Shown here, the pope asks
Charlemagne for help at a meeting near Rome.
The Sax on W ars and Beyond

In the Saxon Wars, spanning thirty years and eighteen battles,
Charlemagne overthrew Saxony and proceeded to convert the
conquered to Christianity.
The Germanic Saxons were divided into four subgroups in four

regions. Nearest to Austrasia was Westphalia, and furthest away
was Eastphalia. Engria was between these two kingdoms, and to the
north, at the base of the Jutland peninsula, was Nordalbingia. In his
first campaign against the Saxons, in 773, Charlemagne cut down an
Irminsul pillar near Paderborn and forced the Engrians to submit.
The campaign was cut short by his first expedition to Italy. He
returned to Saxony in 775, marching through Westphalia and
conquering the Saxon fort at Sigiburg. He then crossed Engria,
where he defeated the Saxons again. Finally, in Eastphalia, he
defeated a Saxon force and converted its leader, Hessi, to
Christianity. Charlemagne returned through Westphalia, leaving
encampments at Sigiburg and Eresburg, which had been important
Saxon bastions. With the exception of Nordalbingia, Saxony was
under his control, but Saxon resistance had not ended.
Following his campaign in Italy to subjugate the dukes of Friuli and

Spoleto, Charlemagne returned rapidly to Saxony in 776, where a
rebellion had destroyed his fortress at Eresburg. The Saxons were
once again brought to heel, but their main leader, Widukind,
managed to escape to Denmark, home of his wife. Charlemagne
built a new camp at Karlstadt. In 777, he called a national assembly
at Paderborn to integrate Saxony fully into the Frankish kingdom.
Many Saxons were baptized as Christians.
Outside Charlemagne's Saxon campaigns, he expanded his empire

towards southern Germany, southern France, and the island of
Corsica. He fought the Avars, adding modern-day Hungary to his
empire, and also fought against the Moors of Spain, gaining the
northern part of Spain. Through these conquests Charlemagne
united Europe and spread Christianity.
By 800 he was the ruler of Western Europe and had control of

present-day France, Switzerland, Belgium, the Netherlands,
Germany, and parts of Austria and Spain. Charlemagne's successful
military campaigns were due to his abilities as a military commander
and planner, and to the training of his warriors. He controlled his vast
empire by sending agents to supervise its different areas.
Charlemagne's accomplishments restored much of the unity of the
old Roman Empire and paved the way for the development of
modern Europe.
11.3.3: Charlemagne's Reforms

As emperor, Charlemagne stood out for his many reforms—
monetary, governmental, military, cultural, and ecclesiastical—and
ushered in an era known as the Carolingian Renaissance.
Learning Objective
Describe the significance of Charlemagne's reforms
Key Points
Charlemagne is known for his many reforms, including the
economy, education, and government administration.
Charlemagne's rule spurred the Carolingian Renaissance, a
period of energetic cultural and intellectual activity within the
Western church.
Charlemagne took a serious interest in scholarship, promoting
the liberal arts at the court, ordering that his children and
grandchildren be well educated, and even studying himself.
Charlemagne established a new monetary standard, the livre
carolinienne, which was based upon a pound of silver, as well
as a universal accounting system.
Charlemagne expanded the reform program of the church,
including strengthening the church's power structure, advancing
the skill and moral quality of the clergy, standardizing liturgical
practices, improving on the basic tenets of the faith and moral,
and rooting out paganism.
Charlemagne's improvements on governance have been lauded
by historians for instigating increased central control, efficient
bureaucracy, accountability, and cultural renaissance.
Key Terms
Carolingian Renaissance
The first of three medieval renaissances; was a period of

cultural activity in the Carolingian Empire occurring from the
late-8th century to the 9th century.
livre carolinienne
Charlemagne's monetary standard, based upon a pound of

silver, equivalent to the modern pound.
literati
Well-educated, scholarly people; intellectuals who are interested

in written works.
The Carolingian Renaissance

As emperor, Charlemagne stood out for his many reforms—
monetary, governmental, military, cultural, and ecclesiastical. He was
the main initiator and proponent of the "Carolingian Renaissance,"
the first of three medieval renaissances. It was a period of cultural
activity in the Carolingian Empire occurring from the late-8th century
to the 9th century, taking inspiration from the Christian Roman
Empire of the 4th century. During this period there was an expansion
of literature, writing, the arts, architecture, jurisprudence, liturgical
reforms, and scriptural studies.
The effects of this cultural revival were largely limited to a small

group of court literati; according to John Contreni, "it had a
spectacular effect on education and culture in Francia, a debatable
effect on artistic endeavors, and an unmeasurable effect on what
mattered most to the Carolingians, the moral regeneration of
society." Beyond their efforts to write better Latin, to copy and
preserve patristic and classical texts, and to develop a more legible,
classicizing script, the secular and ecclesiastical leaders of the
Carolingian Renaissance applied rational ideas to social issues for
the first time in centuries, providing a common language and writing
style that allowed for communication across most of Europe.
Education Reform
Part of Charlemagne's success as a warrior, an administrator, and a
ruler can be traced to his admiration for learning and education. The
era ushered in by his reign, the Carolingian Renaissance, was so
called because of the flowering of scholarship, literature, art, and
architecture that characterized it. Charlemagne's vast conquests
brought him into contact with the cultures and learnings of other
countries, especially Moorish Spain, Anglo-Saxon England, and
Lombard Italy, and greatly increased the provision of monastic
schools and scriptoria (centers for book copying) in Francia.
Most of the presently surviving works of classical Latin were copied

and preserved by Carolingian scholars. Indeed, the earliest
manuscripts available for many ancient texts are Carolingian. It is
almost certain that a text that survived to the Carolingian age
endures still.
Carolingian Minuscule
Carolingian minuscule, one of the products of the Carolingian
Renaissance.
The pan-European nature of Charlemagne's influence is indicated by

the origins of many of the men who worked for him: Alcuin, an Anglo-
Saxon from York; Theodulf, a V isigoth, probably from Septimania;
Paul the Deacon, a Lombard; Peter of Pisa and Paulinus of Aquileia,
both Italians; and Angilbert, Angilram, Einhard, and Waldo of
Reichenau, Franks. Charlemagne took a serious interest in
scholarship, promoting the liberal arts at the court, ordering that his
children and grandchildren be well-educated, and even studying
himself (in a time when many leaders who promoted education did
not take time to learn themselves). He studied grammar with Peter of
Pisa; rhetoric, dialectic (logic), and astronomy (he was particularly
interested in the movement of the stars) with Alcuin; and arithmetic
with Einhard.
Charlemagne's great scholarly failure, as Einhard related, was his

inability to write. When in his old age he attempted to learn—
practicing the formation of letters in his bed during his free time on
books and wax tablets he hid under his pillow—"his effort came too
late in life and achieved little success." His ability to read—which
Einhard is silent about, and which no contemporary source supports
—has also been called into question.
Economic Reform
Charlemagne had an important role in determining the immediate
economic future of Europe. Pursuing his father's reforms,
Charlemagne abolished the monetary system based on the gold sou,
and he and the Anglo-Saxon King Offa of Mercia took up the system
set in place by Pepin. There were strong pragmatic reasons for this
abandonment of a gold standard, notably a shortage of gold itself.
The gold shortage was a direct consequence of the conclusion of

peace with Byzantium, which resulted in ceding V enice and Sicily to
the East and losing their trade routes to Africa. The resulting
standardization economically harmonized and unified the complex
array of currencies that had been in use at the commencement of
Charlemagne's reign, thus simplifying trade and commerce.
Charlemagne established a new standard, the livre carolinienne

(from the Latin libra, the modern pound), which was based upon a
pound of silver—a unit of both money and weight—and was worth 20
sous (from the Latin solidus, the modern shilling) or 240 deniers
(from the Latin denarius, the modern penny). During this period, the
livre and the sou were counting units; only the denier was a coin of
the realm.
Coinage from Charlemagne's empire
Denier from the era of Charlemagne, Tours, 793–812
Charlemagne instituted principles for accounting practice by means

of the Capitulare de villis of 802, which laid down strict rules for the
way in which incomes and expenses were to be recorded.
Early in Charlemagne's rule he tacitly allowed the Jews to

monopolize money lending. When lending money for interest was
proscribed in 814, being against Church law at the time,
Charlemagne introduced the Capitulary for the J ews, a prohibition on
Jews engaging in money lending due to the religious convictions of
the majority of his constituents, in essence banning it across the
board, a reversal of his earlier recorded general policy. In addition to
this macro-oriented reform of the economy, Charlemagne also
performed a significant number of microeconomic reforms, such as
direct control of prices and levies on certain goods and commodities.
His Capitulary for the J ews, however, was not representative of his
overall economic relationship or attitude toward the Frankish Jews,
and certainly not his earlier relationship with them, which had
evolved over his lifespan. His paid personal physician, for example,
was Jewish, and he employed at least one Jew for his diplomatic
missions, a personal representative to the Muslim caliphate of
Baghdad. Letters have been credited to him inviting Jews to settle in
his kingdom for economic purposes, generally welcoming them
through his overall progressive policies.
Church Reform
Unlike his father, Pepin, and uncle Carloman, Charlemagne
expanded the reform program of the church. The deepening of the
spiritual life was later to be seen as central to public policy and royal
governance. His reform focused on the strengthening of the church's
power structure, advancing the skill and moral quality of the clergy,
standardizing liturgical practices, improving on the basic tenets of the
faith and moral, and rooting out paganism. His authority was now
extended over church and state; he could discipline clerics, control
ecclesiastical property, and define orthodox doctrine. Despite the
harsh legislation and sudden change, he had grown a well-
developed support from the clergy who approved his desire to
deepen the piety and morals of his Christian subjects.
Political and Administrative Reform

In 800, Charlemagne was crowned emperor and adapted his existing
royal administration to live up to the expectations of his new title. The
political reforms wrought in his capital, Aachen, were to have an
immense impact on the political definition of Western Europe for the
rest of the Middle Ages. Charlemagne's improvements on the old
Merovingian mechanisms of governance have been lauded by
historians for the increased central control, efficient bureaucracy,
accountability, and cultural renaissance.
The Carolingian Empire was the largest western territory since the
fall of Rome, and historians have come to suspect the depth of the
emperor's influence and control. Legally, Charlemagne exercised the
bannum, the right to rule and command, over all of his territories.
Also, he had supreme jurisdiction in judicial matters, made
legislation, led the army, and protected both the church and the poor.
His administration attempted to organize the kingdom, church, and
nobility around him; however, its efficacy was directly dependent
upon the efficiency, loyalty, and support of his subjects.
Around 780 Charlemagne reformed the local system of administering

justice and created the scabini, professional experts on law. Every
count had the help of seven of these scabini, who were supposed to
know every national law so that all men could be judged according to
it. Judges were also banned from taking bribes and were supposed
to use sworn inquests to establish facts. In 802, all law was written
down and amended.
The Frankish kingdom was subdivided by Charlemagne into three

separate areas to make administration easier. These areas,
Austrasia, Neustria, and Burgandy, were the inner "core" of the
kingdom and were supervised directly by the missatica system and
the itinerant household. Outside this was the regna, where Frankish
administration rested upon the counts, and beyond regna were the
marcher areas, ruled by powerful governors. These marcher
lordships were present in Brittany, Spain, and Avaria. Charlemagne
also created two sub-kingdoms in Aquitaine and Italy, ruled by his
sons Louis and Pepin respectively. Bavaria was also under the
command of an autonomous governor, Gerold, until his death in 796.
While Charlemagne still had overall authority in these areas, they
were fairly autonomous, with their own chancery and minting
facilities.
The annual meeting, the Placitum G eneralis or Marchfield, was held

every year (between March and May) at a place appointed by the
king. It was called for three reasons: to gather the Frankish host to
go on campaign, to discuss political and ecclesiastical matters
affecting the kingdom and legislate for them, and to make
judgements. All important men had to go the meeting, and so it was
an important way for Charlemagne to make his will known. Originally
the meeting worked effectively, but later it became merely a forum for
discussion and for nobles to express their dissatisfaction.
Kloster Lorsch
Lorsch Abbey gatehouse, c. 800, an example of the Carolingian
architectural style, a first, albeit isolated classical movement in
architecture.
11.3.4: Charles Martel and Pepin the

Short
Charles Martels's victory at the Battle of Tours is widely believed to
have stopped the northward advance of Muslim forces and to have
preserved Christianity in Europe during a period when Muslim rule
was overrunning the remains of the old Roman and Persian empires.
Learning Objective
Explain the significance of Charles Martel's victory at the Battle of
Tours
Key Points
Charles Martel was the de facto ruler of Francia (France) who
defeated the Umayyad Caliphate in the Battle of Tours.
The Battle of Tours was historically significant because it
stopped the advance of the Muslim empire, which had
successfully conquered much of Europe; many historians
believe that had Charles failed, no power in Europe would have
been able to halt Islamic expansion.
Charles divided his land between his sons Carloman and Pepin.
After Carloman retired to religious life, Pepin became the sole
ruler of the Franks and continued to consolidate and expand his
power to become one of the most powerful and successful
rulers of his time.
Key Terms
Donation of Pepin
Donations bestowed by Pepin the Short that provided a legal

basis for the formal organizing of the "Papal States," which
inaugurated papal temporal rule over civil authorities.
Battle of Tours
A battle that pitted Frankish and Burgundian forces under

Charles Martel against an army of the Umayyad Caliphate led
by 'Abdul Rahman Al Ghafiqi, Governor-General of al-Andalus.
The latter was defeated, thus ending the expansion of the
Muslim empire into Europe.
Umayyad Caliphate
the death of Muhammad; continued the Muslim conquests,
incorporating the Caucasus, Transoxiana, Sindh, the Maghreb,
and the Iberian Peninsula into the Muslim world, making it the
fifth largest empire in history in both area and proportion of the
world's population.
Franks
Historically known first as a group of Germanic tribes that

inhabited the land between the Lower and Middle Rhine in the
3rd century CE, and second as the people of Gaul who merged
with the Gallo-Roman populations during succeeding centuries,
passing on their name to modern-day France and becoming part
of the heritage of the modern French people.
Charles Martel
Charles Martel (688-741) was a Frankish statesman and military
leader who, as Duke and Prince of the Franks and Mayor of the
Palace, was de facto ruler of Francia from 718 until his death. The
son of the Frankish statesman Pepin of Herstal and a noblewoman
named Alpaida, Charles successfully asserted his claims to
dominance as successor to his father, who was the power behind the
throne in Frankish politics. Continuing and building on his father's
work, he restored centralized government in Francia and began the
series of military campaigns that re-established the Franks as the
undisputed masters of all Gaul.
Apart from his military endeavors, Charles is considered to be a

founding figure of the European Middle Ages. Skilled as an
administrator as well as a warrior, he is credited with a seminal role
in the emerging responsibilities of the knights of courts, and so in the
development of the Frankish system of feudalism. Moreover, Charles
—a great patron of Saint Boniface—made the first attempt at
reconciliation between the Franks and the papacy. Pope Gregory III,
whose realm was being menaced by the Lombards, offered Charles
the Roman consulship in exchange for becoming the defender of the
Holy See, but Charles declined.
Although Charles never assumed the title of king, he divided Francia,

as a king would have, between his sons Carloman and Pepin. The
latter became the first of the Carolingians, the family of Charles
Martel, to become king. Charles's grandson, Charlemagne, extended
the Frankish realms to include much of the West, and became the
first emperor in the West since the fall of Rome. Therefore, on the
basis of his achievements, Charles is seen as laying the groundwork
for the Carolingian Empire. In summing up the man, Gibbon wrote
that Charles was "the hero of the age," whereas Guerard described
him as being the "champion of the Cross against the Crescent."
Battles of Tours
After working to establish a unity in Gaul, Charles's attention was
called to foreign conflicts; dealing with the Islamic advance into
Western Europe was a foremost concern. Arab and Berber Islamic
forces had conquered Spain (711), crossed the Pyrenees (720),
seized a major dependency of the V isigoths (721–725), and after
intermittent challenges, under Abdul Rahman Al Ghafiqi, Governor-
General of al-Andalus, advanced toward Gaul and on Tours, "the
holy town of Gaul." In October 732, the army of the Umayyad
Caliphate, led by Al Ghafiqi, met Frankish and Burgundian forces
under Charles in an area between the cities of Tours and Poitiers
(modern north-central France), leading to a decisive, historically
important Frankish victory known as the Battle of Tours.
Abdul Rahman Al Ghafiqi was killed, and Charles subsequently

extended his authority in the south. Charles further took the offensive
after Tours, destroying fortresses at Agde, Bé ziers, and Maguelonne,
and engaging Islamic forces at Nimes, though ultimately failing to
recover Narbonne (737) or to fully reclaim the V isigoth's
Narbonensis. He thereafter made significant external gains against
fellow Christian realms, establishing Frankish control over Bavaria,
Alemannia, and Frisia, and compelling some of the Saxon tribes to
offer tribute (738). Details of the Battle of Tours, including its exact
location and the number of combatants, cannot be determined from
accounts that have survived. Notably, the Frankish troops won the
battle without cavalry.
Charles's victory is widely believed to have stopped the northward

advance of Umayyad forces from the Iberian Peninsula, and to have
preserved Christianity in Europe during a period when Muslim rule
was overrunning the remains of the old Roman and Persian empires.
Ninth-century chroniclers, who interpreted the outcome of the battle

as divine judgment in Charles's favor, gave him the nickname
Martellus ("The Hammer"). Later Christian chroniclers and pre-20th-
century historians praised Charles Martel as the champion of
Christianity, characterizing the battle as the decisive turning point in
the struggle against Islam, a struggle which preserved Christianity as
the religion of Europe. According to modern military historian V ictor
Davis Hanson, "most of the 18th and 19th century historians, like
Gibbon, saw Poitiers (Tours), as a landmark battle that marked the
high tide of the Muslim advance into Europe." Leopold von Ranke
felt that "Poitiers (Tours) was the turning point of one of the most
important epochs in the history of the world."
There is little dispute that the battle helped lay the foundations of the
Carolingian Empire and Frankish domination of Europe for the next
century. Most historians agree that "the establishment of Frankish
power in western Europe shaped that continent's destiny and the
Battle of Tours confirmed that power."
Steuben's B ataille de Poitiers
A painting of the Battle of Tours by Charles de Steuben, 1834–1837.
Pepin the Short

Charles Martel divided his realm between his sons Pepin, called
Pepin the Short, and Carloman. Succeeding his father as the Mayor
of the Palace in 741, Pepin reigned over Francia jointly with his elder
brother Carloman. Pepin ruled in Neustria, Burgundy, and Provence,
while Carloman established himself in Austrasia, Alemannia, and
Thuringia. The brothers were active in subjugating revolts led by the
Bavarians, Aquitanians, Saxons, and Alemanni in the early years of
their reign. In 743, they ended the Frankish interregnum by choosing
Childeric III, who was to be the last Merovingian monarch, as
figurehead king of the Franks.
Being well disposed towards the church and papacy on account of

their ecclesiastical upbringing, Pepin and Carloman continued their
father's work supporting Saint Boniface in reforming the Frankish
church and evangelizing the Saxons. After Carloman, who was an
intensely pious man, retired to religious life in 747, Pepin became the
sole ruler of the Franks. He suppressed a revolt led by his half-
brother Grifo, and succeeded in becoming the undisputed master of
all Francia. Giving up pretense, Pepin then forced Childeric into a
monastery and had himself proclaimed king of the Franks with the
support of Pope Zachary in 751. The decision was not supported by
all members of the Carolingian family, and Pepin had to put down
another revolt led by Grifo and by Carloman's son, Drogo.
As king, Pepin embarked on an ambitious program to expand his

power. He reformed the legislation of the Franks and continued the
ecclesiastical reforms of Boniface. Pepin also intervened in favor of
the papacy of Stephen II against the Lombards in Italy. He was able
to secure several cities, which he then gave to the pope as part of
the Donation of Pepin. This formed the legal basis for the Papal
States in the Middle Ages. The Byzantines, keen to make good
relations with the growing power of the Frankish empire, gave Pepin
the title of Patricius. In wars of expansion, Pepin conquered
Septimania from the Islamic Umayyads, and subjugated the
southern realms by repeatedly defeating Waifer of Aquitaine and his
Basque troops, after which the Basque and Aquitanian lords saw no
option but to pledge loyalty to the Franks. Pepin was, however,
troubled by the relentless revolts of the Saxons and the Bavarians.
He campaigned tirelessly in Germany, but the final subjugation of
these tribes was left to his successors.
Pepin died in 768 and was succeeded by his sons Charlemagne and
Carloman. Although unquestionably one of the most powerful and
successful rulers of his time, Pepin's reign is largely overshadowed
by that of his more famous son.
11.3.5 : The End of the Carolingians

After Charlemagne's death in 814, the Carolingian Dynasty began an
extended period of fragmentation and decline that would eventually
lead to the evolution of the territories of France and Germany.
Learning Objective
Identify the reasons for the fall of the Carolingian Dynasty
Key Points
The Carolingian dynasty was a Frankish noble family with
origins in the Arnulfing and Pippinid clans of the 7th century,
which saw its reached its peak with the crowning of
Charlemagne as the Roman emperor in 800.
Charlemagne's death in 814 began an extended period of
fragmentation and decline of the dynasty that would eventually
lead to the evolution of the territories of France and Germany.
Following the death of Louis the Pious (Charlemagne's son), the
surviving adult Carolingians fought a three-year civil war ending
only in the Treaty of V erdun, which divided the territory into three
separate regions and began the breakup of the empire.
The Carolingians were displaced in most of the regna of the
empire in 888, but ruled in East Francia until 911 and held the
throne of West Francia intermittently until 987.
One chronicler dates the end of Carolingian rule with the
coronation of Robert II of France as junior co-ruler with his
father, Hugh Capet, thus beginning the Capetian dynasty,
descendants of which unified France.
The Carolingian dynasty became extinct in the male line with the
death of Eudes, Count of V ermandois. His sister Adelaide, the
last Carolingian, died in 1122.
Key Terms
regna
Territorial regions of independent rule.
Carolingian
Refers to topics concerning or in the time of Charlemagne and
his heirs.
Francia
The territory inhabited and ruled by the Franks, a confederation

of West Germanic tribes, during Late Antiquity and the Early
Middle Ages.
Charlemagne's Death
The Carolingian dynasty began with Charlemagne's grandfather
Charles Martel, but began its official reign with Charlemagne's father,
Pepin the Short, displacing the Merovingian dynasty. The dynasty
reached its peak with the crowning of Charlemagne as the first
emperor in the west in over three centuries. Charlemagne's death in
814 began an extended period of fragmentation and decline that
would eventually lead to the evolution of the territories of France and
Germany.
In 813, Charlemagne called Louis the Pious, king of Aquitaine and

his only surviving legitimate son, to his court. There Charlemagne
crowned his son with his own hands as co-emperor and sent him
back to Aquitaine. He then spent the autumn hunting before
returning to Aachen on November 1. In January, he fell ill with
pleurisy. He took to his bed on January 21 and as Einhard tells it:
He died January twenty-eighth, the seventh day from the time

that he took to his bed, at nine o'clock in the morning, after
partaking of the Holy Communion, in the seventy-second year of
his age and the forty-seventh of his reign.
He had a testament of 811, not updated prior to his death, that

allocated his assets. He was succeeded by his son, Louis, but his
empire lasted only another generation in its entirety; its division,
according to custom, between Louis's own sons after their father's
death laid the foundation for the modern states of Germany and
France.
The Carolingian Dynasty and Its

Decline
Charlemagne, who was crowned Emperor by Pope Leo III at Rome
in 800, was the greatest Carolingian monarch. His empire, ostensibly
a continuation of the Roman Empire, is referred to historiographically
as the Carolingian Empire. The traditional Frankish (and
Merovingian) practice of dividing inheritances among heirs was not
given up by the Carolingian emperors, though the concept of the
indivisibility of the Empire was also accepted. The Carolingians had
the practice of making their sons minor kings in the various regions
(regna) of the Empire, which they would inherit on the death of their
father.
Following the death of Louis the Pious (Charlemagne's son), the

surviving adult Carolingians fought a three-year civil war ending only
in the Treaty of V erdun, which divided the empire into three regna
while according imperial status and a nominal lordship to Lothair I.
By this treaty, Lothair received northern Italy and a long stretch of
territory from the North Sea to the Mediterranean, essentially along
the valleys of the Rhine and the Rhô ne; this territory includes the
regions of Lorraine, Alsace, Burgundy, and Provence. He soon
ceded Italy to his eldest son, Louis, and remained in his new
kingdom, engaging in alternate quarrels and reconciliations with his
brothers and in futile efforts to defend his lands from the attacks of
the Northmen (as V ikings were known in Frankish writings) and the
Saracens.
The Carolingians differed markedly from the Merovingians in that

they disallowed inheritance to illegitimate offspring, possibly in an
effort to prevent infighting among heirs and assure a limit to the
division of the realm. In the late 9th century, however, the lack of
suitable adults among the Carolingians necessitated the rise of
Arnulf of Carinthia, an illegitimate child of a legitimate Carolingian
king.
The Carolingians were displaced in most of the regna of the Empire

in 888. They ruled on in East Francia until 911 and held the throne of
West Francia intermittently until 987. Carolingian cadet branches
continued to rule in V ermandois and Lower Lorraine after the last
king died in 987, but they never sought thrones of principalities, and
they made peace with the new ruling families. One chronicler dates
the end of Carolingian rule with the coronation of Robert II of France
as junior co-ruler with his father, Hugh Capet, thus beginning the
Capetian dynasty. Capet's descendants—the Capetians, the House
of V alois, and the House of Bourbon—progressively unified the
country through wars and dynastic inheritance into the Kingdom of
France, which was fully declared in 1190 by Philip II Augustus. Thus
West Francia of the Carolingian dynasty became France.
Following the breakup of the Frankish Realm, the history of Germany

was for 900 years intertwined with the history of the Holy Roman
Empire, which subsequently emerged from the eastern portion of
Charlemagne's original empire. The territory initially known as East
Francia stretched from the Rhine in the west to the Elbe River in the
east, and from the North Sea to the Alps. Germany as we know it
today did not come into existence until after WWI when the various
principalities of the region were united as a modern nation-state.
The Carolingian dynasty became extinct in the male line with the
death of Eudes, Count of V ermandois. His sister Adelaide, the last
Carolingian, died in 1122.
Carolingian dynasty
Carolingian family tree, from the Chronicon Universale of Ekkehard
of Aura, 12th century
Attributions
The Coronation of 800 CE
"Charlemagne."
https://en.wikipedia.org/wiki/Charlemagne# Imperium.
"Irene of Athens."
https://en.wikipedia.org/wiki/Irene_of_Athens. Wikipedia CC
BY-SA 3.0.
"Raphael_Charlemagne.jpg."
https://en.wikipedia.org/wiki/Charlemagne# /media/File:Rap
hael_Charlemagne.jpg. Wikipedia CC BY-SA 3.0.
The Rise of Charlemagne
"Charlemagne Unites Germanic Kingdoms."
http://cdaworldhistory.wikidot.com/charlemagne-unites-
germanic-kingdoms. CDA's World History Wiki CC BY-SA
3.0.
"Charlemagne and His Relationship With the Catholic
Church."
http://ridgeaphistory.wikispaces.com/Charlemagne+ and+ Hi
s+ Relationship+ With+ the+ Catholic+ Church. Ridge AP
History CC BY 3.0.
"Carolingian Dynasty."
http://en.wikipedia.org/wiki/Carolingian_dynasty. Wikipedia
CC BY-SA 3.0.
"Feudalism." http://en.wikipedia.org/wiki/Feudalism.
"Francia." http://en.wikipedia.org/wiki/Francia. Wikipedia CC
BY-SA 3.0.
"Charlemagne." http://en.wikipedia.org/wiki/Charlemagne.
"Charlemagne and Pope Adrian I.."
http://commons.wikimedia.org/wiki/File:Charlemagne_and_
Pope_Adrian_I.jpg. Wikimedia Commons Public domain.
Charlemagne's Reforms
"Carolingian Renaissance."
https://en.wikipedia.org/wiki/Carolingian_Renaissance.
"Charlemagne."
https://en.wikipedia.org/wiki/Charlemagne# Imperium.
"Government of the Carolingian Empire."
https://en.wikipedia.org/wiki/Government_of_the_Carolingia
n_Empire. Wikipedia CC BY-SA 3.0.
"literati." https://en.wiktionary.org/wiki/literati. Wiktionary CC
BY-SA 3.0.
"Kloster_Lorsch_07.jpg."
https://en.wikipedia.org/wiki/Carolingian_Renaissance# /me
dia/File:Kloster_Lorsch_07.jpg. Wikipedia CC BY-SA 3.0.
"1024px-Minuscule_caroline.jpg."
https://en.wikipedia.org/wiki/Carolingian_Renaissance# /me
dia/File:Minuscule_caroline.jpg. Wikipedia CC BY-SA 3.0.
"Charlemagne_denier_Tours_793_to_812.jpg."
https://en.wikipedia.org/wiki/Charlemagne# /media/File:Char
lemagne_denier_Tours_793_to_812.jpg. Wikipedia CC BY-
SA 3.0.
Charles Martel and Pepin the Short
"Pepin the Short."
https://en.wikipedia.org/wiki/Pepin_the_Short. Wikipedia CC
BY-SA 3.0.
"Charles Martel."
https://en.wikipedia.org/wiki/Charles_Martel# Battle_of_Tour
s_in_732. Wikipedia CC BY-SA 3.0.
"Battle of Tours."
https://en.wikipedia.org/wiki/Battle_of_Tours. Wikipedia CC
BY-SA 3.0.
"800px-Steuben_-_Bataille_de_Poitiers.png."
https://en.wikipedia.org/wiki/Charles_Martel# /media/File:Ste
uben_-_Bataille_de_Poitiers.png. Wikipedia CC BY-SA 3.0.
The End of the Carolingians
"Charlemagne."
https://en.wikipedia.org/wiki/Charlemagne# Charles_and_his
_children. Wikipedia CC BY-SA 3.0.
"Germany."
https://en.wikipedia.org/wiki/Germany# East_Francia_and_H
oly_Roman_Empire. Wikipedia CC BY-SA 3.0.
"Carolingian Dynasty."
https://en.wikipedia.org/wiki/Carolingian_dynasty. Wikipedia
CC BY-SA 3.0.
"France." https://en.wikipedia.org/wiki/France. Wikipedia
CC BY-SA 3.0.
"440px-Stammtafel_der_Karolinger.jpg."
https://en.wikipedia.org/wiki/Carolingian_dynasty# /media/Fil
e:Stammtafel_der_Karolinger.jpg. Wikipedia CC BY-SA 3.0.
11.4: The Holy Roman Empire
11.4.1: Rise of the Holy Roman Empire
The formation of the Holy Roman Empire was initiated by
Charlemagne's coronation as "Emperor of the Romans" in 800, and
consolidated by Otto I when he was crowned emperor in 962 by
Pope John X II.
Learning Objective
Describe the rise of the Holy Roman Empire
Key Points
In 800, Pope Leo III crowned Charlemagne Emperor of the
Romans, reviving the title in Western Europe after more than
three centuries, thus creating the Carolingian Empire, whose
territory came to be known as the Holy Roman Empire.
After the dissolution of the Carolingian Dynasty and the breakup
of the empire into conflicting territories, Otto I became king of
Francia and worked to unify all the German tribes into a single
kingdom and greatly expand his powers.
The title of Emperor was again revived in 962 when Otto I was
crowned by Pope John X II, fashioning himself as the successor
of Charlemagne and thus establishing the Holy Roman Empire.
Key Terms
Charlemagne
The first recognized emperor in Western Europe since the fall of
the Western Roman Empire three centuries earlier, known for
unifying Francia and ushering in a period of cultural renaissance
and reform.
Otto I
German king from 936 and emperor of the Holy Roman Empire
from 962 until his death in 973; his reign began a continuous
existence of the Holy Roman Empire for over eight centuries.
Overview
The Holy Roman Empire was a multi-ethnic complex of territories in
central Europe that developed during the Early Middle Ages and
continued until its dissolution in 1806. The largest territory of the
empire after 962 was Eastern Francia, though it also came to include
the Kingdom of Bohemia, the Kingdom of Burgundy, the Kingdom of
Italy, and numerous other territories.
In 800, Pope Leo III crowned the Frankish king Charlemagne

Emperor of the Romans, reviving the title in Western Europe after
more than three centuries. The title continued in the Carolingian
family until 888, and from 896 to 899, after which it was contested by
the rulers of Italy in a series of civil wars until the death of the last
Italian claimant, Berengar, in 924. The title was revived again in 962
when Otto I was crowned emperor, fashioning himself as the
successor of Charlemagne and beginning a continuous existence of
the empire for over eight centuries. Some historians refer to the
coronation of Charlemagne as the origin of the empire, while others
prefer the coronation of Otto I as its beginning. Scholars generally
concur, however, in relating an evolution of the institutions and
principles constituting the empire, describing a gradual assumption
of the imperial title and role.
The Rise of the Empire
After Charlemagne died in 814, the imperial crown was disputed
among the Carolingian rulers of Western Francia and Eastern
Francia, with first the western king (Charles the Bald) and then the
eastern (Charles the Fat) attaining the prize. After the death of
Charles the Fat in 888, however, the Carolingian Empire broke apart,
and was never restored. According to Regino of Prü m, the parts of
the realm "spewed forth kinglets," and each part elected a kinglet
"from its own bowels." After the death of Charles the Fat, those
crowned emperor by the pope controlled only territories in Italy. The
last such emperor was Berengar I of Italy, who died in 924.
A few decade earlier, around 900, autonomous stem duchies

(Franconia, Bavaria, Swabia, Saxony, and Lotharingia) reemerged in
East Francia. After the Carolingian king Louis the Child died without
issue in 911, East Francia did not turn to the Carolingian ruler of
West Francia to take over the realm, but instead elected one of the
dukes, Conrad of Franconia, as Rex Francorum Orientalium. On his
deathbed, Conrad yielded the crown to his main rival, Henry the
Fowler of Saxony, who was elected king at the Diet of Fritzlar in 919.
Henry reached a truce with the raiding Magyars, and in 933 he won
a first victory against them in the Battle of Riade.
Otto I, Holy Roman Emperor

Henry the Fowler died in 936, but his descendants, the Liudolfing (or
Ottonian) dynasty, would continue to rule the eastern kingdom for
roughly a century. Upon Henry's death, Otto I, his son and
designated successor, was elected King in Aachen in 936. Otto
continued his father's work of unifying all German tribes into a single
kingdom and greatly expanded the king's powers at the expense of
the aristocracy. Through strategic marriages and personal
appointments, Otto installed members of his family in the kingdom's
most important duchies. This reduced the various dukes, who had
previously been co-equals with the king, to royal subjects under his
authority. Otto transformed the Roman Catholic Church in Germany
to strengthen the royal office and subjected its clergy to his personal
control.
After putting down a brief civil war among the rebellious duchies,
Otto defeated the Magyars at the Battle of Lechfeld in 955, thus
ending the Hungarian invasions of Western Europe. The victory
against the pagan Magyars earned Otto a reputation as a savior of
Christendom and secured his hold over the kingdom. In 951, Otto
came to the aid of Adelaide, the widowed queen of Italy, defeating
her enemies, marrying her, and taking control of Italy. By 961, Otto
had conquered the Kingdom of Italy and extended his realm's
borders to the north, east, and south. Following the example of
Charlemagne's coronation as "Emperor of the Romans" in 800, Otto
was crowned emperor in 962 by Pope John X II in Rome, thus
intertwining the affairs of the German kingdom with those of Italy and
the papacy. Otto's coronation as emperor marked the German kings
as successors to the empire of Charlemagne, which through the
concept of translatio imperii also made them consider themselves
successors to Ancient Rome.
Otto's later years were marked by conflicts with the papacy and
struggles to stabilize his rule over Italy. Reigning from Rome, Otto
sought to improve relations with the Byzantine Empire, which
opposed his claim to emperorship and his realm's further expansion
to the south. To resolve this conflict, the Byzantine princess
Theophanu married Otto's son, Otto II, in April 972. Otto finally
returned to Germany in August 972 and died at Memleben in 973.
Otto II succeeded him as Holy Roman Emperor.
Otto I
Replica of the Magdeburger Reiter, equestrian monument
traditionally regarded as portrait of Otto I (Magdeburg, original c.
1240).
11.4.2: Administration of the Empire

The Holy Roman Empire was divided into dozens—eventually
hundreds—of individual entities governed by kings, dukes, counts,
bishops, abbots, and other rulers, collectively known as princes, who
governed their land independently from the emperor, whose power
was severely restricted by these various local leaders.
Learning Objective
Explain the relationship between the Holy Roman Emperor and the
other German nobles
Key Points
The Holy Roman Empire was made up of many small
principalities that were governed by local rulers who had
authority over their land that mostly superseded the power of the
emperor.
The emperor could not simply issue decrees and govern
autonomously over the empire; his power was severely
restricted by the various local leaders.
The power of the emperor declined over time until the individual
territories operated almost like de facto sovereign states.
The Imperial Diet was the legislative body of the Holy Roman
Empire and theoretically superior to the emperor himself; it
included positions called prince-electors who elected the
prospective emperor.
After being elected, the King of the Romans could claim the title
of "Emperor" only after being crowned by the Pope.
Key Terms
Reichsstand
An imperial estate in the Holy Roman Empire.
Peace of Westphalia
A series of peace treaties signed between May and October

1648 that ended the Thirty Years' War (1618–1648) in the Holy
Roman Empire.
Imperial Diet
The general assembly of the Imperial Estates of the Holy
Roman Empire that emerged from the earlier informal
assemblies, and the legislative body of the empire.
Overview
The Holy Roman Empire was not a highly centralized state like most
countries today. Instead, it was divided into dozens—eventually
hundreds—of individual entities governed by kings, dukes, counts,
bishops, abbots, and other rulers, collectively known as princes.
There were also some areas ruled directly by the emperor. At no
time could the emperor simply issue decrees and govern
autonomously over the empire. His power was severely restricted by
the various local leaders.
From the High Middle Ages onwards, the Holy Roman Empire was
marked by an uneasy coexistence with the princes of the local
territories who were struggling to take power away from it. To a
greater extent than in other medieval kingdoms such as France and
England, the Roman emperors were unable to gain much control
over the lands that they formally owned. Instead, to secure their own
position from the threat of being deposed, emperors were forced to
grant more and more autonomy to local rulers, both nobles and
bishops. This process began in the 11th century with the Investiture
Controversy and was more or less concluded with the 1648 Peace of
Westphalia. Several emperors attempted to reverse this steady
dissemination of their authority, but were thwarted both by the
papacy and by the princes of the empire.
The Emperor's Loss of

Centraliz ed Authority
After the reign of Otto I, the centralized power of the emperor began
to fade and local rulers, as well as the Catholic Church, gained more
and more power in relation to the emperor. Eventually, the emperor
held little authority over the empire and the territories began to
function more like modern nation-states. The Hohenstaufen dynasty,
which started in 1125, and especially Emperor Frederick I,
represented both a final attempt at unified power and the beginning
of the dissolution of that power.
Despite his imperial claims, Frederick's rule was a major turning

point towards the disintegration of central rule in the Holy Roman
Empire. While concentrated on establishing a modern, centralized
state in Sicily, he was mostly absent from Germany and issued far-
reaching privileges to Germany's secular and ecclesiastical princes.
In the 1220 Confoederatio cum principibus ecclesiasticis, Frederick
gave up a number of regalia in favor of the bishops, among them
tariffs, coining, and fortification. The 1232 Statutum in favorem
principum mostly extended these privileges to secular territories.
Although many of these privileges had existed earlier, they were now
granted globally, and once and for all, to allow the German princes to
maintain order north of the Alps while Frederick concentrated on
Italy. The 1232 document marked the first time that the German
dukes were called domini terræ, owners of their lands, a remarkable
change in terminology as well.
The Holy Roman Empire, 12th century
The Hohenstaufen-ruled Holy Roman Empire and Kingdom of Sicily.
Imperial and directly held Hohenstaufen land in the empire is shown
in bright yellow. This map shows the patchwork of relatively
autonomous principalities that made up the Holy Roman Empire.
The Imperial and directly held Hohenstaufen land covered portions

of modern-day central Germany.
The shift in power away from the emperor is revealed in the way the
post-Hohenstaufen kings attempted to sustain their power. Earlier,
the empire's strength (and finances) greatly relied on the empire's
own lands, the so-called Reichsgut, which always belonged to the
king of the day and included many imperial cities. After the 13th
century, the relevance of the Reichsgut faded, even though some
parts of it did remain until the empire's end in 1806. The Reichsgut
was increasingly pawned to local dukes, sometimes to raise money
for the empire, but more frequently to reward faithful duty or as an
attempt to establish control over the dukes. The direct governance of
the Reichsgut no longer matched the needs of either the king or the
dukes.
The "constitution" of the empire still remained largely unsettled at the

beginning of the 15th century. Although some procedures and
institutions had been fixed, for example by the Golden Bull of 1356,
the rules of how the king, the electors, and the other dukes should
cooperate in the empire much depended on the personality of the
respective king. It therefore proved somewhat damaging that
Sigismund of Luxemburg (king 1410, emperor 1433–1437) and
Frederick III of Habsburg (king 1440, emperor 1452–1493) neglected
the old core lands of the empire and mostly resided in their own
lands. Without the presence of the king, the old institution of the
Hoftag, the assembly of the realm's leading men, deteriorated. The
Imperial Diet as a legislative organ of the empire did not exist at that
time. The dukes often conducted feuds against each other—feuds
that, more often than not, escalated into local wars. The medieval
idea of unifying all Christendom into a single political entity, with the
church and the empire as its leading institutions, began to decline.
Imperial Diet
The Imperial Diet (Reichstag) was the legislative body of the Holy
Roman Empire and theoretically superior to the emperor himself. It
was divided into three classes. The first class, the Council of
Electors, consisted of the electors, or the princes who could vote for
King of the Romans. The second class, the Council of Princes,
consisted of the other princes, and was divided into two "benches,"
one for secular rulers and one for ecclesiastical ones. Higher-ranking
princes had individual votes, while lower-ranking princes were
grouped into "colleges" by geography. Each college had one vote.
The precise role and function of the Imperial Diet changed over the
centuries, as did the empire itself, in that the estates and separate
territories gained more and more control of their own affairs at the
expense of imperial power.
King of the Romans

Another check on the emperor's power was the fact that he was
elected. A prospective emperor first had to be elected King of the
Romans by the prince-electors, the highest office of the Imperial
Diet. German kings had been elected since the 9th century; at that
point they were chosen by the leaders of the five most important
tribes (the Salian Franks of Lorraine, Ripuarian Franks of Franconia,
Saxons, Bavarians, and Swabians). In the Holy Roman Empire, the
main dukes and bishops of the kingdom elected the King of the
Romans. In 1356, Emperor Charles IV issued the Golden Bull, which
limited the electors to seven: the King of Bohemia, the Count
Palatine of the Rhine, the Duke of Saxony, the Margrave of
Brandenburg, and the archbishops of Cologne, Mainz, and Trier.
During the Thirty Years' War, the Duke of Bavaria and the Duke of
Brunswick-Lü neburg were given the right to vote as the eighth and
ninth electors, respectively. Additionally, the Napoleonic Wars
resulted in several electorates being reallocated, but these new
electors never voted before the empire's dissolution. A candidate for
election would be expected to offer concessions of land or money to
the electors in order to secure their vote.
After being elected, the King of the Romans could theoretically claim
the title of "Emperor" only after being crowned by the pope. In many
cases, this took several years while the king was held up by other
tasks; frequently he first had to resolve conflicts in rebellious
northern Italy, or was quarreling with the pope himself.
Pen-and-ink miniature of the seven
prince-electors
The prince-electors, the highest-ranking noblemen of the empire,
usually elected one of their peers as "King of the Romans," and he
would later be crowned emperor by the pope.
Imperial Estates
The number of territories in the empire was considerable, rising to
about 300 at the time of the Peace of Westphalia. Many of these
K leinstaaten ("little states") covered no more than a few square
miles, and/or included several non-contiguous pieces, so the empire
was often called a Flickenteppich ("patchwork carpet").
An entity was considered a Reichsstand (imperial estate) if,

according to feudal law, it had no authority above it except the Holy
Roman Emperor himself. The imperial estates comprised:
Territories ruled by a hereditary nobleman, such as a prince,

archduke, duke, or count.
Territories in which secular authority was held by a clerical
dignitary, such as an archbishop, bishop, or abbot. Such a cleric
was a prince of the church. In the common case of a prince-
bishop, this temporal territory (called a prince-bishopric)
frequently overlapped with his often-larger ecclesiastical
diocese, giving the bishop both civil and clerical powers.
Examples are the prince-archbishoprics of Cologne, Trier, and
Mainz.
Free imperial cities, which were subject only to the jurisdiction of
the emperor.
11.4.3: The Investiture Controversy

The Investiture Controversy, on the surface a conflict about the
appointments of religious offices, was a powerful struggle for control
over who held ultimate authority, the Holy Roman Emperor or the
pope.
Learning Objective
Analyze the events of the Investiture Controversy
Key Points
When the Holy Roman Empire developed as a force during the
10th century, it was the first real non-barbarian challenge to the
authority of the church.
A dispute between the secular and ecclesiastical powers known
as the Investiture Controversy emerged beginning in the mid-
11th century.
The Investiture Controversy was resolved with the Concordat of
Worms in 1122, which gave the church power over investiture,
along with other reforms.
By undercutting the imperial power established by previous
emperors, the controversy led to nearly fifty years of civil war in
Germany, and the triumph of the great dukes and abbots.
The papacy grew stronger in its power and authority from the
controversy.
Key Terms
simony
The sale of church offices to a successor.
investiture
The authority to appoint local church officials such as bishops of

cities and abbots of monasteries.
Concordat of Worms
An agreement between Pope Calixtus II and Holy Roman

Emperor Henry V on September 23, 1122, that found a
resolution to the Investiture Controversy.
Overview
The Investiture Controversy was the most significant conflict
between church and state in medieval Europe, specifically the Holy
Roman Empire.
In the 11th and 12th centuries, a series of popes challenged the

authority of European monarchies. At issue was who, the pope or
monarchs, had the authority to appoint (invest) local church officials
such as bishops of cities and abbots of monasteries. The conflict
ended in 1122, when Emperor Henry V and Pope Calixtus II agreed
on the Concordat of Worms. It differentiated between the royal and
spiritual powers and gave the emperors a limited role in selecting
bishops. The outcome seemed mostly a victory for the pope and his
claim that he was God's chief representative in the world. However,
the emperor did retain considerable power over the church.
The Investiture Controversy began as a power struggle between
Pope Gregory V II (1072–1085) and Holy Roman Emperor Henry V
(1056–1106). A brief but significant struggle over investiture also
occurred between Henry I of England and Pope Paschal II in the
years 1103–1107, and the issue also played a minor role in the
struggles between church and state in France.
By undercutting the imperial power established by previous

emperors, the controversy led to nearly fifty years of civil war in
Germany, and the triumph of the great dukes and abbots. Imperial
power was finally re-established under the Hohenstaufen dynasty.
Historian Norman Cantor writes of its significance:
The age of the investiture controversy may rightly be regarded

as the turning-point in medieval civilization. It was the fulfillment
of the early Middle Ages because in it the acceptance of the
Christian religion by the Germanic peoples reached its final and
decisive stage… The greater part of the religious and political
system of the high Middle Ages emerged out of the events and
ideas of the investiture controversy.
Investiture
A woodcut by Philip V an Ness (1905), A medieval king investing a
bishop with the symbols of office.
Origins
After the decline of the Roman Empire and prior to the Investiture
Controversy, investiture, while theoretically a task of the church, was
in practice performed by members of the religious nobility. Many
bishops and abbots were themselves part of the ruling nobility. Since
an eldest son would inherit the title of the father, siblings often found
careers in the church. This was particularly true where the family
may have established a proprietary church or abbey on their estate.
Since Otto I (936-972) the bishops had been princes of the empire,
had secured many privileges, and had become to a great extent
feudal lords over great districts of the imperial territory. The control of
these great units of economic and military power was for the king a
question of primary importance, as it affected the imperial authority. It
was essential for a ruler or nobleman to appoint (or sell the office to)
someone who would remain loyal.
Since a substantial amount of wealth and land was usually

associated with the office of a bishop or abbot, the sale of church
offices (a practice known as simony) was an important source of
income for leaders among the nobility, who themselves owned the
land and by charity allowed the building of churches.
The crisis began when a group within the church, members of the
Gregorian Reform, decided to rebel against the rule of simony by
forcefully taking the power of investiture from the ruling secular
power, i.e., the Holy Roman Emperor, and placing that power wholly
within control of the church. The Gregorian reformers knew this
would not be possible so long as the emperor maintained the ability
to appoint the pope, so their first step was to forcibly gain the papacy
from the control of the emperor. An opportunity came in 1056 when
six-year-old Henry IV became the German king; the reformers took
advantage of his young age and inability to react by seizing the
papacy by force. In 1059 a church council in Rome declared, with I n
Nomine Domini, that leaders of the nobility would have no part in the
selection of popes, and created the College of Cardinals as a body
of electors made up entirely of church officials. Once Rome regained
control of the election of the pope, it was ready to attack the practice
of investiture and simony on a broad front.
In 1075, Pope Gregory V II composed the Dictatus Papae. One

clause asserted that the deposal of an emperor was under the sole
power of the pope. It declared that the Roman church was founded
by God alone—that the papal power was the sole universal power.
By this time, Henry IV was no longer a child, and he continued to
appoint his own bishops. He reacted to this declaration by sending
Gregory V II a letter in which he withdrew his imperial support of
Gregory as pope in no uncertain terms.
The situation was made even more dire when Henry IV installed his
chaplain, Tedald, a Milanese priest, as Bishop of Milan when another
priest of Milan, Atto, had already been chosen by the pope for
candidacy. In 1076 the pope responded by excommunicating Henry
and deposing him as German king, releasing all Christians from their
oath of allegiance to him.
Enforcing these declarations was a different matter, but the

advantage gradually came to the side of the pope. German princes
and the aristocracy were happy to hear of the king's deposition. They
used religious reasons to continue the rebellion started at the First
Battle of Langensalza in 1075, and to seize royal holdings.
Aristocrats claimed local lordships over peasants and property, built
forts, which had previously been outlawed, and built up localized
fiefdoms to secure their autonomy from the empire.
The Investiture Controversy continued for several decades as each

succeeding pope tried to diminish imperial power by stirring up revolt
in Germany. These revolts were gradually successful. Henry IV was
succeeded upon his death in 1106 by his son Henry V , who had
rebelled against his father in favor of the papacy, and who had made
his father renounce the legality of his antipopes before he died.
Nevertheless, Henry V chose one more antipope, Gregory V III.
Later, he renounced some of the rights of investiture with the
Concordat of Worms, abandoned Gregory, and was received back
into communion and recognized as legitimate emperor as a result.
Henry IV
This illustration shows Henry IV requesting mediation from Matilda of
Tuscany and abbot Hugh of Cluny.
The Concordat of W orms and

Its Significance
After fifty years of fighting, the Concordat of Worms provided a
lasting compromise when it was signed on September 23, 1122. It
eliminated lay investiture while leaving secular leaders some room
for unofficial but significant influence in the appointment process.
The emperor renounced the right to invest ecclesiastics with ring and
crosier, the symbols of their spiritual power, and guaranteed election
by the canons of cathedral or abbey and free consecration.
The Concordat of Worms brought an end to the first phase of the
power struggle between the papacy and the Holy Roman emperors,
and has been interpreted as containing within itself the germ of
nation-based sovereignty that would one day be confirmed in the
Treaty of Westphalia (1648). In part this was an unforeseen result of
strategic maneuvering between the church and the European
sovereigns over political control within their domains.
While the monarchy was embroiled in the dispute with the church, it
declined in power and broke apart. Localized rights of lordship over
peasants grew. This resulted in multiple effects:
1. Increased serfdom that reduced human rights for the majority;

2. Increased taxes and levies that royal coffers declined;
3. Localized rights of justice where courts did not have to answer
to royal authority.
In the long term, the decline of imperial power would divide Germany
until the 19th century. Similarly, in Italy, the Investiture Controversy
weakened the emperor's authority and strengthened local separatist
forces. However, the papacy grew stronger from the controversy.
Assembling for public opinion engaged lay people in religious affairs
that increased lay piety, setting the stage for the Crusades and the
great religious vitality of the 12th century.
The conflict did not end with the Concordat of Worms. Future
disputes between popes and Holy Roman emperors continued until
northern Italy was lost to the empire entirely. The church would
crusade against the Holy Roman Empire under Frederick II.
Attributions
Rise of the Holy Roman Empire
"Holy Roman Empire."
https://en.wikipedia.org/wiki/Holy_Roman_Empire.
"Otto I, Holy Roman Emperor."
https://en.wikipedia.org/wiki/Otto_I,_Holy_Roman_Emperor.
"Alter_Markt_(Magdeburg-
Altstadt).Magdeburger_Reiter_edit.jpg."
https://en.wikipedia.org/wiki/Otto_I,_Holy_Roman_Emperor
# /media/File:Alter_Markt_(Magdeburg-
Altstadt).Magdeburger_Reiter_edit.jpg. Wikipedia CC BY-
SA 3.0.
Administration of the Empire
https://en.wikipedia.org/wiki/Holy_Roman_Empire# Hohenst
aufen_dynasty. Wikipedia CC BY-SA 3.0.
"Imperial Diet (Holy Roman Empire)."
https://en.wikipedia.org/wiki/Imperial_Diet_(Holy_Roman_E
mpire). Wikipedia CC BY-SA 3.0.
"550px-Balduineum_Wahl_Heinrich_V II.jpg."
https://en.wikipedia.org/wiki/Holy_Roman_Empire# /media/F
ile:Balduineum_Wahl_Heinrich_V II.jpg. Wikipedia CC BY-
SA 3.0.
"Mitteleuropa_zur_Zeit_der_Staufer.svg.png."
ile:Mitteleuropa_zur_Zeit_der_Staufer.svg. Wikipedia CC
BY-SA 3.0.
The Investiture Controversy
https://en.wikipedia.org/wiki/Investiture_Controversy.
"Concordat of Worms."
https://en.wikipedia.org/wiki/Concordat_of_Worms.
"Church and state in medieval Europe."
https://en.wikipedia.org/wiki/Church_and_state_in_medieval
_Europe. Wikipedia CC BY-SA 3.0.
"Hugo-v-cluny_heinrich-iv_mathilde-v-tuszien_cod-vat-lat-
4922_1115ad.jpg."
https://en.wikipedia.org/wiki/Investiture_Controversy# /medi
a/File:Hugo-v-cluny_heinrich-iv_mathilde-v-tuszien_cod-
vat-lat-4922_1115ad.jpg. Wikipedia CC BY-SA 3.0.
"1280px-Investiturewoodcut.jpg."
https://en.wikipedia.org/wiki/Investiture_Controversy# /medi
a/File:Investiturewoodcut.jpg. Wikipedia CC BY-SA 3.0.
11.5 : The Development of
England
11.5 .1: The Anglo-Sax ons
The Anglo-Saxons were a people who inhabited Great Britain from
450 to 1066; their reign saw the creation of a unified English nation,
culture, and identity, setting the foundation for modern England.
Learning Objective
Describe what Anglo-Saxon life was like before 1066
Key Points
The Anglo-Saxons were comprised of people from Germanic
tribes who migrated to Great Britain from continental Europe;
they inhabited the island from 450-1066.
In the 5th century, Britain fell from Roman rule and established
an independent culture and society.
In the 6th century, Christianity was re-established and Britain
began to flourish as a center for learning and cultural
production.
By the 7th century, smaller territories began coalescing into
kingdoms, with the kingdom of Mercia one of the most
dominant.
The 9th century saw the rise of the Wessex kingdom, especially
with King Alfred the Great, who fashioned himself "King of the
Anglo-Saxons" and oversaw an increasing unity of the English
people and improved the kingdom's legal system and military
structure and his people's quality of life.
During the course of the 10th century, the West Saxon kings
extended their power first over Mercia, then over the southern
Danelaw, and finally over Northumbria, thereby imposing a
semblance of political unity.
This society continued to develop and thrive until the Norman
Conquest in 1066.
The Anglo-Saxon culture was centered around three classes of
men: the working man, the churchman, and the warrior.
Key Terms
Hadrian's Wall
A defensive fortification that ran from the banks of the River

Tyne near the North Sea to the Solway Firth on the Irish Sea,
and was the northern limit of the Roman Empire.
Norman Conquest
The 11th-century invasion and occupation of England by an

army of Norman, Breton, and French soldiers led by Duke
William II of Normandy.
King Alfred the Great
King of Wessex from 871 to 899, known as a learned and

merciful man who encouraged education and improved his
kingdom's legal system and military structure and his people's
quality of life.
Overview
The Anglo-Saxons were a people who inhabited Great Britain from
the 5th century. They comprised people from Germanic tribes who
migrated to the island from continental Europe, their descendants,
and indigenous British groups who adopted some aspects of Anglo-
Saxon culture and language. The Anglo-Saxon period denotes the
period of British history between about 450 and 1066, after their
initial settlement and up until the Norman Conquest.
The Anglo-Saxon period includes the creation of an English nation,

with many of the aspects that survive today, including regional
government of shires and hundreds. During this period, Christianity
was re-established and there was a flowering of literature and
language. Charters and law were also instituted.
The history of the Anglo-Saxons is the history of a cultural identity. It

developed from divergent groups in association with the people's
adoption of Christianity, and was integral to the establishment of
various kingdoms. Threatened by extended Danish invasions and
occupation of eastern England, this identity persevered; it dominated
until after the Norman Conquest.
Anglo-Sax on History
The early Anglo-Saxon period covers the period of medieval Britain
that starts from the end of Roman rule. By the year 400, southern
Britain—Britain below Hadrian's Wall—was a peripheral part of the
Western Roman Empire, occasionally lost to rebellion or invasion,
but until then always eventually recovered. Around 410, Britain
slipped beyond direct imperial control into a phase which has
generally been termed "sub-Roman."
In the second half of the 6th century, four structures contributed to

the development of Anglo-Saxon society: the position and freedoms
of the ceorl (peasants), the smaller tribal areas coalescing into larger
kingdoms, the elite developing from warriors to kings, and Irish
monasticism developing under Finnian.
In 565, Columba, a monk from Ireland who studied at the monastic

school of Moville under Saint Finnian, reached Iona as a self-
imposed exile. The influence of the monastery of Iona would grow
into what Peter Brown has described as an "unusually extensive
spiritual empire," which "stretched from western Scotland deep to the
southwest into the heart of Ireland and, to the southeast, it reached
down throughout northern Britain, through the influence of its sister
monastery Lindisfarne." Michael Drout calls this period the "Golden
Age," when learning flourished with a renaissance in classical
knowledge.
By 660 the political map of Lowland Britain had developed, with

smaller territories coalescing into kingdoms; from this time larger
kingdoms started dominating the smaller kingdoms. The
establishment of kingdoms, with a particular king being recognized
as an overlord, developed out of an early loose structure. Simon
Keynes suggests that the 8th century–9th century was period of
economic and social flourishing that created stability both below the
Thames and above the Humber. However, between the Humber and
Thames, one political entity, the kingdom of Mercia, grew in influence
and power and attracted attention in the East.
England, 65 0
A political map of Britain c. 650 (the names are in modern English);
the black text denotes kingdoms ruled by Anglo-Saxons.
The 9th century saw the rise of Wessex, from the foundations laid by
King Egbert in the first quarter of the century to the achievements of
King Alfred the Great in its closing decades. Alfred successfully
defended his kingdom against the V iking attempt at conquest and
became the dominant ruler in England. He was the first king of the
West Saxons to style himself "King of the Anglo-Saxons." Alfred had
a reputation as a learned and merciful man with a gracious and
level-headed nature who encouraged education and improved his
kingdom's legal system and military structure and his people's quality
of life.
During the course of the 10th century, the West Saxon kings
extended their power first over Mercia, then over the southern
Danelaw, and finally over Northumbria, thereby imposing a
semblance of political unity on peoples who nonetheless would
remain conscious of their respective customs and their separate
pasts. The prestige and pretensions of the monarchy increased, the
institutions of government strengthened, and kings and their agents
sought in various ways to establish social order. This was the society
that would see three invasions in the 11th century, the third of which
was led successfully by William of Normandy in 1066 and transferred
political rule to the Normans.
Anglo-Sax on Culture and

Society
The visible Anglo-Saxon culture can be seen in the material culture
of buildings, dress styles, illuminated texts, and grave goods. Behind
the symbolic nature of these cultural emblems, there are strong
elements of tribal and lordship ties. The elite declared themselves
kings who developed burhs (fortifications or fortified settlements),
and identified their roles and peoples in Biblical terms. Above all, as
Helena Hamerow has observed, "local and extended kin groups
remained...the essential unit of production throughout the Anglo-
Saxon period." The effects persist in the 21st century as, according
to a study published in March 2015, the genetic makeup of British
populations today shows divisions of the tribal political units of the
early Anglo-Saxon period.
The ties of loyalty to a lord were to his person, not to his station;
there was no real concept of patriotism or loyalty to a cause. This
explains why dynasties waxed and waned so quickly; a kingdom was
only as strong as its leader-king. There was no underlying
administration or bureaucracy to maintain any gains beyond the
lifetime of a leader.
The culture of the Anglo-Saxons was especially solidified and
cultivated by King Alfred. The major kingdoms had grown by
absorbing smaller principalities, and the means by which they did it
and the character their kingdoms acquired as a result represent one
of the major themes of the Middle Saxon period. A "good" king was a
generous king who won the support that would ensure his
supremacy over other kingdoms through his wealth. King Alfred's
digressions in his translation of Boethius's Consolation of Philosophy
provided these observations about the resources that every king
needed:
In the case of the king, the resources and tools with which to
rule are that he have his land fully manned: he must have
praying men, fighting men and working men. You know also that
without these tools no king may make his ability known. Another
aspect of his resources is that he must have the means of
support for his tools, the three classes of men. These, then, are
their means of support: land to live on, gifts, weapons, food, ale,
clothing and whatever else is necessary for each of the three
classes of men.
The first group of King Alfred's three-fold Anglo-Saxon society are

praying men—people who work at prayer. Although Christianity
dominates the religious history of the Anglo-Saxons, life in the 5th
and 6th centuries was dominated by "pagan" religious beliefs with a
Scando-Germanic heritage. Almost every poem from before the
Norman Conquest, no matter how Christian its theme, is steeped in
pagan symbolism, but the integration of pagan beliefs into the new
faith goes beyond the literary sources. Anglo-Saxon England found
ways to synthesize the religion of the church with the existing
"northern" customs and practices. Thus the conversion of the Anglo-
Saxons was not just their switching from one practice to another, but
making something fresh out of their old inheritance and their new
beliefs and learning. Monasticism, and not just the church, was at
the center of Anglo-Saxon Christian life. The role of churchmen was
analogous with that of the warriors waging heavenly warfare.
The second element of Alfred's society is fighting men. The subject
of war and the Anglo-Saxons is a curiously neglected one; however,
it is an important element of their society.
The third aspect of Alfred's society is working men. Helena Hamerow

suggested that the prevailing model of working life and settlement,
particularly for the early period, was one of shifting settlement and
building tribal kinship. The mid-Saxon period saw diversification, the
development of enclosures, the beginning of the toft system, closer
management of livestock, the gradual spread of the mould-board
plough, "informally regular plots," and a greater permanence, with
further settlement consolidation thereafter foreshadowing post-
Conquest villages. The later periods saw a proliferation of "service
features," including barns, mills, and latrines, most markedly on high-
status sites. Throughout the Anglo-Saxon period, Helena Hamerow
suggested: "local and extended kin groups remained...the essential
unit of production."
W est Stow Anglo-Sax on village

Panorama of the reconstructed 7th-century village, characteristic of
the Anglo-Saxon peasant villages.
11.5 .2: The Norman Invasion of 1066

CE
The Norman Invasion of England was led by William II of Normandy,
who defeated Harold II of England in the Battle of Hastings in 1066.
Learning Objective
Evaluate the extent to which Harold's loss at the Battle of Hastings
was due to the fact that he was ill-prepared for battle and whether it
might have been possible to mitigate the circumstances that led to
that fact
Key Points
Harold was crowned king after the death of Edward the
Confessor in January 1066. Shortly after he was crowned king,
Harold faced invasions by his brother Tostig, the Norwegian
King Harald III of Norway, and Duke William II of Normandy.
Harold defeated Tostig and Harald III at the battle of Stamford
Bridge on September 25, 1066.
Harold's army marched south to confront William at the Battle of
Hastings on October 14, 1066. Harold was defeated by the
strength of William's attack and because his army was still
recovering from Stamford.
Key Terms
Normans
The Normans, a people descended from Norse V ikings who

settled in the territory of Normandy in France after being given
land by the French king, conquered other lands and protected
the French coast from foreign attacks.
Battle of Hastings
The decisive battle in the Norman Conquest of England fought

on October 14, 1066, between the Norman-Fench army of Duke
William II of Normandy and the English army under Anglo-
Saxon King Harold II.
Background
The Norman conquest of England was the 11th-century invasion and
occupation of England by an army of Norman, Breton, and French
soldiers led by Duke William II of Normandy, later styled William the
Conqueror.
William's claim to the English throne derived from his familial

relationship with the childless Anglo-Saxon King Edward the
Confessor, who may have encouraged William's hopes for the
throne. Edward died in January 1066 and was succeeded by his
brother-in-law Harold Godwinson. Harold faced invasions by William,
his own brother Tostig, and the Norwegian King Harald Hardrada
(Harold III of Norway).
Preparations and Early Battles

The English army was organized along regional lines, with the fyrd,
or local levy, serving under a local magnate—an earl, bishop, or
sheriff. The fyrd was composed of men who owned their own land
and were equipped by their community to fulfill the king's demands
for military forces. As a whole, England could furnish about 14,000
men for the fyrd when it was called out. The fyrd usually served for
two months, except in emergencies. It was rare for the whole
national fyrd to be called out; between 1046 and 1065 it was done
only three times—in 1051, 1052, and 1065. The king also had a
group of personal armsmen known as housecarls, who formed the
backbone of the royal forces. The composition, structure, and size of
Harold's army contributed to his defeat against William.
Harold had spent mid-1066 on the south coast with a large army and
fleet, waiting for William to invade. The bulk of his forces were militia
who needed to harvest their crops, so on September 8 Harold
dismissed the militia and the fleet. Learning of the Norwegian
invasion, he rushed north, gathering forces as he went, and took the
Norwegians by surprise, defeating them at the Battle of Stamford
Bridge on September 25. Harald of Norway and Tostig were killed,
and the Norwegians suffered such great losses that only 24 of the
original 300 ships were required to carry away the survivors. The
English victory came at great cost, as Harold's army was left in a
battered and weakened state.
Meanwhile, William had assembled a large invasion fleet and

gathered an army from Normandy and the rest of France, including
large contingents from Brittany and Flanders. William spent almost
nine months on his preparations, as he had to construct a fleet from
nothing. The Normans crossed to England a few days after Harold's
victory over the Norwegians, following the dispersal of Harold's naval
force, and landed at Pevensey in Sussex on September 28. A few
ships were blown off course and landed at Romney, where the
Normans fought the local fyrd. After landing, William's forces built a
wooden castle at Hastings, from which they raided the surrounding
area. More fortifications were erected at Pevensey
Battle of Hastings
The deaths of Tostig and Hardrada at Stamford left William as
Harold's only serious opponent. While Harold and his forces were
recovering from Stamford, William landed his invasion forces at
Pevensey and established a beachhead for his conquest of the
kingdom. Harold was forced to march south swiftly, gathering forces
as he went.
Harold's army confronted William's invaders on October 14 at the

Battle of Hastings. The battle began at about 9 a.m. and lasted all
day, but while a broad outline is known, the exact events are
obscured by contradictory accounts in the sources. Although the
numbers on each side were probably about equal, William had both
cavalry and infantry, including many archers, while Harold had only
foot soldiers and few archers. In the morning, the English soldiers
formed up as a shield wall along the ridge, and were at first so
effective that William's army was thrown back with heavy casualties.
Some of William's Breton troops panicked and fled, and some of the
English troops appear to have pursued them. Norman cavalry then
attacked and killed the pursuing troops. While the Bretons were
fleeing, rumors swept the Norman forces that the duke had been
killed, but William rallied his troops. Twice more the Normans made
feigned withdrawals, tempting the English into pursuit, and allowing
the Norman cavalry to attack them repeatedly.
The available sources are more confused about events in the

afternoon, but it appears that the decisive event was the death of
Harold, about which differing stories are told. William of Jumieges
claimed that Harold was killed by William. It has also been claimed
that the Bayeux Tapestry shows Harold's death by an arrow to the
eye, but this may be a later reworking of the tapestry to conform to
12th-century stories. Other sources stated that no one knew how
Harold died because the press of battle was so tight around the king
that the soldiers could not see who struck the fatal blow.
The Bayeux Tapestry: The
controversial panel depicting Harold
II's death
The tapestry depicts the loss of the Anglo-Saxon troops to the
Norman forces. Here, a figure some think to be Harold Godwinson is
shown falling at the Battle of Hastings. Harold is shown with an
arrow to the eye.
11.5 .3: W illiam the Conqueror's Rule

William the Conqueror's rule was marked by struggles to consolidate
his hold over England, which led to the compiling of the Domesday
Book, a manuscript surveying the land of England in order to
understand the holdings of each household.
Learning Objective
Analyze the reasons behind the creation of the Domesday Book and
why it is such an important historical document
Key Points
After he launched the Norman conquest of England in 1066,
William was crowned king and set about consolidating his power
and authority.
Several unsuccessful rebellions followed, but by 1075 William's
hold on England was mostly secure, allowing him to spend the
majority of the rest of his reign on the continent.
After the political upheaval of the Norman conquest, and the
confiscation of lands that followed, William's interest was to
determine property holdings across the land and understand the
financial resources of his kingdom, which was carried out in the
Domesday Book.
The aim of the Domesday Book was to determine what each
landholder had in worth (land, livestock etc. ) to determine what
taxes had been owed under Edward the Confessor.
The Domesday Book is considered the oldest public record in
England; no survey approaching the scope and extent of the
Domesday Book was attempted again until 1873.
Key Terms
William the Conqueror
The first Norman king of England, reigning from 1066 until his
death in 1087.
Edward the Confessor
One of the last Anglo-Saxon kings of England and usually

regarded as the last king of the House of Wessex, ruling from
1042 to 1066.
W illiam the Conqueror's Rule

Although William's main rivals were gone after the Battle of Hastings,
he still faced rebellions over the following years and was not secure
on his throne until after 1072. After further military efforts, William
was crowned king on Christmas Day 1066 in London. He made
arrangements for the governance of England in early 1067 before
returning to Normandy. Several unsuccessful rebellions followed, but
by 1075 William's hold on England was mostly secure, allowing him
to spend the majority of the rest of his reign on the continent. The
lands of the resisting English elite were confiscated; some of the elite
fled into exile.
To control his new kingdom, William gave lands to his followers and
built castles commanding military strongpoints throughout the land.
Other effects of the conquest included the introduction of Norman
French as the language of the elites and changes in the composition
of the upper classes, as William reclaimed territory to be held directly
by the king and settled new Norman nobility on the land. More
gradual changes affected the agricultural classes and village life; the
main change appears to have been the formal elimination of slavery,
which may or may not have been linked to the invasion. There was
little alteration in the structure of government, as the new Norman
administrators took over many of the forms of Anglo-Saxon
government.
William did not try to integrate his various domains into one empire,
but instead continued to administer each part separately. William
took over an English government that was more complex than the
Norman system. England was divided into shires or counties, which
were further divided into either hundreds or wapentakes. To oversee
his expanded domain, William was forced to travel even more than
he had as duke. He crossed back and forth between the continent
and England at least nineteen times between 1067 and his death.
William's lands were divided after his death; Normandy went to his
eldest son, Robert, and England to his second surviving son,
William.
Domesday Book
The Domesday Book is a manuscript record of the great survey,
completed in 1086 on orders of William the Conqueror, of much of
England and parts of Wales. The aim of the great survey was to
determine what or how much each landholder had in land and
livestock, and how much it was worth. The survey's ultimate purpose
was to determine what taxes had been owed under Edward the
Confessor.
The assessors' reckoning of a man's holdings and their value, as

given in the book, was dispositive and without appeal, and thus the
name Domesday Book came into use in the 12th century.
Kent, page 1 of the Domesday Book
Domesday Book images from the Open Domesday Book project,
which created the first free online copy of the Domesday Book.
Image credit: Professor J.J.N. Palmer and George Slater.
Purpose of the Domesday Book

After a great political convulsion like the Norman Conquest, and the
wholesale confiscation of landed estates that followed, it was in
William's interest to make sure that the rights of the crown, which he
claimed to have inherited, had not suffered in the process. In
particular, his Norman followers were more likely to evade the
liabilities of their English predecessors, and there was growing
discontent at the Norman land-grab that had occurred in the years
following the invasion. William required certainty and definitive
reference points as to property holdings across the nation so that
they might be used as evidence in disputes and purported authority
for crown ownership.
The Domesday survey therefore recorded the names of the new

landholders and the assessments on which their taxes were to be
paid. But it did more than this; by the king's instructions, it
endeavored to make a national valuation list, estimating the annual
value of all the land in the country at three points in time:
1. At the time of Edward the Confessor's death;

2. When the new owners received it;
3. At the time of the survey.
Further, it reckoned, by command, the potential value as well.It is

evident that William desired to know the financial resources of his
kingdom, and it is probable that he wished to compare them with the
existing assessment. The great bulk of the Domesday Book is
devoted to the somewhat arid details of the assessment and
valuation of rural estates, which were as yet the only important
sources of national wealth. After stating the assessment of a manor,
the record sets forth the amount of arable land, and the number of
plough teams (each reckoned at eight oxen) available for working it,
with the additional number (if any) that might be employed; then the
river-meadows, woodland, pasture, fisheries (i.e. fishing weirs),
water-mills, salt-pans (if by the sea), and other subsidiary sources of
revenue; then the number of peasants in their several classes; and
finally a rough estimate of the annual value of the whole, past and
present.
Importance
The importance of the Domesday Book for understanding the period
in which it was written is difficult to overstate. It is considered the
oldest public record in England and is probably the most remarkable
statistical document in the history of Europe.
No survey approaching the scope and extent of the Domesday Book

was attempted until the 1873 Return of Owners of Land (sometimes
termed the Modern Domesday), which presented the first complete,
post-Domesday picture of the distribution of landed property in the
British Isles.
11.5 .4: The Magna Carta

The Magna Carta was the first document imposed upon a king of
England to limit his powers by law and protect civil rights.
Learning Objective
Explain why the Magna Carta was created and why it is considered a
failure of democracy
Key Points
The Magna Carta was signed by King John in June 1215 and
was the first document to impose legal limits on the king's
personal powers.
Clause 61 stated that a committee of twenty five barons could
meet and overrule the will of the king—a serious challenge to
John's authority as ruling monarch.
The charter was renounced as soon as the barons left London;
the pope annulled the document, saying it impaired the church's
authority over the "papal territories" of England and Ireland.
England moved to civil war, with the barons trying to replace the
monarch they disliked with an alternative. They offered the
crown to Prince Louis of France, who was declared king in
London in May 1216.
The Magna Carta survived to become a "sacred text," but in
practice did not limit the power of kings in the medieval period.
Instead, it paved the way for later constitutional documents,
including the Constitution of the United States.
Key Terms
clause 61
Section of the Magna Carta that stated a committee of twenty-

five barons could at any time meet and overrule the will of the
king if he defied the provisions of the charter, and could seize
his castles and possessions if it was considered necessary.
English Civil War
A series of armed conflicts and political machinations in the

period 1642-1651 between Parliamentarians (Roundheads) and
Royalists (Cavaliers) in the Kingdom of England, principally over
the manner of its government.
Norman Kings after the

Conquest
At the death of William the Conqueror in 1087, his lands were
divided into two parts. His Norman lands went to his eldest son,
Robert Curthose and his English lands to his second son, William
Rufus. This presented a dilemma for those nobles who held land on
both sides of the English Channel, who decided to unite England and
Normandy once more under one ruler. The pursuit of this aim led
them to revolt against William in favor of Robert in the Rebellion of
1088. As Robert failed to appear in England to rally his supporters,
William won the support of the English lords with silver and promises
of better government, and defeated the rebellion. William died while
hunting in 1100.
Despite Robert's rival claims to William's land, his younger brother

Henry immediately seized power in England. Robert, who invaded in
1101, disputed Henry's control of England. This military campaign
ended in a negotiated settlement that confirmed Henry as king. The
peace was short lived, and Henry invaded the Duchy of Normandy in
1105 and 1106, finally defeating Robert at the Battle of Tinchebray.
Henry I of England named his daughter Matilda his heir, but when he
died in 1135 Matilda was far from England in Anjou or Maine, while
her cousin Stephen was closer in Boulogne, giving him the
advantage he needed to race to England and have himself crowned
and anointed king of England. After Stephen's death in 1154, Henry
II succeeded as the first Angevin king of England, so-called because
he was also the Count of Anjou in northern France. He therefore
added England to his extensive holdings in Normandy and Aquitaine.
England became a key part of a loose-knit assemblage of lands
spread across Western Europe, later termed the Angevin Empire.
Henry was succeeded by his third son, Richard, whose reputation for
martial prowess won him the epithet "Lionheart." When Richard died,
his brother John—Henry’s fifth and only surviving son—took the
throne
Magna Carta
Over the course of King John's reign (1199-1216), a combination of
higher taxes, unsuccessful wars, and conflict with the pope had
made him unpopular with his barons. In 1215 some of the most
important barons engaged in open rebellion against their king. King
John met with the leaders of the barons, along with their French and
Scot allies, to seal the Great Charter (Magna Carta in Latin), which
imposed legal limits on the king's personal powers. It was sealed
under oath by King John at Runnymede, on the bank of the River
Thames near Windsor, England, on June 15, 1215. It promised the
protection of church rights, protection for the barons from illegal
imprisonment, access to swift justice, and limitations on feudal
payments to the Crown, to be implemented through a council of
twenty-five barons.
Magna Carta
One of four known surviving original copies of the Magna Carta of
2015, written in iron gall ink on parchment in medieval Latin,
authenticated with the Great Seal of King John. This document is
held at the British Library.
Background
Although the kingdom had a robust administrative system, the nature
of government under the Angevin monarchs was ill-defined and
uncertain. John and his predecessors had ruled using the principle of
vis et voluntas, or "force and will," making executive and sometimes
arbitrary decisions, often justified on the basis that a king was above
the law. Many contemporary writers believed that monarchs should
rule in accordance with the custom and the law, with the counsel of
the leading members of the realm, but there was no model for what
should happen if a king refused to do so.
John had lost most of his ancestral lands in France to King Philip II in
1204 and had struggled to regain them for many years, raising
extensive taxes on the barons to accumulate money to fight a war
that ultimately ended in expensive failure in 1214. Following the
defeat of his allies at the Battle of Bouvines, John had to sue for
peace and pay compensation. John was already personally
unpopular with a number of the barons, many of whom owed money
to the Crown, and little trust existed between the two sides. A
triumph would have strengthened his position, but within a few
months after his unsuccessful return from France, John found that
rebel barons in the north and east of England were organizing
resistance to his rule.
John met the rebel leaders at Runnymede, a water-meadow on the

south bank of the River Thames, on June 10, 1215. Here the rebels
presented John with their draft demands for reform, the "Articles of
the Barons." Stephen Langton's pragmatic efforts at mediation over
the next ten days turned these incomplete demands into a charter
capturing the proposed peace agreement; a few years later, this
agreement was renamed Magna Carta, meaning "Great Charter."
Clause 61
The 1215 document contained a large section that is now called
clause 61 (the clauses were not originally numbered). This section
established a committee of twenty-five barons who could at any time
meet and overrule the will of the king if he defied the provisions of
the charter, and could seize his castles and possessions if it was
considered necessary. It contained a commitment from John that he
would "seek to obtain nothing from anyone, in our own person or
through someone else, whereby any of these grants or liberties may
be revoked or diminished."
Clause 61 was a serious challenge to John's authority as a ruling

monarch. He renounced it as soon as the barons left London; Pope
Innocent III also annulled the "shameful and demeaning agreement,
forced upon the King by violence and fear." The pope rejected any
call for restraints on the king, saying it impaired John's dignity. He
saw the charter as an affront to the church's authority over the king
and the "papal territories" of England and Ireland, and he released
John from his oath to obey it. The rebels knew that King John could
never be restrained by Magna Carta, and so they sought a new King.
The First Barons' W ar

With the failure of the Magna Carta to achieve peace or restrain
John, the barons reverted to the more traditional type of rebellion by
trying to replace the monarch they disliked with an alternative. In a
measure of some desperation, despite the tenuousness of his claim
and despite the fact that he was French, they offered the crown of
England to Prince Louis of France, who was proclaimed king in
London in May 1216. John travelled around the country to oppose
the rebel forces, directing, among other operations, a two-month
siege of the rebel-held Rochester Castle. He died of dysentery
contracted whilst on campaign in eastern England during late 1216;
supporters of his son Henry III went on to achieve victory over Louis
and the rebel barons the following year.
J ohn of England vs Louis V III of
France
Created in the 14th Century; the image King John of England in
battle with the Francs (left), Prince Louis V III of France on the march
(right).
Legacy
As a means of preventing war, the Magna Carta was a failure,
rejected by most of the barons, and was legally valid for no more
than three months. In practice, the Magna Carta did not generally
limit the power of kings in the medieval period, but by the time of the
English Civil War it had become an important symbol for those who
wished to show that the king was bound by the law. The charter is
widely known throughout the English-speaking world as having
influenced common and constitutional law, as well as political
representation and the development of parliament. The text's
association with ideals of democracy, limitation of power, equality,
and freedom under law led to the rule of constitutional law in
England and beyond. It influenced the early settlers in New England
and inspired later constitutional documents, including the
Constitution of the United States.
J ohn of England signs the Magna
Carta
John of England signs the Magna Carta. Image from Cassell's
History of England, Century Edition, published c. 1902. This image
depicts the stress under the king and all those in England struggling
for power.
11.5 .5 : The Hundred Y ears' W ar

The Hundred Years' War was a series of conflicts between the
kingdoms of England and France for control of the French throne.
Learning Objective
Discuss the three phases of conflict in the Hundred Years' War and
Joan of Arc's role in it
Key Points
The root causes of the conflict can be found in the demographic,
economic, and social crises of 14th-century Europe. The
outbreak of war was motivated by a gradual rise in tension
between the kings of France and England about Guyenne,
Flanders, and Scotland. The Hundred Years' War is commonly
divided into three phases separated by truces: the Edwardian
Era War (1337–1360); the Caroline War (1369–1389); and the
Lancastrian War (1415–1453).
The Edwardian War was driven by Edward III's ambition to
maintain sovereignty in Aquitaine and assert his claim as the
rightful king of France by unseating his rival, Philip V I of France.
The Caroline War was named after Charles V of France, who
resumed the war after the Treaty of Bré tigny.
The Lancastrian War was the third phase of the Anglo-French
Hundred Years' War. It lasted from 1415, when Henry V of
England invaded Normandy, to 1453, when the English failed to
recover Bordeaux.
Joan of Arc was a French peasant woman who had visions
commanding her to drive out the invaders. She inspired the
French troops, and they retook many French cities held by the
English. Joan was burned at the stake and, 25 years after her
death, declared a martyr.
Key Terms
the Black Death
One of the most devastating pandemics in human history,

resulting in the deaths of an estimated 75 to 200 million people
and peaking in Europe in the years 1348–1350.
Treaty of Bré tigny
A treaty signed on May 25, 1360, between King Edward III of

England and King John II (the Good) of France. It is seen as
having marked the end of the first phase of the Hundred Years'
War.
the Black Prince
A name used to refer to Edward of Woodstock, used chiefly

since the 16th century, and not during Edward's lifetime. The
name is thought to stem from his black armor or brutal attitude
in battle.
duchy
A territory, fief, or domain ruled by a duke or duchess.
Joan of Arc
Considered a heroine of France for her role during the

Lancastrian phase of the Hundred Years' War; canonized as a
Roman Catholic saint.
Background
In the 13th century, after the Magna Carta failed to prevent the Baron
Wars, King John and his son King Henry III's reigns were
characterized by numerous rebellions and civil wars, often provoked
by incompetence and mismanagement in government. The reign of
Henry III's son Edward I (1272–1307), was rather more successful.
Edward enacted numerous laws strengthening the powers of his
government, and he summoned the first officially sanctioned
Parliaments of England. He conquered Wales and attempted to use
a succession dispute to gain control of the Kingdom of Scotland,
though this developed into a costly and drawn-out military campaign.
After the disastrous reign of Edward II, which saw military losses and
the Great Famine, Edward III reigned from 1327–1377, restoring
royal authority and transforming the Kingdom of England into the
most efficient military power in Europe. His reign saw vital
developments in legislature and government—in particular the
evolution of the English parliament—as well as the ravages of the
Black Death. After defeating, but not subjugating, the Kingdom of
Scotland, he declared himself rightful heir to the French throne in
1338, but his claim was denied. This started what would become
known as the Hundred Years' War.
The Hundred Y ears' W ar

The Hundred Years' War is the term used to describe a series of
conflicts from 1337 to 1453, between the rulers of the Kingdom of
England and the House of V alois for control of the French throne.
These 116 years saw a great deal of battle on the continent, most of
it over disputes as to which family line should rightfully be upon the
throne of France. By the end of the Hundred Years' War, the
population of France was about half what it had been before the era
began.
The root causes of the conflict can be found in the demographic,

economic, and social crises of 14th-century Europe. The outbreak of
war was motivated by a gradual rise in tension between the kings of
France and England about Guyenne, Flanders, and Scotland. The
dynastic question, which arose due to an interruption of the direct
male line of the Capetians, was the official pretext.
The dispute over Guyenne is even more important than the dynastic
question in explaining the outbreak of the war. Guyenne posed a
significant problem to the kings of France and England; Edward III
was a vassal of Philip V I of France and was required to recognize
the sovereignty of the king of France over Guyenne. In practical
terms, a judgment in Guyenne might be subject to an appeal to the
French royal court. The king of France had the power to revoke all
legal decisions made by the king of England in Aquitaine, which was
unacceptable to the English. Therefore, sovereignty over Guyenne
was a latent conflict between the two monarchies for several
generations.
The war owes its historical significance to multiple factors. Although

primarily a dynastic conflict, the war gave impetus to ideas of French
and English nationalism. By its end, feudal armies had been largely
replaced by professional troops, and aristocratic dominance had
yielded to a democratization of the manpower and weapons of
armies. The wider introduction of weapons and tactics supplanted
the feudal armies where heavy cavalry had dominated. The war
precipitated the creation of the first standing armies in Western
Europe since the time of the Western Roman Empire, composed
largely of commoners and thus helping to change their role in
warfare. With respect to the belligerents, English political forces over
time came to oppose the costly venture. The dissatisfaction of
English nobles, resulting from the loss of their continental
landholdings, became a factor leading to the civil wars known as the
Wars of the Roses (1455–1487). In France, civil wars, deadly
epidemics, famines, and bandit free-companies of mercenaries
reduced the population drastically. Deprived of its continental
possessions, England was left with the sense of being an island
nation, which profoundly affected its outlook and development for
more than 500 years.
Historians commonly divide the war into three phases separated by

truces: 1) the Edwardian Era War (1337–1360); 2) the Caroline War
(1369–1389); and 3) the Lancastrian War (1415–1453), which saw
the slow decline of English fortunes after the appearance of Joan of
Arc in 1429.
The Edwardian Era W ar

The Edwardian War was the first series of hostilities of the Hundred
Years' War. It was a series of punctuated, separate conflicts waged
between the kingdoms of England and France and their various
allies for control of the French throne. The Edwardian War was
driven by Edward III's ambition to maintain sovereignty in Aquitaine
and assert his claim as the rightful king of France by unseating his
rival, Philip V I of France.
Edward had inherited the duchy of Aquitaine, and as duke of

Aquitaine he was a vassal to Philip V I of France. He refused,
however, to acknowledge his fealty to Philip, who responded by
confiscating the duchy of Aquitaine in 1337; this precipitated war,
and soon, in 1340, Edward declared himself king of France. Edward
III and his son the Black Prince led their armies on a largely
successful campaign across France. Hostilities were paused in the
mid-1350s for the deprivations of the Black Death. Then war
continued, and the English were victorious at the Battle of Poitiers
(1356), where the French king, John II, was captured and held for
ransom. The Truce of Bordeaux was signed in 1357 and was
followed by two treaties in London in 1358 and 1359.
After the treaties of London failed, Edward launched the Rheims

campaign. Though largely unsuccessful, this campaign led to the
Treaty of Bré tigny (signed 1360), which settled certain lands in
France on Edward for renouncing his claim to the French throne.
This peace lasted nine years, until a second phase of hostilities
known as the Caroline War began.
The Caroline W ar
The Caroline War was named after Charles V of France, who
resumed the war after the Treaty of Bré tigny. In May 1369, the Black
Prince, son of Edward III of England, refused an illegal summons
from the French king demanding he come to Paris, and Charles
responded by declaring war. He immediately set out to reverse the
territorial losses imposed at Bré tigny, but was largely successful. His
successor, Charles V I, made peace with Richard II, son of the Black
Prince, in 1389. This truce was extended many times until the war
was resumed in 1415.
The Lancastrian W ar
The Lancastrian War was the third phase of the Anglo-French
Hundred Years' War. It lasted from 1415, when Henry V of England
invaded Normandy, to 1453, when the English failed to recover
Bordeaux. It followed a long period of peace from 1389, at end of the
Caroline War. This phase was named after the House of Lancaster,
the ruling house of the Kingdom of England, to which Henry V
belonged. After the invasion of 1419, Henry V and, after his death,
his brother John of Lancaster, Duke of Bedford, brought the English
to the height of their power in France, with an English king crowned
in Paris.
However, by that time, with charismatic leaders such as Joan of Arc,

strong French counterattacks had started to win back all English
continental territories, except the Pale of Calais, which was finally
captured in 1558. Charles V II of France was crowned in Notre-Dame
de Reims in 1429. The Battle of Castillon (1453) was the last battle
of the Hundred Years' War, but France and England remained
formally at war until the Treaty of Picquigny in 1475. English, and
later British, monarchs would continue to claim the French throne
until 1800.
Attacks on England by the Franco-
Castilian Navy, 137 4-138 0
The Franco-Castilian Navy, led by Admirals de V ienne and Tovar,
managed to raid the English coasts for the first time since the
beginning of the Hundred Years' War.
J oan of Arc
Joan of Arc is considered a heroine of France for her role during the
Lancastrian phase of the Hundred Years' War, and was canonized as
a Roman Catholic saint. Joan of Arc was born to Jacques d'Arc and
Isabelle Romé e, a peasant family, at Domré my, in northeast France.
Joan said she received visions of the Archangel Michael, Saint
Margaret, and Saint Catherine of Alexandria instructing her to
support Charles V II and recover France from English domination late
in the Hundred Years' War. The uncrowned King Charles V II sent
Joan to the siege of Orlé ans as part of a relief mission. She gained
prominence after the siege was lifted only nine days later. Several
additional swift victories led to Charles V II's coronation at Reims.
This long-awaited event boosted French morale and paved the way
for the final French victory.
On May 23, 1430, Joan was captured at Compiè gne by the English-
allied Burgundian faction. She was later handed over to the English
and then put on trial by the pro-English Bishop of Beauvais Pierre
Cauchon on a variety of charges. She was convicted on May 30,
1431, and burned at the stake when she was about nineteen years
old.
J oan of Arc
Painting, c. 1485. An artist's interpretation, since the only known
direct portrait has not survived.
Twenty-five years after her execution, an inquisitorial court
authorized by Pope Callixtus III examined the trial, pronounced her
innocent, and declared her a martyr. Joan of Arc was beatified in
1909 and canonized in 1920. She is one of the nine secondary
patron saints of France, along with St. Denis, St. Martin of Tours, St.
Louis, St. Michael, St. Remi, St. Petronilla, St. Radegund, and St.
Thé rè se of Lisieux.
Attributions
The Anglo-Saxons
"Hadrian's Wall."
https://en.wikipedia.org/wiki/Hadrian%27s_Wall. Wikipedia
CC BY-SA 3.0.
"Anglo-Saxons." https://en.wikipedia.org/wiki/Anglo-Saxons.
"Alfred the Great."
https://en.wikipedia.org/wiki/Alfred_the_Great. Wikipedia
CC BY-SA 3.0.
"West_Stow_Anglo-Saxon_village_2.jpg."
https://en.wikipedia.org/wiki/Anglo-
Saxons# /media/File:West_Stow_Anglo-
Saxon_village_2.jpg. Wikipedia CC BY-SA 3.0.
"963px-England_green_top.svg.png."
Saxons# /media/File:England_green_top.svg. Wikipedia CC
BY-SA 3.0.
The Norman Invasion of 1066 CE
"The Norman Conquest."
http://en.wikipedia.org/wiki/Norman_Conquest. Wikipedia
CC BY-SA 3.0.
"Battle of Hastings."
http://en.wikipedia.org/wiki/Battle_of_Hastings. Wikipedia
CC BY-SA 3.0.
"Normans." http://en.wikipedia.org/wiki/Normans. Wikipedia
CC BY-SA 3.0.
"Harold dead Bayeux Tapestry."
http://commons.wikimedia.org/wiki/File:Harold_dead_bayeu
x_tapestry.png. Wikicommons Public domain.
William the Conqueror's Rule
"Domesday Book."
http://en.wikipedia.org/wiki/Domesday_Book. Wikipedia CC
BY-SA 3.0.
"William the Conqueror."
http://en.wikipedia.org/wiki/William_the_Conqueror.
"Edward the Confessor."
http://en.wikipedia.org/wiki/Edward_the_Confessor.
"Kent, Page 1."
http://www.domesdaymap.co.uk/book/kent/01/. Open
Domesday CC BY-SA.
The Magna Carta
"Magna Carta." http://en.wikipedia.org/wiki/Magna_Carta.
"English Civil War."
http://en.wikipedia.org/wiki/English_Civil_War. Wikipedia
CC BY-SA 3.0.
"John of England signs Magna Carta."
http://en.wikipedia.org/wiki/Magna_Carta%23mediaviewer/F
ile:Joao_sem_terra_assina_carta_Magna.jpg. Wikipedia
Public domain.
"John of England vs Louis V III of France."
http://en.wikipedia.org/wiki/First_Barons'_War%23mediavie
wer/File:John_of_England_vs_Louis_V III_of_France.jpg.
"Magna Carta (British Library Cotton MS Augustus II.106)."
http://en.wikipedia.org/wiki/File:Magna_Carta_(British_Libra
ry_Cotton_MS_Augustus_II.106).jpg. Wikipedia Public
domain.
The Hundred Years' War
"History of England."
https://en.wikipedia.org/wiki/History_of_England# V iking_ch
allenge_and_the_rise_of_Wessex. Wikipedia CC BY-SA
3.0.
"Edward, The Black Prince."
http://en.wikipedia.org/wiki/Edward,_the_Black_Prince.
"Hundred Years."
http://en.wikipedia.org/wiki/Hundred_Years. Wikipedia CC
BY-SA 3.0.
"Joan of Arc." https://en.wikipedia.org/wiki/Joan_of_Arc.
"Treaty of Br& # 233;tigny."
http://en.wikipedia.org/wiki/Treaty_of_Br%C3%A9tigny.
"Black Death." http://en.wikipedia.org/wiki/Black_Death.
"Hundred Years' War (1369& # 8211;89)."
http://en.wikipedia.org/wiki/Hundred_Years'_War_(1369%E
2%80%9389). Wikipedia CC BY-SA 3.0.
"Hundred Years' War (1415& # 8211;53)."
http://en.wikipedia.org/wiki/Hundred_Years'_War_(1415-
1429). Wikipedia CC BY-SA 3.0.
"Duchy." http://en.wikipedia.org/wiki/Duchy. Wikipedia CC
BY-SA 3.0.
"Unit 7 - Later Middle Ages."
http://mrgrayhistory.wikispaces.com/UNIT+ 7+ -
+ LATER+ MIDDLE+ AGES. mrgrayhistory Wikispace CC BY-
SA 3.0.
"Hundred Years' War." http://arcana.wikidot.com/hundred-
years-war. The Arcana Wiki CC BY-SA 3.0.
"Joan of arc miniature graded."
http://en.wikipedia.org/wiki/File:Joan_of_arc_miniature_gra
ded.jpg. Wikipedia CC BY-SA 3.0.
"The Franco-Castilian Navy."
http://en.wikipedia.org/wiki/Hundred_Years'_War%23media
viewer/File:Ofensivas_Tovar-
V ienne_contra_Inglaterra_01.jpg. Wikipedia CC BY-SA 3.0.
11.6: The Crusades
11.6.1: The Crusades
The Crusades were military campaigns sanctioned by the Roman
Catholic Church during the High and Late Middle Ages.
Learning Objective
Describe the origins of the Crusades
Key Points
The Crusades were a series of military conflicts conducted by
Christian knights to defend Christians and the Christian empire
against Muslim forces.
The Holy Land was part of the Roman Empire until the Islamic
conquests of the 7th and 8th centuries. Thereafter, Christians
were permitted to visit parts of the Holy Land until 1071, when
Christian pilgrimages were stopped by the Seljuq Turks.
The Seljuq Turks had taken over much of Byzantium after the
Byzantine defeat at the Battle of Manzikert in 1071.
In 1095 at the Council of Piacenza, Byzantine Emperor Alexios I
Komnenos requested military aid from Urban II to fight the
Turks.
In July 1095, Urban turned to his homeland of France to recruit
men for the expedition. His travels there culminated in the
Council of Clermont in November, where he gave speeches
combining the idea of pilgrimage to the Holy Land with that of
waging a holy war against infidels, which received an
enthusiastic response.
Key Terms
Seljuq Empire
A medieval Turko-Persian Sunni Muslim empire that controlled a

vast area stretching from the Hindu Kush to eastern Anatolia
and from Central Asia to the Persian Gulf. The Seljuq Turk
attack on Byzantium helped spur the crusades.
heretical
Relating to departure from established beliefs or customs.
Byzantine Empire
The predominantly Greek-speaking continuation of the eastern

half of the Roman Empire during Late Antiquity and the Middle
Ages.
schism
A division or a split, usually between groups belonging to a

religious denomination.
The Crusades were a series of military conflicts conducted by

Christian knights for the defense of Christians and for the expansion
of Christian domains between the 11th and 15th centuries.
Generally, the Crusades refer to the campaigns in the Holy Land
sponsored by the papacy against Muslim forces. There were other
crusades against Islamic forces in southern Spain, southern Italy,
and Sicily, as well as campaigns of Teutonic knights against pagan
strongholds in Eastern Europe. A few crusades, such as the Fourth
Crusade, were waged within Christendom against groups that were
considered heretical and schismatic. Crusades were fought for many
reasons—to capture Jerusalem, recapture Christian territory, or
defend Christians in non-Christian lands; as a means of conflict
resolution among Roman Catholics; for political or territorial
advantage; and to combat paganism and heresy.
Origin of the Crusades
The origin of the Crusades in general, and particularly of the First
Crusade, is widely debated among historians. The confusion is
partially due to the numerous armies in the First Crusade, and their
lack of direct unity. The similar ideologies held the armies to similar
goals, but the connections were rarely strong, and unity broke down
often. The Crusades are most commonly linked to the political and
social situation in 11th-century Europe, the rise of a reform
movement within the papacy, and the political and religious
confrontation of Christianity and Islam in Europe and the Middle
East. Christianity had spread throughout Europe, Africa, and the
Middle East in Late Antiquity, but by the early 8th century Christian
rule had become limited to Europe and Anatolia after the Muslim
conquests.
Background in Europe
The Holy Land had been part of the Roman Empire, and thus the
Byzantine Empire, until the Islamic conquests. In the 7th and 8th
centuries, Islam was introduced in the Arabian Peninsula by the
Islamic prophet Muhammad and his followers. This formed a unified
Muslim polity, which led to a rapid expansion of Arab power, the
influence of which stretched from the northwest Indian subcontinent,
across Central Asia, the Middle East, North Africa, southern Italy,
and the Iberian Peninsula, to the Pyrenees. Tolerance, trade, and
political relationships between the Arabs and the Christian states of
Europe waxed and waned. For example, the Fatimid caliph al-Hakim
bi-Amr Allah destroyed the Church of the Holy Sepulchre, but his
successor allowed the Byzantine Empire to rebuild it. Pilgrimages by
Catholics to sacred sites were permitted, resident Christians were
given certain legal rights and protections under Dhimmi status, and
interfaith marriages were not uncommon. Cultures and creeds
coexisted and competed, but the frontier conditions became
increasingly inhospitable to Catholic pilgrims and merchants.
At the western edge of Europe and of Islamic expansion, the

Reconquista (recapture of the Iberian Peninsula from the Muslims)
was well underway by the 11th century, reaching its turning point in
1085 when Alfonso V I of Leó n and Castile retook Toledo from
Muslim rule. Increasingly in the 11th century, foreign knights, mostly
from France, visited Iberia to assist the Christians in their efforts.
The heart of Western Europe had been stabilized after the

Christianization of the Saxon, V iking, and Hungarian peoples by the
end of the 10th century. However, the breakdown of the Carolingian
Empire gave rise to an entire class of warriors who now had little to
do but fight among themselves. The random violence of the knightly
class was regularly condemned by the church, and so it established
the Peace and Truce of God to prohibit fighting on certain days of
the year.
At the same time, the reform-minded papacy came into conflict with
the Holy Roman Emperors, resulting in the Investiture Controversy.
The papacy began to assert its independence from secular rulers,
marshaling arguments for the proper use of armed force by
Catholics. Popes such as Gregory V II justified the subsequent
warfare against the emperor's partisans in theological terms. It
became acceptable for the pope to utilize knights in the name of
Christendom, not only against political enemies of the papacy, but
also against Al-Andalus, or, theoretically, against the Seljuq dynasty
in the east. The result was intense piety, an interest in religious
affairs, and religious propaganda advocating a just war to reclaim
Palestine from the Muslims. Participation in such a war was seen as
a form of penance that could counterbalance sin.
Aid to Byz antium

To the east of Europe lay the Byzantine Empire, composed of
Christians who had long followed a separate Orthodox rite; the
Eastern Orthodox and Roman Catholic churches had been in schism
since 1054. Historians have argued that the desire to impose Roman
church authority in the east may have been one of the goals of the
Crusades, although Urban II, who launched the First Crusade, never
refers to such a goal in his letters on crusading. The Seljuq Empire
had taken over almost all of Anatolia after the Byzantine defeat at
the Battle of Manzikert in 1071; however, their conquests were
piecemeal and led by semi-independent warlords, rather than by the
sultan. A dramatic collapse of the empire's position on the eve of the
Council of Clermont brought Byzantium to the brink of disaster. By
the mid-1090s, the Byzantine Empire was largely confined to Balkan
Europe and the northwestern fringe of Anatolia, and faced Norman
enemies in the west as well as Turks in the east. In response to the
defeat at Manzikert and subsequent Byzantine losses in Anatolia in
1074, Pope Gregory V II had called for the milites Christi ("soldiers of
Christ") to go to Byzantium's aid.
Seljuq Empire
The Great Seljuq Empire at its greatest extent (1092).
The Seljuk Empire covered portions of modern-day Afghanistan,

Armenia, Azerbaijan, China, Egypt, Georgia, Iran, Iraq, Israel,
Jordan, Kazakhstan, Kuwait, Kyrgyzstan, Lebanon, Nagorno-
Karabakh, Oman, Palestine, Russia, Saudi Arabia, Syria, Tajikistan,
Turkey, Turkmenistan, UAE, Uzbekistan, and Yemen.
While the Crusades had causes deeply rooted in the social and
political situations of 11th-century Europe, the event actually
triggering the First Crusade was a request for assistance from
Byzantine emperor Alexios I Komnenos. Alexios was worried about
the advances of the Seljuqs, who had reached as far west as
Nicaea, not far from Constantinople. In March 1095, Alexios sent
envoys to the Council of Piacenza to ask Pope Urban II for aid
against the Turks.
Urban responded favorably, perhaps hoping to heal the Great

Schism of forty years earlier, and to reunite the Church under papal
primacy by helping the eastern churches in their time of need.
Alexios and Urban had previously been in close contact in 1089 and
later, and had openly discussed the prospect of the (re)union of the
Christian church. There were signs of considerable co-operation
between Rome and Constantinople in the years immediately before
the Crusade.
In July 1095, Urban turned to his homeland of France to recruit men

for the expedition. His travels there culminated in the Council of
Clermont in November, where, according to the various speeches
attributed to him, he gave an impassioned sermon to a large
audience of French nobles and clergy, graphically detailing the
fantastical atrocities being committed against pilgrims and eastern
Christians. Urban talked about the violence of European society and
the necessity of maintaining the Peace of God; about helping the
Greeks, who had asked for assistance; about the crimes being
committed against Christians in the east; and about a new kind of
war, an armed pilgrimage, and of rewards in heaven, where
remission of sins was offered to any who might die in the
undertaking. Combining the idea of pilgrimage to the Holy Land with
that of waging a holy war against infidels, Urban received an
enthusiastic response to his speeches and soon after began
collecting military forces to begin the First Crusade.
Council of Clermont
Pope Urban II at the Council of Clermont, where he gave speeches
in favor of a Crusade.
11.6.2: The First Crusade

The First Crusade (1095–1099) was a military expedition by Roman
Catholic Europe to regain the Holy Lands taken in Muslim
conquests, ultimately resulting in the recapture of Jerusalem.
Learning Objective
Evaluate the events of the First Crusade
Key Points
The First Crusade (1095–1099), called for by Pope Urban II,
was the first of a number of crusades that attempted to
recapture the Holy Lands.
It was launched on November 27, 1095, by Pope Urban II with
the primary goal of responding to an appeal from Byzantine
Emperor Alexios I Komnenos, who had been defeated by
Turkish forces.
An additional goal soon became the principal objective—the
Christian reconquest of the sacred city of Jerusalem and the
Holy Land and the freeing of the Eastern Christians from Muslim
rule.
The first object of the campaign was Nicaea, previously a city
under Byzantine rule, which the Crusaders captured on June 18,
1097, by defeating the troops of Kilij Arslan.
After marching through the Mediterranean region, the Crusaders
arrived at Jerusalem, launched an assault on the city, and
captured it in July 1099, massacring many of the city's Muslim
and Jewish inhabitants.
In the end, they established the crusader states of the Kingdom
of Jerusalem, the County of Tripoli, the Principality of Antioch,
and the County of Edessa.
Key Terms
Church of the Holy Sepulchre
A church within the Christian Quarter of the Old City of

Jerusalem that contains, according to traditions dating back to at
least the 4th century, the two holiest sites in Christendom—the
site where Jesus of Nazareth was crucified and Jesus's empty
tomb, where he is said to have been buried and resurrected.
Alexios I Komnenos
Byzantine emperor from 1081 to 1118, whose appeals to

Western Europe for help against the Turks were also the
catalyst that likely contributed to the convoking of the Crusades.
Pope Urban II
Pope from March 12, 1088, to his death in 1099, he is best

known for initiating the First Crusade.
People's Crusade
An expedition seen as the prelude to the First Crusade that

lasted roughly six months, from April to October 1096, and was
led mostly by peasants.
Overview
The First Crusade (1095–1099), called for by Pope Urban II, was the
first of a number of crusades intended to recapture the Holy Lands. It
started as a widespread pilgrimage in western Christendom and
ended as a military expedition by Roman Catholic Europe to regain
the Holy Lands taken in the Muslim conquests of the Mediterranean
(632–661), ultimately resulting in the recapture of Jerusalem in 1099.
It was launched on November 27, 1095, by Pope Urban II with the

primary goal of responding to an appeal from Byzantine Emperor
Alexios I Komnenos, who requested that western volunteers come to
his aid and help to repel the invading Seljuq Turks from Anatolia
(modern-day Turkey). An additional goal soon became the principal
objective—the Christian reconquest of the sacred city of Jerusalem
and the Holy Land and the freeing of the Eastern Christians from
Muslim rule.
During the crusade, knights, peasants, and serfs from many regions
of Western Europe travelled over land and by sea, first to
Constantinople and then on toward Jerusalem. The Crusaders
arrived at Jerusalem, launched an assault on the city, and captured it
in July 1099, massacring many of the city's Muslim and Jewish
inhabitants. They also established the crusader states of the
Kingdom of Jerusalem, the County of Tripoli, the Principality of
Antioch, and the County of Edessa.
People's Crusade
Pope Urban II planned the departure of the crusade for August 15,
1096; before this, a number of unexpected bands of peasants and
low-ranking knights organized and set off for Jerusalem on their own,
on an expedition known as the People's Crusade, led by a monk
named Peter the Hermit. The peasant population had been afflicted
by drought, famine, and disease for many years before 1096, and
some of them seem to have envisioned the crusade as an escape
from these hardships. Spurring them on had been a number of
meteorological occurrences beginning in 1095 that seemed to be a
divine blessing for the movement—a meteor shower, an aurorae, a
lunar eclipse, and a comet, among other events. An outbreak of
ergotism had also occurred just before the Council of Clermont.
Millenarianism, the belief that the end of the world was imminent,
widespread in the early 11th century, experienced a resurgence in
popularity. The response was beyond expectations; while Urban
might have expected a few thousand knights, he ended up with a
migration numbering up to 40,000 Crusaders of mostly unskilled
fighters, including women and children.
Lacking military discipline in what likely seemed a strange land

(Eastern Europe), Peter's fledgling army quickly found itself in
trouble despite the fact that they were still in Christian territory. This
unruly mob began to attack and pillage outside Constantinople in
search of supplies and food, prompting Alexios to hurriedly ferry the
gathering across the Bosporus one week later. After crossing into
Asia Minor, the crusaders split up and began to plunder the
countryside, wandering into Seljuq territory around Nicaea, where
they were massacred by an overwhelming group of Turks.
People's Crusade massacre
An illustration showing the defeat of the People's Crusade by the
Turks.
The First Crusade

The four main Crusader armies left Europe around the appointed
time in August 1096. They took different paths to Constantinople and
gathered outside the city walls between November 1096 and April
1097; Hugh of V ermandois arrived first, followed by Godfrey,
Raymond, and Bohemond. This time, Emperor Alexios was more
prepared for the Crusaders; there were fewer incidents of violence
along the way.
The Crusaders may have expected Alexios to become their leader,

but he had no interest in joining them, and was mainly concerned
with transporting them into Asia Minor as quickly as possible. In
return for food and supplies, Alexios requested that the leaders to
swear fealty to him and promise to return to the Byzantine Empire
any land recovered from the Turks. Before ensuring that the various
armies were shuttled across the Bosporus, Alexios advised the
leaders on how best to deal with the Seljuq armies they would soon
encounter.
Siege of Nicaea and March to

J erusalem
The Crusader armies crossed over into Asia Minor during the first
half of 1097, where they were joined by Peter the Hermit and the
remainder of his little army. Alexios also sent two of his own
generals, Manuel Boutoumites and Tatikios, to assist the Crusaders.
The first object of their campaign was Nicaea, previously a city under
Byzantine rule, but which had become the capital of the Seljuq
Sultanate of Rum under Kilij Arslan I. Arslan was away campaigning
against the Danishmends in central Anatolia at the time, and had left
behind his treasury and his family, underestimating the strength of
these new Crusaders.
Subsequently, upon the Crusaders' arrival, the city was subjected to

a lengthy siege, and when Arslan had word of it he rushed back to
Nicaea and attacked the Crusader army on May 16. He was driven
back by the unexpectedly large Crusader force, with heavy losses
suffered on both sides in the ensuing battle. The siege continued,
but the Crusaders had little success as they found they could not
blockade Lake Iznik, which the city was situated on, and from which
it could be provisioned. To break the city, Alexios had the Crusaders'
ships rolled over land on logs, and at the sight of them the Turkish
garrison finally surrendered, 18 June 18. The city was handed over
to the Byzantine troops.
At the end of June, the Crusaders marched on through Anatolia.

They were accompanied by some Byzantine troops under Tatikios,
and still harbored the hope that Alexios would send a full Byzantine
army after them. After a battle with Kilij Arslan, the Crusaders
marched through Anatolia unopposed, but the journey was
unpleasant, as Arslan had burned and destroyed everything he left
behind in his army's flight. It was the middle of summer, and the
Crusaders had very little food and water; many men and horses
died. Fellow Christians sometimes gave them gifts of food and
money, but more often than not the Crusaders simply looted and
pillaged whenever the opportunity presented itself.
Proceeding down the Mediterranean coast, the crusaders

encountered little resistance, as local rulers preferred to make peace
with them and furnish them with supplies rather than fight.
Capture of J erusalem
On June 7, the Crusaders reached Jerusalem, which had been
recaptured from the Seljuqs by the Fatimids only the year before.
Many Crusaders wept upon seeing the city they had journeyed so
long to reach. The arrival at Jerusalem revealed an arid countryside,
lacking in water or food supplies. Here there was no prospect of
relief, even as they feared an imminent attack by the local Fatimid
rulers. The Crusaders resolved to take the city by assault. They
might have been left with little choice, as it has been estimated that
only about 12,000 men, including 1,500 cavalry, remained by the
time the army reached Jerusalem.
After the failure of the initial assault, a meeting between the various
leaders was organized in which it was agreed upon that a more
concerted attack would be required in the future. On June 17, a party
of Genoese mariners under Guglielmo Embriaco arrived at Jaffa and
provided the Crusaders with skilled engineers, and perhaps more
critically, supplies of timber (cannibalized from the ships) with which
to build siege engines. The Crusaders' morale was raised when a
priest, Peter Desiderius, claimed to have had a divine vision of
Bishop Adhemar instructing them to fast and then march in a
barefoot procession around the city walls, after which the city would
fall, following the Biblical story of Joshua at the siege of Jericho.
The final assault on Jerusalem began on July 13; Raymond's troops

attacked the south gate while the other contingents attacked the
northern wall. Initially the Provenç als at the southern gate made little
headway, but the contingents at the northern wall fared better, with a
slow but steady attrition of the defense. On July 15, a final push was
launched at both ends of the city, and eventually the inner rampart of
the northern wall was captured. In the ensuing panic, the defenders
abandoned the walls of the city at both ends, allowing the Crusaders
to finally enter.
Capture of J erusalem
A depiction of the capture of Jerusalem in 1099 from a medieval
manuscript. The burning buildings of Jerusalem are centered in the
image. The various Crusaders are surrounding and besieging the
village armed for an attack.
The massacre that followed the capture of Jerusalem has attained

particular notoriety, as a "juxtaposition of extreme violence and
anguished faith." The eyewitness accounts from the Crusaders
themselves leave little doubt that there was a great slaughter in the
aftermath of the siege. Nevertheless, some historians propose that
the scale of the massacre was exaggerated in later medieval
sources. The slaughter lasted a day; Muslims were indiscriminately
killed, and Jews who had taken refuge in their synagogue died when
it was burnt down by the Crusaders. The following day, Tancred's
prisoners in the mosque were slaughtered. Still, it is clear that some
Muslims and Jews of the city survived the massacre, either escaping
or being taken prisoner to be ransomed. The Eastern Christian
population of the city had been expelled before the siege by the
governor, and thus escaped the massacre.
On July 22, a council was held in the Church of the Holy Sepulchre
to establish a king for the newly created Kingdom of Jerusalem.
Raymond IV of Toulouse and Godfrey of Bouillon were recognized
as the leaders of the crusade and the siege of Jerusalem. Raymond
was the wealthier and more powerful of the two, but at first he
refused to become king, perhaps attempting to show his piety and
probably hoping that the other nobles would insist upon his election
anyway. The more popular Godfrey did not hesitate like Raymond,
and accepted a position as secular leader.
Having captured Jerusalem and the Church of the Holy Sepulchre,

the Crusaders had fulfilled their vow.
11.6.3: The Second Crusade

The Second Crusade (1147–1149) was the second major crusade
launched against Islam by Catholic Europe, started in response to
the fall of the County of Edessa founded in the First Crusade; it was
largely a failure for the Europeans.
Learning Objective
Explain the successes and failures of the Second Crusade
Key Points
The Second Crusade was started in 1147 in response to the fall
of the County of Edessa the previous year to the forces of
Zengi; Edessa was founded during the First Crusade.
The Second Crusade was led by two European kings—Louis V II
of France and Conrad III of Germany.
The German and French armies took separate routes to
Anatolia, fighting skirmishes along the way, and both were
defeated separately by the Seljuq Turks.
Louis and Conrad and the remnants of their armies eventually
reached Jerusalem and participated in an ill-advised attack on
Damascus in 1148.
The Second Crusade was a failure for the Crusaders and a
great victory for the Muslims.
Key Terms
Louis V II
A Capetian king of the Franks from 1137 until his death who led
troops in the Second Crusade.
Manuel I Komneno
A Byzantine Emperor of the 12th century who reigned over a

crucial turning point in the history of Byzantium and the
Mediterranean, including the Second Crusade.
Conrad III
First German king of the Hohenstaufen dynasty, who led troops

in the Second Crusade.
Moors
The Muslim inhabitants of the Maghreb, North Africa and the

Iberian Peninsula, Sicily, and Malta during the Middle Ages, who
initially were Berber and Arab peoples of North African descent.
The Second Crusade

The Second Crusade (1147–1149) was the second major crusade
launched from Europe as a Catholic holy war against Islam. The
Second Crusade was started in 1147 in response to the fall of the
County of Edessa the previous year to the forces of Zengi. The
county had been founded during the First Crusade by King Baldwin
of Boulogne in 1098. While it was the first Crusader state to be
founded, it was also the first to fall.
The Second Crusade was announced by Pope Eugene III, and was
the first of the crusades to be led by European kings, namely Louis
V II of France and Conrad III of Germany, who had help from a
number of other European nobles. The armies of the two kings
marched separately across Europe. After crossing Byzantine territory
into Anatolia, both armies were separately defeated by the Seljuq
Turks. The main Western Christian source, Odo of Deuil, and Syriac
Christian sources claim that the Byzantine Emperor Manuel I
Komnenos secretly hindered the Crusaders' progress, particularly in
Anatolia, where he is alleged to have deliberately ordered Turks to
attack them. Louis and Conrad and the remnants of their armies
reached Jerusalem and participated in an ill-advised attack on
Damascus in 1148. The Crusade in the east was a failure for the
Crusaders and a great victory for the Muslims. It would ultimately
have a key influence on the fall of Jerusalem and give rise to the
Third Crusade at the end of the 12th century.
The only Christian success of the Second Crusade came to a

combined force of 13,000 Flemish, Frisian, Norman, English,
Scottish, and German Crusaders in 1147. Traveling by ship from
England to the Holy Land, the army stopped and helped the smaller
(7,000) Portuguese army capture Lisbon, expelling its Moorish
occupants.
Crusade in the East

Joscelin II had tried to take back Edessa, but Nur ad-Din defeated
him in November 1146. On February 16, 1147, the French Crusaders
met to discuss their route. The Germans had already decided to
travel overland through Hungary, as the sea route was politically
impractical because Roger II, king of Sicily, was an enemy of
Conrad. Many of the French nobles distrusted the land route, which
would take them through the Byzantine Empire, the reputation of
which still suffered from the accounts of the First Crusaders.
Nevertheless, it was decided to follow Conrad, and to set out on
June 15.
German Route
The German crusaders, accompanied by the papal legate and
Cardinal Theodwin, intended to meet the French in Constantinople.
Ottokar III of Styria joined Conrad at V ienna, and Conrad's enemy
Gé za II of Hungary allowed them to pass through unharmed. When
the German army of 20,000 men arrived in Byzantine territory,
Emperor Manuel I Komnenos feared they were going to attack him,
and Byzantine troops were posted to ensure that there was no
trouble. On September 10, the Germans arrived at Constantinople,
where relations with Manuel were poor. There was a battle, after
which the Germans were convinced that they should cross into Asia
Minor as quickly as possible.
In Asia Minor, Conrad decided not to wait for the French, and
marched towards Iconium, capital of the Seljuq Sultanate of Rû m.
Conrad split his army into two divisions. The authority of the
Byzantine Empire in the western provinces of Asia Minor was more
nominal than real, with much of the provinces being a no-man's land
controlled by Turkish nomads. Conrad underestimated the length of
the march against Anatolia, and anyhow assumed that the authority
of Emperor Manuel was greater in Anatolia than was in fact the case.
Conrad took the knights and the best troops with him to march
overland and sent the camp followers with Otto of Freising to follow
the coastal road. The king's contingent was almost totally destroyed
by the Seljuqs on October 25, 1147, at the second Battle of
Dorylaeum.
French Route
The French crusaders departed from Metz in June 1147, led by
Louis, Thierry of Alsace, Renaut I of Bar, Amadeus III, Count of
Savoy and his half-brother William V of Montferrat, William V II of
Auvergne, and others, along with armies from Lorraine, Brittany,
Burgundy, and Aquitaine. A force from Provence, led by Alphonse of
Toulouse, chose to wait until August and cross by sea. At Worms,
Louis joined with crusaders from Normandy and England.
They followed Conrad's route fairly peacefully, although Louis came

into conflict with King Geza of Hungary when Geza discovered Louis
had allowed an attempted Hungarian usurper to join his army.
Relations within Byzantine territory were grim, and the Lorrainers,
who had marched ahead of the rest of the French, also came into
conflict with the slower Germans whom they met on the way.
The French met the remnants of Conrad's army at Lopadion, and

Conrad joined Louis's force. They followed Otto of Freising's route,
moving closer to the Mediterranean coast, and they arrived at
Ephesus in December, where they learned that the Turks were
preparing to attack them. Manuel had sent ambassadors
complaining about the pillaging and plundering that Louis had done
along the way, and there was no guarantee that the Byzantines
would assist them against the Turks. Meanwhile, Conrad fell sick and
returned to Constantinople, where Manuel attended to him
personally, and Louis, paying no attention to the warnings of a
Turkish attack, marched out from Ephesus with the French and
German survivors. The Turks were indeed waiting to attack, but in a
small battle outside Ephesus, the French and Germans were
victorious.
They reached Laodicea on the Lycus early in January 1148, around

the same time Otto of Freising's army had been destroyed in the
same area. After resuming the march, the vanguard under Amadeus
of Savoy was separated from the rest of the army at Mount Cadmus,
and Louis’s troops suffered heavy losses from the Turks. After being
delayed for a month by storms, most of the promised ships from
Provence did not arrive at all. Louis and his associates claimed the
ships that did make it for themselves, while the rest of the army had
to resume the long march to Antioch. The army was almost entirely
destroyed, either by the Turks or by sickness.
Siege of Damascus
The remains of the German and French armies eventually continued
on to Jerusalem, where they planned an attack on the Muslim forces
in Damascus. The Crusaders decided to attack Damascus from the
west, where orchards would provide them with a constant food
supply. They arrived at Daraiya on July 23. The following day, the
well-prepared Muslims constantly attacked the army advancing
through the orchards outside Damascus. The defenders had sought
help from Saif ad-Din Ghazi I of Mosul and Nur ad-Din of Aleppo,
who personally led an attack on the Crusader camp. The Crusaders
were pushed back from the walls into the orchards, where they were
prone to ambushes and guerrilla attacks.
According to William of Tyre, on July 27 the Crusaders decided to

move to the plain on the eastern side of the city, which was less
heavily fortified, but also had much less food and water. Some
records indicate that Unur had bribed the leaders to move to a less
defensible position, and that Unur had promised to break off his
alliance with Nur ad-Din if the Crusaders went home. Meanwhile,
Nur ad-Din and Saif ad-Din had by now arrived. With Nur ad-Din in
the field it was impossible for the Crusaders to return to their better
position. The local Crusader lords refused to carry on with the siege,
and the three kings had no choice but to abandon the city. First
Conrad, then the rest of the army, decided to retreat to Jerusalem on
July 28, and they were followed the whole way by Turkish archers,
who constantly harassed them.
Siege of Damascus
A print of the Siege of Damascus.
Aftermath
Each of the Christian forces felt betrayed by the other. In Germany,
the Crusade was seen as a huge debacle, with many monks writing
that it could only have been the work of the Devil. Despite the
distaste for the memory of the Second Crusade, the experience had
notable impact on German literature, with many epic poems of the
late 12th century featuring battle scenes clearly inspired by the
fighting in the crusade. The cultural impact of the Second Crusade
was even greater in France. Unlike Conrad, the Louis's image was
improved by the crusade, with many of the French seeing him as a
suffering pilgrim king who quietly bore God's punishments.
Relations between the Eastern Roman Empire and the French were
badly damaged by the Second Crusade. Louis and other French
leaders openly accused Emperor Manuel I of colluding with Turkish
attackers during the march across Asia Minor. The memory of the
Second Crusade was to color French views of the Byzantines for the
rest of the 12th and 13th centuries.
11.6.4: The Third Crusade

The Third Crusade (1189–1192) was an attempt by European
leaders to reconquer the Holy Land from the Muslim sultan Saladin;
it resulted in the capture of the important cities Acre and Jaffa, but
failed to capture Jerusalem, the main motivation of the crusade.
Learning Objective
Compare and contrast the Third Crusade with the first two
Key Points
After the failure of the Second Crusade, the Zengid dynasty
controlled a unified Syria and engaged in a successful conflict
with the Fatimid rulers of Egypt; the Egyptian and Syrian forces
were ultimately unified under Saladin, who employed them to
reduce the Christian states and recapture Jerusalem in 1187.
The Crusaders, mainly under the leadership of King Richard of
England, captured Acre and Jaffa on their way to Jerusalem.
Because of conflict with King Richard and to settle succession
disputes, the German and French armies left the crusade early,
weakening the Christian forces.
After trying to overtake Jerusalem and having Jaffa change
hands several times, Richard and Saladin finalized a treaty
granting Muslim control over Jerusalem but allowing unarmed
Christian pilgrims and merchants to visit the city.
The Third Crusade differed from the First Crusade in several
ways: kings led the armies into battle, it was in response to
European losses, and it resulted in a treaty.
Key Terms
Richard the Lionheart
King of England from July 6, 1189, until his death; famous for his
reputation as a great military leader and warrior.
Saladin
The first sultan of Egypt and Syria and the founder of the
Ayyubid dynasty; he led the Muslim military campaign against
the Crusader states in the Levant.
Overview
The Third Crusade (1189–1192), also known as The Kings' Crusade,
was an attempt by European leaders to reconquer the Holy Land
from Saladin. The campaign was largely successful, capturing the
important cities of Acre and Jaffa, and reversing most of Saladin's
conquests, but it failed to capture Jerusalem, the emotional and
spiritual motivation of the crusade.
After the failure of the Second Crusade, the Zengid dynasty

controlled a unified Syria and engaged in a conflict with the Fatimid
rulers of Egypt. The Egyptian and Syrian forces were ultimately
unified under Saladin, who employed them to reduce the Christian
states and recapture Jerusalem in 1187. Spurred by religious zeal,
King Henry II of England and King Philip II of France (known as
Philip Augustus) ended their conflict with each other to lead a new
crusade. The death of Henry in 1189, however, meant the English
contingent came under the command of his successor, King Richard
I of England (known as Richard the Lionheart). The elderly Holy
Roman Emperor Frederick Barbarossa also responded to the call to
arms, leading a massive army across Anatolia, but he drowned in a
river in Asia Minor on June 10, 1190, before reaching the Holy Land.
His death caused tremendous grief among the German Crusaders,
and most of his troops returned home.
After the Crusaders had driven the Muslims from Acre, Philip and
Frederick's successor, Leopold V , Duke of Austria (known as
Leopold the V irtuous), left the Holy Land in August 1191. On
September 2, 1192, Richard and Saladin finalized a treaty granting
Muslim control over Jerusalem but allowing unarmed Christian
pilgrims and merchants to visit the city. Richard departed the Holy
Land on October 2. The successes of the Third Crusade allowed the
Crusaders to maintain considerable states in Cyprus and on the
Syrian coast. However, the failure to recapture Jerusalem would lead
to the Fourth Crusade.
Background
One of the major differences between the First and Third Crusades
is that by the time of the Third Crusade, and to a certain degree
during the Second, the Muslim opponents had unified under a single
powerful leader. At the time of the First Crusade, the Middle East
was severely divided by warring rulers. Without a unified front
opposing them, the Christian troops were able to conquer
Jerusalem, as well as the other Crusader states. But under the
powerful force of the Seljuq Turks during the Second Crusade and
the even more unified power of Saladin during the Third, the
Europeans were unable to achieve their ultimate aim of holding
Jerusalem.
After the failure of the Second Crusade, Nur ad-Din Zangi had
control of Damascus and a unified Syria. Nur ad-Din also took over
Egypt through an alliance, and appointed Saladin the sultan of these
territories. After Nur ad-Din's death, Saladin also took over Acre and
Jerusalem, thereby wresting control of Palestine from the Crusaders,
who had conquered the area 88 years earlier. Pope Urban III is said
to have collapsed and died upon hearing this news, but it is not
actually feasible that tidings of the fall of Jerusalem could have
reached him by the time he died, although he did know of the battle
of Hattin and the fall of Acre.
Saladin's Conquest ( 117 4-118 9)
Map of Saladin's Conquest into the Levant, including invasions
routes, major conflicts, strongholds, and occupations.
Map of Saladin's Conquest into the Levant, including invasions

routes, major conflicts, strongholds, and occupations.
Siege of Acre
The Siege of Acre was one of the first confrontations of the Third
Crusade, and a key victory for the Crusaders but a serious defeat for
Saladin, who had hoped to destroy the whole of the Crusader
kingdom.
Richard arrived at Acre on June 8, 1191, and immediately began

supervising the construction of siege weapons to assault the city,
which was captured on July 12. Richard, Philip, and Leopold
quarreled over the spoils of the victory. Richard cast down the
German flag from the city, slighting Leopold. The rest of the German
army returned home.
On July 31, Philip also returned home, to settle the succession in

V ermandois and Flanders, and Richard was left in sole charge of the
Christian expeditionary forces. As in the Second Crusade, these
disagreements and divisions within the European armies led to a
weakening of the Christian forces.
Siege of Acre
The Siege of Acre was the first major confrontation of the Third
Crusade.
A Medieval painting that depicts the Siege of Acre. Five soldiers in

the foreground operate a slingshot. In the background, soldiers
defend a high-walled castle, throwing stones on the invaders.
Battle of Arsuf
After the capture of Acre, Richard decided to march to the city of
Jaffa. Control of Jaffa was necessary before an attack on Jerusalem
could be attempted. On September 7, 1191, however, Saladin
attacked Richard's army at Arsuf, thirty miles north of Jaffa. Richard
then ordered a general counterattack, which won the battle. Arsuf
was an important victory. The Muslim army was not destroyed,
despite the considerable casualties it suffered, but it was scattered;
this was considered shameful by the Muslims and boosted the
morale of the Crusaders. Richard was able to take, defend, and hold
Jaffa, a strategically crucial move toward securing Jerusalem. By
depriving Saladin of the coast, Richard seriously threatened his hold
on Jerusalem.
Advances on J erusalem and

Negotiations
Following his victory at Arsuf, Richard took Jaffa and established his
new headquarters there. In November 1191 the Crusader army
advanced inland toward Jerusalem. On December 12 Saladin was
forced by pressure from his emirs to disband the greater part of his
army. Learning this, Richard pushed his army forward, spending
Christmas at Latrun. The army then marched to Beit Nuba, only
twelve miles from Jerusalem. Muslim morale in Jerusalem was so
low that the arrival of the Crusaders would probably have caused the
city to fall quickly. Appallingly bad weather—cold with heavy rain and
hailstorms—combined with fear that if the Crusader army besieged
Jerusalem it might be trapped by a relieving force, led to the decision
to retreat back to the coast. In July 1192, Saladin's army suddenly
attacked and captured Jaffa with thousands of men.
Richard was intending to return to England when he heard the news

that Saladin and his army had captured Jaffa. Richard and a small
force of little more than 2,000 men went to Jaffa by sea in a surprise
attack. They stormed Jaffa from their ships and the Ayyubids, who
had been unprepared for a naval attack, were driven from the city.
On September 2, 1192, following his defeat at Jaffa, Saladin was
forced to finalize a treaty with Richard providing that Jerusalem
would remain under Muslim control, but allowing unarmed Christian
pilgrims and traders to visit the city. The city of Ascalon was a
contentious issue, as it threatened communication between
Saladin's dominions in Egypt and Syria; it was eventually agreed that
Ascalon, with its defenses demolished, be returned to Saladin's
control. Richard departed the Holy Land on October 9, 1192.
Aftermath and Comparisons

Neither side was entirely satisfied with the results of the war. Though
Richard's victories had deprived the Muslims of important coastal
territories and re-established a viable Frankish state in Palestine,
many Christians in the Latin West felt disappointed that Richard had
elected not to pursue the recapture of Jerusalem. Likewise, many in
the Islamic world felt disturbed that Saladin had failed to drive the
Christians out of Syria and Palestine. However, trade flourished
throughout the Middle East and in port cities along the
Mediterranean coastline.
The motivations and results of the Third Crusade differed from those
of the First in several ways. Many historians contend that the
motivations for the Third Crusade were more political than religious,
thereby giving rise to the disagreements between the German,
French, and English armies throughout the crusade. By the end, only
Richard of England was left, and his small force was unable to finally
overtake Saladin, despite successes at Acre and Jaffa. This
infighting severely weakened the power of the European forces.
In addition, unlike the First Crusade, in the Second and Third

Crusades kings led Crusaders into battle. The presence of European
kings in battle set the armies up for instability, for the monarchs had
to ensure their own territories were not threatened during their
absence. During the Third Crusade, both the German and French
armies were forced to return home to settle succession disputes and
stabilize their kingdoms.
Furthermore, both the Second and Third Crusades were in response

to European losses, first the fall of the Kingdom of Edessa and then
the fall of Jerusalem to Saladin. These defensive expeditions could
be seen as lacking the religious fervor and initiative of the First
Crusade, which was entirely on the terms of the Christian armies.
Finally, the Third Crusade resulted in a treaty that left Jerusalem

under Muslim dominion but allowed Christians access for trading and
pilgrimage. In the past two crusades, the result had been to conquer
and massacre or retreat, with no compromise or middle ground
achieved. Despite the agreement in the Third Crusade, the failure to
overtake Jerusalem led to still another crusade soon after.
11.6.5 : The Fourth Crusade

Crusading became increasingly widespread in terms of geography
and objectives during the 13th century and beyond, and crusades
were aimed more at maintaining political and religious control over
Europe than reclaiming the Holy Land.
Learning Objective
Describe the failures of the Fourth Crusade
Key Terms
Crusader states
A number of mostly 12th- and 13th-century feudal states created

by Western European crusaders in Asia Minor, Greece, and the
Holy Land, and in the eastern Baltic area during the Northern
Crusades.
heretics
People who holds beliefs or theories that are strongly at

variance with established beliefs or customs, especially those
held by the Roman Catholic Church.
Knights Templar
Among the wealthiest and most powerful of the Western

Christian military orders; prominent actors in the Crusades.
Great Schism
The break of communion between what are now the Eastern

Orthodox and Catholic churches, which has lasted since the
11th century.
Evolution of the Crusades

The Crusades were a series of religious wars undertaken by the
Latin church between the 11th and 15th centuries. Crusades were
fought for many reasons: to capture Jerusalem, recapture Christian
territory, or defend Christians in non-Christian lands; as a means of
conflict resolution among Roman Catholics; for political or territorial
advantage; and to combat paganism and heresy.
The First Crusade arose after a call to arms in 1095 sermons by

Pope Urban II. Urban urged military support for the Byzantine
Empire and its Emperor, Alexios I, who needed reinforcements for
his conflict with westward-migrating Turks in Anatolia. One of
Urban's main aims was to guarantee pilgrims access to the holy
sites in the Holy Land that were under Muslim control. Urban's wider
strategy may have been to unite the eastern and western branches
of Christendom, which had been divided since their split in 1054, and
establish himself as head of the unified church. Regardless of the
motivation, the response to Urban's preaching by people of many
different classes across Western Europe established the precedent
for later crusades.
As a result of the First Crusade, four primary Crusader states were

created: the Kingdom of Jerusalem, the County of Edessa, the
Principality of Antioch, and the County of Tripoli. On a popular level,
the First Crusade unleashed a wave of impassioned, pious Catholic
fury, which was expressed in the massacres of Jews that
accompanied the Crusades and the violent treatment of the
"schismatic" Orthodox Christians of the east.
Under the papacies of Calixtus II, Honorius II, Eugenius III, and
Innocent II, smaller-scale crusading continued around the Crusader
states in the early 12th century. The Knights Templar were
recognized, and grants of crusading indulgences to those who
opposed papal enemies are seen by some historians as the
beginning of politically motivated crusades. The loss of Edessa in
1144 to Imad ad-Din Zengi led to preaching for what subsequently
became known as the Second Crusade. King Louis V II and Conrad
III led armies from France and Germany to Jerusalem and
Damascus without winning any major victories. Bernard of Clairvaux,
who had encouraged the Second Crusade in his preachings, was
upset with the violence and slaughter directed toward the Jewish
population of the Rhineland.
In 1187 Saladin united the enemies of the Crusader states, was

victorious at the Battle of Hattin, and retook Jerusalem. According to
Benedict of Peterborough, Pope Urban III died of deep sadness on
October 19, 1187, upon hearing news of the defeat. His successor,
Pope Gregory V III, issued a papal bull that proposed a third crusade
to recapture Jerusalem. This crusade failed to win control of
Jerusalem from the Muslims, but did result in a treaty that allowed
trading and pilgrimage there for Europeans.
Crusading became increasingly widespread in terms of geography

and objectives during the 13th century; crusades were aimed at
maintaining political and religious control over Europe and beyond
and were not exclusively focused on the Holy Land. In Northern
Europe the Catholic church continued to battle peoples whom they
considered pagans; Popes such as Celestine III, Innocent III,
Honorius III, and Gregory IX preached crusade against the
Livonians, Prussians, and Russians. In the early 13th century, Albert
of Riga established Riga as the seat of the Bishopric of Riga and
formed the Livonian Brothers of the Sword to convert the pagans to
Catholicism and protect German commerce.
Fourth Crusade
Innocent III began preaching what became the Fourth Crusade in
1200 in France, England, and Germany, but primarily in France. The
Fourth Crusade (1202–1204) was a Western European armed
expedition originally intended to conquer Muslim-controlled
Jerusalem by means of an invasion through Egypt. Instead, a
sequence of events culminated in the Crusaders sacking the city of
Constantinople, the capital of the Christian-controlled Byzantine
Empire. The Fourth Crusade never came to within 1,000 miles of its
objective of Jerusalem, instead conquering Byzantium twice before
being routed by the Bulgars at Adrianople.
In January 1203, en route to Jerusalem, the majority of the Crusader

leadership entered into an agreement with the Byzantine prince
Alexios Angelos to divert to Constantinople and restore his deposed
father as emperor. The intention of the Crusaders was then to
continue to the Holy Land with promised Byzantine financial and
military assistance. On June 23, 1203, the main Crusader fleet
reached Constantinople. Smaller contingents continued to Acre.
In August 1203, following clashes outside Constantinople, Alexios

Angelos was crowned co-emperor (as Alexios IV Angelos) with
Crusader support. However, in January 1204, he was deposed by a
popular uprising in Constantinople. The Western Crusaders were no
longer able to receive their promised payments, and when Alexios
was murdered on February 8, 1204, the Crusaders and V enetians
decided on the outright conquest of Constantinople. In April 1204,
they captured and brutally sacked the city and set up a new Latin
Empire, as well as partitioned other Byzantine territories among
themselves.
Byzantine resistance based in unconquered sections of the empire

such as Nicaea, Trebizond, and Epirus ultimately recovered
Constantinople in 1261.
The Fourth Crusade is considered to be one of the final acts in the

Great Schism between the Eastern Orthodox Church and Roman
Catholic Church, and a key turning point in the decline of the
Byzantine Empire and Christianity in the Near East.
Conquest of Constantinople
A Medieval painting of the Conquest of Constantinople by the
Crusaders in 1204.
A Medieval painting of the conquest of Constantinople in 2014. In the

foreground, crusader ships surround a high-walled castle, with
soldiers climbing ladders into the castle and throwing spears. To the
right, crusaders stand on the beach, readying their siege. In the
castle, soldiers return fire with arrows and spears, and to the left, a
Byzantine royal, perhaps the Emperor, watches over the scene.
Later Crusades
After the failure of the Fourth Crusade to hold Constantinople or
reach Jerusalem, Innocent III launched the first crusade against
heretics, the Albigensian Crusade, against the Cathars in France
and the County of Toulouse. Over the early decades of the century
the Cathars were driven underground while the French monarchy
asserted control over the region. Andrew II of Hungary waged the
Bosnian Crusade against the Bosnian church, which was
theologically Catholic but in long-term schism with the Roman
Catholic Church. The conflict only ended with the Mongol invasion of
Hungary in 1241. In the Iberian peninsula, Crusader privileges were
given to those aiding the Templars, the Hospitallers, and the Iberian
orders that merged with the Order of Calatrava and the Order of
Santiago. The papacy declared frequent Iberian crusades, and from
1212 to 1265 the Christian kingdoms drove the Muslims back to the
Emirate of Granada, which held out until 1492, when the Muslims
and Jews were expelled from the peninsula.
Around this time, popularity and energy for the Crusades declined.
One factor in the decline was the disunity and conflict among Latin
Christian interests in the eastern Mediterranean. Pope Martin IV
compromised the papacy by supporting Charles of Anjou, and
tarnished its spiritual luster with botched secular "crusades" against
Sicily and Aragon. The collapse of the papacy's moral authority and
the rise of nationalism rang the death knell for crusading, ultimately
leading to the Avignon Papacy and the Western Schism. The
mainland Crusader states were extinguished with the fall of Tripoli in
1289 and the fall of Acre in 1291.
Centuries later, during the middle of the 15th century, the Latin
church tried to organize a new crusade aimed at restoring the
Eastern Roman or Byzantine Empire, which was gradually being torn
down by the advancing Ottoman Turks. The attempt failed, however,
as the vast majority of Greek civilians and a growing part of their
clergy refused to recognize and accept the short-lived near-union of
the churches of East and West signed at the Council of Florence and
Ferrara by the Ecumenical patriarch Joseph II of Constantinople.
The Greek population, reacting to the Latin conquest, believed that
the Byzantine civilization that revolved around the Orthodox faith
would be more secure under Ottoman Islamic rule. Overall, religious-
observant Greeks preferred to sacrifice their political freedom and
political independence in order to preserve their faith's traditions and
rituals in separation from the Roman See.
In the late-14th and early-15th centuries, "crusades" on a limited

scale were organized by the kingdoms of Hungary, Poland,
Wallachia, and Serbia. These were not the traditional expeditions
aimed at the recovery of Jerusalem but rather defensive campaigns
intended to prevent further expansion to the west by the Ottoman
Empire.
Attributions
The Crusades
"Apotheosis." http://en.wikipedia.org/wiki/Apotheosis.
"Heresy." http://en.wikipedia.org/wiki/Heresy. Wikipedia CC
BY-SA 3.0.
"Schism." http://en.wikipedia.org/wiki/Schism. Wikipedia CC
BY-SA 3.0.
"Zionism." http://en.wikipedia.org/wiki/Zionism. Wikipedia
CC BY-SA 3.0.
"Byzantine Empire."
CC BY-SA 3.0.
"History of Christianity of the Middle Ages."
http://en.wikipedia.org/wiki/History_of_Christianity_of_the_
Middle_Ages%23Crusades. Wikipedia CC BY-SA 3.0.
"Germanic peoples."
http://en.wikipedia.org/wiki/Germanic_peoples. Wikipedia
CC BY-SA 3.0.
"Crusades." http://en.wikipedia.org/wiki/Crusades.
"Seljuk_Empire_locator_map.svg.png."
https://en.wikipedia.org/wiki/Crusades. Wikipedia CC BY-SA
3.0.
"CouncilofClermont.jpg."
https://en.wikipedia.org/wiki/First_Crusade. Wikipedia CC
BY-SA 3.0.
The First Crusade
"People's Crusade."
https://en.wikipedia.org/wiki/People%27s_Crusade.
"First Crusade."
https://en.wikipedia.org/wiki/First_Crusade# Princes.27_Cru
sade. Wikipedia CC BY-SA 3.0.
"Kingdom of Jerusalem."
https://en.wikipedia.org/wiki/Kingdom_of_Jerusalem.
"PeoplesCrusadeMassacre.jpg."
https://en.wikipedia.org/wiki/First_Crusade# /media/File:Peo
plesCrusadeMassacre.jpg. Wikipedia CC BY-SA 3.0.
"1099jerusalem.jpg."
https://en.wikipedia.org/wiki/First_Crusade# /media/File:109
9jerusalem.jpg. Wikipedia CC BY-SA 3.0.
The Second Crusade
"Second Crusade."
https://en.wikipedia.org/wiki/Second_Crusade. Wikipedia
CC BY-SA 3.0.
"Siege_of_Damascus.jpg."
https://en.wikipedia.org/wiki/Second_Crusade# /media/File:
Siege_of_Damascus.jpg. Wikipedia CC BY-SA 3.0.
The Third Crusade
"Third Crusade."
https://en.wikipedia.org/wiki/Third_Crusade. Wikipedia CC
BY-SA 3.0.
"Saladin." https://en.wikipedia.org/wiki/Saladin. Wikipedi CC
BY-SA 3.0.
"Siege of Acre."
https://www.wikipedia.org/wiki/Siege_of_Acre. Wikipedia
CC BY-SA 3.0.
"Saladin's_Conquest_(1174-1189).jpg."
https://en.wikipedia.org/wiki/Second_Crusade# /media/File:
Saladin%27s_Conquest_(1174-1189).jpg. Wikipedia CC
BY-SA 3.0.
"400px-Siege_of_Acre.jpg."
https://en.wikipedia.org/wiki/Third_Crusade# /media/File:Sie
ge_of_Acre.jpg. Wikipedia CC BY-SA 3.0.
The Fourth Crusade
"Fourth Crusade."
https://en.wikipedia.org/wiki/Fourth_Crusade. Wikipedia CC
BY-SA 3.0.
"Crusades." https://en.wikipedia.org/wiki/Crusades.
"ConquestOfConstantinopleByTheCrusadersIn1204.jpg."
https://en.wikipedia.org/wiki/Fourth_Crusade# /media/File:C
onquestOfConstantinopleByTheCrusadersIn1204.jpg.
11.7 : Medieval Life
11.7 .1: Feudalism
Feudalism was a set of legal and military customs in medieval
Europe that was determined by the ownership of land.
Learning Objective
Recall the structure of the feudal state and the responsibilities and
obligations of each level of society
Key Points
Feudalism flourished in Europe between the 9th and 15th
centuries.
Feudalism in England determined the structure of society
around relationships derived from the holding and leasing of
land, or fiefs.
In England, the feudal pyramid was made up of the king at the
top with the nobles, knights, and vassals below him.
Before a lord could grant land to a tenant he would have to
make him a vassal at a formal ceremony. This ceremony bound
the lord and vassal in a contract.
While modern writers such as Marx point out the negative
qualities of feudalism, such as the exploitation and lack of social
mobility for the peasants, the French historian Marc Bloch
contends that peasants were part of the feudal relationship;
while the vassals performed military service in exchange for the
fief, the peasants performed physical labour in return for
protection, thereby gaining some benefit despite their limited
freedom.
The 11th century in France saw what has been called by
historians a "feudal revolution" or "mutation" and a
"fragmentation of powers" that increased localized power and
autonomy.
Key Terms
homage
In the Middle Ages this was the ceremony in which a feudal

tenant or vassal pledged reverence and submission to his feudal
lord, receiving in exchange the symbolic title to his new position.
fealty
An oath, from the Latin fidelitas (faithfulness); a pledge of

allegiance of one person to another.
vassals
Persons who entered into a mutual obligation to a lord or

monarch in the context of the feudal system in medieval Europe.
fiefs
Heritable property or rights granted by an overlord to a vassal.
mesne tenant
A lord in the feudal system who had vassals who held land from
him, but who was himself the vassal of a higher lord.
Overview
Feudalism was a set of legal and military customs in medieval
Europe that flourished between the 9th and 15th centuries. It can be
broadly defined as a system for structuring society around
relationships derived from the holding of land, known as a fiefdom or
fief, in exchange for service or labour.
The classic version of feudalism describes a set of reciprocal legal

and military obligations among the warrior nobility, revolving around
the three key concepts of lords, vassals, and fiefs. A lord was in
broad terms a noble who held land, a vassal was a person who was
granted possession of the land by the lord, and a fief was what the
land was known as. In exchange for the use of the fief and the
protection of the lord, the vassal would provide some sort of service
to the lord. There were many varieties of feudal land tenure,
consisting of military and non-military service. The obligations and
corresponding rights between lord and vassal concerning the fief
formed the basis of the feudal relationship.
Feudalism, in its various forms, usually emerged as a result of the

decentralization of an empire, especially in the Carolingian empires,
which lacked the bureaucratic infrastructure necessary to support
cavalry without the ability to allocate land to these mounted troops.
Mounted soldiers began to secure a system of hereditary rule over
their allocated land, and their power over the territory came to
encompass the social, political, judicial, and economic spheres.
Many societies in the Middle Ages were characterized by feudal

organizations, including England, which was the most structured
feudal society, France, Italy, Germany, the Holy Roman Empire, and
Portugal. Each of these territories developed feudalism in unique
ways, and the way we understand feudalism as a unified concept
today is in large part due to critiques after its dissolution. Karl Marx
theorized feudalism as a pre-capitalist society, characterized by the
power of the ruling class (the aristocracy) in their control of arable
land, leading to a class society based upon the exploitation of the
peasants who farm these lands, typically under serfdom and
principally by means of labour, produce, and money rents.
While modern writers such as Marx point out the negative qualities of
feudalism, the French historian Marc Bloch contends that peasants
were an integral part of the feudal relationship: while the vassals
performed military service in exchange for the fief, the peasants
performed physical labour in return for protection, thereby gaining
some benefit despite their limited freedom. Feudalism was thus a
complex social and economic system defined by inherited ranks,
each of which possessed inherent social and economic privileges
and obligations. Feudalism allowed societies in the Middle Ages to
retain a relatively stable political structure even as the centralized
power of empires and kingdoms began to dissolve.
Structure of the Feudal State in

England
Feudalism in 12th-century England was among the better structured
and established systems in Europe at the time. The king was the
absolute "owner" of land in the feudal system, and all nobles,
knights, and other tenants, termed vassals, merely "held" land from
the king, who was thus at the top of the feudal pyramid.
Below the king in the feudal pyramid was a tenant-in-chief (generally

in the form of a baron or knight), who was a vassal of the king.
Holding from the tenant-in-chief was a mesne tenant—generally a
knight or baron who was sometimes a tenant-in-chief in their
capacity as holder of other fiefs. Below the mesne tenant, further
mesne tenants could hold from each other in series.
V assalage
Before a lord could grant land (a fief) to someone, he had to make
that person a vassal. This was done at a formal and symbolic
ceremony called a commendation ceremony, which was composed
of the two-part act of homage and oath of fealty. During homage, the
lord and vassal entered into a contract in which the vassal promised
to fight for the lord at his command, while the lord agreed to protect
the vassal from external forces.
Roland pledges his fealty to

Charlemagne
Roland (right) receives the sword, Durandal, from the hands of
Charlemagne (left). From a manuscript of a chanson de geste, c.
14th Century.
Once the commendation ceremony was complete, the lord and

vassal were in a feudal relationship with agreed obligations to one
another. The vassal's principal obligation to the lord was "aid," or
military service. Using whatever equipment the vassal could obtain
by virtue of the revenues from the fief, he was responsible for
answering calls to military service on behalf of the lord. This security
of military help was the primary reason the lord entered into the
feudal relationship. In addition, the vassal could have other
obligations to his lord, such as attendance at his court, whether
manorial or baronial, or at the king's court.
The vassal's obligations could also involve providing "counsel," so
that if the lord faced a major decision he would summon all his
vassals and hold a council. At the level of the manor this might be a
fairly mundane matter of agricultural policy, but could also include
sentencing by the lord for criminal offenses, including capital
punishment in some cases. In the king's feudal court, such
deliberation could include the question of declaring war. These are
only examples; depending on the period of time and location in
Europe, feudal customs and practices varied.
Feudalism in France
In its origin, the feudal grant of land had been seen in terms of a
personal bond between lord and vassal, but with time and the
transformation of fiefs into hereditary holdings, the nature of the
system came to be seen as a form of "politics of land." The 11th
century in France saw what has been called by historians a "feudal
revolution" or "mutation" and a "fragmentation of powers" that was
unlike the development of feudalism in England, Italy, or Germany in
the same period or later. In France, counties and duchies began to
break down into smaller holdings as castellans and lesser seigneurs
took control of local lands, and (as comital families had done before
them) lesser lords usurped/privatized a wide range of prerogatives
and rights of the state—most importantly the highly profitable rights
of justice, but also travel dues, market dues, fees for using
woodlands, obligations to use the lord's mill, etc. Power in this period
became more personal and decentralized.
11.7 .2: The Manor System

The manor system was an element of feudal society in the Middle
Ages characterized by the legal and economic power of the lord of a
manor.
Learning Objective
Illustrate the hierarchy of the manor system by describing the roles
of lords, villeins, and serfs
Key Points
The lord of a manor was supported by his land holdings and
contributions from the peasant population. Serfs who occupied
land belonging to the lord were required to work the land, and in
return received certain entitlements.
Serfdom was the status of peasants in the manor system, and
villeins were the most common type of serf in the Middle Ages.
V illeins rented small homes with or without land; as part of their
contract with the lord they were expected to spend some time
working the land.
V illeins could not move away without the lord's consent and the
acceptance of the new lord whose manor they were to move to.
Because of the protection villeins received from the lord's
manor, it was generally not favorable to move away unless the
landlord proved to be especially tyrannical.
The manor system was made up of three types of land:
demesne, dependent, and free peasant land.
Manorial structures could be found throughout medieval
Western and Eastern Europe: in Italy, Poland, Lithuania, Baltic
nations, Holland, Prussia, England, France, and the Germanic
kingdoms.
Key Terms
demesne
All the land, not necessarily all physically connected to the

manor house, that was retained by the lord of a manor for his
own use and support, under his own management.
serfs
Peasants under feudalism, specifically relating to manorialism. It

was a condition of bondage that developed primarily during the
High Middle Ages in Europe.
villein
The most common type of serf in the Middle Ages. They had
more rights and a higher status than the lowest serf, but existed
under a number of legal restrictions that differentiated them from
freemen.
freemen
Men who were not serfs in the feudal system.
Manorialism was an essential element of feudal society and was the

organizing principle of rural economy that originated in the villa
system of the Late Roman Empire. Manorialism was widely practiced
in medieval Western Europe and parts of central Europe, and was
slowly replaced by the advent of a money-based market economy
and new forms of agrarian contract.
Manorialism was characterized by the vesting of legal and economic

power in the lord of a manor. The lord was supported economically
from his own direct landholding in a manor (sometimes called a fief),
and from the obligatory contributions of the peasant population who
fell under the jurisdiction of the lord and his court. These obligations
could be payable in several ways: in labor, in kind, or, on rare
occasions, in coin. Manorial structures could be found throughout
medieval Western and Eastern Europe: in Italy, Poland, Lithuania,
Baltic nations, Holland, Prussia, England, France, and the Germanic
kingdoms.
The main reason for the development of the system was perhaps
also its greatest strength: the stabilization of society during the
destruction of Roman imperial order. With a declining birthrate and
population, labor was the key factor of production. Successive
administrations tried to stabilize the imperial economy by freezing
the social structure into place: sons were to succeed their fathers in
their trade, councilors were forbidden to resign, and coloni, the
cultivators of land, were not to move from the land they were
attached to. The workers of the land were on their way to becoming
serfs. As the Germanic kingdoms succeeded Roman authority in the
West in the 5th century, Roman landlords were often simply replaced
by Gothic or Germanic ones, with little change to the underlying
situation or displacement of populations. Thus the system of
manorialism became ingrained into medieval societies.
The Manor System

Manors each consisted of three classes of land:
Demesne, the part directly controlled by the lord and used for
the benefit of his household and dependents;
Dependent (serf or villein) holdings carrying the obligation that
the peasant household supply the lord with specified labor
services or a part of its output; and
Free peasant land, without such obligation but otherwise subject
to manorial jurisdiction and custom, and owing money rent fixed
at the time of the lease.
Additional sources of income for the lord included charges for use of
his mill, bakery, or wine-press, or for the right to hunt or to let pigs
feed in his woodland, as well as court revenues and single payments
on each change of tenant. On the other side of the account, manorial
administration involved significant expenses, perhaps a reason why
smaller manors tended to rely less on villein tenure.
Serfdom
Serfdom was the status of peasants under feudalism, specifically
relating to manorialism. It was a condition of bondage that developed
primarily during the Middle Ages in Europe.
Serfs who occupied a plot of land were required to work for the lord
of the manor who owned that land, and in return were entitled to
protection, justice, and the right to exploit certain fields within the
manor to maintain their own subsistence. Serfs were often required
to work on not only the lord's fields, but also his mines, forests, and
roads. The manor formed the basic unit of feudal society, and the
lord of a manor and his serfs were bound legally, economically, and
socially. Serfs formed the lowest class of feudal society.
A serf digging the land, c. 117 0 CE
"Digging," detail from the Hunterian Psalter, Glasgow University
Library MS Hunter.
Many of the negative components of manorialism, and feudalism in

general, revolve around the bondage of the serf, his lack of social
mobility, and his low position on the social hierarchy. However, a serf
had some freedoms within his constraints. Though the common
wisdom is that a serf owned "only his belly"—even his clothes were
the property, in law, of his lord—he might still accumulate personal
property and wealth, and some serfs became wealthier than their
free neighbors, although this happened rarely. A well-to-do serf
might even be able to buy his freedom. A serf could grow what crops
he saw fit on his lands, although a serf's taxes often had to be paid
in wheat. The surplus crops he would sell at market.
The landlord could not dispossess his serfs without legal cause, was
supposed to protect them from the depredations of robbers or other
lords, and was expected to support them by charity in times of
famine. Many such rights were enforceable by the serf in the
manorial court.
V illeins
A villein (or villain) was the most common type of serf in the Middle
Ages. V illeins had more rights and a higher status than the lowest
serf, but existed under a number of legal restrictions that
differentiated them from freemen. V illeins generally rented small
homes with or without land. As part of the contract with the landlord,
the lord of the manor, they were expected to spend some of their
time working on the lord's fields. Contrary to popular belief, the
requirement was not often greatly onerous, and was often only
seasonal, as was the duty to help at harvest-time, for example. The
rest of villeins' time was spent farming their own land for their own
profit.
Like other types of serfs, villeins were required to provide other

services, possibly in addition to paying rent of money or produce.
V illeins were tied to the land and could not move away without their
lord's consent and the acceptance of the lord to whose manor they
proposed to migrate to. V illeins were generally able to hold their own
property, unlike slaves.
V illeinage was not a purely uni-directional exploitative relationship. In
the Middle Ages, land within a lord's manor provided sustenance and
survival, and being a villein guaranteed access to land and kept
crops secure from theft by marauding robbers. Landlords, even
where legally entitled to do so, rarely evicted villeins, because of the
value of their labour. V illeinage was preferable to being a vagabond,
a slave, or an un-landed laborer.
In many medieval countries, a villein could gain freedom by escaping

from a manor to a city or borough and living there for more than a
year, but this action involved the loss of land rights and agricultural
livelihood, a prohibitive price unless the landlord was especially
tyrannical or conditions in the village were unusually difficult.
Plowing a French field ( French ducal
manor in March Les Trè s Riches
Heures du Duc de Berry, c.1410)
In the foreground, a farmer plowing a field with a plow pulled by two
oxen; man the leader with a long pole. Winemakers prune the vine in
a pen and till the soil with a hoe to aerate the soil. On the right, a
man leans on a bag, presumably to draw seeds that he will then sow.
Finally, in the background, a shepherd takes the dog that keeps his
flock. In the background is the castle of Lusignan (Poitou), property
of the Duke of Berry. Seen on the right of the picture, above the
tower Poitiers, is a winged dragon representing the fairy Melusine.
11.7 .3: Trade and Commerce

Trade started to expand during the late-13th and early-14th centuries
as forms of partnerships and financing began to appear.
Learning Objective
List the factors that led to a change in commerce and trade in the
Late Middle Ages
Key Points
Explorers opened up new trade routes to the south of Africa,
India, and America due to the dominant position of the Ottoman
Empire impeding trade routes to the west.
The Commercial Revolution began in the late-13th and early-
14th centuries with the rise of insurance issuing, forms of credit,
and new forms of accounting allowing for better financial
oversight and accuracy.
In England, the crises caused by the Great Famine and the
Black Death from 1290–1348, as well as subsequent epidemics,
produced many challenges for the economy, culminating in the
Peasant's Revolt.
The English agricultural economy remained depressed
throughout the 15th century, with growth coming from the greatly
increased English cloth trade and manufacturing.
Fairs grew in popularity, reaching their heyday in the 13th
century, as the international wool trade increased. Despite an
overall decline after the 14th century, the great fairs continued to
play an important role in exchanging money and regional
commerce.
In cities linked to the North Sea and the Baltic Sea, the
Hanseatic League developed as a trade monopoly.
Key Terms
guild
Association of artisans or merchants who controlled the practice

of their craft in a particular town. They were organized in a
manner similar to something between a professional association
and a trade union.
Ottoman Empire
Empire founded by Oghuz Turks under Osman Bey in

northwestern Anatolia in 1299 and dissolved in 1923 in the
aftermath of World War I, forming the new state of Turkey.
usury
The practice of making unethical or immoral monetary loans

intended to unfairly enrich the lender.
bullion
Gold bars, silver bars, and other precious metals bars or ingots.
During the Late Middle Ages, the increasingly dominant position of

the Ottoman Empire in the eastern Mediterranean presented an
impediment to trade for the Christian nations of the west, who started
looking for alternatives. Portuguese and Spanish explorers found
new trade routes south of Africa to India, and across the Atlantic
Ocean to America.
Start of the Commercial
Revolution
In the late-13th and early-14th centuries, a process took place—
primarily in Italy but partly also in the Holy Roman Empire—that
historians have termed a "commercial revolution." Among the
innovations of the period were new forms of partnership and the
issuing of insurance, both of which contributed to reducing the risk of
commercial ventures; the bill of exchange and other forms of credit
that circumvented the canonical laws for gentiles against usury and
eliminated the dangers of carrying bullion; and new forms of
accounting, in particular double-entry bookkeeping, which allowed
for better oversight and accuracy.
Guilds
With the financial expansion, trading rights were more jealously
guarded by the commercial elite. Towns saw the growing power of
guilds that arose in the 14th century as craftsmen uniting to protect
their common interest. The appearance of the European guilds was
tied to the emergent money economy and to urbanization. Before
this time it was not possible to run a money-driven organization, as
commodity money was the normal way of doing business.
In medieval cities, craftsmen started to form associations based on

their trades. Confraternities of textile workers, masons, carpenters,
carvers, and glass workers, all controlled secrets of traditionally
imparted technology—the "arts" or "mysteries" of their crafts. Usually
the founders were free independent master craftsmen who hired
apprentices. These guilds were organized in a manner similar to
something between a professional association, a trade union, a
cartel, and a secret society. They often depended on grants of letters
patented by a monarch or other authority to enforce the flow of trade
to their self-employed members, and to retain ownership of tools and
the supply of materials. A lasting legacy of traditional guilds are the
guildhalls constructed and used as meeting places.
Where guilds were in control, they shaped labor, production, and

trade; they had strong controls over instructional capital, and the
modern concepts of a lifetime progression of apprentice to
craftsman, and then from journeyman eventually to widely
recognized master and grandmaster, began to emerge. European
guilds imposed long standardized periods of apprenticeship and
made it difficult for those lacking the capital to set up for themselves
or without the approval of their peers to gain access to materials or
knowledge, or to sell into certain markets, an area that equally
dominated the guilds' concerns. These are defining characteristics of
mercantilism in economics, which dominated most European
thinking about political economy until the rise of classical economics.
Hanseatic League
In cities linked to the North Sea and the Baltic Sea, the Hanseatic
League developed as a trade monopoly. This facilitated the growth of
trade among cities in close proximity to these two seas. Long-
distance trade in the Baltic intensified as the major trading towns
came together in the Hanseatic League under the leadership of
Lü beck.
The Hanseatic League was a business alliance of trading cities and

their guilds that dominated trade along the coast of Northern Europe
and flourished from 1200–1500, and continued with lesser
importance after that. The chief cities were Cologne on the Rhine
River, Hamburg and Bremen on the North Sea, and Lü beck on the
Baltic Sea. The Hanseatic cities each had their own legal system
and a degree of political autonomy.
The league was founded for the purpose of joining forces for
promoting mercantile interests, defensive strength, and political
influence. By the 14th century, the Hanseatic League held a near-
monopoly on trade in the Baltic, especially with Novgorod and
Scandinavia.
English Economy
The crises caused by the Great Famine and the Black Death
between 1290 and 1348, as well as subsequent epidemics,
produced many challenges for the English economy. The Peasant's
Revolt of 1381 had various causes, including the socio-economic
and political tensions generated by the Black Death in the 1340s, the
high taxes resulting from the conflict with France during the Hundred
Years' War, and instability within the local leadership of London.
Although the revolt was suppressed, it undermined many of the

vestiges of the feudal economic order and the countryside became
dominated by estates organized as farms, frequently owned or
rented by the new economic class of the gentry. The English
agricultural economy remained depressed throughout the 15th
century, with growth coming from the greatly increased English cloth
trade and manufacturing.
Fairs
From the 12th century onwards, many English towns acquired a
charter from the Crown allowing them to hold an annual fair, usually
serving a regional or local customer base and lasting for two or three
days. Fairs grew in popularity, reaching their heyday in the 13th
century, as the international wool trade increased. The fairs allowed
English wool producers and ports on the east coast to engage with
visiting foreign merchants, circumnavigating those English
merchants in London keen to make a profit as middlemen. At the
same time, wealthy magnate consumers in England began to use
the new fairs as a way to buy goods like spices, wax, preserved fish,
and foreign cloth in bulk from the international merchants at the fairs,
again bypassing the usual London merchants.
Bridgnorth marketplace
The market place at Bridgnorth, one of many medieval English towns
to be granted the right to hold fairs, in this case annually on the feast
of the Translation of St. Leonard. Photo taken by Pam Brophy.
Towards the end of the 14th century, the position of fairs started to
decline. The larger merchants, particularly in London, had begun to
establish direct links with the larger landowners such as the nobility
and the church; rather than the landowner buying from a chartered
fair, they would buy directly from the merchant. Nonetheless, the
great fairs remained important well into the 15th century, as
illustrated by their role in exchanging money, regional commerce,
and providing choice for individual consumers.
11.7 .4: Daily Medieval Life

During the High Middle Ages, the population of Europe more than
doubled, but daily life remained harsh, with risk of disease and
illness.
Learning Objective
Compare and contrast the lives of different groups of the population
during the Middle Ages
Key Points
During the High Middle Ages, the population of Europe grew
from 35 to 80 million between 1000 and 1347, probably due to
improved agricultural techniques and a more mild climate.
90% of the European population remained rural peasants
gathered into small communities of manors or villages.
Towns grew up around castles and were often fortified by walls
in response to disorder and raids.
Daily life for peasants consisted of working the land. Life was
harsh, with a limited diet and little comfort.
Women were subordinate to men, in both the peasant and noble
classes, and were expected to ensure the smooth running of the
household.
Children had a 50% survival rate beyond age one, and began to
contribute to family life around age twelve.
Key Terms
agrarian
Based around producing and maintaining crops and farmland.
sickle
Hand-held agricultural tool with a variously curved blade

typically used for harvesting grain crops or cutting succulent
forage (either freshly cut or dried as hay) used chiefly to feed
livestock.
kinsman
A male relative.
husbandry
Farming or agriculture.
The High Middle Ages was a period of tremendous expansion of

population. The estimated population of Europe grew from 35 to 80
million between 1000 and 1347, but the exact causes remain
unclear; improved agricultural techniques, the decline of
slaveholding, a warmer climate, and the lack of invasion have all
been suggested. As much as 90% of the European population
remained rural peasants. Many were no longer settled in isolated
farms but had gathered into small communities, usually known as
manors or villages. These peasants were often subject to noble
overlords and owed them rents and other services, in a system
known as manorialism. There remained a few free peasants
throughout this period and beyond, with more of them in the regions
of southern Europe than in the north. The practice of assarting, or
bringing new lands into production by offering incentives to the
peasants who settled them, also contributed to the expansion of
population.
Development of Towns
Castles began to be constructed in the 9th and 10th centuries in
response to the disorder of the time, and provided protection from
invaders and rival lords. They were initially built of wood, then of
stone. Once castles were built, towns built up around them.
A major factor in the development of towns included V iking invasions

during the early Middle Ages, which led to villages erecting walls and
fortifying their positions. Following this, great medieval walled cities
were constructed with homes, shops, and churches contained within
the walls. York, England, which prospered during much of the later
medieval era, is famed for its medieval walls and bars (gates), and
has the most extensive medieval city walls remaining in England
today.
The practice of sending children away to act as servants was more

common in towns than in the countryside. The inhabitants of towns
largely made their livelihoods as merchants or artisans, and this
activity was strictly controlled by guilds. The members of these guilds
would employ young people—primarily boys—as apprentices, to
learn the craft and later take position as guild members themselves.
These apprentices made up part of the household, or "family," as
much as the children of the master.
Y ork city and walls
V iew of the city looking northeast from the city wall. The spires of
York Minster are visible in the background.
Peasant Life
Medieval villages consisted mostly of peasant farmers, with the
structure comprised of houses, barns, sheds, and animal pens
clustered around the center of the village. Beyond this, the village
was surrounded by plowed fields and pastures.
For peasants, daily medieval life revolved around an agrarian

calendar, with the majority of time spent working the land and trying
to grow enough food to survive another year. Church feasts marked
sowing and reaping days and occasions when peasant and lord
could rest from their labors.
Peasants that lived on a manor by the castle were assigned strips of

land to plant and harvest. They typically planted rye, oats, peas, and
barley, and harvested crops with a scythe, sickle, or reaper. Each
peasant family had its own strips of land; however, the peasants
worked cooperatively on tasks such as plowing and haying. They
were also expected to build roads, clear forests, and work on other
tasks as determined by the lord.
The houses of medieval peasants were of poor quality compared to

modern houses. The floor was normally earthen, and there was very
little ventilation and few sources of light in the form of windows. In
addition to the human inhabitants, a number of livestock animals
would also reside in the house. Towards the end of the medieval
period, however, conditions generally improved. Peasant houses
became larger in size, and it became more common to have two
rooms, and even a second floor.
Comfort was not always found even in the rich houses. Heating was
always a problem with stone floors, ceilings, and walls. Not much
light came in from small windows, and oil- and fat-based candles
often produced a pungent aroma. Furniture consisted of wooden
benches, long tables, cupboards, and pantries. Linen, when
affordable, could be glued or nailed to benches to provide some
comfort. Beds, though made of the softest materials, were often full
of bedbugs, lice, and other biting insects.
Peasants usually ate warm porridges made of wheat, oats, and

barley. Broths, stews, vegetables, and bread were also part of a
peasant's diet. Peasants rarely ate meat, and when they did, it was
their own animals that were saved for the winter. Peasants drank
wine and ale, never water.
Even though peasant households were significantly smaller than

aristocratic ones, the wealthiest peasants would also employ
servants. Service was a natural part of the cycle of life, and it was
common for young people to spend some years away from home in
the service of another household. This way they would learn the
skills needed later in life, and at the same time earn a wage. This
was particularly useful for girls, who could put the earnings towards
their dowries.
Nobility
Nobles, both the titled nobility and simple knights, exploited the
manors and the peasants, although they did not own land outright
but were granted rights to the income from a manor or other lands by
an overlord through the system of feudalism. During the 11th and
12th centuries, these lands, or fiefs, came to be considered
hereditary, and in most areas they were no longer divisible between
all the heirs as had been the case in the early medieval period.
Instead, most fiefs and lands went to the eldest son. The dominance
of the nobility was built upon its control of the land, its military service
as heavy cavalry, its control of castles, and various immunities from
taxes or other impositions.
Nobles were stratified; kings and the highest-ranking nobility

controlled large numbers of commoners and large tracts of land, as
well as other nobles. Beneath them, lesser nobles had authority over
smaller areas of land and fewer people. Knights were the lowest
level of nobility; they controlled but did not own land, and had to
serve other nobles.
The court of a monarch, or at some periods an important nobleman,

was the extended household and all those who regularly attended on
the ruler or central figure. These courtiers included the monarch or
noble's camarilla and retinue, the household, nobility, those with
court appointments, and bodyguards, and may also have included
emissaries from other kingdoms or visitors to the court. Foreign
princes and foreign nobility in exile could also seek refuge at a
court.
Etiquette and hierarchy flourished in highly structured court settings.

Most courts featured a strict order of precedence, often involving
royal and noble ranks, orders of chivalry, and nobility. Some courts
even featured court uniforms. One of the major markers of a court
was ceremony. Most monarchal courts included ceremonies
concerning the investiture or coronation of the monarch and
audiences with the monarch. Some courts had ceremonies around
the waking and the sleeping of the monarch, called a levé e.
Court officials or office-bearers (one type of courtier) derived their

positions and retained their titles from their original duties within the
courtly household. With time, such duties often became archaic.
However, titles survived involving the ghosts of arcane duties. These
styles generally dated back to the days when a noble household had
practical and mundane concerns as well as high politics and culture.
These positions include butler, confessor, falconer, royal fool,
gentleman usher, master of the hunt, page, and secretary. Elaborate
noble households included many roles and responsibilities, held by
these various courtiers, and these tasks characterized their daily
lives.
Daily life of nobility also included playing games, including chess,

which echoed the hierarchy of the nobles, and playing music, such
as the music of the troubadours and trouvè res. This involved a
vernacular tradition of monophonic secular song, probably
accompanied by instruments, sung by professional, occasionally
itinerant, musicians who were skilled poets as well as singers and
instrumentalists.
W omen in the Middle Ages

Women in the Middle Ages were officially required to be subordinate
to some male, whether their father, husband, or other kinsman.
Widows, who were often allowed some control over their own lives,
were still restricted legally. Three main activities performed by
peasant men and women were planting food, keeping livestock, and
making textiles, as depicted in Psalters from southern Germany and
England. Women of different classes performed different activities.
Rich urban women could be merchants like their husbands or even
became money lenders, and middle-class women worked in the
textile, inn-keeping, shop-keeping, and brewing industries.
Townswomen, like peasant women, were responsible for the
household and could also engage in trade. Poorer women often
peddled and huckstered food and other merchandise in the market
places or worked in richer households as domestic servants, day
laborers, or laundresses.
There is evidence that women performed not only housekeeping

responsibilities like cooking and cleaning, but even other household
activities like grinding, brewing, butchering, and spinning produced
items like flour, ale, meat, cheese, and textiles for direct consumption
and for sale. An anonymous 15th-century English ballad described
activities performed by English peasant women, like housekeeping,
making foodstuffs and textiles, and childcare.
Peasant household
An image of a peasant household, including a woman preparing
cheese.
A painting of a peasant home showing a woman brewing cheese and

a man carrying food and a man seated a table eating.
Noblewomen were responsible for running a household and could

occasionally be expected to handle estates in the absence of male
relatives, but they were usually restricted from participation in military
or government affairs. The only role open to women in the church
was that of a nun, as they were unable to become priests.
Children
For most children growing up in medieval England, the first year of
life was one of the most dangerous, with as many as 50% of children
succumbing to fatal illness during that year. Moreover, 20% of
women died in childbirth. During the first year of life children were
cared for and nursed, either by parents if the family belonged to the
peasant class, or perhaps by a wet nurse if the family belonged to a
noble class.
By age twelve, a child began to take on a more serious role in family

duties. Although according to canon law girls could marry at the age
of twelve, this was relatively uncommon unless a child was an
heiress or belonged to a family of noble birth. Peasant children at
this age stayed at home and continued to learn and develop
domestic skills and husbandry. Urban children moved out of their
homes and into the homes of their employer or master (depending
on their future roles as servants or apprentices). Noble boys learned
skills in arms, and noble girls learned basic domestic skills. The end
of childhood and entrance into adolescence was marked by leaving
home and moving to the house of the employer or master, entering a
university, or entering church service.
11.7 .5 : Intellectual Life

Developments in philosophy and theology and the formation of
universities from the 11th century led to increased intellectual activity.
Learning Objective
Describe intellectual life in the Middle Ages
Key Points
Increased contact with Byzantium and with the Islamic world in
Muslim-dominated Spain and Sicily, the Crusades, and the
Reconquista allowed Europeans to seek and translate the works
of Hellenic and Islamic philosophers and scientists, especially
Aristotle.
The groundwork for the rebirth of learning was also laid by the
process of political consolidation and centralization of the
monarchies of Europe, especially of Charlemagne and Otto I.
Cathedral schools and universities started to develop, with
young men proceeding to university to study the trivium and
quadrivium.
Scholasticism was a fusing of philosophy and theology by 12th-
and 13th-century scholars that tried to employ a systematic
approach to truth and reason.
Royal and noble courts saw the development of poems and
songs spread by traveling minstrels.
Legal studies advanced in Western Europe.
Algebra was invented, allowing more developed mathematics,
and astronomy and medicine advanced.
Key Terms
Thomas Aquinas
Italian Dominican friar and priest (c. 1225 CE–1274 CE) and an
immensely influential philosopher and theologian in the tradition
of scholasticism.
trivium
In medieval universities, the trivium comprised the three

subjects that were taught first: grammar, logic, and rhetoric.
Corpus Juris Civilis
The modern name for a collection of fundamental works in

jurisprudence, issued from 529–534 CE by order of Eastern
Roman Emperor Justinian I.
quadrivium
The four subjects, or arts, taught after the trivium. It consisted of
arithmetic, geometry, music, and astronomy and was considered
preparatory work for the serious study of philosophy and
theology.
Ptolemy
Greco-Roman writer of Alexandria (c. CE 90–c. 168 CE) known

as a mathematician, astronomer, geographer, astrologer, and
poet. Ptolemy was the author of several scientific treatises,
three of which were of continuing importance to later Islamic and
European science.
Aristotle
Greek philosopher and scientist born in Stagirus, northern

Greece, in 384 BCE. His writings covered many subjects and
constitute the first comprehensive system of Western
philosophy.
scholasticism
Method of critical thought that dominated teaching by the

academics (scholastics, or schoolmen) of medieval universities
in Europe from about 1100–1700 CE.
During the 11th century, developments in philosophy and theology

led to increased intellectual activity, sometimes called the
renaissance of 12th century. The intellectual problems discussed
throughout this period were the relation of faith to reason, the
existence and simplicity of God, the purpose of theology and
metaphysics, and the issues of knowledge, of universals, and of
individuation. Philosophical discourse was stimulated by the
rediscovery of Aristotle—more than 3,000 pages of his works would
eventually be translated—and his emphasis on empiricism and
rationalism. Scholars such as Peter Abelard (d. 1142) and Peter
Lombard (d. 1164) introduced Aristotelian logic into theology.
Historical Conditions
The groundwork for the rebirth of learning was also laid by the
process of political consolidation and centralization of the
monarchies of Europe. This process of centralization began with
Charlemagne, King of the Franks (768–814) and later Holy Roman
Emperor (800–814). Charlemagne's inclination towards education,
which led to the creation of many new churches and schools where
students were required to learn Latin and Greek, has been called the
"Carolingian Renaissance." A second "renaissance" occurred during
the reign of Otto I, King of the Saxons from 936–973 and Holy
Roman Emperor from 952. Otto was successful in unifying his
kingdom and asserting his right to appoint bishops and archbishops
throughout the kingdom. Otto's assumption of this ecclesiastical
power brought him into close contact with the best-educated and
ablest class of men in his kingdom. From this close contact, many
new reforms were introduced in the Saxon kingdom and in the Holy
Roman Empire. Thus, Otto's reign has also been called a
"renaissance." The renaissance of the twelfth century has been
identified as the third and final of the medieval renaissances. Yet the
renaissance of the 12th century was far more thoroughgoing than
those renaissances that preceded in the Carolingian and Ottonian
periods.
Conquest of and contact with the Muslim world through the

Crusades and the reconquest of Spain also yielded new texts and
knowledge. Most notably, contact with Muslims led to the the
European rediscovery and translation of Aristotle, whose wide-
ranging works influenced medieval philosophy, theology, science,
and medicine.
Schools and Universities

The late-11th and early-12th centuries also saw the rise of cathedral
schools throughout Western Europe, signaling the shift of learning
from monasteries to cathedrals and towns. Cathedral schools were
in turn replaced by the universities established in major European
cities.
The first universities in Europe included the University of Bologna

(1088), the University of Paris (c. 1150, later associated with the
Sorbonne), and the University of Oxford (1167). In Europe, young
men proceeded to university when they had completed their study of
the trivium— the preparatory arts of grammar, rhetoric, and dialectic
or logic—and the q uadrivium— arithmetic, geometry, music, and
astronomy.
Mob Quad at Merton College,

University of Ox ford
Aerial view of Merton College's Mob Quad, the oldest quadrangle of
the university, constructed from 1288-1378.
Philosophy and theology fused in scholasticism, an attempt by 12th-

and 13th-century scholars to reconcile authoritative texts, most
notably Aristotle and the Bible. This movement tried to employ a
systemic approach to truth and reason and culminated in the thought
of Thomas Aquinas (d. 1274), who wrote the Summa Theologica, or
Summary of Theology.
The development of medieval universities allowed them to aid
materially in the translation and propagation of these texts and
started a new infrastructure, which was needed for scientific
communities. In fact, the European university put many of these
texts at the center of its curriculum, with the result that the "medieval
university laid far greater emphasis on science than does its modern
counterpart and descendent."
Poems and Stories

Royal and noble courts saw the development of chivalry and the
ethos of courtly love. This culture was expressed in the vernacular
languages rather than Latin, and comprised poems, stories, legends,
and popular songs spread by troubadours, or wandering minstrels.
Often the stories were written down in the chansons de geste, or
"songs of great deeds," such as "The Song of Roland" or "The Song
of Hildebrand." Secular and religious histories were also produced.
Geoffrey of Monmouth (d. c. 1155) composed his Historia Regum
Britanniae, a collection of stories and legends about Arthur. Other
works were more clearly pure history, such as Otto von Freising's (d.
1158) G esta Friderici I mperatoris, detailing the deeds of Emperor
Frederick Barbarossa, or William of Malmesbury's (d. c. 1143) G esta
Regum, on the kings of England.
Legal Studies
Legal studies advanced during the 12th century. Both secular law
and canon law, or ecclesiastical law, were studied in the High Middle
Ages. Secular law, or Roman law, was advanced greatly by the
discovery of the Corpus Juris Civilis in the 11th century, and by 1100
Roman law was being taught at Bologna. This led to the recording
and standardization of legal codes throughout Western Europe.
Canon law was also studied, and around 1140 a monk named
Gratian, a teacher at Bologna, wrote what became the standard text
of canon law—the Decretum.
Algebra and Astronomy

Among the results of the Greek and Islamic influence on this period
in European history were the replacement of Roman numerals with
the decimal positional number system and the invention of algebra,
which allowed more advanced mathematics. Astronomy advanced
following the translation of Ptolemy's Almagest from Greek into Latin
in the late 12th century. Medicine was also studied, especially in
southern Italy, where Islamic medicine influenced the school at
Salerno.
11.7 .6: Arts and Sciences

The renaissance of the 12th century was a highly productive time of
social, political, and economic transformations, and saw important
artistic, technological, and scientific advancements.
Learning Objective
Write about the scientific and artistic advancements of the High
Middle Ages and how these advancements were influenced by
certain technological advancements and changes in thinking
Key Points
After the fall of the Roman Empire, the Middle Ages was a time
of little scientific and artistic advancement until the renaissance
of the 12th century, when increased contact with the Islamic
world and Byzantium revived the arts.
William of Ockham insisted that the world of reason and the
world of faith had to be kept apart, and this new approach
liberated scientific speculation from the dogmatic restraints of
Aristotelian science, paving the way for new approaches.
After the renaissance of the 12th century, medieval Europe saw
a radical change in the rate of new inventions, innovations in the
ways of managing traditional means of production, and
economic growth.
The period saw major technological advances, including the
adoption of gunpowder, the invention of vertical windmills,
spectacles, and mechanical clocks, and greatly improved water
mills, building techniques (Gothic architecture, medieval
castles), and agriculture in general (three-field crop rotation).
In northern European countries, Gothic architecture remained
the norm, and the Gothic cathedral was further embellished. In
Italy, architecture took on a new form, inspired by classical
ideals.
The most important development of late medieval literature was
the ascendancy of the vernacular languages.
Key Terms
Euclid
A Greek mathematician (~ 300 BCE), often referred to as the

"Father of Geometry." His Elements is one of the most influential
works in the history of mathematics.
Gutenberg
German blacksmith, goldsmith, printer, and publisher who

introduced printing to Europe. His invention of mechanical
movable type printing started the Printing Revolution and is
widely regarded as the most important event of the modern
period.
Nicolaus Copernicus
A Renaissance mathematician and astronomer (1473–1543)
who formulated a heliocentric model of the universe that placed
the Sun, rather than Earth, at the center.
the Reconquista
Period of approximately 781 years in the history of the Iberian

Peninsula, from after the Islamic conquest in 711-718 to the fall
of Granada, the last Islamic state on the peninsula, in 1492.
Thomistic
The philosophical school that arose as a legacy of the work and

thought of Saint Thomas Aquinas (1225–1274), philosopher,
theologian, and Doctor of the Church.
Hellenic
From Ancient Greek; Hellenikos, "of or relating to Greece or

Greeks."
vernacular
The native language or native dialect of a specific population,

especially as distinguished from a literary, national, or standard
variety of the language, such as Latin.
Overview
The renaissance of the 12th century was a period of many changes
at the outset of the High Middle Ages. It included social, political, and
economic transformations, and an intellectual revitalization of
Western Europe with strong philosophical and scientific roots. For
some historians these changes paved the way for later
achievements such as the literary and artistic movement of the
Italian Renaissance in the 15th century and the scientific
developments of the 17th century.
After the collapse of the Western Roman Empire, Western Europe
had entered the Middle Ages with great difficulties. Apart from
depopulation and other factors, most classical scientific treatises of
classical antiquity, written in Greek, had become unavailable.
Philosophical and scientific teaching of the Early Middle Ages was
based upon the few Latin translations and commentaries on ancient
Greek scientific and philosophical texts that remained in the Latin
West.
This scenario changed during the renaissance of the 12th century.

The increased contact with Byzantium and with the Islamic world in
Spain and Sicily, the Crusades, and the Reconquista allowed
Europeans to seek and translate the works of Hellenic and Islamic
philosophers and scientists, especially Aristotle.
Scientific Advancement
The rediscovery of the works of Aristotle allowed the full
development of the new Christian philosophy and the method of
scholasticism. By 1200 there were reasonably accurate Latin
translations of the main works of Aristotle, Euclid, Ptolemy,
Archimedes, and Galen—that is, all the intellectually crucial ancient
authors except Plato. Also, many of the medieval Arabic and Jewish
key texts, such as the main works of Avicenna, Averroes, and
Maimonides became available in Latin. During the 13th century,
scholastics expanded the natural philosophy of these texts by
commentaries (associated with teaching in the universities) and
independent treatises. Notable among these were the works of
Robert Grosseteste, Roger Bacon, John of Sacrobosco, Albertus
Magnus, and Duns Scotus.
Scholastics believed in empiricism and supporting Roman Catholic

doctrines through secular study, reason, and logic. The most famous
scholastic was Thomas Aquinas (later declared a "Doctor of the
Church"), who led the move away from the Platonic and Augustinian
and towards Aristotelianism.
Meanwhile, precursors of the modern scientific method can be seen
in Grosseteste's emphasis on mathematics as a way to understand
nature and in the empirical approach admired by Roger Bacon.
Grosseteste was the founder of the famous Oxford Franciscan
school. He built his work on Aristotle's vision of the dual path of
scientific reasoning. He concluded from particular observations into a
universal law, and then back again—from universal laws to
prediction of particulars. Grosseteste called this "resolution and
composition." Further, Grosseteste said that both paths should be
verified through experimentation in order to verify the principals.
These ideas established a tradition that carried forward to Padua
and Galileo Galilei in the 17th century.
Under the tuition of Grosseteste and inspired by the writings of Arab

alchemists who had preserved and built upon Aristotle's portrait of
induction, Bacon described a repeating cycle of observation,
hypothesis, and experimentation, and the need for independent
verification. He recorded the manner in which he conducted his
experiments in precise detail so that others could reproduce and
independently test his results—a cornerstone of the scientific
method, and a continuation of the work of researchers like Al Battani.
The first half of the 14th century saw the scientific work of great
thinkers. The logic studies by William of Ockham led him to postulate
a specific formulation of the principle of parsimony, known today as
Ockham's Razor. This principle is one of the main heuristics used by
modern science to select between two or more underdetermined
theories.
W illiam of Ockham
William of Ockham, from stained glass window at a church in Surrey.
He is considered one of the major figures of medieval thought and
was at the center of the major intellectual and political controversies
of the 14th century.
Thomas Bradwardine and his partners, the Oxford Calculators of

Merton College, Oxford, distinguished kinematics from dynamics,
emphasizing kinematics, and investigating instantaneous velocity.
They formulated the mean speed theorem: a body moving with
constant velocity travels distance and time equal to an accelerated
body whose velocity is half the final speed of the accelerated body.
They also demonstrated this theorem—the essence of "The Law of
Falling Bodies"—long before Galileo, who has gotten the credit.
In his turn, Nicole Oresme showed that the reasons proposed by the
physics of Aristotle against the movement of Earth were not valid,
and adduced the argument of simplicity for the theory that Earth
moves, and not the heavens. Despite this argument in favor of
Earth's motion, Oresme fell back on the commonly held opinion that
"everyone maintains, and I think myself, that the heavens do move
and not the Earth."
The historian of science Ronald Numbers notes that the modern

scientific assumption of methodological naturalism can be also
traced back to the work of these medieval thinkers
Technological Developments
After the renaissance of the 12th century, medieval Europe saw a
radical change in the rate of new inventions, innovations in the ways
of managing traditional means of production, and economic growth.
The period saw major technological advances, including the
adoption of gunpowder, the invention of vertical windmills,
spectacles, mechanical clocks, and greatly improved water mills,
building techniques (Gothic architecture, medieval castles), and
agriculture in general (three-field crop rotation).
The development of water mills from their ancient origins was

impressive, and extended from agriculture to sawmills both for timber
and stone. By the time of the Domesday Book, most large villages
had turnable mills; there were around 6,500 in England alone. Water
power was also widely used in mining for raising ore from shafts,
crushing ore, and even powering bellows.
European technical advancements from the 12th to 14th centuries

were either built on long-established techniques in medieval Europe,
originating from Roman and Byzantine antecedents, or adapted from
cross-cultural exchanges through trading networks with the Islamic
world, China, and India. Often, the revolutionary aspect lay not in the
act of invention itself, but in its technological refinement and
application to political and economic power. Though gunpowder and
other weapons had been started by the Chinese, it was the
Europeans who developed and perfected its military potential,
precipitating European expansion and eventual imperialism in the
Modern Era.
Also significant in this respect were advances in maritime

technology. Advances in shipbuilding included the multi-masted
ships with lateen sails, the sternpost-mounted rudder, and the
skeleton-first hull construction. Along with new navigational
techniques such as the dry compass, the Jacob's staff, and the
astrolabe, these allowed economic and military control of the seas
adjacent to Europe and enabled the global navigational
achievements of the dawning Age of Exploration.
At the turn to the Renaissance, Gutenberg’s invention of mechanical

printing made possible a dissemination of knowledge to a wider
population that would lead to not only a gradually more egalitarian
society, but one more able to dominate other cultures, drawing from
a vast reserve of knowledge and experience. The technical drawings
of late-medieval artist-engineers Guido da V igevano and V illard de
Honnecourt can be viewed as forerunners of later Renaissance
works by people like Taccola or da V inci.
European output of printed books c.
145 0-18 00
Estimated output of printed books in Europe from c. 1450 to 1800. A
book is defined as printed matter containing more than 49 pages.
V isual Arts and Architecture

A precursor to Renaissance art can be seen in the early 14th century
works of Giotto. Giotto was the first painter since antiquity to attempt
the representation of a three-dimensional reality, and to endow his
characters with true human emotions. The most important
developments, however, came in 15th-century Florence. The
affluence of the merchant class allowed extensive patronage of the
arts, and foremost among the patrons were the Medici.
There were several important technical innovations in visual arts, like

the principle of linear perspective found in the work of Masaccio and
later described by Brunelleschi. Greater realism was also achieved
through the scientific study of anatomy, championed by artists like
Donatello. This can be seen particularly well in his sculptures,
inspired by the study of classical models.
In northern European countries, Gothic architecture remained the

norm, and the Gothic cathedral was further embellished. In Italy, on
the other hand, architecture took a different direction, also inspired
by classical ideals. The crowning work of the period was the Santa
Maria del Fiore in Florence, with Giotto's clock tower, Ghiberti's
baptistery gates, and Brunelleschi's cathedral dome of
unprecedented proportions.
Duomo in Florence, Italy, seen at night

from Michelangelo's Piaz z a
Giotto's clock tower on the right and Brunelleschi's cathedral dome
on the left. In one structure, two of the most influential architectural
designs in the world.
Literature
The most important development of late medieval literature was the
ascendancy of the vernacular languages. The vernacular had been
in use in England since the 8th century and in France since the 11th
century. The most popular genres of written works had been the
chanson de geste, troubadour lyrics, and romantic epics, or the
romance. Though Italy was later in evolving a native literature in the
vernacular language, it was here that the most important
developments of the period were to come.
Dante Alighieri's Divine Comedy, written in the early 14th century,

merged a medieval world view with classical ideals. Another
promoter of the Italian language was Boccaccio with his Decameron.
The application of the vernacular did not entail a rejection of Latin,
and both Dante and Boccaccio wrote prolifically in Latin as well as
Italian, as would Petrarch later (whose Canz oniere also promoted
the vernacular and is considered the first modern lyric poetry
collection). Together these three poets established the Tuscan
dialect as the norm for the modern Italian language.
11.7 .7 : The Black Death

The Black Death was an infamous pandemic of bubonic plague and
one of the most devastating pandemics in human history.
Learning Objective
Evaluate the impact of the Black Death on European society in the
Middle Ages
Key Points
The Black Death resulted in the deaths of an estimated 75-200
million people—approximately 30% of Europe's population.
It spread from central Asia on rat fleas living on the black rats
that were regular passengers on merchant ships, and traveled
towards Europe as people fled from one area to another.
The Great Famine of 1315-1317 and subsequent malnutrition in
the population likely caused weakened immunity and
susceptibility to disease.
Medieval doctors thought the plague was created by air
corrupted by humid weather, decaying unburied bodies, and
fumes produced by poor sanitation.
The aftermath of the plague created a series of religious, social,
and economic upheavals, which had profound effects on the
course of European history.
As people struggled to understand the causes of the Black
Death, renewed religious fervor and fanaticism bloomed in its
wake, leading to the widespread persecution of minorities.
Flagellantism, the practice of self-inflicted pain, especially with a
whip, became popular as a radical movement during the time of
the Black Death, and was eventually deemed heretical by the
church.
The great population loss wrought by the plague brought
favorable results to the surviving peasants in England and
Western Europe, such as wage increases and more access to
land, and was one of the factors in the ending of the feudal
system.
Key Terms
bubonic plague
Disease circulating mainly in fleas on small rodents. Without

treatment, the bacterial infection kills about two thirds of infected
humans within four days.
the Silk Road
Series of trade and cultural routes that were central to cultural

interaction through regions of the Asian continent, connecting
the West and East from China to the Mediterranean Sea.
Flagellant
Practitioners of an extreme form of mortification of their own
flesh by whipping it with various instruments.
In the Late Middle Ages (1340–1400) Europe experienced the most

deadly disease outbreak in history when the Black Death, the
infamous pandemic of bubonic plague, hit in 1347. The Black Death
was one of the most devastating pandemics in human history,
resulting in the deaths of an estimated 75–200 million people and
peaking in Europe in the years 1348–1350.
Path of the Black Death to

Europe
The Black Death is thought to have originated in the arid plains of
Central Asia, where it then travelled along the Silk Road, reaching
the Crimea by 1346. It was most likely carried by Oriental rat fleas
living on the black rats that were regular passengers on merchant
ships.
Mongol dominance of Eurasian trade routes enabled safe passage

through more secured trade routes. Goods were not the only thing
being traded; disease also was passed between cultures. From
Central Asia the Black Death was carried east and west along the
Silk Road by Mongol armies and traders making use of the
opportunities of free passage within the Mongol Empire offered by
the Pax Mongolica. The epidemic began in Europe with an attack
that Mongols launched on the Italian merchants' last trading station
in the region, Caffa in the Crimea. In the autumn of 1346, plague
broke out among the besiegers and then penetrated into the town.
When spring arrived, the Italian merchants fled on their ships,
unknowingly carrying the Black Death. The plague initially spread to
humans near the Black Sea and then outwards to the rest of Europe
as a result of people fleeing from one area to another.
The spread of the Black Death
Animation showing the spread of The Black Death from Central Asia
to East Asia and Europe from 1346 to 1351.
Spreading throughout the Mediterranean and Europe, the Black

Death is estimated to have killed 30–60% of Europe's total
population. While Europe was devastated by the disease, the rest of
the world fared much better. In India, populations rose from 91
million in 1300, to 97 million in 1400, to 105 million in 1500. Sub-
Saharan Africa also remained largely unaffected by the plagues.
Symptoms and Treatment

The most infamous symptom of bubonic plague is an infection of the
lymph glands, which become swollen and painful and are known as
buboes. Buboes associated with the bubonic plague are commonly
found in the armpits, groin, and neck region. Gangrene of the
fingers, toes, lips, and nose is another common symptom.
Medieval doctors thought the plague was created by air corrupted by

humid weather, decaying unburied bodies, and fumes produced by
poor sanitation. The recommended treatment for the plague was a
good diet, rest, and relocating to a non-infected environment so the
individual could get access to clean air. This did help, but not for the
reasons the doctors of the time thought. In actuality, because they
recommended moving away from unsanitary conditions, people
were, in effect, getting away from the rodents that harbored the fleas
carrying the infection.
Plague doctors advised walking around with flowers in or around the

nose to "ward off the stench and perhaps the evil that afflicted them."
Some doctors wore a beak-like mask filled with aromatic items. The
masks were designed to protect them from putrid air, which was
seen as the cause of infection.
A plague doctor
Drawing illustrating the clothes and "beak" of a plague doctor.
Since people didn't have the knowledge to understand the plague,

people believed it was a punishment from God. The thought the only
way to be rid of the plague was to be forgiven by God. One method
was to carve the symbol of the cross onto the front door of a house
with the words "Lord have mercy on us" near it.
Impact of the Black Death on
Society and Culture
The aftermath of the plague created a series of religious, social, and
economic upheavals, which had profound effects on the course of
European history. It took 150 years for Europe's population to
recover, and the effects of the plague irrevocably changed the social
structure, resulting in widespread persecution of minorities such as
Jews, foreigners, beggars, and lepers. The uncertainty of daily
survival has been seen as creating a general mood of morbidity,
influencing people to "live for the moment."
Because 14th-century healers were at a loss to explain the cause of

the plague, Europeans turned to astrological forces, earthquakes,
and the poisoning of wells by Jews as possible reasons for the
plague's emergence. No one in the 14th century considered rat
control a way to ward off the plague, and people began to believe
only God's anger could produce such horrific displays. Giovanni
Boccaccio, an Italian writer and poet of the 14th century, questioned
whether plague was sent by God for human's correction, or if it came
through the influence of the heavenly bodies. Christians accused
Jews of poisoning public water supplies in an effort to ruin European
civilization. The spreading of this rumor led to complete destruction
of entire Jewish towns, but it was caused simply by suspicion on the
part of the Christians, who noticed that the Jews had lost fewer lives
in the Plague due to their hygienic practices. In February 1349,
2,000 Jews were murdered in Strasbourg. In August of the same
year, the Jewish communities of Mainz and Cologne were
exterminated.
There was a significant impact on religion, as many believed the

plague was God's punishment for sinful ways. Church lands and
buildings were unaffected, but there were too few priests left to
maintain the old schedule of services. Over half the parish priests,
who gave the final sacraments to the dying, died themselves. The
church moved to recruit replacements, but the process took time.
New colleges were opened at established universities, and the
training process sped up. The shortage of priests opened new
opportunities for lay women to assume more extensive and
important service roles in local parishes.
Flagellantism was a 13th and 14th centuries movement involving

radicals in the Catholic Church. It began as a militant pilgrimage and
was later condemned by the Catholic Church as heretical. The peak
of the activity was during the Black Death. Flagellant groups
spontaneously arose across Northern and Central Europe in 1349,
except in England. The German and Low Countries movement, the
Brothers of the Cross, is particularly well documented. They
established their camps in fields near towns and held their rituals
twice a day. The followers would fall to their knees and scourge
themselves, gesturing with their free hands to indicate their sin and
striking themselves rhythmically to songs, known as G eisslerlieder,
until blood flowed. Sometimes the blood was soaked up by rags and
treated as a holy relic. Some towns began to notice that sometimes
Flagellants brought plague to towns where it had not yet surfaced.
Therefore, later they were denied entry. The flagellants responded
with increased physical penance.
The Black Death had a profound impact on art and literature. After
1350, European culture in general turned very morbid. The common
mood was one of pessimism, and contemporary art turned dark with
representations of death. La Danse Macabre, or the dance of death,
was a contemporary allegory, expressed as art, drama, and printed
work. Its theme was the universality of death, expressing the
common wisdom of the time that no matter one's station in life, the
dance of death united all. It consisted of the personified Death
leading a row of dancing figures from all walks of life to the grave—
typically with an emperor, king, pope, monk, youngster, and beautiful
girl, all in skeleton-state. Such works of art were produced under the
impact of the Black Death, reminding people of how fragile their lives
and how vain the glories of earthly life were.
Danse Macabre
The Dance of Death (1493) by Michael Wolgemut, from the Liber
chronicarum by Hartmann Schedel.
A Medieval etching depicted four skeletons dancing and playing

music and one skeleton lying on the ground.
Economic Impact of the Plague

The great population loss wrought by the plague brought favorable
results to the surviving peasants in England and Western Europe.
There was increased social mobility, as depopulation further eroded
the peasants' already weakened obligations to remain on their
traditional holdings. Feudalism never recovered. Land was plentiful,
wages high, and serfdom had all but disappeared. It was possible to
move about and rise higher in life.
The Black Death encouraged innovation of labor-saving

technologies, leading to higher productivity. There was a shift from
grain farming to animal husbandry. Grain farming was very labor-
intensive, but animal husbandry needed only a shepherd, a few
dogs, and pastureland.
Since the plague left vast areas of farmland untended, they were
made available for pasture and thus put more meat on the market;
the consumption of meat and dairy products went up, as did the
export of beef and butter from the Low Countries, Scandinavia, and
northern Germany. However, the upper classes often attempted to
stop these changes, initially in Western Europe, and more forcefully
and successfully in Eastern Europe, by instituting sumptuary laws.
These regulated what people (particularly of the peasant class) could
wear so that nobles could ensure that peasants did not begin to
dress and act as higher class members with their increased wealth.
Another tactic was to fix prices and wages so that peasants could
not demand more with increasing value. In England, the Statute of
Labourers of 1351 was enforced, meaning no peasant could ask for
more wages than they had in 1346. This was met with varying
success depending on the amount of rebellion it inspired; such a law
was one of the causes of the 1381 Peasants' Revolt in England.
Plague brought an eventual end of serfdom in Western Europe. The

manorial system was already in trouble, but the Black Death assured
its demise throughout much of Western and Central Europe by 1500.
Severe depopulation and migration of people from village to cities
caused an acute shortage of agricultural laborers. In England, more
than 1300 villages were deserted between 1350 and 1500.
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12: The Development of Russia
12.1: The Princes of Rus
12.1.1: Rurik and the Foundation of
Rus'
Rurik was a V arangian chieftain who established the first ruling
dynasty in Russian history called the Rurik Dynasty in 862 near
Novgorod. This dynasty went on to to establish Kievan Rus'.
Learning Objective
Understand the key aspects of Rurik's rise to power and the
establishment of Kievan Rus'
Key Points
Rurik and his followers likely originated in Scandinavia and were
related to Norse V ikings.
The Primary Chronicle is one of the few written documents
available that tells us how Rurik came to power.
Local leaders most likely invited Rurik to establish order in the
Ladoga region around 862, beginning a powerful legacy of
V arangian leaders.
The capital of Kievan Rus' moved from Novgorod to Kiev after
Rurik's successor, Oleg, captured this southern city.
Key Terms
Primary Chronicle
A text written in the 12th century that relates a detailed history of
Rurik's rise to power.
V arangians
Norse V ikings who established trade routes throughout Eurasia

and eventually established a powerful dynasty in Russia.
Rurik Dynasty
The founders of Kievan Rus' who stayed in power until 1598

and established the first incarnation of a unified Russia.
Rurik
Rurik (also spelled Riurik) was a V arangian chieftain who arrived in
the Ladoga region in modern-day Russia in 862. He built the
Holmgard settlement near Novgorod in the 860s and founded the
first significant dynasty in Russian history called the Rurik Dynasty.
Rurik and his heirs also established a significant geographical and
political formation known as Kievan Rus', the first incarnation of
modern Russia. The Rurik rulers continued to rule Russia into the
16th century and the mythology surrounding the man Rurik is often
referred to as the official beginning of Russian history.
Primary Chronicle
The identity of the mythic leader Rurik remains obscure and
unknown. His original birthplace, family history, and titles are
shrouded in mystery with very few historical clues. Some 19th-
century scholars attempted to identify him as Rorik of Dorestad (a
V iking-Age trading outpost situated in the northern part of modern-
day Germany). However, no concrete evidence exists to confirm this
particular origin story.
A page from the Prim ary C hronicle or
The Tale of B ygone Y ears
This rare written document was created in the 12th century and
provides the most promising clues as to the arrival of Rurik in
Ladoga.
The text includes an illustration depicting Oleg of Novgorod's

campaign against Constantinople.
The debate also continues as to how Rurik came to control the

Novgorod region. However, some clues are available from the
Primary Chronicle. This document is also known as The Tale of
Bygone Y ears and was compiled in Kiev around 1113 by the monk
Nestor. It relates the history of Kievan Rus' from 850 to 1110 with
various updates and edits made throughout the 12th century by
scholarly monks. It is difficult to untangle legend from fact, but this
document provides the most promising clues regarding Rurik. The
Primary Chronicle contends the V arangians were a V iking group,
most likely from Sweden or northern Germany, who controlled trade
routes across northern Russia and tied together various cultures
across Eurasia.
A monument celebrating the
millennial anniversary of the arrival of
Rurik in Russia
This modern interpretation of Rurik illustrates his powerful place in
Russian history and lore.
The monument depicts Rurik in full armor holding a shield in his right
hand and a sword in his left hand.
The various tribal groups, including Chuds, Eastern Slavs, Merias,

V eses, and Krivichs, along the northern trade routes near Novgorod
often cooperated with the V arangian Rus' leaders. But in the late
850s they rose up in rebellion, according to the Primary Chronicle.
However, soon after this rebellion, the local tribes near the Novgorod
region began to experience internal disorder and conflict. These
events prompted local tribal leaders to invite Rurik and his V arangian
leaders back to the region in 862 to reinstate peace and order. This
moment in history is known as the I nvitation of the V arangians and is
commonly regarded as the starting point of official Russian history.
Development of Kievan Rus'

According to legend, at the call of the local tribal leaders Rurik, along
with his brothers Truvor and Sineus, founded the Holmgard
settlement in Ladoga. This settlement is supposed to be at the site of
modern-day Novgorod. However, newer archeological evidence
suggests that Novgorod was not regularly settled until the 10th
century, leading some to speculate that Holmgard refers to a smaller
settlement just southeast of the city. The founding of Holmgard
signaled a new era in Russian history and the three brothers became
the famous founders of the first Rus' ruling dynasty.
Kievan Rus' in 1015
The expansion and shifting borders of Kievan Rus' become apparent
when looking at this map, which includes the two centers of power in
Novgorod and Kiev.
The map shows that at its greatest extent in the mid-11th century,
Kievan Rus' stretched from the Baltic Sea in the north to the Black
Sea in the south and from the headwaters of the V istula in the west
to the Taman Peninsula in the east, uniting the majority of East
Slavic tribes.
Rurik died in 879 and his successor, Oleg, continued the V arangian
Rus' expansion in 882 by taking the southern city of Kiev from the
Khasars and establishing the medieval state of Kievan Rus'. The
capital officially moved to Kiev at this point. With this shift in power,
there were two distinct capitals in Kievan Rus', the northern seat of
Novgorod and the southern center in Kiev. In Kievan Rus' tradition,
the heir apparent would oversee the northern site of Novgorod while
the ruling Rus' king stayed in Kiev. Over the next 100 years local
tribes consolidated and unified under the Rurik Dynasty, although
local fractures and cultural differences continued to play a significant
role in the attempt to maintain order under V arangian rule.
12.1.2: V ladimir I and Christianiz ation

V ladimir I ruled from 980 to 1015 and was the first Kievan Rus' ruler
to officially establish Orthodox Christianity as the new religion of the
region.
Learning Objective
Outline the shift from pagan culture to Orthodox Christianity under
the rule of V ladimir I
Key Points
V ladimir I became the ruler of Kievan Rus' after overthrowing his
brother Yaropolk in 978.
V ladimir I formed an alliance with Basil II of the Byzantine
Empire and married his sister Anna in 988.
After his marriage V ladimir I officially changed the state religion
to Orthodox Christianity and destroyed pagan temples and
icons.
He built the first stone church in Kiev in 989, called the Church
of the Tithes.
Key Terms
Constantinople
The capital of the Byzantine Empire.
Perun
The pagan thunder god that many locals, and possibly V ladimir
I, worshipped before Christianization.
Basil II
The Byzantine emperor who encouraged V ladimir to convert to

Christianity and offered a political marriage alliance with his
sister, Anna.
V ladimir I
V ladimir I, also known as V ladimir the Great or V ladimir
Sviatoslavich the Great, ruled Kievan Rus' from 980 to 1015 and is
famous for Christianizing this territory during his reign. Before he
gained the throne in 980, he had been the Prince of Novgorod while
his father, Sviatoslav of the Rurik Dynasty, ruled over Kiev. During
his rule as the Prince of Novgorod in the 970s, and by the time
V ladimir claimed power after his father's death, he had consolidated
power between modern-day Ukraine and the Baltic Sea. He also
successfully bolstered his frontiers against incursions from
Bulgarian, Baltic, and Eastern nomads during his reign.
Early Myths of Christianiz ation

The original Rus' territory was comprised of hundreds of small towns
and regions, each with its own beliefs and religious practices. Many
of these practices were based on pagan and localized traditions. The
first mention of any attempts to bring Christianity to Rus' appears
around 860. The Byzantine Patriarch Photius penned a letter in the
year 867 that described the Rus' region right after the Rus'-
Byzantine War of 860. According to Photius, the people of the region
appeared enthusiastic about the new religion and he claims to have
sent a bishop to convert the population. However, this low-ranking
official did not successfully convert the population of Rus' and it
would take another twenty years before a significant change in
religious practices would come about.
The stories regarding these first Byzantine missions to Rus' during

the 860s vary greatly and there is no official record to substantiate
the claims of the Byzantine patriarchs. Any local people in small
villages who embraced Christian practices would have had to
contend with fears of change from their neighbors.
V ladimir I and His Rise to Power

The major player in the Christianization of the Rus' world is
traditionally considered V ladimir I. He was born in 958, the youngest
of three sons, to the Rus' king Sviatoslav. He ascended to the
position of Prince of Novgorod around 969 while his oldest brother,
Yaropolk, became the designated heir to the throne in Kiev.
Sviatoslav died in 972, leaving behind a fragile political scene among
his three sons. V ladimir was forced to flee to Scandinavia in 976
after Yaropolk murdered their brother Oleg and violently took control
of Rus'.
V ladimir I
A Christian representation of V ladimir I, who was the first Rus' leader
to officially bring Christianity to the region.
V ladimir fled to his kinsman Haakon Sigurdsson, who ruled Norway

at the time. Together they gathered an army with the intent to regain
control of Rus' and establish V ladimir as the ruler. In 978, V ladimir
returned to Kievan Rus' and successfully recaptured the territory. He
also slew his brother Yaropolk in Kiev in the name of treason and, in
turn, became the ruler of all of Kievan Rus'.
Constantinople and Conversion

V ladimir spent the next decade expanding his holdings, bolstering
his military might, and establishing stronger borders against outside
invasions. He also remained a practicing pagan during these first
years of his rule. He continued to build shrines to pagan gods,
traveled with multiple wives and concubines, and most likely
continued to promote the worship of the thunder god Perun.
However, the Primary Chronicle (one of the few written documents
about this time) states that in 987 V ladimir decided to send envoys to
investigate the various religions neighboring Kievan Rus'.
According to the limited documentation from the time, the envoys

that came back from Constantinople reported that the festivities and
the presence of God in the Christian Orthodox faith were more
beautiful than anything they had ever seen, convincing V ladimir of
his future religion.
Another version of events claims that Basil II of Byzantine needed a

military and political ally in the face of a local uprising near
Constantinople. In this version of the story, V ladimir demanded a
royal marriage in return for his military help. He also announced he
would Christianize Kievan Rus' if he was offered a desirable
marriage tie. In either version of events, V ladimir vied for the hand of
Anna, the sister of the ruling Byzantine emperor, Basil II. In order to
marry her he was baptized in the Orthodox faith with the name Basil,
a nod to his future brother-in-law.
17 th-century Church of the Tithes
The original stone Church of the Tithes collapsed from fire and
sacking in the 12th century. However, two later versions were
erected and destroyed in the 17th and 19th centuries.
He returned to Kiev with his bride in 988 and proceeded to destroy

all pagan temples and monuments. He also built the first stone
church in Kiev named the Church of the Tithes starting in 989. These
moves confirmed a deep political alliance between the Byzantine
Empire and Rus' for years to come.
Baptism of Kiev
On his return in 988, V ladimir baptized his twelve sons and many
boyars in official recognition of the new faith. He also sent out a
message to all residents of Kiev, both rich and poor, to appear at the
Dnieper River the following day. The next day the residents of Kiev
who appeared were baptized in the river while Orthodox priests
prayed. This event became known as the Baptism of Kiev.
Monument of Saint V ladimir in Kiev
This statue sits close to the site of the original Baptism of Kiev.
Pagan uprisings continued throughout Kievan Rus' for at least

another century. Many local populations violently rejected the new
religion and a particularly brutal uprising occurred in Novgorod in
1071. However, V ladimir became a symbol of the Russian Orthodox
religion, and when he died in 1015 his body parts were distributed
throughout the country to serve as holy relics.
12.1.3: Y aroslav the W ise

Yaroslav I, also known as Yaroslav the Wise, developed the first
legal codes, beautified Kievan Rus', and formed major political
alliances with the West during his nearly 40-year reign.
Learning Objective
Outline the key elements of Yaroslav the Wise's reign and cultural
influence
Key Points
Yaroslav I came to power after a bloody civil war between
brothers.
He captured the Kievan throne because of the devotion of the
Novgorodian and V arangian troops to his cause.
Grand Prince Yaroslav was the first Kievan ruler to codify legal
customs into the Pravda Yaroslava.
He bolstered borders and encouraged political alliances with
other major European powers during his reign.
Key Terms
primogeniture
A policy that designates the oldest son as the heir to the throne
upon the death of the father.
Novgorod Republic
The northern stronghold of Kievan Rus' where Yaroslav gained

early support for his cause.
Y aroslav the W ise

Yaroslav the Wise was the Grand Prince of Kiev from 1016 until his
death in 1954. He was also vice-regent of Novgorod from 1010 to
1015 before his father, V ladimir the Great, died. During his reign he
was known for spreading Christianity to the people of Rus', founding
the first monasteries in the country, encouraging foreign alliances,
and translating Greek texts in Church Slavonic. He also created
some of the first legal codes in Kievan Rus'. These accomplishments
during his lengthy rule granted him the title of Yaroslav the Wise in
early chronicles of his life, and his legacy endures in both political
and religious Russian history.
Y outh and Rise to Power

Yaroslav was the son of the V arangian Grand Prince V ladimir the
Great and most likely his second son with Rogneda of Polotsk. His
youth remains shrouded in mystery. Evidence from the Primary
Chronicle and examination of his skeleton suggests he is one of the
youngest sons of V ladimir, and possibly a son from a different
mother. He was most likely born around the year 978.
Facial reconstruction of Y aroslav I by
Mikhail Gerasimov
He was set as vice-regent of Novgorod in 1010, as befitted a senior
heir to the throne. In this same time period V ladimir the Great
granted the Kievan throne to his younger son, Boris. Relations were
strained in this family. Yaroslav refused to pay Novgorodian tribute to
Kiev in 1014, and only V ladimir's death in 1015 prevented a severe
war between these two regions. However, the next few years were
spent in a bitter civil war between the brothers. Yarsolav was vying
for the seat in Kiev against his brother Sviatopolk I, who was
supported by Duke Boleslaw I of Chrobry. In the ensuing years of
carnage, three of his brothers were murdered (Boris, Gleb, and
Svyatoslav). Yaroslav won the first battle at Kiev against Sviatopolk
in 1016 and Sviatopolk was forced to flee to Poland.
After this significant triumph Yaroslav's ascent to greatness began,
and he granted freedoms and privileges to the Novgorod Republic,
who had helped him gain the Kievan throne. These first steps also
most likely led to the first legal code in Kievan Rus' under Yaroslav.
He was chronicled as Yaroslav the Wise in retellings of these events
because of his even-handed dealing with the wars, but it is highly
possible he was involved in the murder of his brothers and other
gruesome acts of war.
W ise Reign
The civil war did not completely end in 1016. Sviatopolk returned in
1018 and retook Kiev. However, V arangian and Novgorodian troops
recaptured the capital and Sviatopolk fled to the West never to
return. Another fraternal conflict arose in 1024 when another brother
of Yaroslav's, Mstislav of Chernigov, attempted to capture Kiev. After
this conflict, the brothers split the Kievan Rus' holdings, with Mstislav
ruling over the region left of the Dnieper River.
Yaroslav the Wise was instrumental in defending borders and

expanding the holdings of Kievan Rus'. He protected the southern
borders from nomadic tribes, such as the Pechenegs, by
constructing a line of military forts. He also successfully laid claim to
Chersonesus in the Crimea and came to a peaceful agreement with
the Byzantine Empire after many years of conflict and disagreements
over land holdings.
Saint Sophia Cathedral in Kiev
This iconic cathedral fell into disrepair and was almost destroyed
during the Soviet era, but it was saved and restored to its former
glory.
Yaroslav the Wise garnered his thoughtful reputation due to his

prolific years in power. He was a ruler that loved literature, religion,
and the written language. His many accomplishments included:
Building the Saint Sophia Cathedral and the first monasteries in

Russia, named Saint George and Saint Irene.
Founding a library and a school at the Saint Sophia Cathedral
and encouraging the translation of Greek texts into Church
Slavonic.
Developing a more established hierarchy within the Russian
Orthodox Church, including a statute outlining the rights of the
clergy and establishing the sobor of bishops.
Beautifying Kiev with elements of design taken from the
Byzantine Empire, including the Golden Gate of Kiev.
Compiling the first book of laws in Kievan Rus', called the
Pravda Yaroslava. This first compilation set down clear laws that
reflected the feudal landscape of the 11th century. This initial
legal code would live on and be refined into the Russkaya
Pravda in the 12th century.
Establishing primogeniture, which meant that his eldest son
would succeed him as Grand Prince over Novgorod and Kiev,
hoping that future conflict between his children would be
avoided.
Golden Gate of Kiev in 2016

This important monument was one of the great architectural
accomplishments created under Yaroslav the Wise, and now
features a monument to the ruler, seen in the foreground.
Family and Death

Yaroslav married Ingegerd Olofsdotter, the daughter of the king of
Sweden, in 1019. He had many sons and encouraged them to
remain on good terms, after all the years of warfare and bloodshed
with his own brothers. He also married three of his daughters to
European royalty. Elizabeth, Anna, and Anastasia married Harald III
of Norway, Henry I of France, and Andrew I of Hungary respectively.
These marriages forged powerful alliances with European states.
Daughters of Y aroslav the W ise
This 11th-century fresco in Saint Sophia's Cathedral shows four of
Yaroslav's daughter, probably Anne, Anastasia, Elizabeth, and
Agatha.
The Grand Prince Yaroslav I died in 1054 and was buried in Saint
Sophia's Cathedral. His expansion of culture and military might,
along with his unification of Kievan Rus', left a powerful impression
on Russian history. Many towns and monuments remain dedicated
to this leader.
12.1.4: The Mongol Threat

The Mongol Empire expanded its holdings in the 13th century and
established its rule over most of the major Kievan Rus' principalities
after brutal military invasions over the course of many years.
Learning Objective
Describe the attacks by th Mongols on the Russian principality
Key Points
The major principalities of Kievan Rus' became increasingly
fractured and independent after the death of Yaroslav the Wise
in 1054.
The first Mongol attempt to capture Kievan territories occurred in
1223 at the Battle of the Kalka River.
The Mongol forces began a heavy military campaign on Kievan
Rus' in 1237 under the rule of Batu Khan.
Kiev was sacked and taken in 1240, starting a long era of
Mongol rule in the region.
Key Terms
Tatar yoke
The name given to the years of Mongol rule in Kievan Rus',

which meant heavy taxation and the possibility of local invasions
at any time.
Golden Horde
The western section of the Mongol Empire that included Kievan

Rus' and parts of Eastern Europe.
Sarai
The new capital of the Mongol Empire in the southern part of

Kievan Rus'.
Mongol Invasion
The Mongol invasion of the Kievan Rus' principalities began in 1223
at the Battle of the Kalka River. However, the Mongol armies ended
up focusing their military might on other regions after this bloody
meeting, only to return in 1237. For the next three years the Mongol
forces took over the major princely cities of Kievan Rus’ and finally
forced most principalities to submit to foreign rule and taxation. Rus’
became part of what is known as the Golden Horde, the western
extension of the Mongol Empire located in the eastern Slavic region.
Some of the new taxes and rules of law lasted until 1480 and had a
lasting impact on the shape and character of modern Russia.
Fragmented Kievan Rus’

After the end of the unifying reign of Yaroslav the Wise, Kievan Rus’
became fragmented and power was focused on smaller polities. The
great ruler’s death in 1054 brought about major power struggles
between his sons and princes in outlying provinces. By the 12th
century, after years of fighting amongst the princes, power was
centered around smaller principalities. This unsettled trend left
Kievan Rus’ much more fragmented. Power was passed down to the
eldest in the local ruling dynasty and cities were responsible for their
own defenses. The Byzantine Empire was also facing major
upheaval, which meant a central Russian ally and trading partner
was weakened, which, in turn, weakened the strength and wealth of
Kievan Rus'.
The principalities of Kievan Rus' at its
height, 105 4-1132
The princely regions were relatively unified into the 12th century but
slowly separated and became more localized as fights over regions
and power among the nobility continued.
The map shows eleven principalities covering a large stretch of land

including portions of modern-day Sweden, Finland, Latvia, Lithuania,
Poland, Slovakia, Belarus, Romania, Maldova, Ukraine, and Russia.
Mongol Invasion
The already fragile alliances between the smaller Rus' principalities
faced further tension when the nomadic invaders, the Mongols,
arrived on the scene during this fractured era. These invaders
originated on the steppes of central Asia and were unified under the
infamous warrior and leader Genghis Khan. The Mongols began to
expand their power across the continent. The Battle of the Kalka
River in 1223 initiated the first attempt of the Mongol forces to
capture Kievan Rus’. It was a bloody battle that ended with the
execution of Mstislav of Kiev executed the Kievan forces greatly
weakened. The Mongols were superior in their military tactics and
stretched the Rus' forces considerably, however after executing the
Kievan prince, the forces went back to Asia to rejoin Genghis Khan.
However, the Mongol threat was far from over, and they returned in
1237.
The Sacking of Suz dal in 1238 by Batu
Khan
This 16th-century depiction of the Mongol invasion highlights the
bloodshed and military might of the invaders.
A 16th-century representation of the sacking of the Kievan

principality of Suzdal by Batu Kahn in 1238.
Over the course of the years 1237 and 1238, the Mongol leader,
Batu Khan, led his 35,000 mounted archers to burn down Moscow
and Kolomna. Then he split his army into smaller units that tackled
the princely polities one at a time. Only Novgorod and Pskov were
spared major destruction during this time. Refugees from the
southern principalities, where destruction was widespread and
devastating, were forced to flee to the harsh northern forests, where
good soil and resources were scarce. The final victory for Batu Khan
came in December 1240 when he stormed the great capital of Kiev
and prevailed.
Tatar Rule and the Golden Horde

The Mongols, also known as the Tatars, built their new capital, Sarai,
in the south along the V olga River. All the major principalities, such
as Novgorod, Smolensk, and Pskov, submitted to Mongol rule. The
age of this economic and cultural rule is often called the Tatar yoke,
but over the course of 200 years, it was a relatively peaceful rule.
The Tatars followed in the footsteps of Genghis Khan and refrained
from settling the entire region or forcing local populations to adopt
specific religious or cultural traditions. However, Rus’ principalities
paid tribute and taxes to the Mongol rulers regularly, under the
umbrella of the Golden Horde (the western portion of the Mongol
Empire). Around 1259 this tribute was organized into a census that
was enforced by the locals Rus' princes on a regular schedule,
collected, and taken to the capital of Sarai for the Mongol leaders.
A map of the Mongol Empire as it
ex panded
This illustration shows the rapid expansion of the Mongol Empire as
it traveled west into what became known as the Golden Horde.
Effects of Mongol Rule

Despite the fact that the established Tatar rule was relatively
peaceful, demanding taxation and the devastation from years of
invasion left many major cities in disrepair for decades. It took years
to rebuild Kiev and Pskov. However, Novgorod continued to flourish
and the relatively new city centers of the Moscow and Tver began to
prosper. Another downside to the Tatar presence was the continued
threat of invasion and destruction, which happened sporadically
during their presence. Each new military invasion meant heavy tolls
on the local population and years of reconstruction.
Culturally, the Mongol rule brought about major shifts during the first
century of their presence. Extensive postal road systems, military
organization, and powerful dynasties were established by Tatar
alliances. Capital punishment and torture also became more
widespread during the years of Tatar rule. Some noblemen also
changed their names and adopted the Tatar language, bringing
about a shift in the aesthetic, linguistic, and cultural ties of Russia
life. Many scholars also note that the Mongol rule was a major cause
of the division of East Slavic people in Rus’ into three distinctive
modern-day nations, Russia, Ukraine, and Belarus.
12.1.5 : Ivan I and the Rise of Moscow

The small trading outpost of Moscow in the north of Rus'
transformed into a wealthy cultural center in the 14th century under
the leadership of Ivan I.
Learning Objective
Outline the key points that helped Moscow become so powerful and
how Ivan I accomplished these major victories
Key Points
Moscow was considered a small trading outpost under the
principality of V ladimir-Suzdal into the 13th century.
Power struggles and constant raids under the Mongol Empire's
Golden Horde caused once powerful cities, such as Kiev, to
struggle financially and culturally.
Ivan I utilized the relative calm and safety of the northern city of
Moscow to entice a larger population and wealth to move there.
Alliances between Golden Horde leaders and Ivan I saved
Moscow from many of the raids and destruction of other centers,
like Tver.
Key Terms
Tver
A rival city to Moscow that eventually lost favor under the
Golden Horde.
Grand Prince of V ladimir
The title given to the ruler of this northern province, where

Moscow was situated.
The Rise of Moscow

Moscow was only a small trading outpost in the principality of
V ladimir-Suzdal in Kievan Rus' before the invasion of Mongol forces
during the 13th century. However, due to the unstable environment
of the Golden Horde, and the deft leadership of Ivan I at a critical
time during the 13th century, Moscow became a safe haven of
prosperity during his reign. It also became the new seat of power of
the Russian Orthodox Church.
Ivan I
Ivan I (also known as Ivan Kalita) was born around 1288 to the
Prince of Moscow, Daniil Aleksandrovich. He was born during a time
of devastation and upheaval in Rus'. Kiev had been overtaken by the
invading Mongol forces in 1240, and most of the Rus' principalities
had been absorbed into the Golden Horde of the Mongol Empire by
the time Ivan was born. He ascended to the seat of Prince of
Moscow after the death of his father, and then the death of his older
brother Yury.
Ivan I
He was born around 1288 and died in either 1340 or 1341, still
holding the title of Grand Prince of V ladimir.
Portrait of Ivan I
Ivan I stepped into a role that had already been expanded by his
predecessors. Both his older brother and his father had captured
nearby lands, including Kolomna and Mozhaisk. Yury had also made
a successful alliance with the Mongol leader Uzbeg Khan and
married his sister, securing more power and advantages within the
hierarchy of the Golden Horde.
Ivan I continued the family tradition and petitioned the leaders of the
Golden Horde to gain the seat of Grand Prince of V ladimir. His other
three rivals, all princes of Tver, had previously been granted the title
in prior years. However they were all subsequently deprived of the
title and all three aspiring princes also eventually ended up
murdered. Ivan I, on the other hand, garnered the title from Khan
Muhammad Ozbeg in 1328. This new title, which he kept until his
death around 1340, meant he could collect taxes from the Russian
lands as a ruling prince and position his tiny city as a major player in
the V ladimir region.
Moscow's Rise
During this time of upheaval, the tiny outpost of Moscow had multiple
advantages that repositioned this town and set it up for future
prosperity under Ivan I. Three major contributing factors helped Ivan
I relocate power to this area:
It was situated in between other major principalities on the east

and west so it was often protected from the more devastating
invasions.
This relative safety, compared to Tver and Ryazan, for example,
started to bring in tax-paying citizens who wanted a safe place
to build a home and earn a livelihood.
Finally, Moscow was set up perfectly along the trade route from
Novgorod to the V olga River, giving it an economic advantage
from the start.
Ivan I also spurred on the growth of Moscow by actively recruiting

people to move to the region. In addition, he bought the freedom of
people who had been captured by the extensive Mongol raids.
These recruits further bolstered the population of Moscow. Finally, he
focused his attention on establishing peace and routing out thieves
and raiding parties in the region, making for a safe and calm
metaphorical island in a storm of unsettled political and military
upsets.
Kievan Rus' 1220-1240
This map illustrates the power dynamics at play during the 13th
century shortly before Ivan I was born. Sarai, the capital of the
Golden Horde, sat to the southeast, while Moscow (not visible on
this map) was tucked up in the northern forests of V ladimir-Suzdal.
The map's cartouche reads,: "The Kylan Rus' federation after the
12th century continued to disintegrate and Kylv itself lost its primacy:
the city was sacked several times by feuding princes, most notably in
1169 by Andrei Bogliubskii. The quarreling between the princes left
Rus' including later Ukranian territory vulernable to foreign attacks,
and the invasion of the Mongols or the Golden Horde in 1236-40
finally destroyed the state."
Ivan I knew that the peace of his region depended upon keeping up
an alliance with the Golden Horde, which he did faithfully. Moscow's
increased wealth during this era also allowed him to loan money to
neighboring principalities. These regions then became indebted to
Moscow, bolstering its political and financial position.
In addition, a few neighboring cities and villages were subsumed into

Moscow during the 1320s and 1330s, including Uglich, Belozero,
and Galich. These shifts slowly transformed the tiny trading outpost
into a bustling city center in the northern forests of what was once
Kievan Rus’.
Russian Orthodox Church and The

Center of Moscow
Ivan I committed some of Moscow’s new wealth to building a
splendid city center and creating an iconic religious setting. He built
stone churches in the center of Moscow with his newly gained
wealth. Ivan I also tempted one of the most important religious
leaders in Rus', the Orthodox Metropolitan Peter, to the city of
Moscow. Before the rule of the Golden Horde the original Russian
Orthodox Church was based in Kiev. After years of devastation,
Metropolitan Peter transferred the seat of power to Moscow where a
new Renaissance of culture was blossoming. This perfectly timed
transformation of Moscow coincided with the decades of devastation
in Kiev, effectively transferring power to the north once again.
Peter of Moscow and scenes from his
life as depicted in a 15 th-century icon
This religious leader helped bring cultural power to Moscow by
moving the seat of the Russian Orthodox Church there during Ivan
I's reign.
One of the most lasting accomplishments of Ivan I was to petition the

Khan based in Sarai to designate his son, who would become
Simeon the Proud, as the heir to the title of Grand Prince of V ladimir.
This agreement a line of succession that meant the ruling head of
Moscow would almost always hold power over the principality of
V ladimir, ensuring Moscow held a powerful position for decades to
come.
Attributions
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_Sob%C3%B3r_M%C4%85dro%C5%9Bci_Bo%C5%BCej_
02.jpg. Wikipedia CC BY-SA 3.0.
"Daughters of Yaroslav the Wise."
https://en.wikipedia.org/wiki/Yaroslav_the_Wise# /media/File
:Daughters_of_Yaroslav_the_Wise.jpg. Wikipedia Public
domain.
"Facial Reconstruction of Yaroslav."
https://en.wikipedia.org/wiki/Yaroslav_the_Wise# /media/File
:Yaroslav_recontruccion.png. Wikipedia CC BY-SA 3.0.
The Mongol Threat
"Sarai (city)."
https://en.wikipedia.org/wiki/Sarai_%28city%29. Wikipedia
CC BY-SA 3.0.
"Battle of the Kalka River."
https://en.wikipedia.org/wiki/Battle_of_the_Kalka_River.
"Yuri II of V ladimir."
https://en.wikipedia.org/wiki/Yuri_II_of_V ladimir. Wikipedia
CC BY-SA 3.0.
"Kievan Rus'."
https://en.wikipedia.org/wiki/Kievan_Rus%27. Wikipedia CC
BY-SA 3.0.
"Batu Khan." https://en.wikipedia.org/wiki/Batu_Khan.
"Mongol Invasion of Rus'."
https://en.wikipedia.org/wiki/Mongol_invasion_of_Rus%27.
"Mongol Empire."
https://en.wikipedia.org/wiki/Mongol_Empire. Wikipedia CC
BY-SA 3.0.
"Principalities of Kievan Rus'."
https://en.wikipedia.org/wiki/Kievan_Rus%27# /media/File:P
rincipalities_of_Kievan_Rus%27_(1054-1132).jpg.
"Genghis Khan Mongol Empire."
https://en.wikipedia.org/wiki/Mongol_invasion_of_Rus%27# /
media/File:Genghis_Khan_empire-en.svg. Wikipedia CC
BY-SA 3.0.
"Sacking_of_Suzdal_by_Batu_Khan.jpg."
https://en.wikipedia.org/wiki/Mongol_invasion_of_Rus%27# /
media/File:Sacking_of_Suzdal_by_Batu_Khan.jpg.
Ivan I and the Rise of Moscow
"Peter of Moscow."
https://en.wikipedia.org/wiki/Peter_of_Moscow. Wikipedia
CC BY-SA 3.0.
"Daniel of Moscow."
https://en.wikipedia.org/wiki/Daniel_of_Moscow. Wikipedia
CC BY-SA 3.0.
"Ivan I of Moscow."
https://en.wikipedia.org/wiki/Ivan_I_of_Moscow. Wikipedia
CC BY-SA 3.0.
"V ladimir-Suzdal." https://en.wikipedia.org/wiki/V ladimir-
Suzdal. Wikipedia CC BY-SA 3.0.
"Yury of Moscow."
https://en.wikipedia.org/wiki/Yury_of_Moscow. Wikipedia
CC BY-SA 3.0.
"Moscow." https://en.wikipedia.org/wiki/Moscow. Wikipedia
CC BY-SA 3.0.
"Grand Duchy of Moscow."
https://en.wikipedia.org/wiki/Grand_Duchy_of_Moscow.
"Peter of Moscow."
https://en.wikipedia.org/wiki/Peter_of_Moscow# /media/File:
PietrodiMosca.jpg. Wikipedia CC BY-SA 3.0.
"Kievan Rus' 1220-1240."
https://en.wikipedia.org/wiki/Moscow# /media/File:Kyivan_R
us%27_1220-1240.png. Wikipedia CC BY-SA 3.0.
"Ivan I."
https://en.wikipedia.org/wiki/Ivan_I_of_Moscow# /media/File:
Ivan_Kalita.jpg. Wikipedia Public domain.
12.2: The Grand Duchy of
Moscow
12.2.1: The Formation of Russia
Ivan III became Grand Prince of Moscow in 1462 and proceeded to
refuse the Tatar yoke, collect surrounding lands, and consolidate
political power around Moscow. His son, V asili III, continued in his
footsteps marking an era known as the "Gathering of the Russian
Lands."
Learning Objective
Outline the key points that led to a consolidated northern region
under Ivan III and V asili III in Moscow
Key Points
Moscow had risen to a powerful position in the north due to its
location and relative wealth and stability during the height of the
Golden Horde.
Ivan III overtook Novgorod, along with his four brothers'
landholdings, which began a process consolidating power under
the Grand Prince of Moscow.
Ivan III was the first prince of Rus' to style himself as the Tsar in
the grand tradition of the Orthodox Byzantine Empire.
V asili III followed in his father's footsteps and continued a
regime of consolidating land and practicing domestic intolerance
that suppressed any attempts to disobey the seat of Moscow.
Key Terms
Muscovite Sudebnik
The legal code crafted by Ivan III that further consolidated his
power and outlined harsh punishments for disobedience.
Novgorod
Moscow's most prominent rival in the northern region.
boyars
Members of the highest ruling class in feudal Rus', second only

to the princes.
Gathering of the Russian Lands

Ivan III was the first Muscovite prince to consolidate Moscow’s
position of power and successfully incorporate the rival cities of Tver
and Novgorod under the umbrella of Moscow’s rule. These shifts in
power in the Northern provinces created the first semblance of a
“ Russian” state (though that name would not be utilized for another
century). Ivan the Great was also the first Rus’ prince to style himself
a Tsar, thereby setting up a strong start for his successor son, V asili
III. Between the two leaders, what would become known as the
“ Gathering of the Russian Lands” would occur and begin a new era
of Russian history after the Mongol Empire’s Golden Horde.
Ivan III and the End of the Golden

Horde
Ivan III V asilyevich, also known as Ivan the Great, was born in
Moscow in 1440 and became Grand Prince of Moscow in 1462. He
ruled from this seat of power until his death in 1505. He came into
power when Moscow had many economic and cultural advantages in
the norther provinces. His predecessors had expanded Moscow’s
holdings from a mere 600 miles to 15,000. The seat of the Russian
Orthodox Church was also centered in Moscow starting in the 14th
century. In addition, Moscow had long been a loyal ally to the ruling
Mongol Empire and had an optimal position along major trade routes
between Novgorod and the V olga River.
Ivan III
He held the title of Grand Prince of Moscow between 1462 and
1505.
Portrait of Ivan III
However, one of Ivan the Great’s most substantial accomplishments

was refusing the Tatar yoke (as the Mongol Empire’s stranglehold on
Rus’ lands has been called) in 1476. Moscow refused to pay its
normal Golden Horde taxes starting in that year, which spurred Khan
Ahmed to wage war against the city in 1480. It took a number of
months before the Khan retreated back to the steppe. During the
following year, internal fractures within the Mongol Empire greatly
weakened the hold of Mongol rulers on the northeastern Rus’ lands ,
which effectively freed Moscow from its old duties.
Moscow’ s Land Grab

The other major political change that Ivan III instigated was a major
consolidation of power in the northern principalities, often called the
"Gathering of the Russian Lands.” Moscow’s primary rival,
Novgorod, became Ivan the Great’s first order of business. The two
grand cities had been locked in dispute for over a century, but Ivan III
waged a harsh war that forced Novgorod to cede its land to Moscow
after many uprisings and attempted alliances between Novgorod and
Lithuania. The official state document accepting Moscow’s rule was
signed by Archbishop Feofil of Novgorod in 1478. Any revolts that
arose out of Novgorod over the next decade were swiftly put down
and any disobedient Novgorodian royal family members were
removed to Moscow or other outposts to discourage further
outbursts.
In addition to capturing his greatest rival city, Ivan III also collected
his four brothers' local lands over the course of his rule, further
expanding and consolidating the land under the power of the Grand
Prince of Moscow. Ivan III also levied his political, economic, and
military might over the course of his reign to gain control of Yaroslavl,
Rostov, Tver, and V yatka, forming one of the most unified political
formations in the region since V ladimir the Great. This new political
formation was in contrast to centuries of local princes ruling over
their regions relatively autonomously.
Palace of Facets pillar
This decadent pillar resides in the Palace of Facets built by Italian
architects in stone in the mostly wooden Moscow Kremlin. This
banquet hall was only one of many major architectural feats Ivan III
built during his reign in Moscow.
Ivan the Great also greatly shaped the future of the Rus’ lands.
These major shifts included:
Styling himself the “ Tsar and Autocrat” in Byzantine style,

essentially stepping into the new leadership position in
Orthodoxy after the fall of the Byzantine Empire. These changes
also occurred after he married Sophia Paleologue of
Constantinople, who had brought court and religious rituals from
He stripped the boyars of their localized and state power and
essentially created a sovereign state that paid homage to
Moscow.
He oversaw the creation of a new legal code, called Muscovite
Sudebnik in 1497, which further consolidated his place as the
highest ruler of the northern Rus’ lands and instated harsh
penalties for disobedience, sacrilege, or attempts to undermine
the crown.
The princes of formerly powerful principalities now under
Moscow’s rule were placed in the role of service nobility, rather
than sovereign rulers as they once were.
Ivan III’s power was partly due to his alliance with Russian
Orthodoxy, which created an atmosphere of anti-Catholicism
and stifled the chance to build more powerful western alliances.
V asili III
V asili III was the son of Sophia Paleologue and Ivan the Great and
the Grand Prince of Moscow from 1505 to 1533. He followed in his
father’s footsteps and continued to expand Moscow’s landholdings
and political clout. He annexed, Pskov, V olokolamsk, Ryazan, and
Novgorod-Seversky during his reign. His most spectacular grab for
power was his capture of Smolensk, the great stronghold of
Lithuania. He utilized a rebellious ally in the form of the Lithuanian
prince Mikhail Glinski to gain this major victory.
V asili III
This piece was created by a contemporary artist and depicts V asili III
as a scholar and leader.
Portrait of V asili III
V asili III also followed in his father’s oppressive footsteps. He utilized

alliances with the Orthodox Church to put down any rebellions or
feudal disputes. He limited the power of the boyars and the once-
powerful Rurikid dynasties in newly conquered provinces. He also
increased the gentry’s landholdings, once more consolidating power
around Moscow. In general, V asili III's reign was marked by an
oppressive atmosphere; he carried out harsh penalties for speaking
out against the power structure or showing the slightest
disobedience to the crown.
12.2.2: Ivan the Terrible
Ivan IV , or Ivan the Terrible, reigned from 1547 to 1584 and became
the first tsar of Russia. His reign was punctuated with severe
oppression and cultural and political expansion, leaving behind a
complex legacy.
Learning Objective
Outline the key points of Ivan IV 's policies and examine the positive
and negative aspects of his rule
Key Points
Ivan IV is often known as Ivan the Terrible, even though the
more correct translation is akin to Ivan the Fearsome or Ivan the
Awesome.
Ivan IV was the first Rus' prince to title himself "Tsar of All the
Russias" beginning the long tradition of rule under the tsars.
Lands in the Crimea, Siberia, and modern-day Tatarstan were
all subsumed into Russian lands under Ivan IV .
The persecution of the boyars during Ivan IV 's reign began
under the harsh regulations of the oprichnina.
Key Terms
oprichnina
A state policy enacted by Ivan IV that made him absolute

monarch of much of the north and hailed in an era of boyar
persecution. Ivan IV successfully grabbed large chunks of land
from the nobility and created his own personal guard, the
oprichniki, during this era.
Moscow Print Yard

The first publishing house in Russia, which was opened in 1553.
boyar
A member of the feudal ruling elite who was second only to the
princes in Russian territories.
Ivan IV
Ivan IV V asileyevich is widely known as Ivan the Terrible or Ivan the
Fearsome. He was the Grand Prince of Moscow from 1533 to 1547
and reigned as the "Tsar of all the Russias" from 1547 until he died
in 1584. His complex years in power precipitated military conquests,
including Kazan and Astrakhan, that changed the shape and
demographic character of Russia forever. He also reshaped the
political formation of the Russian state, oversaw a cultural
Renaissance in Russia, and shifted power to the head of state, the
tsar, a title that had never before been given to a prince in the Rus'
lands.
Rise to Power
Ivan IV was born in 1530 to V asili III and Elena Glinskaya. He was
three when he was named the Grand Prince of Moscow after his
father's death. Some say his years as the child vice-regent of
Moscow under manipulative boyar powers shaped his views for life.
In 1547, at the age of sixteen, he was crowned "Tsar of All the
Russias" and was the first person to be coronated with that title. This
title claimed the heritage of Kievan Rus' while firmly establishing a
new unified Russian state. He also married Anastasia Romanovna,
which tied him to the powerful Romanov family.
18 th-century portrait of Ivan IV
Images of Ivan IV often display a prominent brow and a frowning
mouth.
Domestic Innovations and Changes

Despite Ivan IV 's reputation as a paranoid and moody ruler, he also
contributed to the cultural and political shifts that would shape
Russia for centuries. Among these initial changes in relatively
peaceful times he:
Revised the law code, the Sudebnik of 1550, which initiated a

standing army, known as the streltsy. This army would help him
in future military conquests.
Developed the Zemsky Sobor, a Russian parliament, along with
the council of the nobles, known as the Chosen Council.
Regulated the Church more effectively with the Council of the
Hundred Chapters, which regulated Church traditions and the
hierarchy.
Established the Moscow Print Yard in 1553 and brought the first
printing press to Russia.
Oversaw the construction of St. Basil's Cathedral in Moscow.
St. Basil's Cathedral

This iconic structure was one cultural accomplishment created under
Ivan IV 's rule.
Oprichnina and Absolute Monarchy

The 1560s were difficult with Russia facing drought and famine,
along with a number of Tatar invasions, and a sea-trading blockade
from the Swedes and Poles. Ivan IV 's wife, Anastasia, was also
likely poisoned and died in 1560, leaving Ivan shaken and, some
sources say, mentally unstable. Ivan IV threatened to abdicate and
fled from Moscow in 1564. However, a group of boyars went to beg
Ivan to return in order to keep the peace. Ivan agreed to return with
the understanding he would be granted absolute power and then
instituted what is known as the oprichnina.
1911 painting by Apollinary

V asnetsov
This painting represents people fleeing from the Oprichniki, the
secret service and military oppressors of Ivan IV 's reign.
This agreement changed the way the Russian state worked and
began an era of oppression, executions, and state surveillance. It
split the Russian lands into two distinct spheres, with the northern
region around the former Novgorod Republic placed under the
absolute power of Ivan IV . The boyar council oversaw the rest of the
Russian lands. This new proclamation also started a wave of
persecution and against the boyars. Ivan IV executed, exiled, or
forcibly removed hundreds of boyars from power, solidifying his
legacy as a paranoid and unstable ruler.
Military Conquests and Foreign

Relations
Ivan IV established a powerful trade agreement with England and
even asked for asylum, should he need it in his fights with the
boyars, from Elizabeth I. However, Ivan IV ’s greatest legacy remains
his conquests, which reshaped Russia and pushed back Tatar
powers who had been dominating and invading the region for
centuries.
His first conquest was the Kazan Khanate, which had been raiding
the northeast region of Russia for decades. This territory sits in
modern-day Tatarstan. A faction of Russian supporters were already
rising up in the region but Ivan IV led his army of 150,000 to battle in
June of 1552. After months of siege and blocking Kazan’s water
supply, the city fell in October. The conquest of the entire Kazan
Khanate reshaped relations between the nomadic people and the
Russian state. It also created a more diverse population under the
fold of the Russian state and the Church.
Ivan IV also embarked on the Livonian War, which lasted 24 years.

The war pitted Russia against the Swedish Empire, the Polish-
Lithuanian Commonwealth, and Poland. The Polish leader, Stefan
Batory, was an ally of the Ottoman Empire in the south, which was
also in a tug-of-war with Russia over territory. These two powerful
entities on each edge of Russian lands, and the prolonged wars, left
the economy in Moscow strained and Russian resources scarce in
the 1570s.
Ivan IV also oversaw two decisive territorial victories during his reign.
The first was the defeat of the Crimean horde, which meant the
southern lands were once again under Russian leadership. The
second expansion of Russian territory was headed by Cossack
leader Yermak Timofeyevich. He led expeditions into Siberian
territories that had never been under Russian rule. Between 1577
and 1580 many new Siberian regions had reached agreements with
Russian leaders, allowing Ivan IV to style himself “ Tsar of Siberia” in
his last years.
Ivan IV 's throne
This decadent throne mirrors Ivan the Terrible's love of power and
opulence.
Madness and Legacy

Ivan IV left behind a compelling and contradictory legacy. Even his
nickname “ terrible” is a source for confusion. In Russian the word
groz ny means “ awesome,” “ powerful” or “ thundering,” rather than
“ terrible” or “ mad.” However, Ivan IV often behaved in ruthless and
paranoid ways that favors the less flattering interpretation. He
persecuted the long-ruling boyars and often accused people of
attempting to murder him (which makes some sense when you look
at his family's history). His often reckless foreign policies, such as
the drawn out Livonian War, left the economy unstable and fertile
lands a wreck. Legend also suggests he murdered his son Ivan
Ivanovich, whom he had groomed for the throne, in 1581, leaving the
throne to his childless son Feodor Ivanovich. However, his
dedication to culture and innovation reshaped Russia and solidified
its place in the East.
12.2.3: The Time of Troubles

The Time of Troubles occurred between 1598 and 1613 and was
caused by severe famine, prolonged dynastic disputes, and outside
invasions from Poland and Sweden. The worst of it ended with the
coronation of Michael I in 1613.
Learning Objective
Outline the distinctive features of the Time of Troubles and how they
eventually ended
Key Points
The Time of Troubles started with the death of the childless Tsar
Feodor Ivanovich, which spurred an ongoing dynastic dispute.
Famine between 1601 and 1603 caused massive starvation and
further strained Russia.
Two false heirs to the throne, known as False Dmitris, were
backed by the Polish-Lithuanian Commonwealth that wanted to
grab power in Moscow.
Rurikid Prince Dmitry Pozharsky and Novgorod merchant
Kuzma Minin led the final resistance against Polish invasion that
ended the dynastic dispute and reclaimed Moscow in 1613.
Key Terms
Feodor Ivanovich
The last tsar of the Rurik Dynasty, whose death spurred on a

major dynastic dispute.
Dmitry Pozharsky
The Rurikid prince that successfully ousted Polish forces from

Moscow.
Zemsky Sobor
A form of Russian parliament that met to vote on major state

decisions, and was comprised of nobility, Orthodox clergy, and
merchant representatives.
The Time of Troubles was an era of Russian history dominated by a

dynastic crisis and exacerbated by ongoing wars with Poland and
Sweden, as well as a devastating famine. It began with the death of
the childless last Russian Tsar of the Rurik Dynasty, Feodor
Ivanovich, in 1598 and continued until the establishment of the
Romanov Dynasty in 1613. It took another six years to end two of
the wars that had started during the Time of Troubles, including the
Dymitriads against the Polish-Lithuanian Commonwealth.
Famine and Unrest

At the death of Feodor Ivanovich, the last Rurikid Tsar, in 1598, his
brother-in-law and trusted advisor, Boris Godunov, was elected his
successor by the Zemsky Sobor (Great National Assembly).
Godunov was a leading boyar and had accomplished a great deal
under the reign of the mentally-challenged and childless Feodor.
However, his position as a boyar caused unrest among the Romanov
clan who saw it as an affront to follow a lowly boyar. Due to the
political unrest, strained resources, and factions against his rule, he
was not able to accomplish much during his short reign, which only
lasted until 1605.
Tsar Boris Godunov

His short-lived reign was beset by famine and resistance from the
boyars.
Portrait of Boris Godunov
While Godunov was attempting to keep the country stitched together,

a devastating famine swept across Russian from 1601 to 1603. Most
likely caused by a volcanic eruption in Peru in 1600, the
temperatures stayed well below normal during the summer months
and often went below freezing at night. Crops failed and about two
million Russians, a third of the population, perished during this
famine. This famine also caused people to flock to Moscow for food
supplies, straining the capital both socially and financially.
Dynastic Uncertainty and False

Dmitris
The troubles did not cease after the famine subsided. In fact, 1603
brought about new political and dynastic struggles. Feodor
Ivanovich’s younger brother was reportedly stabbed to death before
the Tsar’s death, but some people still believed he had fled and was
alive. The first of the nicknamed False Dmitris appeared in the
Polish-Lithuanian Commonwealth in 1603 claiming he was the lost
young brother of Ivan the Terrible. Polish forces saw this pretender's
appearance as an opportunity to regain land and influence in Russia
and the some 4,000 troops comprised of Russian exiles,
Lithuanians, and Cossacks crossed the border and began what is
known as the Dymitriad wars.
V asili IV of Russia
He was the last member of the Rurikid Dynasty to rule in Moscow
between 1606 and 1610.
Portrait of V asili IV of Russia
False Dmitri was supported by enough Polish and Russian rebels

hoping for a rich reward that he was married to Marina Mniszech and
ascended to the throne in Moscow at Boris Godunov’s death in
1605. Within a year V asily Shuisky (a Rurikid prince) staged an
uprising against False Dmitri, murdered him, and seized control of
power in Moscow for himself. He ruled between 1606 and 1610 and
was known as V asili IV . However, the boyars and mercenaries were
still displeased with this new ruler. At the same time as Shuisky's
ascent, a new False Dmitri appeared on the scene with the backing
of the Polish-Lithuanian magnates.
An Empty Throne and W ars
Shuisky retained power long enough to make a treaty with Sweden,
which spurred a worried Poland into officially beginning the Polish-
Muscovite War that lasted from 1605 to 1618. The struggle over who
would gain control of Moscow became entangled and complex once
Poland became an acting participant. Shuisky was still on the throne,
both the second False Dmitri and the son of the Polish king,
Wł adysł aw, were attempting to take control.
None of the three pretenders succeeded, however, when the Polish

king himself, Sigismund III, decided he would take the seat in
Moscow.
Russia was stretched to its limit by 1611. Within the five years after
Boris Godunov's death powers had shifted considerably:
The boyars quarreled amongst themselves over who should rule

Moscow while the throne remained empty.
Russian Orthodoxy was imperiled and many Orthodox religious
leaders were imprisoned.
Catholic Polish forces occupied the Kremlin in Moscow and
Smolensk.
Swedish forces had taken over Novgorod in retaliation to Polish
forces attempting to ally with Russia.
Tatar raids continued in the south leaving many people dead
and stretched for resources.
The End of Troubles

Two strong leaders arose out of the chaos of the first decade of the
17th century to combat the Polish invasion and settle the dynastic
dispute. The powerful Novgordian merchant Kuzma Minin along with
the Rurikid Prince Dmitry Pozharsky rallied enough forces to push
back the Polish forces in Russia. The new Russian rebellion first
pushed Polish forces back to the Kremlin, and between November
3rd and 6th (New Style) Prince Pozharsky had forced the garrison to
surrender in Moscow. November 4 is known as National Unity Day,
however it fell out of favor during Communism, only to be reinstated
in 2005.
The dynastic wars finally came to an end when the Grand National
Assembly elected Michael Romanov, the son of the metropolitan
Philaret, to the throne in 1613. The new Romanov Tsar, Michael I,
quickly had the second False Dmitri's son and wife killed, to stifle
further uprisings.
Michael I
The first Romanov Tsar to be crowned in 1613.
Portrait of Michael I
Despite the end to internal unrest, the wars with Sweden and Poland
would last until 1618 and 1619 respectively, when peace treaties
were finally enacted. These treaties forced Russia to cede some
lands, but the dynastic resolution and the ousting of foreign powers
unified most people in Russia behind the new Romanov Tsar and
started a new era.
12.2.4: The Romanovs
The Romanov Dynasty was officially founded at the coronation of
Michael I in 1613. It was the second royal dynasty in Russia after the
Rurikid princes of the Middle Ages. The Romanov name stayed in
power until the abdication of Tsar Nicholas II in 1917.
Learning Objective
Explain the rise of power of the House of Romanov and the first
major Russian Tsars of this dynasty
Key Points
The Romanovs were exiled during the Time of Troubles but
brought back when Romanovs Patriarch Philaret and his son
Michael were politically advantageous.
Michael I was the first Romanov Tsar and began a long line of
powerful rulers.
Alexis I successfully navigated Russia through multiple uprisings
and wars and created long-lasting political bureaus.
After a long dynastic dispute, Peter the Great rose to power and
changed Russia with the new capital of St. Petersburg and
western influences.
Key Terms
Old Believers
Followers of the Orthodox faith the way it was practiced before

Alexis I convened the Great Moscow Synod and changed the
traditions.
Duma chancellory
The first provincial administrative bureau created under Alexis I.
In Russian it is called Razryadny Prikaz.
Rurikid
A descendent of the Rurik Dynasty, which dominated seats of

power throughout Russian lands for over six centuries before
the Romanov Dynasty began.
The House of Romanov

The House of Romanov was the second major royal dynasty in
Russia, and arose after the Rurikid Dynasty. It was founded in 1613
with the coronation of Michael I and ended in 1917 with the
abdication of Tsar Nicholas II. However, the direct male blood line of
the Romanov Dynasty ended when Elizabeth of Russia died in 1762,
and Peter III, followed by Catherine the Great, were placed in power,
both German-born royalty.
Roots of the Romanovs

The earliest common ancestor for the Romanov clan goes back to
Andrei Kobyla. Sources say he was a boyar under the leadership of
the Rurikid prince Semyon I of Moscow in 1347. This figure remains
somewhat mysterious with some sources claiming he was the high-
born son of a Rus' prince. Others point to the name Kobyla, which
means horse, suggesting he was descended from the Master of
Horse in the royal household.
Whatever the real origins of this patriarch-like figure, his

descendants split into about a dozen different branches over the
next couple of centuries. One such descendent, Roman Yurievich
Zakharyin-Yuriev, gave the Romanov Dynasty its name.
Grandchildren of this patriarch changed their name to Romanov and
it remained there until they rose to power.
Michael I
The Romanov Dynasty proper was founded after the Time of
Troubles, an era between 1598 and 1613, which included a dynastic
struggle, wars with Sweden and Poland, and severe famine. Tsar
Boris Godunov's rule, which lasted until 1605, saw the Romanov
families exiled to the Urals and other remote areas. Michael I's father
was forced to take monastic vows and adopt the name Philaret. Two
impostors attempting to gain the throne in Moscow attempted to
leverage Romanov power after Godunov died in 1605. And by 1613,
the Romanov family had again become a popular name in the
running for power.
Patriarch Philaret's son, Michael I, was voted into power by the

zemsky sober in July 1613, ending a long dynastic dispute. He
unified the boyars and satisfied the Moscow royalty as the son of
Feodor Nikitich Romanov (now Patriarch Philaret) and the nephew of
the Rurikid Tsar Feodor I. He was only sixteen at his coronation, and
both he and his mother were afraid of his future in such a difficult
political position.
Representation of a young Michael I
He rose to power in Moscow when he was just sixteen and went on
to become an influential leader in Russian history.
Michael I reinstated order in Moscow over his first years in power

and also developed two major government offices, the Posolsky
Prikaz (Foreign Office) and the Razryadny Prikaz (Duma chancellory,
or provincial administration office). These two offices remained
essential to Russian order for a many decades.
Alex is I
Michael I ruled until his death in 1645 and his son, Alexis, took over
the throne at the age of sixteen, just like his father. His reign would
last over 30 years and ended at his death in 1676. His reign was
marked by riots in cities such Pskov and Novgorod, as well as
continued wars with Sweden and Poland.
Alex is I of Russian in the 167 0s

His policies toward the Church and peasant uprisings created new
legal codes and traditions that lasted well into the 19th century.
Portrait of Alexis I
However, Alexis I established a new legal code called Subornoye

Ulozheniye, which created a serf class, made hereditary class
unchangeable, and required official state documentation to travel
between towns. These codes stayed in effect well into the 19th
century. Under Alexis I’s rule, the Orthodox Church also convened
the Great Moscow Synod, which created new customs and
traditions. This historic moment created a schism between what are
termed Old Believers (those attached to the previous hierarchy and
traditions of the Church) and the new Church traditions. Alexis I’s
legacy paints him as a peaceful and reflective ruler, with a propensity
for progressive ideas.
Dynastic Dispute and Peter the Great

At the death of Alexis I in 1676, a dynastic dispute erupted between
the children of his first wife, namely Fyodor III, Sofia Alexeyevna,
Ivan V , and the son of his second wife, Peter Alexeyevich (later Peter
the Great). The crown was quickly passed down through the children
of his first wife. Fyodor III died from illness after ruling for only six
years. Between 1682 and 1689 power was contested between Sofia
Alexeyevna, Ivan V , and Peter. Sofia served as regent from 1682 to
1689. She actively opposed Peter’s claim to the throne in favor of
her own brother, Ivan. However, Ivan V and Peter shared the throne
until Ivan’s death in 1696.
Peter the Great as a young ruler in
1698
This portrait was a gift to the King of England and displays a western
style that was rarely scene in royal portraits before this time. He is
not wearing a beard or the traditional caps and robes that marked
Russian nobility before his rule.
Peter went on to rule over Russia, and even style himself Emperor of
all Russia in 1721, and ruled until his death in 1725. He built a new
capital in St. Petersburg, where he built a navy and attempted to
wrest control of the Baltic Sea. He is also remembered for bringing
western culture and Enlightenment ideas to Russia, as well as
limiting the control of the Church.
Attributions
The Formation of Russia
"Sudebnik." https://en.wikipedia.org/wiki/Sudebnik.
"Boyar." https://en.wikipedia.org/wiki/Boyar. Wikipedia CC
BY-SA 3.0.
"Ivan III of Russia."
https://en.wikipedia.org/wiki/Ivan_III_of_Russia. Wikipedia
CC BY-SA 3.0.
"Palace of Facets."
https://en.wikipedia.org/wiki/Palace_of_Facets. Wikipedia
CC BY-SA 3.0.
"V asili III of Russia."
https://en.wikipedia.org/wiki/V asili_III_of_Russia. Wikipedia
CC BY-SA 3.0.
"V asili III of Russia."
https://en.wikipedia.org/wiki/V asili_III_of_Russia# /media/Fil
e:V asili_III_of_Russia.jpg. Wikipedia Public domain.
"Palace of facets pillars."
https://en.wikipedia.org/wiki/Palace_of_Facets# /media/File:
Palace_of_facets_pillar.jpg. Wikipedia CC BY-SA 3.0.
"Ivan III of Russia."
https://en.wikipedia.org/wiki/Ivan_III_of_Russia# /media/File:
Ivan_III_of_Russia_3.jpg. Wikipedia Public domain.
Ivan the Terrible
"Yermak Timofeyevich."
https://en.wikipedia.org/wiki/Yermak_Timofeyevich.
"Saint Basil's Cathedral."
https://en.wikipedia.org/wiki/Saint_Basil%27s_Cathedral.
BY-SA 3.0.
"Ivan the Terrible."
https://en.wikipedia.org/wiki/Ivan_the_Terrible. Wikipedia
CC BY-SA 3.0.
"Khanate of Kazan."
https://en.wikipedia.org/wiki/Khanate_of_Kazan. Wikipedia
CC BY-SA 3.0.
"Sudebnik of 1550."
https://en.wikipedia.org/wiki/Sudebnik_of_1550. Wikipedia
CC BY-SA 3.0.
"Moscow Print Yard."
https://en.wikipedia.org/wiki/Moscow_Print_Yard. Wikipedia
CC BY-SA 3.0.
"Oprichnina." https://en.wikipedia.org/wiki/Oprichnina.
"Ivan's Ivory Throne."
https://en.wikipedia.org/wiki/Ivan_the_Terrible# /media/File:I
vans_ivory_throne.jpg. Wikipedia CC BY-SA 3.0.
"Oprichnik by V asnetsov."
https://en.wikipedia.org/wiki/Oprichnina# /media/File:Oprichn
ik_by_V asnetsov.jpg. Wikipedia Public domain.
"Ivan_IV _by_anonim_18th_c._GIM.jpg."
https://en.wikipedia.org/wiki/Ivan_the_Terrible# /media/File:I
van_IV _by_anonim_(18th_c.,_GIM).jpg. Wikipedia Public
domain.
"Moscow St. Basil's Cathedral."
https://en.wikipedia.org/wiki/Saint_Basil%27s_Cathedral# /m
edia/File:Moscow_StBasilCathedral_d18.jpg. Wikipedia CC
BY-SA 3.0.
The Time of Troubles
"V asili IV of Russia."
https://en.wikipedia.org/wiki/V asili_IV _of_Russia. Wikipedia
CC BY-SA 3.0.
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https://en.wikipedia.org/wiki/Time_of_Troubles. Wikipedia
CC BY-SA 3.0.
"Wł adysł aw IV V asa."
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V _V asa. Wikipedia CC BY-SA 3.0.
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War_%281605%E2%80%9318%29. Wikipedia CC BY-SA
3.0.
"Michael I of Russia."
https://en.wikipedia.org/wiki/Michael_I_of_Russia.
"Polish-Lithuanian Commonwealth."
https://en.wikipedia.org/wiki/Polish%E2%80%93Lithuanian_
Commonwealth. Wikipedia CC BY-SA 3.0.
"Dmitry Pozharsky."
https://en.wikipedia.org/wiki/Dmitry_Pozharsky. Wikipedia
CC BY-SA 3.0.
"Boris Godunov by anon 17th Century."
https://en.wikipedia.org/wiki/Boris_Godunov# /media/File:Bo
ris_Godunov_by_anonim_(17th_c.,_GIM).jpg. Wikipedia
Public domain.
"V asili IV of Russia."
https://en.wikipedia.org/wiki/V asili_IV _of_Russia# /media/Fil
e:V asili_IV _of_Russia.PNG. Wikipedia Public domain.
"Michail I Romanov."
https://en.wikipedia.org/wiki/Michael_I_of_Russia# /media/Fi
le:Michail_I._Romanov.jpg. Wikipedia CC BY-SA 2.5.
The Romanovs
"Anastasia Romanovna."
https://en.wikipedia.org/wiki/Anastasia_Romanovna.
"Ivan V of Russia."
https://en.wikipedia.org/wiki/Ivan_V _of_Russia. Wikipedia
CC BY-SA 3.0.
"Feodor III of Russia."
https://en.wikipedia.org/wiki/Feodor_III_of_Russia.
"Sofia Alekseyevna of Russia."
https://en.wikipedia.org/wiki/Sofia_Alekseyevna_of_Russia.
"Michael I of Russia."
https://en.wikipedia.org/wiki/Michael_I_of_Russia.
"Patriarch Philaret of Moscow."
https://en.wikipedia.org/wiki/Patriarch_Philaret_of_Moscow.
"Peter the Great."
https://en.wikipedia.org/wiki/Peter_the_Great. Wikipedia CC
BY-SA 3.0.
"House of Romanov."
https://en.wikipedia.org/wiki/House_of_Romanov. Wikipedia
CC BY-SA 3.0.
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https://en.wikipedia.org/wiki/Sobornoye_Ulozheniye.
"Alexis of Russia."
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CC BY-SA 3.0.
"Peter I by Kneller."
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eter_I_by_Kneller.jpg. Wikipedia Public domain.
"Alexis I of Russia 1670s Ptuj Ormož Regional Museum."
https://en.wikipedia.org/wiki/Alexis_of_Russia# /media/File:A
lexis_I_of_Russia_(1670s,_Ptuj_Ormo%C5%BE_Regional_
Museum).jpg. Wikipedia Public domain.
"Tsar Mikhail I cropped."
https://en.wikipedia.org/wiki/Michael_I_of_Russia# /media/Fi
le:Tsar_Mikhail_I_-cropped.JPG. Wikipedia Public domain.
13: The Mongol Empire
13.1: The Mongol Empire
13.1.1: Overview of the Mongol
Empire
The Mongol Empire expanded through brutal raids and invasions,
but also established routes of trade and technology between East
and West.
Learning Objective
Define the significance of the Pax Mongolica
Key Points
The Mongol Empire existed during the 13th and 14th centuries
and was the largest land empire in history.
The empire unified the nomadic Mongol and Turkic tribes of
historical Mongolia.
The empire sent invasions in every direction, ultimately
connecting the East with the West with the Pax Mongolica, or
Mongol Peace, which allowed trade, technologies, commodities,
and ideologies to be disseminated and exchanged across
Eurasia.
The Mongol raids and invasions were some of the deadliest and
most terrifying conflicts in human history.
Ultimately, the empire started to fragment; it dissolved in 1368,
at which point the Han Chinese Ming Dynasty took control.
Key Terms
tributary states
Pre-modern states subordinate to a more powerful state.
Pax Mongolica
Also known as the Mongol Peace, this agreement allowed trade,

technologies, commodities, and ideologies to be disseminated
and exchanged across Eurasia.
High Middle Ages
A time between the 10th and 12th centuries when the core
cultural and social characteristics of the Middle Ages were firmly
set.
Rise of the Mongol Empire

During Europe's High Middle Ages the Mongol Empire, the largest
contiguous land empire in history, began to emerge. The Mongol
Empire began in the Central Asian steppes and lasted throughout
the 13th and 14th centuries. At its greatest extent it included all of
modern-day Mongolia, China, parts of Burma, Romania, Pakistan,
Siberia, Ukraine, Belarus, Cilicia, Anatolia, Georgia, Armenia, Persia,
Iraq, Central Asia, and much or all of Russia. Many additional
countries became tributary states of the Mongol Empire.
The empire unified the nomadic Mongol and Turkic tribes of historical
Mongolia under the leadership of Genghis Khan, who was
proclaimed ruler of all Mongols in 1206. The empire grew rapidly
under his rule and then under his descendants, who sent invasions
in every direction. The vast transcontinental empire connected the
east with the west with an enforced Pax Mongolica, or Mongol
Peace, allowing trade, technologies, commodities, and ideologies to
be disseminated and exchanged across Eurasia.
Mongol invasions and conquests progressed over the next century,
until 1300, by which time the vast empire covered much of Asia and
Eastern Europe. Historians regard the Mongol raids and invasions as
some of the deadliest and most terrifying conflicts in human history.
The Mongols spread panic ahead of them and induced population
displacement on an unprecedented scale.
The Mongol Empire

Expansion of the Mongol empire from 1206 CE-1294 CE.
A map showing the spread of the Mongol empire
Impact of the Pax Mongolica

The Pax Mongolica refers to the relative stabilization of the regions
under Mongol control during the height of the empire in the 13th and
14th centuries. The Mongol rulers maintained peace and relative
stability in such varied regions because they did not force subjects to
adopt religious or cultural traditions. However, they still enforced a
legal code known as the Yassa (Great Law), which stopped feudal
disagreements at local levels and made outright disobedience a
dubious prospect. It also ensured that it was easy to create an army
in short time and gave the khans access to the daughters of local
leaders.
The Silk Road

At its height these trade routes stretched between Europe, Persia,
and China. They connected ideas, materials, and people in new and
exciting ways that allowed for innovations.
The trade routes connected Europe, Egypt, Somalia, Arabia, Persia,

India, China, and Java.
The constant presence of troops across the empire also ensured that
people followed Yassa edicts and maintained enough stability for
goods and for people to travel long distances along these routes. In
this environment the largest empire to ever exist helped one of the
most influential trade routes in the world, known as the Silk Road, to
flourish. This route allowed commodities such as silk, pepper,
cinnamon, precious stones, linen, and leather goods to travel
between Europe, the Steppe, India, and China.
Marco Polo in a Tatar costume
This style of dress, with the fur hat, long coat, and saber, would have
been popular in regions in and around Russian, Eurasia, and Turkey.
Ideas also traveled along the trade route, including major discoveries
and innovations in mathematics, astronomy, paper-making, and
banking systems from various parts of the world. Famous explorers,
such as Marco Polo, also enjoyed the freedom and stability the Pax
Mongolica provided, and were able to bring back valuable
information about the East and the Mongol Empire to Europe.
The Empire Starts to Fragment

Tatar and Mongol raids against Russian states continued well into
the later 1200's. Elsewhere, the Mongols' territorial gains in China
persisted into the 14th century under the Yuan Dynasty, while those
in Persia persisted into the 15th century under the Timurid Dynasty.
In India, the Mongols' gains survived into the 19th century as the
Mughal Empire.
However, the Battle of Ain Jalut in 1260 was a turning point. It was
the first time a Mongol advance had ever been beaten back in direct
combat on the battlefield, and it marked the beginning of the
fragmentation of the empire due to wars over succession. The
grandchildren of Genghis Khan disputed whether the royal line
should follow from his son and initial heir Ö gedei or one of his other
sons. After long rivalries and civil war, Kublai Khan took power in
1271 when he established the Yuan Dynasty, but civil war ensued
again as he sought unsuccessfully to regain control of the followers
of Genghis Khan's other descendants.
By the time of Kublai's death in 1294, the Mongol Empire had

fractured into four separate empires, or khanates. This weakness
allowed the Han Chinese Ming Dynasty to take control in 1368, while
Russian princes also slowly developed independence over the 14th
and 15th centuries, and the Mongol Empire finally dissolved.
Attributions
Overview of the Mongol Empire
"Tributary state." http://en.wikipedia.org/wiki/Tributary_state.
"Mongol Empire."
http://en.wikipedia.org/wiki/Mongol_Empire. Wikipedia CC
BY-SA 3.0.
"Mongol invasions and conquests."
http://en.wikipedia.org/wiki/Mongol_conquest. Wikipedia CC
BY-SA 3.0.
"Yassa." https://en.wikipedia.org/wiki/Yassa. Wikipedia CC
BY-SA 3.0.
"Changes in Eurasia - Mongol Conquest and Aftermath."
http://en.wikibooks.org/wiki/World_History/Changes_in_Eur
asia_-_Mongol_Conquest_and_Aftermath. Wikibooks CC
BY-SA 3.0.
"Pax Mongolica."
http://en.wikipedia.org/wiki/Pax%20Mongolica. Wikipedia
CC BY-SA 3.0.
"HIST302: Medieval Europe."
"Mongol Empire map."
http://en.wikipedia.org/wiki/File:Mongol_Empire_map.gif.
Wikipedia GNU FDL 1.2.
"Marco Polo costume tartare."
https://en.wikipedia.org/wiki/Marco_Polo# /media/File:Marco
_Polo_-_costume_tartare.jpg. Wikipedia Public domain.
"Extent of the Silk Road."
https://en.wikipedia.org/wiki/Silk_Road# /media/File:Silk_rou
te.jpg. Wikipedia Public domain.
13.2: Genghis Khan
13.2.1: Genghis Khan
Genghis Khan ruled between 1206 and 1227, expanding trade
across Asia and into eastern Europe, enacting relatively tolerant
social and religious laws, and leading devastating military campaigns
that left local populations depleted and fearful of the brutal Mongol
forces.
Learning Objective
Outline the major cultural contributions and complex role played by
Genghis Khan in the development of the Mongol Empire
Key Points
Genghis Khan was the first leader, or Khan, of the Mongol
Empire, from 1206 CE–1227 CE.
Genghis Khan generally advocated literacy, religious freedom,
and trade, although many local customs were frowned upon or
discarded once Mongol rule was implemented.
In terms of social policy, he forbade selling of women, theft of
property, and fighting.
This ruler used groundbreaking siege warfare and spy
techniques to understand his enemies and more successfully
conquer and subsume them under his rule.
Genghis Khan led merciless conquests of the Western X ia
Dynasty, the Jin Dynasty in 1234, the Kara-Khitan Khanate, and
the Khwarazmian Empire. Many local people across Asia
considered Genghis Khan a dark historical figure.
Key Terms
Khan
The universal leader of the Mongol tribes.
Temujin
Ghengis Khan's birth name.
Uyghur-Mongolian script
The first writing system created specifically for the Mongolian

language and the most successful until the introduction of
Cyrillic in 1946. This is a true alphabet with separate letters for
consonants and vowels, alphabets based on this script are used
in Inner Mongolia and other parts of China to this day.
The First Khan and the Mongol

Empire
Before Genghis Khan became the leader of Mongolia, he was known
as Temujin. He was born around 1162 in modern-day northern
Mongolia into a nomadic tribe with noble ties and powerful alliances.
These fortunate circumstances helped him unite dozens of tribes in
his adulthood via alliances. In his early 20s he married his young
wife Bö rte, a bride from another powerful tribe. Soon, bubbling
tensions erupted and she was kidnapped by a rival tribe. During this
era, and possibly spurred by the capture of his wife, Temujin united
the nomadic, previously ever-rivaling Mongol tribes under his rule
through political manipulation and military might, and also reclaimed
his bride from the rebellious tribe.
As Temujin gained power, he forbade looting of his enemies without

permission, and he implemented a policy of sharing spoils with his
warriors and their families instead of giving it all to the aristocrats.
His meritocratic policies tended to gain a broader range of followers,
compared to his rival brother, Jamukha, who also hoped to rule over
greater swaths of Mongolian territory. This split in policies created
conflict with his uncles and brothers, who were also legitimate heirs
to Mongol succession, as well as his generals.
War ensued, and Temujin prevailed, destroying all the remaining rival
tribes from 1203–1205 and bringing them under his sway. In 1206,
Temujin was crowned as the leader of the Great Mongol Nation. It
was then that he assumed the title of Genghis Khan, meaning
universal leader, marking the start of the Mongol Empire. The first
great khan was able to grasp power over such varied populations
through bloody siege warfare and elaborate spy systems, which
allowed him to better understand his enemy. He also utilized a
lenient policy toward religious and local traditions, which convinced
many people to follow his lead with promises of amnesty and
neutrality.
Genghis Khan
Genghis Khan as portrayed in a 14th-century Yuan-era album. He
was the first leader of the unified Mongols and first emperor under
the Mongolian Empire.
Innovations Under Genghis

Khan
As a ruler over a vast network of tribal groups, Genghis Khan
innovated the way he ruled and garnered power as he expanded his
holdings. These unprecedented innovations encouraged a
relatively peaceful reign and helped to develop stabler trading routes
and alliances, marking his rule as one of the most successful political
entities of the era. He also successfully brought technology,
language, and goods farther west. Some of his major
accomplishments include:
Organizing his army by dividing it into decimal subsections of

10, 100, 1,000, and 10,000, and discarded the lineage-based,
tribal bands that once dominated warfare.
Founding the Imperial Guard and rewarding loyalty with high
positions as heads of army units and households no matter the
class of the individual.
Proclaiming a new law of the empire, called the Yassa, which
outlawed the theft of property, fighting amongst the population,
and hunting animals during the breeding season, among many
other things.
Forbidding the selling of women. He also encouraged women to
discuss major, public decisions. Unlike other leaders in the
region, Ghengis allowed his wives to sit at the table with him
and encouraged them to voice their opinions.
Appointing his adopted brother as supreme judge, ordering him
to keep detailed records of the empire.
Decreeing religious freedom and exempting the poor and the
clergy from taxation. Because of this, Muslims, Buddhists, and
Christians from Manchuria, North China, India, and Persia were
more likely to acquiesce to Mongol intrusions and takeovers.
Encouraging literacy and adopting the Uyghur script, which
would form the Empire's Uyghur-Mongolian script.
Destruction and Ex pansion

Under Genghis Khan
Despite his many successful political and social changes, Genghis
was also a destructive and intimidating leader. He initially forged the
Mongol Empire in Central Asia with the unification of the Mongol and
Turkic confederations on the Mongolian plateau in 1206. Then
Mongol forces invaded westward into Central Asia including:
Western X ia Dynasty in 1209
Kara-Khitan Khanate in 1218
Khwarazmian Empire in 1221
These conquests seriously depopulated large areas of central Asia

and northeastern Iran, complicating the image of Genghis Khan as a
peaceful ruler practicing religious tolerance. Any city or town that
resisted the Mongols was subject to destruction. Each soldier was
required to execute a certain number of persons in cities that did not
cooperate. For example, after the conquest of the city of Urgench,
each Mongol warrior, in an army that might have consisted of 20,000
soldiers, was required to execute 24 people.
Sack of Baghdad
Illustrations of Mongol advances show the deeply militaristic reality of
this empire's success, and the darker side of Genghis Khan's rule.
By 1260, the armies of the Mongol Empire had swept across and
outward from the Asian steppes. The dark side of Genghis Khan's
rule can be seen in the destruction of ancient and powerful kingdoms
in the Middle East, Egypt, and Poland. During the same period,
Mongol assaults on China replaced the Sung Dynasty with the Yuan
Dynasty. Many local populations in what is now India, Pakistan, and
Iran considered the great khan to be a blood-thirsty warlord set on
destruction.
The Mongols' military tactics, based on the swift and ferocious use of
mounted cavalry, cannons, and siege warfare crushed even the
strongest European and Islamic forces and left a trail of devastation
behind. Even populations that appreciated the new legal code and
relative religious tolerance did not have much free will when it came
to Mongol advances. Many times Jewish kosher traditions and
Muslim halal traditions were also cast aside in favor of Mongol dining
and social customs.
Genghis Khan died in 1227 under mysterious circumstances in

possession of one of the largest empires in history. He left these vast
holdings in the hands of his sons and heirs, Ö gedei and Jochi, who
continued to expand outward with attacks and political alliances in
every direction.
13.2.2: Ex pansion Throughout Eastern

Asia
Under Genghis Khan and his son Ö gedei, the Mongol Empire
conquered both the Western X ia Dynasty and the Jin Dynasty to the
west.
Learning Objective
Recall the significance and consequences of the Mongol Empire's
battles with the Western X ia and Jin Dynasties.
Key Points
Under Genghis Khan, the Mongol Empire conquered the
Tanguts' Western X ia Dynasty in 1209.
Afterward, Genghis Khan began the conquest of the neighboring
Jin Dynasty in 1211.
The Jin Dynasty would finally be successfully conquered by
Genghis' son, Ö gedei Khan, in 1234.
Key Terms
Zhongdu
The capital of the Jin Dynasty before the Mongol attacks,

situated where modern-day Beijing sits.
ethnocide
The destruction of a national or localized culture in the wake of a

population's destruction.
Badger Pass
The location of the battle between Genghis Khan's Mongol

Empire and the Jin Dynasty, where the Mongols massacred
thousands of Jin troops.
At the time of the political rise of Genghis Khan in 1206 CE, the
Mongol Empire shared its western borders with the Western X ia
Dynasty of the Tanguts. To the east and south was the Jin Dynasty
of northern China. These two regions offered valuable resources and
would serve as vassal-states over time as Genghis gained power
over these two large territories. His relentless battle tactics also
revealed his ruthless viewpoints when it came to disobedient enemy
forces and gaining complete control of a region.
Map illustrating the neighboring X ia
and J in regions
These two regions were directly adjacent to Genghis Khan's newly
unified Mongol territories in the late 12th and early 13th centuries.
Conquest of the W estern X ia

Dynasty
The Western X ia Dynasty (also known as the X i-X ia Dynasty) was
located in what is modern-day northern China and sat along the
southern border of the Mongol territories. It emerged in 1038 but
often struggled to retain independent status from neighboring
dynasties. The X ia Dynasty also shared a complex history with the
neighboring Jin Dynasty, even serving as a vassal state to the Jin
for a period before the arrival of Mongol forces.
Genghis Khan first planned for war with the Western X ia, correctly
believing that the young, more powerful ruler of the Jin Dynasty
would not come to the Western X ia Dynasty's aid. His very first
attempt to gain power started in 1205, the year before he was
named supreme ruler on Mongol lands, and his initial attacks were
based on a flimsy political pretext. However, he realized that this
region would be an ideal gateway to conquering the Jin Dynasty to
the south and east. Despite initial difficulties in capturing the Western
X ia's well-defended cities, Genghis Khan forced their surrender with
multiple siege battles in 1209 and 1210.
Genghis's relentless battle tactics showed to great effect in the X ia

territory. While he initially gained territory in 1209, the second
invasion in Western X ia in the 1220s was an example of the
bloodshed and slaughter he practiced on cities and populations that
did not obey his orders. The population was relatively demolished
before his death in 1227 and subsequently under the rule of his son
and heir, Ö gedei. Some scholars even say this is the first example of
ethnocide in history.
Conquest of the J in Dynasty

The tactics and military might Genghis used in the Western X ia
region continued as he went on to conquer the larger and more
powerful Jin Dynasty in 1211 CE, beginning a 23-year war known as
the Mongol-Jin War. Long before the Mongol invasions, Jin leaders
took vassal tribute from the Mongolian tribes along their shared
border. These leaders even encouraged disputes between these
nomadic tribes in order to bolster their own power along their
northern border.
However, the tides for this powerful dynasty decidedly shifted when
the war started during the first Mongol invasion. Jin's army
commander made a tactical mistake in not attacking the Mongols at
the first opportunity. Instead, he sent a messenger to Mongols. But
the messenger defected and told the Mongols that the Jin Dynasty
army was waiting for them on the other side of the Badger Pass.
This was where the Mongols massacred thousands of Jin troops and
began a long and arduous war that would take a heavy toll on the
region.
In 1215 CE Genghis captured and sacked the Jin capital of Zhongdu

(modern-day Beijing). This forced the Emperor X uanzong to move
his capital south, abandoning the northern half of his kingdom to the
Mongols. Between 1232 CE and 1233 CE, Kaifeng fell to the
Mongols under the reign of Genghis' third son, Ö gedei Khan. The
last major battle between the Jin and the Mongols was the siege of
Caizhou in 1234 CE, which marked the collapse of the Jin Dynasty.
The years of war took a heavy toll on the population of the Jin
Dynasty, as it had in the Western X ia. Mongol warriors were reported
to take the livestock from the small towns and villages along their
path and kill the owners.
Despite the hardship of war and the siege and heavy cavalry tactics
utilized by Mongol forces, the unifying and centralizing effects of the
Mongol Empire created an expansive trade route and opened up
these far eastern regions to western influence and goods. More
stability along the trade route known as the Silk Road allowed goods
and ideas to travel long distances and established a connection
between eastern European principalities like the Russian territories.
J ar from the J in Dynasty
Hunping jar of the Jin Dynasty, with Buddhist figures.
13.2.3: Ex pansion Throughout Central

and W estern Asia
Under Genghis Khan, the Mongols, who began using catapaults and
gunpowder in their invasions, conquered the Kara-Khitan Khanate
and the Khwarazmian Empire.
Learning Objective
Assess the factors in Genghis Khan's successful conquest of the
Khwarazmian Empire and the Kara-Khitan
Key Points
Under Genghis Khan, the Mongol Empire conquered the Kara-
Khitan Khanate in Central Asia in 1218 CE. This was a relatively
easy conquest because the prince of Kara-Khitan, Kü chlü g, had
become unpopular with his people due to his persecution of
Islam.
The empire now had a border with the Khwarazmian Empire,
which they proceeded to conquer as well in 1221 CE.
The Mongol Empire's conquest of the Khwarazmian Empire saw
huge numbers of civilians massacred and enslaved.
During this time, the empire used catapults to hurl gunpowder
bombs. The Mongol Empire is often given credit for introducing
gunpowder to Europe.
By the time of Genghis Khan's death in 1227 CE, the Mongol
Empire was twice the size of the Roman Empire and the Muslim
Caliphate.
Key Terms
catapult
A device or weapon for throwing or launching large objects.

Used by Genghis Khan during the Mongol invasion of the
Khwarazmian Empire.
Samarkand
The capital of the Khwarazm region, which was captured by
Mongol forces around 1221.
gunpowder
An explosive substance; can be used to form bombs. Was

introduced to Europe by the Mongols.
huochong
A Chinese mortar used in the Central Asia campaign
Genghis Khan created an efficient military regime after his unifying

rise to power in the nomadic Mongol territories of northeastern Asia
in 1206 CE. These forces were no longer grouped by tribe or familial
affiliation, but rather were organized into armies of multiples of ten
soldiers that could be sent where needed in the name of Mongol
expansion. Genghis Khan sent forces in every direction, including
westward into central Asia. While he was fighting the Western X ia
and Jin Dynasties in the east, he was also attempting to gain more
land to the west in the Kara-Khitan Khanate and the Khwarazmian
Empire, regions that comprise modern-day Iran, Iraq, and
Uzbekistan.
Conquest of the Kara-Khitan

Khanate
The Mongol Empire conquered the Kara-Khitan Khanate, an empire
comprised of former nomads in Central Asia, in the years 1216-1218
CE. The khanate was under the rule of Prince Kü chlü g, who had
converted to Buddhism and had been persecuting the Muslim
majority among the Khitan. This alienated him from most of his
people, creating ideal circumstances for a takeover by Genghis
Khan.
The Kara-Khitai attracted Genghis Khan's attention when they
besieged Almaliq, a city belonging to vassals of the Mongol Empire.
Genghis Khan dispatched an army, who, under the command of
General Jebe, defeated the Kara-Khitai at their capital, Balasagun,
and Kü chlü g fled. Jebe gained support from the Kara-Khitan
populace by announcing that Kü chlü g's oppressive policy of religious
persecution had ended. When his army followed Kü chlü g to Kashgar
in 1217, the populace revolted and turned on Kü chlü g, forcing him to
flee again for his life. Jebe pursued Kü chlü g into modern
Afghanistan. According to Persian historian Ata-Malik Juvayni, a
group of hunters caught Kü chlü g in 1218 and handed him over to the
Mongols, who promptly beheaded him.
With Kü chlü g's death, the Mongol Empire secured control over the
Kara-Khitai and surrounding areas. The Mongols now had a firm
outpost in Central Asia directly bordering the Khwarazmian Empire,
in Greater Iran. Relations with the Khwarazms would quickly break
down, leading to the Mongol invasion of that territory in 1219.
Kara-Khitans Hunting
Kara-Khitans using eagles to hunt, painted during the Chinese Song
Dynasty.
Conquest of the Khwaraz mian
Empire
In the early 13th century, the Khwarazmian Empire was governed by
Shah Ala ad-Din Muhammad. Genghis Khan saw the potential
advantage in Khwarazmia as a commercial trading partner using the
Silk Road, and he sent a caravan to establish official trade ties with
the empire. However, a Khwarazmian governor attacked the
caravan, claiming that it contained spies. Genghis Khan sent a
second group of ambassadors to meet the Shah himself instead of
the governor. The Shah had all the men shaved and the Muslim
ambassador beheaded and sent his head back with the two
remaining ambassadors.
Outraged, Genghis Khan organized one of his largest and most

brutal invasion campaigns, fought by 200,000 soldiers in three
divisions. He left a commander and troops in China, designated his
successors to be his family members, and set out for Khwarazmia.
Before he left, he divided his empire among his sons and immediate
family and declared that his heir should be his charismatic third son,
Ö gedei. His invasion of Khwarazmia would last from 1219-1221 CE.
His son Jochi led the first division into the northeast, and the second
division under Jebe marched secretly to the southeast to form, with
the first division, a pincer attack on Samarkand. The third division
under Genghis Khan and Tolui moved in from the northwest. The
Shah's army, in contrast, was fragmented, a decisive factor in their
defeat—the Mongols were not facing a unified defense.
The Mongol tactics were precise and often brutally efficient, including
heavy cavalry, siege tactics, and even gunpowder weapons. The
attack on the Khwarazm capital, Samarkand, was decisive and left
the local population depleted and in tatters. Generally speaking,
Mongol forces would enslave or massacre populations after a
victorious capture of a city or region, establishing a new rule of law
and highlighting Mongol dominance. Legend tells that the often
flamboyant Genghis Khan executed the Khwarazm governor by
pouring molten silver into his ears and eyes. Eventually the Shah
fled rather than surrender, and he died shortly after, possibly killed by
the Mongols. After their victory, Genghis Khan ordered two of his
generals and their forces to completely destroy the remnants of the
empire, including not only royal buildings but entire towns,
populations, and even vast swaths of farmland.
The assault on the wealthy trading city of Urgench proved to be the

most difficult battle of the Mongol invasion. Mongolian casualties
were higher than normal because most battles they fought were in
less densely packed urban settings. However, they were successful,
and after an extensive invasion such as this one, young women and
children were often given to the Mongol soldiers as slaves. Persian
scholar Juvayni states that 50,000 Mongol soldiers were given the
task of executing 24 Urgench citizens each. If Juvanyi's estimation is
true, 1.2 million people were killed, making it one of the bloodiest
invasions in history.
During the invasion of Transoxania in 1219, along with the main

Mongol force, Genghis Khan used a Chinese specialist catapult unit
in battle, adding to the powerful tactics already in use by Mongol
forces. They were used again in 1220 in Transoxania. The Chinese
may have used these same catapults to hurl gunpowder bombs. In
fact, historians have suggested that the Mongol invasion brought
Chinese gunpowder weapons to Central Asia. One of these was the
huochong, a Chinese mortar.
Chinese Formula for Gunpowder
The earliest known written formula for gunpowder, from the Chinese
Wujing Zongyao, a military compendium, of 1044 CE.
By the time of Genghis Khan's death in 1227, the Mongol Empire

ruled from the Pacific Ocean to the Caspian Sea, an empire twice
the size of the Roman Empire and Muslim Caliphate.
Pushing Farther W est

The Mongols conquered the areas today known as Iran, Iraq, Syria,
Caucasus and parts of Turkey. Further Mongol raids reached
southwards as far as Gaza into the Palestine region in 1260 and
1300. The major battles were the Siege of Baghdad in 1258, when
the Mongols sacked the city that for 500 years had been the center
of Islamic power, and the Battle of Ain Jalut in 1260, when the
Muslim Egyptians were for the first time able to stop the Mongol
advance.
The Mongols were never able to expand farther west than the Middle
East due to a combination of political and environmental factors,
such as lack of sufficient grazing room for their horses.
Attributions
Genghis Khan
"Mongol conquest of the Kara-Khitai."
http://en.wikipedia.org/wiki/Mongol_conquest_of_the_Kara-
Khitai. Wikipedia CC BY-SA 3.0.
"Mongol Empire."
BY-SA 3.0.
"Mongol invasion of Central Asia."
http://en.wikipedia.org/wiki/Mongol_invasion_of_Central_As
ia. Wikipedia CC BY-SA 3.0.
BY-SA 3.0.
"Mongolian script."
http://en.wikipedia.org/wiki/Mongolian_script. Wikipedia CC
BY-SA 3.0.
BY-SA 3.0.
"Mongol Empire."
https://en.wikipedia.org/wiki/Mongol_Empire# /media/File:Di
ezAlbumsFallOfBaghdad.jpg. Wikipedia Public domain.
"Yuan Emperor Album Genghis Portrait."
http://en.wikipedia.org/wiki/File:YuanEmperorAlbumGenghis
Portrait.jpg. Wikipedia Public domain.
Expansion Throughout Eastern Asia
"Mongol Empire."
http://en.wikipedia.org/wiki/Mongol_Empire. WIkipedia CC
BY-SA 3.0.
"Jin Jar." http://en.wikipedia.org/wiki/File:JinJar.JPG.
BY-SA 3.0.
BY-SA 3.0.
"Sung Dynasty 1141."
https://en.wikipedia.org/wiki/File:Sung_Dynasty_1141.png.
"Jin Jar." http://en.wikipedia.org/wiki/File:JinJar.JPG.
Expansion Throughout Central and Western Asia
"Mongol conquest of the Kara-Khitai."
http://en.wikipedia.org/wiki/Mongol_conquest_of_the_Kara-
Khitai. Wikipedia CC BY-SA 3.0.
"Mongol Empire."
BY-SA 3.0.
BY-SA 3.0.
BY-SA 3.0.
"Chinese Gunpowder Formula."
http://en.wikipedia.org/wiki/File:Chinese_Gunpowder_Form
ula.JPG. Wikipedia Public domain.
"Mongol Hunters Song."
http://en.wikipedia.org/wiki/File:MongolHuntersSong.jpg.
13.3: The Mongol Empire After
Genghis Khan
13.3.1: The Mongols in Eastern
Europe
Under Ö gedei, the Mongol Empire conquered Eastern Europe.
V arious tactical errors and unexpected cultural and environmental
factors stopped the Mongol forces from moving into Western Europe
in 1241.
Learning Objective
Recognize the European territories conquered by Ö gedei and why
the Mongols halted their expansion into Western Europe
Key Points
Ö gedei Khan, Genghis Khan's third son, ruled the Mongol
Empire from 1227 CE-1241 CE.
Under Ö gedei, the Mongol Empire conquered Eastern Europe
by invading Russia and Bulgaria; Poland, at the Battle of
Legnica; and Hungary, at the Battle of Mohi.
Changes in the terrain and resources, which limited their cavalry
abilities, along with the death of a charismatic leader Ö gedei in
1241, brought these forces to a halt before they reached
Western Europe.
Key Terms
steppe
The grasslands of Eastern Europe and Asia. Similar to the North

American prairie and the African savannah.
Rus’
Early Russia; encompassed modern-day Russia, Ukraine,

Poland, Belarus, and the Baltic states.
Ex pansion of the Mongol

Empire Under Ö gedei
Ö gedei, Genghis Khan's third son, took over from his father and
ruled the Mongol Empire from 1227 CE-1241 CE. One of his most
important contributions to the empire was his conquest of Eastern
Europe. These conquests involved invasions of Russia, Hungary,
V olga Bulgaria, Poland, Dalmatia, and Wallachia. Over the course of
four years (1237–1241), the Mongols quickly overtook most of the
major eastern European cities, only sparing Novgorod and Pskov. As
a result of the successful invasions, many of the conquered
territories would become part of the Mongol Empire. This conquered
region is sometimes referred to as the Golden Horde.
" Coronation of Ö gedei"
"Coronation Of Ö gedei," 1229, by Rashid al-Din.
The illustration shows Ogodei sitting on a throne. A large crowd of

men surrounds him.
The operations were masterminded by General Subutai and

commanded by Batu Khan and Kadan, both grandsons of Genghis
Khan. The Mongols had acquired Chinese gunpowder, which they
deployed in battle during the invasion of Europe to great success, in
the form of bombs hurled via catapults. The Mongols have been
credited for introducing gunpowder and associated weapons into
Europe. They were also masters at cavalry invasions and siege
warfare, which threatened many of the principalities the Mongols
hoped to capture.
Invasion and Conquest of Russian

Lands
Ö gedei Khan ordered his nephew (and grandson of Genghis Khan)
Batu Khan to conquer Russia in 1235. (The territory was then called
Rus' and encompassed modern-day Russia, Ukraine, Poland,
Belarus, and the Baltic states. Territories and cities were ruled over
by princely dynasties, which often meant these regions were
fragmented politically.) The main force arrived at Ryazan in
December 1237. Ryazan refused to surrender, and the Mongols
sacked it and then stormed through other Russian cities, including
V ladimir Suzdal in the north, and Pereyaslav and Chernihiv in the
south. Other major Russian cities—such as Torzhok, and Kozelsk—
were captured between 1238 and 1240. Some cities, such as
Novgorod in the north, were not attacked due to the dense march
and forest land surrounding it. However, the princes ruling Novgorod
acted as tax collectors for the Mongol Empire in the coming
decades.
Afterward, the Mongols turned their attention to the steppe, crushing

various tribes and sacking Crimea to the west. They returned to
Russia in 1239 and sacked several more cities and finally took the
southern Rus' capital of Kiev, leaving behind their trademark
destruction of both the population and city structures. This final
attack sealed the Rus' principalities' fate, forcing princes to flee their
regions or capitulate to Mongol taxation and rule.
Invasion into Central Europe

The Mongols continued to invade Central Europe with three armies.
One army defeated the fragmented Poland at the Battle of Legnica in
1241. Two days later the armies regrouped and crushed the
Hungarian army at the Battle of Mohi, killing up to a quarter of the
population and destroying as much as half of the habitable dwellings.
This decisive victory was partially due to the fact that Hungary was
unprepared for an invasion and did not having a standing army ready
to fight. It took a number of months for the Mongol army to subdue
various power centers in Hungary. A major battle called the Mongol's
Siege of Esztergom in the capital of Hungary forced people to flee
and a new capital was moved to Budapest. However, the Mongols
had a difficult time capturing fortified cities throughout Hungarian
territories, which kept a total takeover from occurring. The Hungarian
king Bela IV fled to Croatia during the initial attacks on his cities, and
fortified structures throughout this territory helped keep the king and
the local populations safe. However, Zagreb was sacked and
destroyed in pursuit of the fugitive king and further territorial gains.
While the Mongol armies were fighting in Hungary and Croatia, they
also pushed their forces into Austria, Dalmatia, and Moravia. Where
they found local resistance, they ruthlessly killed the population.
Where the locale offered no resistance, they forced the men into
servitude in the Mongol army. They also ransacked Moldavia and
Wallachia, plundering food stores and leaving the population in a
precarious state.
The Battle of Legnica
A depiction of the Battle of Legnica by Matthä us Merian the Elder,
painted 1630.
The image depicts a bloody battle in the foreground and a burning

city in the background.
End of the Mongol Advance

Although the Mongol forces were well-versed in cavalry and siege
attacks, these two strategies also served as their weak points as
they went farther westward. Many people in Hungary, Croatia, and
Dalmatia had food stores at the ready for the long siege battles of
the Mongol armies. Fortified cities and boggy or mountainous terrain
also slowed down the light cavalry of the Mongol forces and gave
European cities an advantage. Although politically fractured,
European powers were uniting; even Hungarians who had survived
the initial attack, or never engaged in battle, had begun a guerilla
attack lead by survivors of the Hungarian royal family.
The Klis Fortress in Croatia
This type of rocky, fortified city posed a serious challenge to Mongol
forces who were often mounted on horses. This particular city
defeated the Mongol army in 1242.
Along with all of these tactical challenges the charismatic Mongol

leader, Ö gedei, died in December 1241. His death forced the Mongol
armies to halt their westward expansion, especially in the face of
mounting difficulties, and hasten back the thousands of miles to
Karakorum, their capital in Mongolia, to elect his successor. Although
the expansion did not extend into Western Europe, the Mongol
forces retained power over many major Eastern European cities for
many decades. However, after Ö gedei's death, power disputes
plagued the Mongol Empire and eventually weakened their extensive
hold on such vast territories.
13.3.2: Administrative Reform in the

Mongol Empire
Mö ngke was generally a popular ruler of the Mongol Empire; he met
debts, controlled spending, conducted a census, and protected
civilians.
Learning Objective
Choose the best summary of Mö ngke's achievements
Key Points
After Ö gedei's death, Genghis Khan's descendants Gü yü k and
Batu Khan fought about who would rule until Batu Khan's death,
at which point Genghis' grandson Mö ngke took control.
Mö ngke was generally a popular ruler. He generously met all
Gü yü k's outstanding debts, an unprecedented move.
Mö ngke also forbade extravagant spending, imposed taxes
(which incited some rebellions), and punished the unauthorized
plundering of civilians. He established the Department of
Monetary Affairs and standardized a system of measurement.
Mö ngke conducted a census of the Mongol Empire and its land.
Key Terms
ingot
A block of steel, gold, or other metal oblong in shape and used

for currency.
Department of Monetary Affairs
Mö ngke established this body to control the issuance of paper

money in order to eliminate the overissue of currency that had
been a problem since Ö gedei's reign.
From Ö gedei's death in 1241 CE until 1246 CE the Mongol Empire

was ruled under the regency of Ö gedei's widow, Tö regene Khatun.
She set the stage for the ascension of her son, Gü yü k, as Great
Khan, and he would take control in 1246. He and Ö gedei's nephew
Batu Khan (both grandsons of Genghis Khan) fought bitterly for
power; Gü yü k died in 1248 on the way to confront Batu.
Another nephew of Ö gedei's (and so a third grandson of Genghis

Khan's), Mö ngke, then took the throne in 1251 with Batu's approval.
In 1255, well into Mö ngke's reign, Batu had repaired his relationship
with the Great Khan and so finally felt secure enough to prepare
invasions westward into Europe. Fortunately for the Europeans,
however, he died before his plans could be implemented.
The Mongol Empire Under

Mö ngke
Mö ngke's rule established some of the most consistent monetary
and administrative policies since Genghis Khan. In the mercantile
department he:
Forbade extravagant spending and limited gifts to the princes.

Made merchants subject to taxes.
Prohibited the demanding of goods and services from civilian
populations by merchants.
Punished the unauthorized plundering of civilians by generals
and princes (including his own son).
In 1253, Mö ngke established the Department of Monetary Affairs to
control the issuance of paper money. This new department
contributed to better econimic stability including:
Limiting the overissue of currency, which had been a problem

since Ö gedei's reign.
Standardizing a system of measurement based on the silver
ingot.
Paying out all debts drawn by high-rank Mongol elites to
important foreign and local merchants.
Mö ngke recognized that if he did not meet his predecessor's,

Gü yü k's, financial obligations, it would make merchants reluctant to
continue business with the Mongols. Like many other rules around
the world at this time, his hope was to take advantage of the budding
commercial revolution in Europe and the Middle East. Ata-Malik
Juvaini, a 13th-century Persian historian, commented on the virtue of
this move, saying, "And from what book of history has it been read or
heard...that a king paid the debt of another king? "
The Mongol Empire's administration followed a trend that was

occurring in the Western Europe, in which kings and emperors were
finding efficient ways to manage their administrative and legals
systems and fund crusades, conquests, and wars. From 1252–1259,
Mö ngke conducted a census of the Mongol Empire including Iran,
Afghanistan, Georgia, Armenia, Russia, Central Asia and North
China. The new census counted not only households but also the
number of men aged 15–60 and the number of fields, livestock,
vineyards, and orchards.
Mö ngke also tried to create a fixed poll tax collected by imperial

agents, which could be forwarded to the needy units. He taxed the
wealthiest people most severely. But the census and taxation
sparked popular riots and resistance in the western districts and in
the more independent regions under the Mongol umbrella. These
rebellions were ultimately put down, and Mö ngke would continue to
rule.
Ex pansion and Khanates
At the death of Genghis Khan in 1226, the empire was already large
enough that one ruler could not oversee the administrative aspects
of each region. Genghis realized this and created appanages, or
khanates, for his sons, daughters, and grandsons to rule over in
order to keep a consistent rule of law. Mö ngke's administrative
policies extended to these regions during his reign, often causing
local unrest due to Mongol occupation and taxation. Some khanates
were more closely linked to centralized Mongol policies than others,
depending on their location, who oversaw them, and the amount of
resistance in each region.
Painting of the Battle of Mohi in 1241

Mö ngke might have been present at this battle, which took place in
the kingdom of Hungary, during one of the many Mongol invasions
and attacks that expanded the Mongol Empire.
It should also be noted that the vast religious and cultural traditions
of these khanates, including Islam, Judaism, Taoism, Orthodoxy, and
Buddhism, were often at odds with the khanate rulers and their
demands. Some of the most essential khanates to exist under
Mö ngke's administrative years included:
The Golden Horde, which contained the Rus' principalities and
large chunks of modern-day Eastern Europe, including Ukraine,
Belarus, and Romania. Many Russian princes capitulated with
Mongol rule and a relatively stable alliance existed in the 1250s
in some principalities.
Chagatai Khanate was a Turkic region which was ruled over by
Chagatai, Odegei's second son, until 1242 at his death. This
region was clearly Islamic and functioned as an outlying region
of the central Mongol government until 1259, when Mö ngke
died.
Ilkhanate was the major southwestern khanate of the Mongol
Empire and encompassed parts of modern-day Iran, Azerbaijan,
Armenia, and Turkey and the heartland of Persian culture.
Mö ngke's brother, Hulagu, ruled over this region and his
descendants continued to oversee this khanate into the 14th
century.
Mö ngke's Death
Mö ngke died while conducting war in China on August 11, 1259. He
was possibly a victim of cholera or dysentery, however there is no
confirmed record of the cause of his death. His son Asutai conducted
him back to Mongolia to be buried. The ruler's death sparked the
four-year Toluid Civil War between his two younger brothers, Kublai
and Ariq Bö ke, and also spurred on the division of the Mongol
Empire.
13.3.3: Kublai Khan

Kublai Khan came to power in 1260. By 1271 he had renamed the
Empire the Yuan Dynasty and conquered the Song dynasty and with
it, all of China. However, Chinese forces ultimately overthrew the
Mongols to form the Ming Dynasty.
Learning Objective
Identify Kublai Khan's most significant achievements
Key Points
Mö ngke's death led to civil war (or Toluid Civil War) between his
two younger brothers; ultimately, Kublai Khan emerged
victorious and renamed the empire as the Yuan Dynasty in
1271.
Kublai also renamed himself Emperor of China in order to win
over millions of Chinese subjects.
Ultimately, under Kublai Khan, the Mongols were the first non-
Chinese people to conquer all of China. However, their
conquests of Japan and Java failed.
At the time of Kublai's death, the Mongol Empire fractured into
four separate empires; this made it easy for the Han Chinese to
overthrow them in 1368 and establish the Ming Dynasty.
Mö ngke's death in 1259 led to civil war (often referred to as the

Toluid Civil War) between his two younger brothers, Kublai Khan and
Ariq Bö ke. Kublai Khan emerged victorious and established the Yuan
Dynasty in China in 1271, perhaps the Mongols' greatest triumph,
though it would eventually be overthrown in 1368 by the native Han
Chinese, who would launch their own Ming Dynasty.
Kublai Khan
A portrait of a young Kublai Khan by Anige, a Nepali artist in Kublai's
court.
Establishment of the Y uan

Dynasty
After Kublai took over control of the Chinese territories with the
blessings of Mö ngke Khan around 1251, he sought to establish a
firmer hold on these vast regions. Rivaling dynasties loomed
throughout the Chinese territories making for a contentious political
background to Kublai's rule. His greatest obstacle was the powerful
Song dynasty in the south. He stabilized the northern regions by
placing a hostage puppet leader in Korea named Wonjong in 1259.
After the death of Mö ngke in that same year, and the following civil
war, Kublai was named the Great Khan and successor of Mö ngke.
This new powerful position allowed Kublai to oversee uprisings and
wars between the western khanates and assist rulers (often family
members) to oversee these regions. However, his tenuous hold in
the east occupied most of his resources.
In 1271, as he continued to consolidate his power over the vast and

varying Chinese subjects and outlying regions, Kublai Khan renamed
his khanate the Yuan Dynasty. His newly named dynasty appeared
to be successful after the fall of the major southern center X iangyang
in 1273 to Mongol forces after five years of struggle. The final piece
of the puzzle for Kublai was the conquest of the Song Dynasty in
southern China. He finally garnered this sought-after southern region
in 1276 and the last Song emperor died in 1279 after years of costly
battles. With this success, the Mongols became the first non-
Chinese people to conquer all of the Chinese territories. Kublai
moved his headquarters to Dadu, what later became the modern city
of Beijing. His establishment of a capital there was a controversial
move to many Mongols who accused him of being too closely tied to
Chinese culture. However, the Yuan Dynasty often functioned as an
independent khanate from the rest of the western Mongol-dominated
regions.
Y uan Dynasty circa 1292
The sheer scale of this khanate required extensive military support
and often strained the Mongol treasury in order to keep populations
under its influence.
At this time, the Yuang dynasty covered nearly all of modern-day

China, as well as the entirety of modern-day Mongolia, and portions
of modern-day Russia.
Ex tended Invasions
Kublai Khan's costly invasions of many territories in the east did not
go smoothly and some went on for many years, draining the Mongol
treasury and utilizing precious resources. Although the invasions of
Burma in 1277, 1283, and 1287 forced the population to eventually
capitulate, they were never more than a vassal state. Similarly, the
Yuan forces invaded Sakhalin Island off the coast of modern-day
Russia multiple times between 1264 and 1308, and the various tribal
groups also eventually became a vassals after long years of turmoil.
Southern Asian regions often agreed to Yuan rule and taxation only
in the face of more bloodshed and terror. Conversely, Mongol
invasions of Japan (1274 and 1280) and Java (1293) under Kublai
Khan ultimately failed and illustrated the costly effects of constant
invasive military tactics.
Y uan Dynasty Administration

Kublai Khan made significant reforms to existing institutions under
the Yuan Dynasty. He divided the Dynasty's territory into a central
region and peripheral regions that were under the control of various
officials. He created an academy, offices, trade ports and canals, and
sponsored arts and science. Mongol records also list 20,166 public
schools created during his reign. He also, along with engineers,
invented the Muslim trebuchet (hui-hui pao), a counterweight-based
weapon that was highly successful in battle.
He also continued to welcome trade and travel throughout his

empire. Marco Polo, Marco Polo's father (an Italian merchant), and
his father's trade partner traveled to China during this time. They met
Kublai Khan and lived amongst his court to establish trade relations.
Polo generally praised the wealth and extravagance of Khan and the
Mongol Empire. Some historians also speculate that trade was so
accessible between the empire and Europe, that it may have
contributed to the flow of disease, especially the black plague in the
mid-1300s.
Trebuchet
The scheme of the "Muslim trebuchet" (hui-hui pao), invented during
Kublai Khan's rule.
By the time of Kublai's death in 1294, the Mongol Empire had

fractured into four separate empires, which were based on
administrative zones Genghis had created. The four empires were
known as khanates, each pursuing its own separate interests and
objectives: the Golden Horde Khanate in the northwest, the Chagatai
Khanate in the west, the Ilkhanate in the southwest, and the Yuan
Dynasty, based in modern-day Beijing. In 1304, the three western
khanates briefly accepted the rule of the Yuan Dynasty in name, but
when the Dynasty was overthrown by the Han Chinese Ming
Dynasty in 1368, and with increasing local unrest in the Golden
Horde, the Mongol Empire finally dissolved.
Attributions
The Mongols in Eastern Europe
"HIST201: History of Europe, 1000 to 1800."
"Mongol Empire."
BY-SA 3.0.
"Battle of Mohi."
https://en.wikipedia.org/wiki/Battle_of_Mohi. Wikipedia CC
BY-SA 3.0.
BY-SA 3.0.
"Ö gedei Khan."
https://en.wikipedia.org/wiki/%C3%96gedei_Khan.
"Mongol invasion of Europe."
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Public domain.
14: Chinese Dynasties
14.1: The Tang Dynasty
14.1.1: Rise of the Tang Dynasty
The Tang dynasty, generally regarded as a golden age of Chinese
culture, was founded by the Lǐ family, who seized power during the
decline and collapse of the Sui dynasty.
Learning Objective
Explain the events that led to the Tang dynasty coming to power
Key Points
The short-lived Sui dynasty had profound effects on the
development of China as an imperial power, consolidating the
ethnic and cultural character of the people and uniting the
Northern and Southern dynasties.
After a series of costly and disastrous military campaigns
against one of the Three Kingdoms of Korea, the Sui dynasty
disintegrated under a sequence of popular revolts culminating in
the assassination of Emperor Yang by his ministers in 618.
The Tang dynasty was founded by the Li Yuan, a duke who
seized power during the decline and collapse of the Sui dynasty.
For the next hundred years, several Tang leaders ruled,
including a woman, Empress Wu, whose rise to power was
achieved through cruel and calculating tactics but made room
for the prominent role of women in the imperial court.
During the forty-four-year reign of Emperor X uanzong, who
came to power in 712, the Tang dynasty reached its height, a
golden age with low economic inflation and a toned down
lifestyle for the imperial court.
Key Terms
Confucianism
A tradition, philosophy, religion, humanistic, or rationalistic

religion, a way of governing, and a way of life based on the
teachings of Confucius.
Han Chinese
An ethnic group native to East Asia; the Chinese peoples

especially as distinguished from non-Chinese (such as
Mongolian) people in the population.
sinicization
A process whereby non-Han Chinese societies come under the

influence of Han Chinese state and society.
Overview of the Tang Dynasty

The Tang dynasty (Chinese: 唐朝 ) was an imperial dynasty of China
preceded by the Sui dynasty and followed by the Five Dynasties and
Ten Kingdoms period. It is generally regarded as a high point in
Chinese civilization and a golden age of cosmopolitan culture. Its
territory, acquired through the military campaigns of its early rulers,
rivaled that of the Han dynasty, and the Tang capital at Chang'an
(present-day X i'an) was the most populous city in the world.
With its large population base, the dynasty was able to raise
professional and conscripted armies of hundreds of thousands of
troops to contend with nomadic powers in dominating Inner Asia and
the lucrative trade routes along the Silk Road. V arious kingdoms and
states paid tribute to the Tang court, and the Tang also conquered or
subdued several regions that it indirectly controlled through a
protectorate system. Besides political hegemony, the Tang also
exerted a powerful cultural influence over neighboring states such as
those in Korea, Japan, and V ietnam.
The Tang dynasty was largely a period of progress and stability in

the first half of its rule, followed by the An Lushan Rebellion and the
decline of central authority in the later half of the dynasty. Like the
previous Sui dynasty, the Tang dynasty maintained a civil service
system by recruiting scholar-officials through standardized
examinations and recommendations to office. Chinese culture
flourished and further matured during the Tang era; it is considered
the greatest age for Chinese poetry. Two of China's most famous
poets, Li Bai and Du Fu, belonged to this age, as did many famous
painters such as Han Gan, Zhang X uan, and Zhou Fang. There were
many notable innovations during the Tang, including the
development of woodblock printing.
Decline of the Sui Dynasty and

the Founding of the Tang
The Sui dynasty was a short-lived imperial dynasty of pivotal
significance. The Sui unified the Northern and Southern dynasties
and reinstalled the rule of ethnic Han Chinese in the entirety of China
proper, as well as sinicized former nomadic ethnic minorities within
its territory. By the middle of the Sui dynasty, the newly unified
empire entered an age of prosperity with vast agricultural surplus
that supported acute population growth. Wide-ranging reforms and
construction projects were undertaken to consolidate the newly
unified state, with long-lasting influences beyond the short dynastic
reign. The Sui dynasty was succeeded by the Tang dynasty, which
largely inherited its foundation.
After a series of costly and disastrous military campaigns against

Goguryeo, one of the Three Kingdoms of Korea, ended in defeat by
614, the Sui dynasty disintegrated under a sequence of popular
revolts culminating in the assassination of Emperor Yang by his
ministers in 618. The dynasty, which lasted only thirty-seven years,
was undermined by ambitious wars and construction projects, which
overstretched its resources. Particularly under Emperor Yang, heavy
taxation and compulsory labor duties eventually induced widespread
revolts and a brief civil war following the fall of the dynasty.
After Yang's death, the Sui dynasty's territories were carved into a
handful of short-lived states by its officials, generals, and agrarian
rebel leaders, and the process of elimination and annexation that
followed ultimately culminated in the consolidation of the Tang
dynasty by the former Sui general Li Yuan.
Emperor Y ang of Sui
Portrait painting of Emperor Yang of Sui, the last emperor of the Sui
dynasty, commissioned in 643 by Taizong, painted by Yan Liben
(600–673).
Painting of Emperor Yang and two attendants dressed in imperial

outfits.
Li Yuan was duke of Tang and governor of Taiyuan during the Sui
dynasty's collapse. He had prestige and military experience, and
was a first cousin of Emperor Yang of Sui. Li Yuan rose in rebellion
in 617, along with his son and his equally militant daughter Princess
Pingyang, who raised and commanded her own troops. In the winter
of 617, Li Yuan occupied Chang'an, relegated Emperor Yang to the
position of Taishang Huang or retired emperor, and acted as regent
to the puppet child-emperor, Emperor Gong of Sui. On the news of
Emperor Yang's murder by General Yuwen Huaji on June 18, 618, Li
Yuan declared himself the emperor of a new dynasty, the Tang.
Early Tang Dynasty and the

Rise to Prosperity
Li Yuan, known as Emperor Gaozu of Tang, ruled until 626, when he
was forcefully deposed by his son Li Shimin, the Prince of Qin,
conventionally known by his temple name Taizong. Although killing
two brothers and deposing his father contradicted the Confucian
value of filial piety, Taizong showed himself to be a capable leader
who listened to the advice of the wisest members of his council.
Emperor Taiz ong
Emperor Taizong (r. 626–649) receives Gar Tongtsen Yü lsung,
ambassador of Tibet, at his court; painted in 641 by Yan Liben (600–
673).
Painting of Emperor Taizong, surrounded by women fanning him,

receiving three Tibetan men at his court.
For the next hundred years, several Tang leaders ruled, including a
woman, Empress Wu, whose rise to power was achieved through
cruel and calculating tactics but made room for the prominent role of
women in the imperial court. Wu's rule was actually a short break in
the Tang dynasty, as she established the short-lived Zhou dynasty;
the Tang dynasty was restored after her rule. In 706 the wife of
Emperor Zhongzong of Tang, Empress Wei, persuaded her husband
to staff government offices with his sister and her daughters, and in
709 requested that he grant women the right to bequeath hereditary
privileges to their sons (which before was a male right only). Just as
Emperor Zhongzong was dominated by Empress Wei, so too was
Ruizong dominated by Princess Taiping. This was finally ended
when Princess Taiping's coup failed in 712 (she later hanged herself
in 713) and Emperor Ruizong abdicated to Emperor X uanzong.
During the forty-four-year reign of Emperor X uanzong, the Tang

dynasty reached its height, a golden age with low economic inflation
and a toned down lifestyle for the imperial court. Seen as a
progressive and benevolent ruler, X uanzong even abolished the
death penalty in the year 747; all executions had to be approved
beforehand by the emperor himself. X uanzong bowed to the
consensus of his ministers on policy decisions and made efforts to
staff government ministries fairly with different political factions. His
staunch Confucian chancellor Zhang Jiuling (673–740) worked to
reduce deflation and increase the money supply by upholding the
use of private coinage, while his aristocratic and technocratic
successor, Li Linfu (d. 753) favored government monopoly over the
issuance of coinage. After 737 most of X uanzong's confidence
rested in his long-standing chancellor Li Linfu, who championed a
more aggressive foreign policy employing non-Chinese generals.
This policy ultimately created the conditions for a massive rebellion
against X uanzong.
14.1.2: Trade Under the Tang Dynasty

By reopening the Silk Road and increasing maritime trade by sail at
sea, the Tang were able to gain many new technologies, cultural
practices, rare luxuries, and foreign items.
Learning Objective
Describe how the Tang dynasty prospered from trade
Key Points
Although the Silk Road from China to the West was initially
formulated during the reign of Emperor Wu of Han (141–87
BCE), it was reopened by the Tang Empire in 639 CE when Hou
Junji conquered the West, and remained open for almost four
decades.
The Silk Road was the most important pre-modern Eurasian
trade route, opening long-distance political and economic
relations between the civilizations.
Though silk was certainly the major trade item exported from
China, many other goods were traded, and religions, syncretic
philosophies, and various technologies, as well as diseases,
also spread along the Silk Road.
In addition to economic trade, the Silk Road served as a means
of carrying out cultural trade among the civilizations along its
network.
Chinese maritime presence increased dramatically during the
Tang period, giving rise to large seaports and trade relations
with Africa, India, and beyond.
Key Terms
Pax Sinica
A period of peace in East Asia, maintained by Chinese

hegemony, during which long-distance trade flourished, cities
ballooned, standards of living rose, and the population surged.
Silk Road
An ancient network of trade routes that for centuries were

central to cultural interaction through regions of the Asian
continent connecting the West and East from China to the
Mediterranean Sea.
Overview
Through use of land trade along the Silk Road and maritime trade by
sail at sea, the Tang were able to gain many new technologies,
cultural practices, rare luxuries, and contemporary items. From the
Middle East, India, Persia, and Central Asia the Tang were able to
acquire new ideas in fashion, new types of ceramics, and improved
silver-smithing. The Chinese also gradually adopted the foreign
concept of stools and chairs as seating, whereas before they had
always sat on mats placed on the floor. In the Middle East, the
Islamic world coveted and purchased in bulk Chinese goods such as
silks, lacquerwares, and porcelain wares. Songs, dances, and
musical instruments from foreign regions became popular in China
during the Tang dynasty. These musical instruments included oboes,
flutes, and small lacquered drums from Kucha in the Tarim Basin,
and percussion instruments from India such as cymbals. At the court
there were nine musical ensembles (expanded from seven in the Sui
dynasty) representing music from throughout Asia.
There was great contact with and interest in India as a hub for
Buddhist knowledge, with famous travelers such as X uanzang (d.
664) visiting the South Asian subcontinent. After a seventeen-year-
long trip, X uanzang managed to bring back valuable Sanskrit texts to
be translated into Chinese. There was also a Turkic–Chinese
dictionary available for serious scholars and students, and Turkic
folksongs gave inspiration to some Chinese poetry. In the interior of
China, trade was facilitated by the Grand Canal and the Tang
government's rationalization of the greater canal system that
reduced costs of transporting grain and other commodities. The state
also managed roughly 32,100 km (19,900 mi) of postal service
routes by horse and boat.
The Silk Road

Although the Silk Road from China to the West was initially
formulated during the reign of Emperor Wu (141–87 BCE) during the
Han dynasty, it was reopened by the Tang in 639 CE when Hou Junji
(d. 643) conquered the West, and remained open for almost four
decades. It was closed after the Tibetans captured it in 678, but in
699, during Empress Wu's period, it reopened when the Tang
reconquered the Four Garrisons of Anxi originally installed in 640,
once again connecting China directly to the West for land-based
trade.
The Silk Road was the most important pre-modern Eurasian trade
route. The Tang dynasty established a second Pax Sinica and the
Silk Road reached its golden age, whereby Persian and Sogdian
merchants benefited from the commerce between East and West. At
the same time, the Chinese empire welcomed foreign cultures,
making it very cosmopolitan in its urban centers.
The Tang captured the vital route through the Gilgit V alley from Tibet
in 722, lost it to the Tibetans in 737, and regained it under the
command of the Goguryeo-Korean General Gao X ianzhi. When the
An Lushan Rebellion ended in 763, the Tang Empire had once again
lost control over its western lands, as the Tibetan Empire largely cut
off China's direct access to the Silk Road. An internal rebellion in 848
ousted the Tibetan rulers, and Tang China regained its northwestern
prefectures from Tibet in 851. These lands contained crucial grazing
areas and pastures for raising horses that the Tang dynasty
desperately needed.
Despite the many western travelers coming into China to live and
trade, many travelers, mainly religious monks, recorded the strict
border laws that the Chinese enforced. As the monk X uanzang and
many other monk travelers attested to, there were many Chinese
government checkpoints along the Silk Road where travel permits
into the Tang Empire were examined. Furthermore, banditry was a
problem along the checkpoints and oasis towns, as X uanzang also
recorded that his group of travelers was assaulted by bandits on
multiple occasions.
The Silk Road also affected Tang dynasty art. Horses became a
significant symbol of prosperity and power as well as an instrument
of military and diplomatic policy. Horses were also revered as a
relative of the dragon.
Tang period jar
A Tang period gilt-silver jar, shaped in the style of northern nomad's
leather bag, decorated with a horse dancing with a cup of wine in its
mouth, as the horses of Emperor X uanzong were trained to do.
An image of a silver jar from the Tang period, decorated with a

dancing horse.
Seaports and Maritime Trade

Chinese envoys had been sailing through the Indian Ocean to India
since perhaps the 2nd century BC, but it was during the Tang
dynasty that a strong Chinese maritime presence was found in the
Persian Gulf and Red Sea, into Persia, Mesopotamia, Arabia, Egypt,
Aksum (Ethiopia), and Somalia in the Horn of Africa.
During the Tang dynasty, thousands of foreigners came and lived in

numerous Chinese cities for trade and commercial ties with China,
including Persians, Arabs, Hindu Indians, Malays, Bengalis,
Sinhalese, Khmers, Chams, Jews and Nestorian Christians of the
Near East, and many others. In 748, the Buddhist monk Jian Zhen
described Guangzhou as a bustling mercantile center where many
large and impressive foreign ships came to dock.
During the An Lushan Rebellion Arab and Persian pirates burned

and looted Guangzhou in 758, and foreigners were massacred at
Yangzhou in 760. The Tang government reacted by shutting the port
of Canton down for roughly five decades, and foreign vessels
docked at Hanoi instead. However, when the port reopened it
thrived. In 851 the Arab merchant Sulaiman al-Tajir observed the
manufacturing of Chinese porcelain in Guangzhou and admired its
transparent quality. He also provided a description of Guangzhou's
mosque, its granaries, its local government administration, some of
its written records, and the treatment of travelers, along with the use
of ceramics, rice-wine, and tea. However, in another bloody episode
at Guangzhou in 879, the Chinese rebel Huang Chao sacked the city
and purportedly slaughtered thousands of native Chinese, along with
foreign Jews, Christians, Zoroastrians, and Muslims in the process.
Huang's rebellion was eventually suppressed in 884.
The Chinese engaged in large-scale production for overseas export

by at least the time of the Tang. This was proven by the discovery of
the Belitung shipwreck, a silt-preserved shipwrecked Arabian dhow
in the Gaspar Strait near Belitung, which contained 63,000 pieces of
Tang ceramics, silver, and gold. Beginning in 785, the Chinese
began to call regularly at Sufala on the East African coast in order to
cut out Arab middlemen, with various contemporary Chinese sources
giving detailed descriptions of trade in Africa. In 863 the Chinese
author Duan Chengshi (d. 863) provided a detailed description of the
slave trade, ivory trade, and ambergris trade in a country called
Bobali, which historians suggest was Berbera in Somalia. In Fustat
(old Cairo), Egypt, the fame of Chinese ceramics there led to an
enormous demand for Chinese goods; hence Chinese often traveled
there. During this time period, the Arab merchant Shulama wrote of
his admiration for Chinese seafaring junks, but noted that their draft
was too deep for them to enter the Euphrates River, which forced
them to ferry passengers and cargo in small boats. Shulama also
noted that Chinese ships were often very large, with capacities of up
to 600–700 passengers.
Foreign merchant
Figurine of a Sogdian merchant of the Tang dynasty, 7th-century.
Image of a maritime figurine from the Tang period.

14.1.3: Religion Under the Tang
Dynasty
Religion in the Tang dynasty was diverse, and emperors sought
support and legitimation from some local religious leaders, but
persecuted others.
Learning Objective
Analyze why the emperors of the Tang dynasty were interested in
the promotion of certain religions
Key Points
Taoism was the official religion of the Tang; it is a native Chinese
religious and philosophical tradition, based on the writings of
Laozi.
Taoism was combined with ancient Chinese folk religions,
medical practices, Buddhism, and martial arts to create a
complex and syncretic spirituality.
Li Yuan, the founder of the Tang dynasty, had attracted a
following by claiming descent from the Taoist sage Laozi.
Buddhism, originating in India around the time of Confucius,
continued its influence during the Tang period and was accepted
by some members of the imperial family, becoming thoroughly
sinicized and a permanent part of Chinese traditional culture.
The prominent status of Buddhism in Chinese culture began to
decline as the dynasty and central government declined during
the late-8th century and 9th century, and many Buddhists
experienced persecution.
The Tang dynasty also officially recognized various foreign
religions, such as the Nestorian Christian Church.
Key Terms
Chan Buddhism
A school of Mahayana Buddhism that originated in China during

the Tang dynasty, was strongly influenced by Taoism, and later
became Zen when it travelled to Japan.
Confucianism
A Chinese humanistic religion that teaches that human beings

are fundamentally good, and teachable, improvable, and
perfectible through personal and communal endeavors,
especially self-cultivation and self-creation; focuses on the
cultivation of virtue, maintenance of ethics, and familial and
social harmony.
Taoism
A religious or philosophical tradition of Chinese origin with an

emphasis on living in harmony and accordance with the natural
flow or cosmic structural order of the universe.
Taoism
Taoism was the official religion of the Tang. It is a native Chinese
religious and philosophical tradition with an emphasis on living in
harmony and accordance with the natural flow or cosmic structural
order of the universe commonly referred to as the Tao. It has its
roots in the book of the Tao Te Ching (attributed to Laozi in the 6th
century BCE) and the Z huangz i. The ruling Li family of the Tang
dynasty actually claimed descent from the ancient Laozi.
Taoism has had a profound influence on Chinese culture, and clerics

of institutionalized Taoism usually take care to note distinctions
between their ritual tradition and the customs and practices found in
Chinese folk religion, as these distinctions sometimes appear
blurred. Chinese alchemy, Chinese astrology, Chan Buddhism,
several martial arts, traditional Chinese medicine, feng shui, and
many styles of qigong have been intertwined with Taoism throughout
history.
During the Tang dynasty, the Chinese continued to combine their

ancient folk religion with Taoism and incorporated many deities into
religious practice. The Chinese believed the Tao and the afterlife
were a reality parallel to the living world, complete with a
bureaucracy and an afterlife currency needed by dead ancestors.
Funerary practices included providing the deceased with everything
they might need in the afterlife, including animals, servants,
entertainers, hunters, homes, and officials. This is reflected in Tang
dynasty art and in many short stories written in the Tang about
people accidentally winding up in the realm of the dead, only to
come back and report their experiences.
Buddhism
Buddhism, originating in India around the time of Confucius,
continued its influence during the Tang period and was accepted by
some members of the imperial family, becoming thoroughly sinicized
and a permanent part of Chinese traditional culture. In an age before
Neo-Confucianism and figures such as Zhu X i (1130–1200),
Buddhism began to flourish in China during the Northern and
Southern dynasties, and became the dominant ideology during the
prosperous Tang. Buddhist monasteries played an integral role in
Chinese society, offering lodging for travelers in remote areas,
schools for children throughout the country, and a place for urban
literati to stage social events and gatherings such as going-away
parties. Buddhist monasteries were also engaged in the economy,
since their land and serfs gave them enough revenue to set up mills,
oil presses, and other enterprises. Although the monasteries
retained "serfs," these monastery dependents could actually own
property and employ others to help them in their work, and could
even own slaves.
Tang period Bodhisattva
A Tang dynasty sculpture of a Bodhisattva, a being who, motivated
by great compassion, has generated bodhicitta, a spontaneous wish
to attain buddhahood for the benefit of all sentient beings.
An image of a seated Buddhist saint, missing its head and left arm.
The prominent status of Buddhism in Chinese culture began to

decline as the dynasty and central government declined during the
late 8th century and 9th century. Buddhist convents and temples that
had been exempt from state taxes were targeted for taxation. In 845
Emperor Wuzong of Tang finally shut down 4,600 Buddhist
monasteries and 40,000 temples and shrines, forcing 260,000
Buddhist monks and nuns to return to secular life. This episode
would later be dubbed one of the Four Buddhist Persecutions in
China. Although the ban would be lifted just a few years later,
Buddhism never regained its once dominant status in Chinese
culture.
This situation also came about through a revival of interest in native

Chinese philosophies, such as Confucianism and Taoism. Han Yu
(786–824)—who Arthur F. Wright stated was a "brilliant polemicist
and ardent xenophobe"—was one of the first men of the Tang to
denounce Buddhism. Although his contemporaries found him crude
and obnoxious, he foreshadowed the later persecution of Buddhism
in the Tang, as well as the revival of Confucian theory with the rise of
Neo-Confucianism of the Song dynasty. Nonetheless, Chan
Buddhism gained popularity amongst the educated elite. There were
also many famous Chan monks from the Tang era, such as Mazu
Daoyi, Baizhang, and Huangbo X iyun. The sect of Pure Land
Buddhism initiated by the Chinese monk Huiyuan (334–416) was
also just as popular as Chan Buddhism during the Tang.
Christianity
The Tang dynasty also officially recognized various foreign religions.
The Assyrian Church of the East, otherwise known as the Nestorian
Christian Church, was given recognition by the Tang court. In 781,
the Nestorian Stele was created in order to honor the achievements
of their community in China. The stele contains a long inscription in
Chinese with Syriac glosses, composed by the cleric Adam, probably
the metropolitan of Beth Sinaye. The inscription describes the
eventful progress of the Nestorian mission in China since Alopen's
arrival. A Christian monastery was established in Shaanxi province
where the Daqin Pagoda still stands, and inside the pagoda there is
Christian-themed artwork. Although the religion largely died out after
the Tang, it was revived in China following the Mongol invasions of
the 13th century.
Nestorian Stele
The Nestorian Stele, erected in Chang'an 781.
Image of the Nestorian Stele, which contains Chinese characters

with some abstract decorations.
Religion and Politics

From the outset, religion played a role in Tang politics. In his bid for
power, Li Yuan had attracted a following by claiming descent from
the Taoist sage Laozi (6th century BCE). People bidding for office
would have monks from Buddhist temples pray for them in public in
return for cash donations or gifts if the person was selected. Before
the persecution of Buddhism in the 9th century, Buddhism and
Taoism were accepted side by side, and Emperor X uanzong (r. 712–
56) invited monks and clerics of both religions to his court. At the
same time X uanzong exalted the ancient Laozi by granting him
grand titles and writing commentary on him, set up a school to
prepare candidates for examinations on Taoist scriptures, and called
upon the Indian monk V ajrabodhi (671–741) to perform Tantric rites
to avert a drought in the year 726. In 742 Emperor X uanzong
personally held the incense burner during a ceremony led by
Amoghavajra (705–74, patriarch of the Shingon school) reciting
"mystical incantations to secure the victory of Tang forces."
While religion played a role in politics, politics also played a role in

religion. In the year 714, Emperor X uanzong forbade shops and
vendors in the city of Chang'an to sell copied Buddhist sutras,
instead giving the Buddhist clergy of the monasteries the sole right to
distribute sutras to the laity. In the previous year of 713, Emperor
X uanzong had liquidated the highly lucrative Inexhaustible Treasury,
which was run by a prominent Buddhist monastery in Chang'an. This
monastery collected vast amounts of money, silk, and treasures
through multitudes of anonymous people's repentances, leaving the
donations on the monastery's premise. Although the monastery was
generous in donations, Emperor X uanzong issued a decree
abolishing their treasury on grounds that their banking practices
were fraudulent. He collected their riches and distributed the wealth
to various other Buddhist monasteries and Taoist abbeys, and used
it to repair statues, halls, and bridges in the city.
14.1.4: The Literati

Scholar-officials, also known as the Chinese literati, were civil
servants appointed by the emperor of China to perform day-to-day
governance, and came into special prominence during the Tang
dynasty.
Learning Objective
Describe the role of the literati in the Tang dynasty's administration
Key Points
The Tang dynasty was largely a period of progress and stability
in the first half of the dynasty's rule, which was established as a
civil service system by recruiting scholar-officials through
standardized examinations and recommendations to office.
These scholar-officials, also known as the literati, performed the
day-to-day governance of the state from the Han dynasty to the
end of the Qing dynasty, China's last imperial dynasty, in 1912,
but came to special prominence during the Tang period.
Since only a limited number could become court or local
officials, the majority of scholar-officials stayed in villages or
cities as social leaders and teachers.
The imperial examinations were a civil service examination
system to select scholar-officials in imperial China.
Wu Zetian, later Empress Wu, reformed the imperial
examinations to include a new class of elite bureaucrats derived
from humbler origins.
Key Terms
Wu Zetian
A Chinese sovereign who ruled unofficially as empress consort

and empress dowager, and then officially as empress regnan
during the brief Zhou dynasty, which interrupted the Tang
dynasty.
literati
Also known as scholar-officials, they were civil servants

appointed by the emperor of China to perform day-to-day
governance.
Scholar-Officials
The first half of the Tang dynasty was largely a period of progress
and stability. Like the previous Sui dynasty, the Tang dynasty
maintained a civil service system by recruiting scholar-officials
through standardized examinations and recommendations to office.
These scholar-officials, also known as the literati, performed the day-
to-day governance of the state from the Han dynasty to the end of
the Qing dynasty, China's last imperial dynasty, in 1912, but came to
special prominence during the Tang period. The scholar-officials
were schooled in calligraphy and Confucian texts.
Since only a limited number could become court or local officials, the
majority of scholar-officials stayed in villages or cities as social
leaders. The scholar-officials carried out social welfare measures,
taught in private schools, helped negotiate minor legal disputes,
supervised community projects, maintained local law and order,
conducted Confucian ceremonies, assisted in the government's
collection of taxes, and preached Confucian moral teachings. As a
class, these scholars claimed to represent morality and virtue. The
district magistrate, who by regulation was not allowed to serve in his
home district, depended on local scholars for advice and for carrying
out projects, giving them power to benefit themselves and their
clients.
Imperial Ex aminations
The imperial examinations were a civil service examination system
to select scholar-officials for the state bureaucracy in imperial China.
Although there were imperial exams as early as the Han dynasty, the
system became the major path to office only in the mid-Tang
dynasty, and remained so until its abolition in 1905. Since the exams
were based on knowledge of the classics and literary style, not
technical expertise, successful candidates, and even those who
failed, were generalists who shared a common language and culture.
This common culture helped to unify the empire and the ideal of
achievement by merit gave legitimacy to imperial rule.
Imperial ex am results
Candidates gathering around the wall where the results are posted.
This announcement was known as "releasing the roll."
A painting of many people gathered in a room waiting for the results

to a civil service exam to be posted.
The examination system helped to shape China's intellectual,

cultural, and political life. The increased reliance on the exam system
was in part responsible for the Tang dynasty shifting from a military
aristocracy to a gentry class of scholar-bureaucrats.
The entire premise of the scholarly meritocracy was based on

mastery of the Confucian classics. This had important effects on
Chinese society. Theoretically, this system would result in a highly
meritocratic ruling class, with the best students running the country.
The examinations gave many people the opportunity to pursue
political power and honor, and thus encouraged serious pursuit of
formal education. Since the system did not formally discriminate
based on social status, it provided an avenue for upward social
mobility regardless of age or social class.
However, even though the examination-based bureaucracy's heavy
emphasis on Confucian literature ensured that the most eloquent
writers and erudite scholars achieved high positions, the system
lacked formal safeguards against political corruption, besides the
Confucian moral teachings tested by the examinations. Once their
political futures were secured by success in the examinations, high-
ranking officials were often tempted to corruption and abuse of
power. Moreover, the relatively low status of military professionals in
Confucian society discouraged similar efficiency and meritocracy
within the military.
Ex amination cells
Chinese examination cells at the South River School (Nanjiangxue)
Nanjing (China). Shown without curtains or other furnishings.
An image of exam cells for the imperial exams in China. They are
small cells with a wooden bench, very simple.
W u Z etian's Reforms
A pivotal point in the development of imperial examinations emerged
with the rise of Wu Zetian, later Empress Wu. Up until that point, the
rulers of the Tang dynasty were all male members of the Li family.
Wu Zetian was exceptional; a woman not of the Li family, she came
to occupy the seat of the emperor in an official manner in 690, and
even before that she had begun to stretch her power within the
imperial courts behind the scenes. Reform of the imperial
examinations to include a new class of elite bureaucrats derived
from humbler origins became a keystone of Wu's gamble to retain
power.
In 655, Wu Zetian graduated forty-four candidates with the j inshi

degree, and during one seven-year period the annual average of
exam takers graduated with a j inshi degree was greater than fifty-
eight persons per year. Wu lavished favors on the newly graduated
j inshi degree-holders, increasing the prestige associated with this
path of attaining a government career. This clearly began a process
of opening up opportunities to success for a wider population pool,
including inhabitants of China's less prestigious southeast area.
Most of the Li family's supporters were located to the northwest,
particularly around the capital city of Chang'an. Wu's progressive
accumulation of political power through enhancement of the
examination system involved attaining the allegiance of previously
under-represented regions, alleviating frustrations of the literati, and
encouraging education in various locales so even people in the
remote corners of the empire would work on their studies in order to
pass the imperial exams. Wu thus developed a nucleus of elite
bureaucrats useful from the perspective of control by the central
government.
14.1.5 : Decline of the Tang Dynasty

After the difficult suppression of the An Lushan Rebellion, the
j iedushi increased their powers and accelerated the disintegration of
the Tang dynasty.
Learning Objective
Describe the reasons for the eventual fall of the Tang dynasty
Key Points
The An Lushan Rebellion was a devastating rebellion against
the Tang dynasty of China; it significantly weakened the dynasty.
The power of the jiedushi, or provincial military governors,
increased greatly after imperial troops crushed the rebels, taking
administrative power away from the scholar-officials.
In addition to natural calamities and j iedushi amassing
autonomous control, the Huang Chao Rebellion resulted in the
sacking of both Chang'an and Luoyang, and took an entire
decade to suppress; although the rebellion was defeated by the
Tang, the dynasty never recovered from that crucial blow,
weakening it for future military powers to take over.
Eventually the j iedushi ushered in the political division of the
Five Dynasties and Ten Kingdoms period, a period marked by
continuous infighting among the rival kingdoms, dynasties, and
regional regimes established by rival j iedushi.
Key Terms
An Lushan Rebellion
A devastating rebellion against the Tang dynasty of China that

began on December 16, 755, when general An Lushan declared
himself emperor in Northern China, thus establishing a rival Yan
dynasty, and ended when the Yan fell on February 17, 763.
jiedushi
Regional military governors in China during the Tang dynasty

and the Five Dynasties and Ten Kingdoms period.
An Lushan Rebellion
The Tang dynasty, established in 618 CE, after experiencing its
golden age entered its long decline, beginning with the An Lushan
Rebellion by Sogdian general An Lushan. The rebellion spanned the
reigns of three Tang emperors before it was finally quashed, and
involved a wide range of regional powers; besides the Tang dynasty
loyalists, others involved were anti-Tang families, especially in An
Lushan's base area in Hebei, and Arab, Uyghur, and Sogdian forces
or influences, among others. The rebellion and subsequent disorder
resulted in a huge loss of life and large-scale destruction. It
significantly weakened the Tang dynasty and led to the loss of the
Western Regions.
The power of the j iedushi, or provincial military governors, increased

greatly after imperial troops crushed the rebels, taking administrative
power away from the scholar-officials. The discipline of these
generals also decayed as their power increased and the resentment
of common people against the incapacity of the government grew,
and their grievances exploded into several rebellions during the mid-
9th century. Eventually the j iedushi ushered in the political division of
the Five Dynasties and Ten Kingdoms period, a period marked by
continuous infighting among the rival kingdoms, dynasties, and
regional regimes established by rival j iedushi. Many impoverished
farmers, tax-burdened landowners, and merchants, as well as many
large salt smuggling operations, formed the base of the anti-
government rebellions of this period.
Tang warrior
A Tang pottery warrior from Duan's Tomb, Shaanxi.
An image of a statue of a Tang period warrior.
The An Lushan Rebellion and its aftermath greatly weakened the

centralized bureaucracy of the Tang dynasty, especially in regards to
its perimeters. V irtually autonomous provinces and ad hoc financial
organizations arose, reducing the influence of the regular
bureaucracy in Chang'an. The Tang dynasty's desire for political
stability in this turbulent period also resulted in the pardoning of
many rebels. Indeed, some were even given their own garrisons to
command. Political and economic control of the northeast region
became intermittent or was lost, and the emperor became a sort of
puppet, set to do the bidding of the strongest garrison. Furthermore,
the Tang government also lost most of its control over the Western
Regions due to troop withdrawal to central China to attempt to crush
the rebellion and deal with subsequent disturbances. Continued
military and economic weakness resulted in further erosions of Tang
territorial control during the ensuing years, particularly in regard to
the Uighur and Tibetan empires. By 790 Chinese control over the
Tarim Basin area was completely lost.
The political decline was paralleled by economic decline, including

large Tang governmental debt to Uighur money lenders. In addition
to being politically and economically detrimental to the empire, the
An Lushan Rebellion also affected the intellectual culture of the Tang
dynasty. Many intellectuals had their careers interrupted, giving them
time to ponder the causes of the unrest. Some lost faith in
themselves, concluding that a lack of moral seriousness in
intellectual culture had been the cause of the rebellion.
Collapse of the Tang Dynasty

In addition to natural calamities and j iedushi amassing autonomous
control, the Huang Chao Rebellion (874–884) resulted in the sacking
of both Chang'an and Luoyang, and took an entire decade to
suppress. Although the rebellion was defeated by the Tang, the
dynasty never recovered from that crucial blow, weakening it for
future military powers to take over. There were also groups of
bandits, the size of small armies, that ravaged the countryside in the
last years of the Tang. These bandits smuggled illicit salt, ambushed
merchants and convoys, and even besieged several walled cities.
Zhu Wen, originally a salt smuggler who had served under the rebel
Huang, surrendered to Tang forces. For helping to defeat Huang, he
was granted a series of rapid military promotions. In 907 the Tang
dynasty was ended when Zhu Wen, now a military governor,
deposed the last emperor of Tang, Emperor Ai of Tang, and took the
throne for himself. A year later the deposed Emperor Ai was
poisoned by Zhu Wen, and died. Zhu Wen was known posthumously
as Emperor Taizu of Later Liang. He established the Later Liang,
which inaugurated the Five Dynasties and Ten Kingdoms period.
Attributions
Rise of the Tang Dynasty
"Tang dynasty." https://en.wikipedia.org/wiki/Tang_dynasty.
"Sui dynasty." https://en.wikipedia.org/wiki/Sui_dynasty.
"Transition from Sui to Tang."
https://en.wikipedia.org/wiki/Transition_from_Sui_to_Tang.
"Emperor_Taizong_gives_an_audience_to_the_ambassado
r_of_Tibet.jpg."
https://commons.wikimedia.org/wiki/File:Emperor_Taizong_
gives_an_audience_to_the_ambassador_of_Tibet.jpg.
"440px-Sui_Yangdi_Tang.jpg."
https://commons.wikimedia.org/wiki/File:Sui_Yangdi_Tang.j
pg. Wikimedia CC BY-SA 3.0.
Trade Under the Tang Dynasty
"Gilt_silver_jar_with_pattern_of_dancing_horses.jpg."
https://commons.wikimedia.org/wiki/File:Gilt_silver_jar_with
_pattern_of_dancing_horses.jpg. Wikimedia CC BY-SA 3.0.
"ForeignMerchant.jpg."
https://commons.wikimedia.org/wiki/File:ForeignMerchant.jp
Religion Under the Tang Dynasty
"Taoism." https://en.wikipedia.org/wiki/Taoism. Wikipedia
CC BY-SA 3.0.
"Church of the East in Chine."
https://en.wikipedia.org/wiki/Church_of_the_East_in_China.
"TangBodhisattva.JPG."
https://commons.wikimedia.org/wiki/File:TangBodhisattva.J
PG. Wikimedia CC BY-SA 3.0.
"Nestorian-Stele-Budge-plate-X .jpg."
https://commons.wikimedia.org/wiki/File:Nestorian-Stele-
Budge-plate-X .jpg. Wikimedia CC BY-SA 3.0.
The Literati
"Imperial Examination."
https://en.wikipedia.org/wiki/Imperial_examination.
"Scholar-official." https://en.wikipedia.org/wiki/Scholar-
official. Wikipedia CC BY-SA 3.0.
"Civilserviceexam1.jpg."
https://commons.wikimedia.org/wiki/File:Civilserviceexam1.j
"1024px-Prü fungszellen-Nanking.jpg."
https://en.wikipedia.org/wiki/Imperial_examination# /media/F
ile:Pr%C3%BCfungszellen-Nanking.jpg. Wikipedia CC BY-
SA 3.0.
Decline of the Tang Dynasty
"Huang Chao." https://en.wikipedia.org/wiki/Huang_Chao.
"Jiedushi." https://en.wikipedia.org/wiki/Jiedushi. Wikipedia
CC BY-SA 3.0.
"An Lushan Rebellion."
https://en.wikipedia.org/wiki/An_Lushan_Rebellion.
"Tang Dynasty."
https://en.wikipedia.org/wiki/Tang_dynasty# End_of_the_dyn
asty. Wikipedia CC BY-SA 3.0.
"Tang_Pottery_Warrior.jpg."
https://en.wikipedia.org/wiki/Tang_dynasty# /media/File:Tang
_Pottery_Warrior.jpg. Wikipedia CC BY-SA 3.0.
14.2: The Song Dynasty
14.2.1: Origins of the Song Dynasty
The Song dynasty was an era of Chinese history that began in 960
and continued until 1279; it succeeded the tumultuous Five
Dynasties and Ten Kingdoms period and saw many technological
and cultural innovations.
Learning Objective
Describe who the Song were and how they rose to power
Key Points
The Song dynasty was an era of Chinese history that began in
960, directly after the chaotic Five Dynasties and Ten Kingdoms
period.
It was the first government in world history to issue banknotes
and the first Chinese government to establish a permanent
standing navy; it saw the first known use of gunpowder and the
first recognition of true north using a compass.
The Song dynasty was divided into two distinct periods,
Northern (960–1127) and Southern (1127–1279).
Social life during the Song was vibrant, and included public
artworks, the spread of literature, and the growth of philosophy.
Zhao Kuangyin, later known as Emperor Taizu (r. 960–976),
usurped the throne from the Zhou dynasty with the support of
military commanders in 960, initiating the Song dynasty and
ending the Five Dynasties period.
Upon taking the throne, his first goal was the reunification of
China after half a century of political division.
Key Terms
Emperor Taizu
Personal name Zhao Kuangyin; he was the founder and first

emperor of the Song dynasty in China.
Five Dynasties and Ten Kingdoms
An era of political upheaval in 10th-century imperial China;

during this period, five states quickly succeeded one another in
the Chinese Central Plain, while more than a dozen concurrent
states were established elsewhere, mainly in south China.
Overview
The Song dynasty was an era of Chinese history that began in 960
and continued until 1279. It succeeded the Five Dynasties and Ten
Kingdoms period, and was followed by the Yuan dynasty. It was the
first government in world history to issue banknotes or true paper
money nationally and the first Chinese government to establish a
permanent standing navy. This dynasty also saw the first known use
of gunpowder as well as the first discernment of true north using a
compass.
The Song dynasty was divided into two distinct periods, Northern
and Southern. During the Northern Song (960–1127), the Song
capital was in the northern city of Bianjing (now Kaifeng), and the
dynasty controlled most of what is now Eastern China. The Southern
Song (1127–1279) refers to the period after the Song lost control of
its northern half to the Jurchen Jin dynasty in the Jin-Song Wars.
During this time, the Song court retreated south of the Yangtze and
established its capital at Lin'an (now Hangzhou). Although the Song
dynasty had lost control of the traditional "birthplace of Chinese
civilization" along the Yellow River, the Song economy was still
strong, as the Southern Song empire contained a large population
and productive agricultural land. The Southern Song dynasty
considerably bolstered its naval strength to defend its waters and
land borders and to conduct maritime missions abroad.
Social life during the Song was vibrant. Citizens gathered to view
and trade precious artworks, the populace intermingled at public
festivals and private clubs, and cities had lively entertainment
quarters. The spread of literature and knowledge was enhanced by
the rapid expansion of woodblock printing and the 11th-century
invention of movable-type printing. Technology, science, philosophy,
mathematics, and engineering flourished over the course of the
Song. Philosophers such as Cheng Yi and Zhu X i reinvigorated
Confucianism with new commentary infused with Buddhist ideals,
and emphasized a new organization of classic texts that brought out
the core doctrine of Neo-Confucianism. Although the institution of the
civil service examinations had existed since the Sui dynasty, it
became much more prominent in the Song period. The officials who
gained power by succeeding in the exams became a leading factor
in the shift from a military-aristocratic elite to a bureaucratic elite.
Founding of the Song Dynasty

The Later Zhou was the last of the Five Dynasties that had controlled
northern China after the fall of the Tang dynasty in 907. Zhao
Kuangyin, later known as Emperor Taizu (r. 960–976), usurped the
throne from the Zhou with the support of military commanders in
960, initiating the Song dynasty. Upon taking the throne, his first goal
was the reunification of China after half a century of political division.
This included the conquests of Nanping, Wu-Yue, Southern Han,
Later Shu, and Southern Tang in the south as well as the Northern
Han and the Sixteen Prefectures in the north. With capable military
officers such as Yang Ye (d. 986), Liu Tingrang (929–987), Cao Bin
(931–999) and Huyan Zan (d. 1000), the early Song military became
the dominant force in China. Innovative military tactics, such as
defending supply lines across floating pontoon bridges, led to
success in battle. One such success was the Song assault against
the Southern Tang state while crossing the Yangtze River in 974.
Using a mass of arrow fire from crossbowmen, Song forces were
able to defeat the renowned war elephant corps of the Southern Han
on January 23, 971, thus forcing the submission of Southern Han
and terminating the first and last elephant corps to make up a regular
division within a Chinese army.
Consolidation in the south was completed in 978, with the conquest

of Wu-Yue. Song military forces then turned north against the
Northern Han, which fell to Song forces in 979. However, efforts to
take the Sixteen Prefectures were unsuccessful, and they were
incorporated into the Liao state based in Manchuria to the immediate
north instead. To the far northwest, the Tanguts had been in power
over northern Shaanxi since 881, after the earlier Tang court
appointed a Tangut chief as a military governor (j iedushi) over the
region, a seat that became hereditary (forming the X i-X ia dynasty).
Although the Song state was evenly matched against the Liao
dynasty, the Song gained significant military victories against the
Western X ia (who would eventually fall to the Mongol conquest of
Genghis Khan in 1227).
Emperor Taiz u
A court painting of Emperor Taizu of Song (r. 960–976), who founded
the Song dynasty and unified China.
A painting of Emperor Taizu of the Song dynasty, seated, in flowing

white robes. He wears a black hat and has a stylized mustache.
14.2.2: The Northern Song Era

During the Northern Song (960-1127), the Song capital was in the
northern city of Kaifeng, and the dynasty controlled most of what is
now Eastern China.
Learning Objective
Describe the successes and setbacks of the Northern Song Dynasty
Key Points
Emperor Taizu of Song unified the empire by conquering other
lands during his reign, ending the upheaval of the Five
Dynasties and Ten Kingdoms period and beginning the Song
dynasty.
The Song court maintained diplomatic relations with Chola India,
the Fatimid Caliphate, Srivijaya, the Kara-Khanid Khanate of
Central Asia, and other countries that were also trade partners
with Japan.
From its inception under Taizu, the Song dynasty alternated
between warfare and diplomacy with the ethnic Khitans of the
Liao dynasty in the northeast and with the Tanguts of the
Western X ia in the northwest.
During the 11th century, political rivalries divided members of the
court due to the ministers' differing approaches, opinions, and
policies regarding the handling of the Song's complex society
and thriving economy.
After the Jurchen conquest of North China and a shift of capitals
from Kaifeng to Lin'an, the Northern Song transitioned into the
Southern Song dynasty.
Key Terms
Jin dynasty
This dynasty lasted from 1115–1234 as one of the last dynasties

in Chinese history to predate the Mongol invasion of China; they
warred with the Song dynasty.
New Policies
A series of reforms initiated by the Northern Song dynasty

reformer Wang Anshi when he served as minister under
Emperor Shenzong from 1069–1076.
Beginning of the Song Dynasty
Emperor Taizu of Song (r. 960–976) had unified the empire by
conquering other lands during his reign, ending the upheaval of the
Five Dynasties and Ten Kingdoms period. In Kaifeng he established
a strong central government over the empire. He ensured
administrative stability by promoting the civil service examination
system of drafting state bureaucrats by skill and merit (instead of
aristocratic or military position) and promoted projects that ensured
efficiency in communication throughout the empire. In one such
project, cartographers created detailed maps of each province and
city that were then collected in a large atlas. Emperor Taizu also
promoted groundbreaking scientific and technological innovations by
supporting such works as the astronomical clock tower designed and
built by the engineer Zhang Sixun.
Diplomacy and W ar
The Song court maintained diplomatic relations with Chola India, the
Fatimid Caliphate, Srivijaya, the Kara-Khanid Khanate of Central
Asia, and other countries that were also trade partners with Japan.
However, China's closest neighboring states affected its domestic
and foreign policy the most. From its inception under Taizu, the Song
dynasty alternated between warfare and diplomacy with the ethnic
Khitans of the Liao dynasty in the northeast and with the Tanguts of
the Western X ia in the northwest. The Song dynasty used military
force in an attempt to quell the Liao dynasty and recapture the
Sixteen Prefectures, a territory under Khitan control that was
traditionally considered part of China proper. Song forces were
repulsed by the Liao forces, who engaged in aggressive yearly
campaigns into Northern Song territory until 1005, when the signing
of the Shanyuan Treaty ended these northern border clashes. The
Song were forced to provide tribute to the Khitans, although this did
little damage to the Song economy since the Khitans were
economically dependent upon importing massive amounts of goods
from the Song. More significantly, the Song state recognized the Liao
state as its diplomatic equal.
The Song dynasty managed to win several military victories over the
Tanguts in the early 11th century, culminating in a campaign led by
the polymath scientist, general, and statesman Shen Kuo (1031–
1095). However, this campaign was ultimately a failure due to a rival
military officer of Shen disobeying direct orders, and the territory
gained from the Western X ia was eventually lost. There was also a
significant war fought against the Lý dynasty of V ietnam from 1075
to 1077 over a border dispute and the Song's severing of
commercial relations with the Đ ạ i V iệ t kingdom. After Lý forces
inflicted heavy damages in a raid on Guangxi, the Song commander
Guo Kui (1022–1088) penetrated as far as Thă ng Long (modern
Hanoi). Heavy losses on both sides prompted the Lý commander
Thư ờ ng Kiệ t (1019–1105) to make peace overtures, allowing both
sides to withdraw from the war effort; captured territories held by
both Song and Lý were mutually exchanged in 1082, along with
prisoners of war.
Northern Song dynasty
The extent of the land holdings of the Northern Song dynasty in
1111.
A map of the Northern Song dynasty in 1111, depicting the land of

the Song, X ia, and Liao dynasties.
Political Rivalries
During the 11th century, political rivalries divided members of the
court due to the ministers' differing approaches, opinions, and
policies regarding the handling of the Song's complex society and
thriving economy. The idealist Chancellor Fan Zhongyan (989–1052)
was the first to experience a heated political backlash when he
attempted to institute the Qingli Reforms, which included measures
such as improving the recruitment system of officials, increasing the
salaries for minor officials, and establishing sponsorship programs to
allow a wider range of people to be well educated and eligible for
state service.
After Fan was forced to step down from his office, Wang Anshi
(1021–1086) became chancellor of the imperial court. With the
backing of Emperor Shenzong (1067–1085), Wang Anshi severely
criticized the educational system and state bureaucracy. Seeking to
resolve what he saw as state corruption and negligence, Wang
implemented a series of reforms called the New Policies. These
involved land value tax reform, the establishment of several
government monopolies, the support of local militias, and the
creation of higher standards for the Imperial examination to make it
more practical for men skilled in statecraft to pass.
The reforms created political factions in the court. Wang Anshi's

"New Policies Group" (X in Fa), also known as the "Reformers," were
opposed by the ministers in the "Conservative" faction led by the
historian and chancellor Sima Guang (1019–1086). As one faction
supplanted another in the majority position of the court ministers, it
would demote rival officials and exile them to govern remote frontier
regions of the empire. One of the prominent victims of the political
rivalry, the famous poet and statesman Su Shi (1037–1101), was
jailed and eventually exiled for criticizing Wang's reforms.
Decline and Transition to

Southern Song
While the central Song court remained politically divided and focused
upon its internal affairs, alarming new events to the north in the Liao
state finally came to its attention. The Jurchen, a subject tribe of the
Liao, rebelled against them and formed their own state, the Jin
dynasty (1115–1234). The Song official Tong Guan (1054–1126)
advised Emperor Huizong (1100–1125) to form an alliance with the
Jurchens (the Alliance Conducted at Sea), and the joint military
campaign under this alliance toppled and completely conquered the
Liao dynasty by 1125.
However, the poor performance and military weakness of the Song

army was observed by the Jurchens, who immediately broke the
alliance, beginning the Jin–Song Wars of 1125 and 1127; during the
latter invasion, the Jurchens captured not only the capital, but also
the retired Emperor Huizong, his successor Emperor Qinzong, and
most of the imperial court. This took place in the year of
Jingkang and it is known as the Jingkang Incident.
The remaining Song forces regrouped under the self-proclaimed

Emperor Gaozong of Song (1127–1162) and withdrew south of the
Yangtze to establish a new capital at Lin'an (modern Hangzhou). The
Jurchen conquest of northern China and the shift of capitals from
Kaifeng to Lin'an was the dividing line between the Northern and
Southern Song dynasties.
14.2.3: The Southern Song Era

The Southern Song (1127–1279) was the period after the Song lost
control of its northern half to the Jurchen Jin dynasty in the Jin–Song
Wars and retreated south of the Yangtze, establishing a capital at
Lin'an.
Learning Objective
Compare and contrast the Southern Song era with the Northern
Song era
Key Points
After the Jins captured the Northern Song capital of Kaifeng,
they went on to conquer the rest of northern China, while the
Song Chinese court fled south and founded the Southern Song
dynasty.
Although weakened and pushed south beyond the Huai River,
the Southern Song found new ways to bolster its strong
economy and defend itself against the Jin dynasty, especially
through the creation of the first standing navy of China.
The Jin-Song Wars engendered an era of technological, cultural,
and demographic changes in China, including the introduction of
gunpowder into weaponry.
Though the Song dynasty was able to hold back the Jin from
their southern territory, a new foe came to power over the
steppe, deserts, and plains north of the Jin dynasty—the
Mongols led by Genghis Khan.
The Mongols were at one time allied with the Song, but this
alliance was broken when the Song recaptured the former
imperial capitals of Kaifeng, Luoyang, and Chang'an at the
collapse of the Jin dynasty.
The Mongols continued to war with the Song, eventually
founding the Yuan dynasty under Kublai Khan, thus ending the
Song dynasty.
Key Terms
Kublai Khan
The fifth Great Khan of the Mongol Empire and founder of the
Yuan dynasty in China as a conquest dynasty in 1271; he ruled
as the first Yuan emperor until his death in 1294.
Mongols
An East-Central Asian ethnic group native to Mongolia.
Genghis Khan
The founder and Great Khan (emperor) of the Mongol Empire,

which became the largest contiguous empire in history after his
death.
Founding of the Southern Song

After capturing Kaifeng, the Jurchens went on to conquer the rest of
northern China, while the Song Chinese court fled south. They took
up temporary residence at Nanjing, where a surviving prince was
named Emperor Gaozong of Song in 1127. Jin forces halted at the
Yangtze River, but staged continual raids south of the river until a
later boundary was fixed at the Huai River further north. With the
border fixed at the Huai, the Song government promoted an
immigration policy of repopulating and resettling territories north of
the Yangtze River, since vast tracts of vacant land between the
Yangtze and the Huai were open for landless peasants found in the
Jiangsu, Zhejiang, Jiangxi, and Fujian provinces of the south.
Continued W ar with the J in

Though weakened and pushed south beyond the Huai River, the
Southern Song found new ways to bolster its strong economy and
defend itself against the Jin dynasty. It had able military officers such
as Yue Fei and Han Shizhong. The government sponsored massive
shipbuilding, harbor-improvement projects, and the construction of
beacons and seaport warehouses to support maritime trade abroad,
including at the major international seaports, such as Quanzhou,
Guangzhou, and X iamen, that were sustaining China's commerce.
To protect and support the multitude of ships sailing for maritime
interests into the waters of the East China Sea and Yellow Sea (to
Korea and Japan), Southeast Asia, the Indian Ocean, and the Red
Sea, it was necessary to establish an official standing navy. The
Song dynasty therefore established China's first permanent navy in
1132, with a headquarters at Dinghai.
With a permanent navy, the Song were prepared to face the naval
forces of the Jin on the Yangtze River in 1161, in the Battle of
Tangdao and the Battle of Caishi. During these battles the Song
navy employed swift paddle-wheel driven naval vessels armed with
trebuchet catapults aboard the decks that launched gunpowder
bombs. Although the Jin forces commanded by Wanyan Liang (the
Prince of Hailing) boasted 70,000 men on 600 warships, and the
Song forces only 3,000 men on 120 warships, the Song forces were
victorious in both battles due to the destructive power of the bombs
and the rapid assaults by paddle-wheel ships. The strength of the
navy was heavily emphasized after that. A century after the navy
was founded it had grown in size to 52,000 fighting marines.
Southern Song era ship

A Song era junk ship, 13th century; Chinese ships of the Song
period featured hulls with watertight compartments.
A drawing of a Song period warship, with two large square sails and
large hulls.
The Jin-Song Wars engendered an era of technological, cultural, and

demographic changes in China. Battles between the Song and Jin
brought about the introduction of various gunpowder weapons. The
siege of De'an in 1132 was the first recorded appearance of the fire
lance, an early ancestor of firearms. There were also reports of
battles fought with primitive gunpowder bombs like the incendiary
huopao or the exploding tiehuopao, flammable arrows, and other
related weapons.
The Song government confiscated portions of land owned by the

gentry in order to raise revenue for military and naval projects, an act
which caused dissension and loss of loyalty amongst leading
members of Song society, but did not stop the Song's defensive
preparations. Financial matters were made worse by the fact that
many wealthy, land-owning families—some of which had
members working as officials for the government—used their social
connections with those in office to obtain tax-exempt status.
Southern Song in 1142
The extent of the land holdings of the Southern Song dynasty,
significantly reduced from Northern Song's holdings by the Jin
dynasty.
A map of the Southern Song's land holdings, significantly diminished

from the Northern Song, with the Jin dynasty having taken over the
northern part of China.
The Mongols
Although the Song dynasty was able to hold back the Jin, a new foe
came to power over the steppe, deserts, and plains north of the Jin
dynasty. The Mongols, led by Genghis Khan (r. 1206–1227), initially
invaded the Jin dynasty in 1205 and 1209, engaging in large raids
across its borders, and in 1211 an enormous Mongol army was
assembled to invade the Jin. The Jin dynasty was forced to submit
and pay tribute to the Mongols as vassals; when the Jin suddenly
moved their capital city from Beijing to Kaifeng, the Mongols saw this
as a revolt. Under the leadership of Ö gedei Khan (r.1229–1241),
Mongol forces conquered both the Jin dynasty and Western X ia
dynasty. The Mongols also invaded Korea, the Abbasid Caliphate of
the Middle East, and Kievan Rus'.
The Mongols were at one time allied with the Song, but this alliance
was broken when the Song recaptured the former imperial capitals of
Kaifeng, Luoyang, and Chang'an at the collapse of the Jin dynasty.
The Mongol leader Mö ngke Khan led a campaign against the Song
in 1259, but died on August 11 during the Battle of Diaoyu Fortress
in Chongqing. Mö ngke's death and the ensuing succession crisis
prompted Hulagu Khan to pull the bulk of the Mongol forces out of
the Middle East, where they were poised to fight the Egyptian
Mamluks (who defeated the remaining Mongols at Ain Jalut).
Although Hulagu was allied with Kublai Khan, his forces were unable
to help in the assault against the Song due to Hulagu's war with the
Golden Horde.
Kublai continued the assault against the Song, gaining a temporary

foothold on the southern banks of the Yangtze. Kublai made
preparations to take Ezhou, but a pending civil war with his brother
Ariq Bö ke—a rival claimant to the Mongol Khaganate—forced Kublai
to move back north with the bulk of his forces. In Kublai's absence,
the Song forces were ordered by Chancellor Jia Sidao to make an
opportune assault, and succeeded in pushing the Mongol forces
back to the northern banks of the Yangtze. There were minor border
skirmishes until 1265, when Kublai won a significant battle in
Sichuan. From 1268 to 1273, Kublai blockaded the Yangtze River
with his navy and besieged X iangyang, the last obstacle in his way
to invading the rich Yangtze River basin.
The End of the Southern Song

Kublai Khan officially declared the creation of the Yuan dynasty in
1271. In 1275, a Song force of 130,000 troops under Chancellor Jia
Sidao was defeated by Kublai's newly appointed commander-in-
chief, General Bayan. By 1276, most of the Song territory had been
captured by Yuan forces. In the Battle of Yamen on the Pearl River
Delta in 1279, the Yuan army, led by General Zhang Hongfan, finally
crushed the Song resistance. The last remaining ruler, the 8-year-old
emperor Emperor Huaizong of Song, committed suicide, as did
Prime Minister Lu X iufu and 800 members of the royal clan. On
Kublai's orders carried out by his commander Bayan, the rest of the
former imperial family of Song were unharmed; the deposed
Emperor Gong was demoted, given the title "Duke of Ying," but was
eventually exiled to Tibet, where he took up a monastic life. The
former emperor would eventually be forced to commit suicide under
the orders of Kublai's great-great grandson Gegeen Khan, who
feared that Emperor Gong would stage a coup to restore his reign.
Other members of the Song imperial family continued to live in the
Yuan dynasty, including Zhao Mengfu and Zhao Yong.
14.2.4: Culture Under the Song

Dynasty
Social life and culture during the Song was vibrant and diverse, with
important achievements in the arts and lively popular entertainment.
Learning Objective
Explain cultural aspects of the Song dynasty
Key Points
The Song dynasty was an era of administrative sophistication
and complex social organization that brought rise to a rich and
diverse social life and culture.
Citizens gathered to view and trade precious artworks, the
populace intermingled at public festivals and private clubs, and
cities had lively entertainment quarters.
Although women were on a lower social tier than men, they
enjoyed many social and legal privileges and wielded
considerable power at home and in their own small businesses,
and some women became famous artists and writers.
Ancient Chinese Taoism, ancestor worship, and foreign-
originated Buddhism were the most prominent religious
practices in the Song period.
Chinese literature during the Song period contained a range of
different genres and was enriched by the social complexity of
the period.
The visual arts during the Song dynasty were heightened by
new developments in areas such as landscape and portrait
painting.
Key Terms
antiquarian
An aficionado or student of antiquities or things of the past; or

relating to such interests.
Manichaean
Of or relating to a major religion founded in Iran that taught an

elaborate dualistic cosmology describing the struggle between a
good, spiritual world of light, and an evil, material world of
darkness.
Pear Garden
The first known royal acting and musical academy in China,

founded during the Tang dynasty by Emperor X uanzong.
Society during the Song
Dynasty
The Song dynasty was an era of administrative sophistication and
complex social organization. Some of the largest cities in the world
were found in China during this period (Kaifeng and Hangzhou had
populations of over a million). People enjoyed various social clubs
and entertainment in the cities, and there were many schools and
temples to provide the people with education and religious services.
The Song government supported social welfare programs, including
the establishment of retirement homes, public clinics, and paupers'
graveyards. The Song dynasty supported a widespread postal
service, modeled on the earlier Han dynasty (202 BCE–CE 220)
postal system, to provide swift communication throughout the
empire. The central government employed thousands of postal
workers of various ranks to provide service for post offices and larger
postal stations. In rural areas, farming peasants either owned their
own plots of land, paid rents as tenant farmers, or were serfs on
large estates.
W omen in the Song Dynasty

Although women were on a lower social tier than men (according to
Confucian ethics), they enjoyed many social and legal privileges and
wielded considerable power at home and in their own small
businesses. As Song society became more and more prosperous
and parents on the bride's side of the family provided larger dowries
for her marriage, women naturally gained many new legal rights in
the ownership of property. Under certain circumstances, an
unmarried daughter without brothers, or a surviving mother without
sons, could inherit one-half of her father's share of undivided family
property. There were many notable and well-educated women, and it
was a common practice for women to educate their sons during their
earliest youth. The mother of the scientist, general, diplomat, and
statesman Shen Kuo taught him essentials of military strategy. There
were also exceptional women writers and poets such as Li Qingzhao
(1084–1151), who became famous even in her lifetime.
Men dominated the public sphere, while affluent wives spent most of
their time indoors enjoying leisure activities and managing the
household. However, women of the lower and middle classes were
not solely bound to the domestic sphere. It was common for women
to manage town inns and restaurants, farmers' daughters to weave
mats and sell them on their own behalf, midwives to deliver babies,
Buddhist nuns to study religious texts and sutras, and female nurses
to assist physicians. Many women kept a close eye on their own
financial matters; there are legal case documents that describe
childless widows who accused their nephews of stealing their
property.
Empress of Z henz ong of Song
Official court portrait painting of the empress and wife of Zhenzong.
Notice the heavy ceremonial facial painting and elaborate clothing,
typical of royal women.
Painting of a Song era Empress, seated in an ornamental chair,

wearing elaborate blue and red clothing and a green hat.
Social Life in the Song

The populace engaged in a vibrant social and domestic life, enjoying
such public festivals as the Lantern Festival and the Qingming
Festival. There were entertainment quarters in the cities providing a
constant array of amusements. There were puppeteers, acrobats,
theatre actors, sword swallowers, snake charmers, storytellers,
singers and musicians, and prostitutes, and places to relax, including
tea houses, restaurants, and organized banquets. People attended
social clubs in large numbers; there were tea clubs, exotic food
clubs, antiquarian and art collectors' clubs, horse-loving clubs, poetry
clubs, and music clubs. There were regional styles of cooking and
cuisine, as well as of performing arts. Theatrical drama was very
popular amongst the elite and general populace, although Classical
Chinese—not the vernacular language—was spoken by actors on
stage. The four largest drama theaters in Kaifeng could hold
audiences of several thousand each. There were also notable
domestic pastimes, as people at home enjoyed activities such as the
go and xiangqi board games.
Religion and Philosophy

Religion in China during this period had a great effect on people's
lives, beliefs, and daily activities, and Chinese literature on
spirituality was popular. The major deities of Taoism and Buddhism,
ancestral spirits, and the many deities of Chinese folk religion were
worshipped with sacrificial offerings. Tansen Sen asserts that more
Buddhist monks from India travelled to China during the Song than in
the previous Tang dynasty (618–907). With many ethnic foreigners
traveling to China to conduct trade or live permanently, there came
many foreign religions; religious minorities in China included Middle
Eastern Muslims, Kaifeng Jews, and Persian Manichaeans.
Song intellectuals sought answers to all philosophical and political

questions in the Confucian Classics. This renewed interest in the
Confucian ideals and society of ancient times coincided with the
decline of Buddhism, which was then largely regarded as foreign and
as offering few solutions for practical problems. However, Buddhism
in this period continued as a cultural underlay to the more-accepted
Confucianism and even Taoism, both seen as native and pure by
conservative Neo-Confucians. The continuing popularity of
Buddhism is evidenced by achievements in the arts, such as the
one-hundred painting set of the Five Hundred Luohan, completed by
Lin Tinggui and Zhou Jichang in 1178.
A Luohan painting
One of the Five Hundred Luohan, painted in 1207 by Liu Songnian,
Southern Song period.
A painting of an old man and a young man under a gnarled tree

populated with monkeys. Deer are in the foreground.
Chinese folk religion continued as a tradition in China, drawing upon
aspects of both ancient Chinese mythology and ancestor worship.
Many people believed that spirits and deities of the spirit realm
regularly interacted with the realm of the living. This subject was
popular in Song literature. People in Song China believed that many
of their daily misfortunes and blessings were caused by an array of
different deities and spirits who interfered with their daily lives. These
deities included the nationally accepted deities of Buddhism and
Taoism, as well as the local deities and demons from specific
geographic locations. If one displeased a long-dead relative, the
dissatisfied ancestor would allegedly inflict natural ailments and
illnesses. People also believed in mischievous demons and
malevolent spirits who had the capability to extort sacrificial offerings
meant for ancestors—in essence these were bullies of the spiritual
realm.
Arts and Literature

Chinese painting during the Song dynasty reached a new level of
sophistication with further development of landscape painting. The
shan shui style painting—"shan" meaning mountain, and "shui"
meaning river—became prominent features in Chinese landscape
art. The emphasis laid upon landscape painting in the Song period
was grounded in Chinese philosophy; Taoism stressed that humans
were but tiny specks among vast and greater cosmos, while Neo-
Confucianist writers often pursued the discovery of patterns and
principles that they believed caused all social and natural
phenomena. The making of glazed and translucent porcelain and
celadon wares with complex use of enamels was also developed
further during the Song period. Longquan celadon wares were
particularly popular in the Song period. Black and red lacquerwares
of the Song period featured beautifully carved artwork of miniature
nature scenes, landscapes, or simple decorative motifs.
Song-era painting
A Song-era painting that exemplifies new styles of landscape
paintings, depicting humans as small aspects of grand landscapes.
Complex landscape painting including mountains surrounded by

clouds, people and livestock in the valleys.
The gentry elite engaged in the arts as accepted pastimes of the

cultured scholar-official; these pastimes included painting,
composing poetry, and writing calligraphy. Poetry and literature
profited from the rising popularity and development of the ci poetry
form. Enormous encyclopedic volumes were compiled, such as
works of historiography and dozens of treatises on technical
subjects. This included the universal history text of the Zizhi
Tongjian, compiled into 1000 volumes of 9.4-million written Chinese
characters. The genre of Chinese travel literature also became
popular with the writings of the geographers Fan Chengda (1126–
1193) and Su Shi, the latter of whom wrote the "daytrip essay"
known as Record of Stone Bell Mountain, which used persuasive
writing to argue for a philosophical point. Although an early form of
the local geographic gazetteer had existed in China since the 1st
century, the matured form known as "treatise on a place," or fangzhi,
replaced the old "map guide," or tujing, during the Song dynasty.
Theater and drama in China trace their roots back to the academy of
music known as the Pear Garden, founded in the early 8th century
during the Tang dynasty. However, historian Stephen H. West
asserts that the Northern Song era capital Kaifeng was the first real
center where the performing arts became "an industry, a
conglomerate involving theatre, gambling, prostitution, and food."
The rise in consumption by merchants and scholar-officials, he
states, "accelerated the growth of both the performance and the food
industries," asserting a direct link between the two due to their close
proximity within the cities. Of the fifty-some theaters located in the
"pleasure districts" of Kaifeng, four were large enough to entertain
audiences of several thousand each, drawing huge crowds that
nearby businesses thrived upon. The chief crowd that gathered was
composed of those from the merchant class, while government
officials only went to restaurants and attended theater performances
during holidays.
14.2.5 : Technological Advancements

under the Song
The Song dynasty provided some of the most significant
technological advances in Chinese history.
Learning Objective
Identify some of the technological advancements made under the
Song
Key Points
Notable advances in civil engineering, nautics, and metallurgy
were made in Song China.
Advances in moveable type made the printing of texts easier
and faster, thereby making the dissemination of ideas and
learning more widespread.
The application of new weapons using gunpowder enabled the
Song to ward off its militant enemies.
In Song China, topographical elevation, a formal rectangular
grid system, and use of a standard graduated scale of distances
were applied to terrain maps.
Key Terms
Cartography
The study and practice of making maps.
metallurgy
The branch of science and technology concerned with the

properties of metals and their production and purification.
Overview
The Song dynasty provided some of the most significant
technological advances in Chinese history, many of which came from
talented statesmen drafted by the government through imperial
examinations.
The ingenuity of advanced mechanical engineering has a long

tradition in China. The Song engineer Su Song admitted that he and
his contemporaries were building upon the achievements of the
ancients such as Zhang Heng (78–139), an astronomer, inventor,
and early master of mechanical gears. The application of movable
type printing advanced the already widespread use of woodblock
printing to educate and amuse Confucian students and the masses.
The application of new weapons using gunpowder enabled the Song
to ward off its militant enemies—the Liao, Western X ia, and Jin—with
weapons such as cannons until its collapse to the Mongol forces of
Kublai Khan in the late 13th century.
Notable advances in civil engineering, nautics, and metallurgy were
made in Song China, and the windmill was introduced in China
during the 13th century. These advances, along with the introduction
of paper-printed money, helped revolutionize and sustain the
economy of the Song dynasty.
Gunpowder and New W eaponry

Advancements in weapons technology enhanced by gunpowder,
including the evolution of the early flamethrower, explosive grenade,
firearm, cannon, and land mine, enabled the Song Chinese to ward
off their militant enemies until the Song's ultimate collapse in the late
13th century. The W uj ing Z ongyao manuscript of 1044 was the first
book in history to provide formulas for gunpowder and their specified
use in different types of bombs. While engaged in a war with the
Mongols, in 1259 the official Li Zengbo wrote in his K ez hai Z agao,
X ugaohou that the city of Qingzhou was manufacturing one- to two-
thousand strong iron-cased bomb shells a month, dispatching to
X iangyang and Yingzhou about ten- to twenty-thousand such bombs
at a time. In turn, the invading Mongols employed northern Chinese
soldiers and used this same type of gunpowder weapons against the
Song. By the 14th century the firearm and cannon could also be
found in Europe, India, and the Islamic Middle East, during the early
age of gunpowder warfare.
Trebuchet
An illustration of a trebuchet catapult from the Wujing Zongyao
manuscript of 1044. Trebuchets like this were used to launch the
earliest type of explosive bombs.
A drawing of a Song era trebuchet, a fire throwing device, a catapult

on four wheels.
Advances in Navigation
As early as the Han dynasty, when the state needed to effectively
measure distances traveled throughout the empire, the Chinese
relied on the mechanical odometer device. The Chinese odometer
came in the form of a wheeled-carriage, its inner gears functioning
off the rotated motion of the wheels, and specific units of distance—
the Chinese li—marked by the mechanical striking of a drum or bell
for auditory alarm. The specifications for the 11th century odometer
were written by Chief Chamberlain Lu Daolong, who is quoted
extensively in the historical text of the Song Shi (compiled by 1345).
In the Song period, the odometer vehicle was also combined with
another old complex mechanical device known as the south-pointing
chariot. This device, originally crafted by Ma Jun in the 3rd century,
incorporated a differential gear that allowed a figure mounted on the
vehicle to always point south, no matter how the vehicle's wheels
turned about. The device concept of the differential gear for this
navigational vehicle is now found in modern automobiles in order to
apply the equal amount of torque to wheels rotating at different
speeds.
Mathematics and Cartography

There were many notable improvements to Chinese mathematics
during the Song era. Mathematician Yang Hui's 1261 book provided
the earliest Chinese illustration of Pascal's triangle, although it had
earlier been described by Jia X ian in around 1100. Yang Hui also
provided rules for constructing combinatorial arrangements in magic
squares, provided theoretical proof for Euclid's forty-third proposition
about parallelograms, and was the first to use negative coefficients
of "x" in quadratic equations. Yang's contemporary Qin Jiushao (c.
1202–1261) was the first to introduce the zero symbol into Chinese
mathematics; before this blank spaces were used instead of zeroes
in the system of counting rods.
Geometry was essential to surveying and cartography. The earliest

extant Chinese maps date to the 4th century BCE, yet it was not until
the time of Pei X iu (224–271) that topographical elevation, a formal
rectangular grid system, and use of a standard graduated scale of
distances were applied to terrain maps. Following a long tradition,
Shen Kuo created a raised-relief map, while his other maps featured
a uniform graduated scale of 1:900,000. A 3-ft squared map of 1137
—carved into a stone block—followed a uniform grid scale of 100 li
for each gridded square, and accurately mapped the outline of the
coasts and river systems of China, extending all the way to India.
Furthermore, the world's oldest known terrain map in printed form
comes from the edited encyclopedia of Yang Jia in 1155, which
displays western China without the formal grid system that was
characteristic of more professionally made Chinese maps.
Moveable Type Printing

The innovation of movable type printing was made by the artisan Bi
Sheng (990–1051), first described by the scientist and statesman
Shen Kuo in his Dream Pool Essays of 1088. Movable type
enhanced the already widespread use of woodblock methods of
printing thousands of documents and volumes of written literature,
which were then consumed eagerly by an increasingly literate public.
The advancement of printing deeply affected education and the
scholar-official class; since more books could be made faster, printed
books were cheaper than laboriously handwritten copies. The
enhancement of widespread printing and print culture in the Song
period was thus a direct catalyst in the rise of social mobility and
expansion of the educated class of scholar elites, the latter of which
expanded dramatically in size from the 11th to 13th centuries.
W oodblock printing
The Bencao on traditional Chinese medicine; printed with woodblock
in 1249, Song dynasty.
A woodblock printed Chinese text in black and white.
Attributions
Origins of the Song Dynasty
"History of the Song dynasty."
https://en.wikipedia.org/wiki/History_of_the_Song_dynasty.
"340px-Song_Taizu.jpg."
https://en.wikipedia.org/wiki/Song_dynasty# /media/File:Son
g_Taizu.jpg. Wikipedia CC BY-SA 3.0.
The Northern Song Era
"China_-_Song_Dynasty-en.svg.png."
https://commons.wikimedia.org/wiki/File:China_-
_Song_Dynasty-en.svg. Wikimedia CC BY-SA 3.0.
The Southern Song Era
"Jin-Song Wars."
https://en.wikipedia.org/wiki/Jin_Song_Wars. Wikipedia CC
BY-SA 3.0.
"https://commons.wikimedia.org/wiki/File:China_-
_Southern_Song_Dynasty-en.svg."
https://en.wikipedia.org/wiki/Song_dynasty# /media/File:Chi
na_-_Southern_Song_Dynasty-en.svg. Wikimedia CC BY-
SA 3.0.
"SongJunk.jpg."
https://commons.wikimedia.org/wiki/File:SongJunk.jpg.
Culture Under the Song Dynasty
"Culture of the Song dynasty."
https://en.wikipedia.org/wiki/Culture_of_the_Song_dynasty.
"Society of the Song dynasty."
https://en.wikipedia.org/wiki/Society_of_the_Song_dynasty.
"800px-Liu_Songnian-Luohan.jpg."
https://commons.wikimedia.org/wiki/File:Empress_of_Zhenz
ong_of_Song.jpg. Wikimedia Public domain.
"Li_Zhao_Dao_Tang_Ming_Huang_to_Shu.jpg."
https://commons.wikimedia.org/wiki/File:Li_Zhao_Dao_Tan
g_Ming_Huang_to_Shu.jpg. Wikimedia Public domain.
"1024px-Empress_of_Zhenzong_of_Song.jpg."
https://commons.wikimedia.org/wiki/File:Empress_of_Zhenz
ong_of_Song.jpg. Wikimedia Public domain.
Technological Advancements under the Song
"Science and technology of the Song dynasty."
https://en.wikipedia.org/wiki/Science_and_technology_of_th
e_Song_dynasty. Wikipedia CC BY-SA 3.0.
"Pen_ts'ao,_woodblock_book_1249-ce.png."
https://commons.wikimedia.org/wiki/File:Pen_ts%27ao,_wo
odblock_book_1249-ce.png. Wikimedia Public domain.
"Trebuchet1-intransit.jpg."
https://commons.wikimedia.org/wiki/File:Trebuchet1-
intransit.jpg. Wikimedia CC BY-SA 3.0.
14.3: The Y uan Dynasty
14.3.1: The Mongol Invasions
The Yuan dynasty was founded by Kublai Khan, leader of a major
Mongolian clan who invaded China but adopted many Chinese
customs and practices.
Learning Objective
Connect the Mongol invasions to the establishment of the Yuan
dynasty
Key Points
Established by Kublai Kha, the Yuan dynasty was the ruling
dynasty of China and Mongolia and a khanate of the Mongol
Empire.
Genghis Khan and his successors expanded the Mongol Empire
across Asia, eventually conquering northern China.
Mö ngke Khan commenced a military campaign against the
Chinese Song dynasty in southern China, during which time
Kublai Khan rose to power and took on the title of Great Khan.
Instability, including civil war with the Mongol clans and
continued fighting with the Song, troubled the early years of
Kublai Khan's reign.
In 1272, Kublai Khan founded the Yuan dynasty in the style of a
traditional Chinese dynasty.
Eventually, Kublai won over the Song, both militarily and through
adopting Chinese customs and practices.
The Yuan dynasty is traditionally given credit for reuniting China
after several hundred years of fragmentation following the fall of
the Tang dynasty.
Key Terms
Great Khan
A Mongolian title equal to the status of an emperor and used to

refer to someone who rules a khanate, or empire.
I Ching
An ancient divination text and the oldest of the Chinese classics,

which uses hexagrams to provide guidance for moral decision
making and upright living.
Mandate of Heaven
An ancient Chinese belief/theory and philosophical idea that tiān

(heaven) granted emperors the right to rule based on their ability
to govern well, appropriately, and fairly.
Overview
The Yuan dynasty was the ruling dynasty of China established by
Kublai Khan, leader of the Mongolian Borjigin clan. Although the
Mongols had ruled territories including today's North China for
decades, it was not until 1271 that Kublai Khan officially proclaimed
the dynasty in the traditional Chinese style. His realm was, by this
point, isolated from the other khanates, and he controlled most of
present-day China and its surrounding areas, including modern
Mongolia and Korea. It was the first foreign dynasty to rule all of
China and lasted until 1368, after which its Genghisid rulers returned
to their Mongolian homeland and continued to rule the Northern
Yuan dynasty. Some of the Mongolian emperors of the Yuan
mastered the Chinese language, while others used only their native
language, Mongolian.
The Yuan dynasty is considered both a successor to the Mongol
Empire and an imperial Chinese dynasty. It was the khanate ruled by
the successors of Mö ngke Khan after the division of the Mongol
Empire. In official Chinese histories, the Yuan dynasty bore the
Mandate of Heaven, following the Song dynasty and preceding the
Ming dynasty. The dynasty was established by Kublai Khan, yet he
placed his grandfather Genghis Khan on the imperial records as the
official founder of the dynasty as "Taizu." In the Proclamation of the
Dynastic Name, Kublai announced the name of the new dynasty as
Great Yuan and claimed the succession of former Chinese dynasties
from the Three Sovereigns and Five Emperors to the Tang dynasty.
In addition to Emperor of China, Kublai Khan also claimed the title of

Great Khan, supreme over the other successor khanates: the
Chagatai, the Golden Horde, and the Ilkhanate. As such, the Yuan
was also sometimes referred to as the Empire of the Great Khan.
However, while the wester khans at times recognized the claim of
supremacy by the Yuan emperors, their subservience was nominal
and each continued his own separate development.
The Rise of Kublai Khan and

the the Mongol Invasions of
China
Genghis Khan united the Mongol and Turkic tribes of the steppes
and became Great Khan in 1206. He and his successors expanded
the Mongol Empire across Asia. Under the reign of Genghis's third
son, Ö gedei Khan, the Mongols destroyed the weakened Jin dynasty
in 1234, conquering most of northern China. Ö gedei offered his
nephew Kublai a position in X ingzhou, Hebei. Kublai was unable to
read Chinese but had had several Han Chinese teachers attached to
him since his early years by his mother Sorghaghtani. He sought the
counsel of Chinese Buddhist and Confucian advisers. Mö ngke Khan
succeeded Ö gedei's son Gü yü k as Great Khan in 1251, and he
granted his brother Kublai control over Mongol-held territories in
China. Kublai built schools for Confucian scholars, issued paper
money, revived Chinese rituals, and endorsed policies that
stimulated agricultural and commercial growth. He adopted as his
capital city Kaiping in Inner Mongolia, later renamed Shangdu.
Mö ngke Khan commenced a military campaign against the Chinese

Song dynasty in southern China. The Mongol force that invaded
southern China was far greater than the force they sent to invade the
Middle East in 1256. Mö ngke died in 1259 without a successor.
Kublai returned from fighting the Song in 1260 and learned that his
brother, Ariq Bö ke, was challenging his claim to the throne. Kublai
convened a kurultai in Kaiping that elected him Great Khan, but a
rival kurultai in Mongolia proclaimed Ariq Bö ke Great Khan,
beginning a civil war. Kublai depended on the cooperation of his
Chinese subjects to ensure that his army received ample resources.
He bolstered his popularity among his subjects by modeling his
government on the bureaucracy of traditional Chinese dynasties and
adopting the Chinese era name of Zhongtong. Ariq Bö ke was
hampered by inadequate supplies and surrendered in 1264. All of
the three western khanates (Golden Horde, Chagatai Khanate, and
Ilkhanate) became functionally autonomous; only the Ilkhans truly
recognized Kublai as Great Khan. Civil strife had permanently
divided the Mongol Empire.
Kublai Khan
A portrait of the founder of Yuan dynasty, the Mongolian Kublai
Khan.
A painted portrait of Kublai Khan, with white robes and hat.
The Rule of Kublai Khan

Instability troubled the early years of Kublai Khan's reign. Ogedei's
grandson Kaidu refused to submit to Kublai and threatened the
western frontier of Kublai's domain, and the hostile but weakened
Song dynasty remained an obstacle in the south. Kublai secured the
northeast border in 1259 by installing the hostage prince Wonjong as
the ruler of Korea, making it a Mongol tributary state. Kublai was also
threatened by domestic unrest. Li Tan, the son-in-law of a powerful
official, instigated a revolt against Mongol rule in 1262. After
successfully suppressing the revolt, Kublai curbed the influence of
the Han Chinese advisers in his court. He feared that his
dependence on Chinese officials left him vulnerable to future revolts
and defections to the Song.
Kublai's government after 1262 was a compromise between

preserving Mongol interests in China and satisfying the demands of
his Chinese subjects. He instituted the reforms proposed by his
Chinese advisers by centralizing the bureaucracy, expanding the
circulation of paper money, and maintaining the traditional
monopolies on salt and iron. He restored the Imperial Secretariat
and left the local administrative structure of past Chinese dynasties
unchanged. However, Kublai rejected plans to revive the Confucian
imperial examinations and divided Yuan society into three, later four,
classes, with the Han Chinese occupying the lowest rank. Kublai's
Chinese advisers still wielded significant power in the government,
but their official rank was nebulous.
Founding of the Y uan Dynasty

Kublai readied the move of the Mongol capital from Karakorum in
Mongolia to Khanbaliq in 1264, constructing a new city near the
former Jurchen capital Zhongdu, now modern Beijing, in 1266. In
1271, Kublai formally claimed the Mandate of Heaven and declared
that 1272 was the first year of the Great Yuan in the style of a
traditional Chinese dynasty. The name of the dynasty originated from
the I Ching and describes the "origin of the universe" or a "primal
force." Kublai proclaimed Khanbaliq the "Great Capital" or Daidu of
the dynasty. The era name was changed to Zhiyuan to herald a new
era of Chinese history. The adoption of a dynastic name legitimized
Mongol rule by integrating the government into the narrative of
traditional Chinese political succession. Khublai evoked his public
image as a sage emperor by following the rituals of Confucian
propriety and ancestor veneration, while simultaneously retaining his
roots as a leader from the steppes. The Yuan dynasty is traditionally
given credit for reuniting China after several hundred years of
fragmentation following the fall of the Tang dynasty.
14.3.2: Trade and Currency under the

Y uan
During the Yuan dynasty, trade flourished and peace reigned along
the newly revived Silk Road, contributing to a period known as the
Pax Mongolica.
Learning Objective
Describe the trade and monetary policies of the Yuan dynasty
Key Points
Kublai Khan, who established the Yuan dynasty in China as an
extension of the already dominant Mongolian Empire, promoted
progressive policies that allowed trade and prosperity to flourish.
The Mongolians revived the Silk Road and established peace
throughout their extensive trade routes, leading to the so-called
Pax Mongolia.
Many Europeans, most famously Marco Polo, travelled to Yuan
China and observed Chinese cultural and technological
innovations.
One of the more notable applications of printing technology in
China was the chao, the paper money of the Yuan, which
became one of the first instances of a unified paper money
economy in the world.
Key Terms
Marco Polo
A V enetian merchant traveller whose travels, especially to
Mongolian-ruled China, are recorded in The Travels of Marco
Polo, a book that introduced Europeans to Central Asia and
China.
Chao
The official banknote of the Yuan dynasty in China.
Silk Road
An ancient network of trade routes that for centuries were

central to cultural interaction through regions of the Asian
continent connecting the East and West from China to the
Mediterranean Sea.
Pax Mongolica
A historiographical term, modeled after the original phrase Pax

Romana, that describes the stabilizing effects of the conquests
of the Mongol Empire on the social, cultural, and economic life
of the inhabitants of the vast Eurasian territory that the Mongols
conquered in the 13th and 14th centuries.
Overview
Kublai Khan promoted commercial, scientific, and cultural growth. He
supported the merchants of the Silk Road trade network by
protecting the Mongol postal system, constructing infrastructure,
providing loans that financed trade caravans, and encouraging the
circulation of paper banknotes. Pax Mongolica, Mongol peace,
enabled the spread of technologies, commodities, and culture
between China and the West. Kublai expanded the Grand Canal
from southern China to Daidu in the north. Mongol rule was
cosmopolitan under Kublai Khan. He welcomed foreign visitors to his
court, such as the V enetian merchant Marco Polo, who wrote the
most influential European account of Yuan China. Marco Polo's
travels would later inspire many others, like Christopher Columbus,
to chart a passage to the Far East in search of its legendary wealth.
Marco Polo on the Silk Road

A closeup of the Mallorquín Atlas depicting Marco Polo traveling to
the East on the Silk Road during the Pax Mongolica.
An image of a map of Asia with a painting of Europeans on horses

alongside camels, traveling the Silk Road.
Trade under the Y uan Dynasty:

Pax Mongolica
Pax Mongolica is a historiographical term, modeled after the original
phrase Pax Romana, that describes the stabilizing effects of the
conquests of the Mongol Empire on the social, cultural, and
economic life of the inhabitants of the vast Eurasian territory that the
Mongols conquered in the 13th and 14th centuries, including the
Yuan dynasty in China. The term is used to describe the eased
communication and commerce the unified administration helped to
create, and the period of relative peace that followed the Mongols'
vast conquests.
Before the Mongols' rise, the Old World system consisted of isolated
imperial systems. The new Mongol Empire amalgamated the once-
isolated civilizations into a new continental system and re-
established the Silk Road as a dominant method of transportation.
The unification of Eurasia under the Mongols greatly diminished the
amount of competing tribute gatherers throughout the trade network
and assured greater safety and security in travel. During the Pax
Mongolica, European merchants like Marco Polo made their way
from Europe to China on the well-maintained and well-traveled roads
that linked Anatolia to China.
On the Silk Road, caravans with Chinese silk and spices such as
pepper, ginger, cinnamon, and nutmeg from the Spice Islands came
to the West via the transcontinental trade routes. Eastern diets were
thus introduced to Europeans. Indian muslins, cotton, pearls, and
precious stones were sold in Europe, as were weapons, carpets, and
leather goods from Iran. Gunpowder was also introduced to Europe
from China. In the opposite direction, Europeans sent silver, fine
cloth, horses, linen, and other goods to the near and far East.
Increasing trade and commerce meant that the respective nations
and societies increased their exposure to new goods and markets,
thus increasing the GDP of each nation or society that was involved
in the trade system. Μ any of the cities participating in the 13th
century world trade system grew rapidly in size.
Along with land trade routes, a Maritime Silk Road contributed to the
flow of goods and establishment of a Pax Mongolica. This Maritime
Silk Road started with short coastal routes in Southern China. As
technology and navigation progressed, these routes developed into
a high-seas route into the Indian Ocean. Eventually these routes
further developed to encompass the Arabian Sea, the Persian Gulf,
the Red Sea, and the sea off East Africa.
Along with tangible goods, people, techniques, information, and
ideas moved lucidly across the Eurasian landmass for the first time.
For example, John of Montecorvino, archbishop of Peking, founded
Roman Catholic missions in India and China and also translated the
New Testament into the Mongolian language. Long-distance trade
brought new methods of doing business from the Far East to
Europe; bills of exchange, deposit banking, and insurance were
introduced to Europe during the Pax Mongolica. Bills of exchange
made it significantly easier to travel long distances because a
traveler would not be burdened by the weight of metal coins.
Monetary Policies and Paper

Money
One of the more notable applications of printing technology in China
was the chao, the paper money of the Yuan, made from the bark of
mulberry trees. The Yuan government first used woodblocks to print
paper money, but switched to bronze plates in 1275. The Mongols
experimented with establishing the Chinese-style paper monetary
system in Mongol-controlled territories outside of China. The Yuan
minister Bolad was sent to Iran, where he explained Yuan paper
money to the Il-khanate court of Gaykhatu. The Il-khanate
government issued paper money in 1294, but public distrust of the
exotic new currency doomed the experiment.
Foreign observers took note of Yuan printing technology. Marco Polo

documented the Yuan printing of paper money and almanac
pamphlets called "tacuini." The vizier Rashid-al-Din recognized that
printing was a valuable technological breakthrough, and expressed
regret that the Mongol experiment with printing paper money had
failed in the Muslim world. Rashid-al-Din's view was not shared by
other chroniclers in the Middle East, who were critical of the
experiment's disruptive impact on the Il-khanate.
In 1253, Mö ngke established a Department of Monetary affairs to
control the issuance of paper money in order to eliminate the
overissue of the currency by Mongol and non-Mongol nobles since
the reign of Great Khan Ö gedei. His authority established united
measure based on sukhe or silver ingot; however, the Mongols
allowed their foreign subjects to mint coins in the denominations and
weight they traditionally used. During the reigns of Ö gedei, Gü yü k,
and Mö ngke, Mongol coinage increased with gold and silver coinage
in Central Asia and copper and silver coins in Caucasus, Iran, and
southern Russia.
The Yuan dynasty under Kublai Khan issued paper money backed
by silver, and again banknotes supplemented by cash and copper
cash. The standardization of paper currency allowed the Yuan court
to monetize taxes and reduce carrying costs of taxes in goods, as
did the policy of Mö ngke Khan. But the forest nations of Siberia and
Manchuria still paid their taxes in goods or commodities to the
Mongols; chao was used only within the Yuan dynasty. Ghazan's
fiscal reforms enabled the inauguration of a unified bimetallic
currency in the Ilkhanate. Chagatai Khan Kebek renewed the
coinage backed by silver reserves and created a unified monetary
system throughout the realm.
Y uan dynasty money
Yuan dynasty banknote, the chao, with its printing plate (1287)
A photo of a Chinese banknote from the Yuan dynasty next to its

printing plate.
14.3.3: Decline of the Y uan Dynasty

After years of internal struggle, famine, and diminishing territorial
control, the Yuan dynasty was defeated by the rising Ming dynasty in
1368.
Learning Objective
Explain the events that led to the fall of the Yuan dynasty
Key Points
The final years of the Yuan dynasty were marked by struggle,
famine, and bitterness among the populace, with Kublai Khan's
successors losing all influence on other Mongol lands across
Asia.
From the late 1340s onward, people in the countryside suffered
from frequent natural disasters such as droughts, floods, and
the resulting famines, and the government's lack of effective
policy led to a loss of popular support, eventually leading to the
Red Turban Rebellion, which weakened the Yuan's power.
Emperor Toghun Temü r defeated the Red Turban Rebellion, but
was weakened and needed to rely more heavily on local
warlords, and therefore central government control dissipated.
Toghun fled north to Shangdu from Khanbaliq (present-day
Beijing) in 1368 after the approach of the forces of the Míng
dynasty (1368–1644), founded by Zhu Yuanzhang in the south,
thereby ending the Yuan.
The Yuan remnants retreated to Mongolia after the fall of
Yingchang in 1370, and there formally carried on the name
Great Yuan in what is known as the Northern Yuan dynasty.
Key Terms
Northern Yuan
The Mongol regime based in the Mongolian homeland after the

fall of the Yuan dynasty in China in 1368.
Red Turban Rebellion
An uprising influenced by White Lotus Society members that,

between 1351 and 1368, targeted the ruling Yuan dynasty of
China, eventually leading to its overthrow.
Decline of the Y uan Dynasty

The final years of the Yuan dynasty were marked by struggle,
famine, and bitterness among the populace. In time, Kublai Khan's
successors lost all influence on other Mongol lands across Asia, as
the Mongols beyond the Middle Kingdom saw them as too Chinese.
Gradually, they lost influence in China as well. The reigns of the later
Yuan emperors were short and marked by intrigues and rivalries.
Uninterested in administration, they were separated from both the
army and the populace, and China was torn by dissension and
unrest. Outlaws ravaged the country without interference from the
weakening Yuan armies.
From the late 1340s onwards, people in the countryside suffered

from frequent natural disasters such as droughts, floods, and the
resulting famines, and the government's lack of effective policy led to
a loss of popular support. In 1351, the Red Turban Rebellion started
and grew into a nationwide uprising. In 1354, when Toghtogha led a
large army to crush the Red Turban rebels, Toghun Temü r suddenly
dismissed him for fear of betrayal. This resulted in Toghun Temü r's
restoration of power on the one hand and a rapid weakening of the
central government on the other. He had no choice but to rely on
local warlords' military power, and gradually lost his interest in
politics and ceased to intervene in political struggles, all of which led
to the official end of the Yuan dynasty in China. After trying to regain
Khanbaliq, an effort that failed, he died in Yingchang (located in
present-day Inner Mongolia) in 1370. Yingchang was seized by the
Ming shortly after his death. Some Yuan royal family members still
live in Henan today.
Prince Basalawarmi of Liang established a separate pocket of

resistance to the Ming in Yunnan and Guizhou, but his forces were
decisively defeated by the Ming in 1381. By 1387 the remaining
Yuan forces in Manchuria under Naghachu had also surrendered to
the Ming dynasty.
Northern Y uan
The Yuan remnants retreated to Mongolia after Yingchang fell to the
Ming in 1370, and there formally carried on the name Great Yuan in
what is known as the Northern Yuan dynasty. According to Chinese
political orthodoxy, there could be only one legitimate dynasty whose
rulers were blessed by Heaven to rule as emperors of China, and so
the Ming and the Northern Yuan denied each other's legitimacy as
emperors of China, although the Ming did consider the previous
Yuan it had succeeded to have been a legitimate dynasty. Historians
generally regard Ming dynasty rulers as the legitimate emperors of
China after the Yuan dynasty.
The Ming army pursued the ex-Yuan Mongol forces into Mongolia in
1372, but were defeated by the Mongol forces under Biligtü Khan
Ayushiridara and his general Kö ke Temü r. They tried again in 1380,
ultimately winning a decisive victory over the Northern Yuan in 1388.
About 70,000 Mongols were taken prisoner, and Karakorum (the
Northern Yuan capital) was sacked. Eight years later, the Northern
Yuan throne was taken over by Biligtü Khan Ayushiridara, a
descendant of Ariq Bö ke, instead of the descendants of Kublai Khan.
The following centuries saw a succession of Genghisid rulers, many
of whom were mere figureheads put on the throne by those warlords
who happened to be the most powerful. Periods of conflict with the
Ming dynasty intermingled with periods of peaceful relations with
border trade.
Northern Y uan
The Northern Yuan at its greatest territorial extent.
Map of the Northern Yuan's territorial holdings.
Attributions
The Mongol Invasions
"Yuan dynasty." https://en.wikipedia.org/wiki/Yuan_dynasty.
"History of the Yuan dynasty."
https://en.wikipedia.org/wiki/History_of_the_Yuan_dynasty.
"440px-YuanEmperorAlbumKhubilaiPortrait.jpg."
https://commons.wikimedia.org/wiki/File:YuanEmperorAlbu
mKhubilaiPortrait.jpg. Wikimedia Public domain.
Trade and Currency under the Yuan
"Silk Road."
https://en.wikipedia.org/wiki/Silk_Road# Mongol_age.
"Pax Mongolica."
https://en.wikipedia.org/wiki/Pax_Mongolica. Wikipedia CC
BY-SA 3.0.
"Society of the Mongol Empire."
https://en.wikipedia.org/wiki/Society_of_the_Mongol_Empir
"Europeans in Medieval China."
https://en.wikipedia.org/wiki/Europeans_in_Medieval_China
"Caravane_Marco_Polo.jpg."
https://commons.wikimedia.org/wiki/File:Caravane_Marco_
Polo.jpg. Wikimedia Public domain.
"Yuan_dynasty_banknote_with_its_printing_plate_1287.jpg.
"
https://commons.wikimedia.org/wiki/File:Yuan_dynasty_ban
knote_with_its_printing_plate_1287.jpg. Wikimedia CC BY-
SA 3.0.
Decline of the Yuan Dynasty
"Northern Yuan dynasty."
https://en.wikipedia.org/wiki/Northern_Yuan_dynasty.
"History of the Yuan dynasty."
https://en.wikipedia.org/wiki/History_of_the_Yuan_dynasty.
"Mongolia_X V I.png."
https://commons.wikimedia.org/wiki/File:Mongolia_X V I.png.
14.4: The Ming Dynasty
14.4.1: Rise of the Ming Dynasty
The Ming dynasty was founded by the peasant rebel leader Zhu
Yuanzhang.
Learning Objective
Describe the origins and rise of the Ming dynasty
Key Points
The Ming dynasty was the ruling dynasty of China for 276 years
(1368–1644) following the collapse of the Mongol-led Yuan
dynasty.
Explanations for the demise of the Yuan include institutionalized
ethnic discrimination against Han Chinese that stirred
resentment and rebellion, overtaxation of areas hard-hit by
inflation, and massive flooding of the Yellow River caused by the
abandonment of irrigation projects.
These issues led to a popular revolt called the Red Turban
Rebellion, led in part by a peasant named Zhu Yuanzhang.
With the Yuan dynasty crumbling, competing rebel groups
began fighting for control of the country and thus the right to
establish a new dynasty, which Zhu did in 1368 after defeating
his rivals in the largest naval battle in history and marching
toward Beijing, the capital of the Yuan, causing Yuan leaders to
flee.
Key Terms
White Lotus Society
A Buddhist secret society associated with the Red Turban

Rebellion.
Zhu Yuanzhang
A poor peasant who rose through the ranks of a rebel army and
later founded the Ming dynasty.
Overview
The Ming dynasty (January 23, 1368–April 25, 1644), officially the
Great Ming, was an imperial dynasty of China founded by the
peasant rebel leader Zhu Yuanzhang (known posthumously as
Emperor Taizu). It succeeded the Yuan dynasty and preceded the
short-lived Shun dynasty, which was in turn succeeded by the Qing
dynasty. At its height, the Ming dynasty had a population of at least
160 million people, but some assert that the population could
actually have been as large as 200 million.
Ming rule saw the construction of a vast navy and a standing army of
one million troops. Although private maritime trade and official tribute
missions from China had taken place in previous dynasties, the size
of the tributary fleet under the Muslim eunuch admiral Zheng He in
the 15th century surpassed all others in grandeur. There were
enormous construction projects, including the restoration of the
Grand Canal, the restoration of the Great Wall as it is seen today,
and the establishment of the Forbidden City in Beijing during the first
quarter of the 15th century. The Ming dynasty is, for many reasons,
generally known as a period of stable, effective government. It is
seen as the most secure and unchallenged ruling house that China
had known up until that time. Its institutions were generally
preserved by the following Qing dynasty. Civil service dominated
government to an unprecedented degree at this time. During the
Ming dynasty, the territory of China expanded (and in some cases
also retracted) greatly. For a brief period during the dynasty northern
V ietnam was included in Ming territory. Other important
developments included the moving of the capital from Nanjing to
Beijing.
Founding of the Ming Dynasty

The Mongol-led Yuan dynasty (1279–1368) ruled before the
establishment of the Ming dynasty. Alongside institutionalized ethnic
discrimination against Han Chinese that stirred resentment and
rebellion, other explanations for the Yuan's demise included
overtaxing areas hard-hit by crop failure, inflation, and massive
flooding of the Yellow River caused by abandonment of irrigation
projects. Consequently, agriculture and the economy were in
shambles, and rebellion broke out among the hundreds of thousands
of peasants called upon to work on repairing the dikes of the Yellow
River.
A number of Han Chinese groups revolted, including the Red

Turbans in 1351. Zhu Yuanzhang was a penniless peasant and
Buddhist monk who joined the Red Turbans in 1352, but soon
gained a reputation after marrying the foster daughter of a rebel
commander.
Zhu was a born into a desperately poor tenant farmer family in

Zhongli V illage in the Huai River plain, which is in present-day
Fengyang, Anhui Province. When he was sixteen, the Huai River
broke its banks and flooded the lands where his family lived.
Subsequently, a plague killed his entire family, except one of his
brothers. He buried them by wrapping them in white clothes.
Destitute, Zhu accepted a suggestion to take up a pledge made by
his late father and became a novice monk at the Huangjue Temple, a
local Buddhist monastery. He did not remain there for long, as the
monastery ran short of funds and he was forced to leave. For the
next few years, Zhu led the life of a wandering beggar and
personally experienced and saw the hardships of the common
people. After about three years, he returned to the monastery and
stayed there until he was around twenty-four years old. He learned
to read and write during the time he spent with the Buddhist monks.
The monastery where Zhu lived was eventually destroyed by an

army that was suppressing a local rebellion. In 1352, Zhu joined one
of the many insurgent forces that had risen in rebellion against the
Mongol-led Yuan dynasty. He rose rapidly through the ranks and
became a commander. His rebel force later joined the Red Turbans,
a millenarian sect related to the White Lotus Society, and one that
followed cultural and religious traditions of Buddhism,
Zoroastrianism, and other religions. Widely seen as a defender of
Confucianism and neo-Confucianism among the predominantly Han
Chinese population in China, Zhu emerged as a leader of the rebels
that were struggling to overthrow the Yuan dynasty.
In 1356 Zhu's rebel force captured the city of Nanjing, which he

would later establish as the capital of the Ming dynasty. Zhu enlisted
the aid of many able advisors, including the artillery specialists Jiao
Yu and Liu Bowen.
Zhu cemented his power in the south by eliminating his arch rival,
rebel leader Chen Youliang, in the Battle of Lake Poyang in 1363.
This battle was—in terms of personnel—one of the largest naval
battles in history. After the dynastic head of the Red Turbans
suspiciously died in 1367 while a guest of Zhu, Zhu made his
imperial ambitions known by sending an army toward the Yuan
capital in 1368. The last Yuan emperor fled north into Mongolia and
Zhu declared the founding of the Ming dynasty after razing the Yuan
palaces in Dadu (present-day Beijing) to the ground.
Hongwu Emperor of the Ming dynasty
Zhu Yuanzhang, later Hongwu Emperor, was the founder and first
emperor of China's Ming dynasty. Born a poor peasant, he later rose
through the ranks of a rebel army and eventually overthrew the Yuan
leaders and established the Ming dynasty.
Painted portrait of the first emperor of the Ming dynasty, Hongwu,

dressed in a yellow embroidered robe and black hat.
Instead of following the traditional way of naming a dynasty after the
first ruler's home district, Zhu Yuanzhang's choice of "Ming," or
"Brilliant," for his dynasty followed a Mongol precedent of choosing
an uplifting title. Zhu Yuanzhang also took "Hongwu," or "V astly
Martial,"' as his reign title. Although the White Lotus had instigated
his rise to power, the emperor later denied that he had ever been a
member of the organization, and suppressed the religious movement
after he became emperor.
Zhu Yuanzhang drew on both past institutions and new approaches

in order to create j iaohua (civilization) as an organic Chinese
governing process. This included building schools at all levels and
increasing study of the classics as well as books on morality. There
was also a distribution of Neo-Confucian ritual manuals and a new
civil service examination system for recruitment into the bureaucracy.
14.4.2: The Economy under the Ming

Dynasty
The economy of the Ming dynasty was characterized by extreme
inflation, the return to silver bullion, and the rise of large agricultural
markets.
Learning Objective
Explain why the Ming dynasty supported the agricultural classes
Key Points
The economy of the Ming dynasty (1368–1644) of China was
the largest in the world during that period, but suffered many
inflations and contractions of currency.
Because of hyperinflation of paper currency, the government
returned to using silver as currency, which saw a major boom
but later crashed, giving rise to widespread smuggling.
Both because of his upbringing as a poor peasant and in order
to recover from the rule of the Mongols and the wars that
followed, the Hongwu Emperor enacted pro-agricultural policies.
The Ming saw the rise of large commercial plantations, cash
crops, and expanded markets.
Hongwu Emperor initiated extensive land reform, including the
distribution of land to peasants.
Key Terms
autarkic
The quality of being self-sufficient, especially in economic or

political systems.
bullion
Gold bars, silver bars, and other bars or ingots of precious metal
used as currency.
Overview
The economy of the Ming dynasty (1368–1644) of China was the
largest in the world during that period. It is regarded as one of
China's three golden ages (the other two being the Han and Song
periods). The period was marked by the increasing political influence
of the merchants, the gradual weakening of imperial rule, and
technological advances.
Currency during the Ming

Dynasty
The early Ming dynasty attempted to use paper currency, with
outflows of bullion limited by its ban on private foreign commerce.
Like its forebears, paper currency experienced massive
counterfeiting and hyperinflation. In 1425, Ming notes were trading at
about 0.014% of their original value under the Hongwu Emperor. The
notes remained in circulation as late as 1573, but their printing
ceased in 1450. Minor coins were minted in base metals, but trade
mostly occurred using silver ingots. As their purity and exact weight
varied, they were treated as bullion and measured in tael. These
privately made "sycee" first came into use in Guangdong, spreading
to the lower Yangtze sometime before 1423, the year sycee became
acceptable for payment of tax obligations.
In the mid-15th century, the paucity of circulating silver caused a

monetary contraction and an extensive reversion to barter. The
problem was met through smuggled, then legal, importation of
Japanese silver, mostly through the Portuguese and Dutch, and
Spanish silver from Potosí carried on the Manila galleons. Silver was
required to pay provincial taxes in 1465, the salt tax in 1475, and
corvé e exemptions in 1485. By the late Ming, the amount of silver
being used was extraordinary; at a time when English traders
considered tens of thousands of pounds an exceptional fortune, the
Zheng clan of merchants regularly engaged in transactions valued at
millions of taels. However, a second silver contraction occurred in
the mid-17th century when King Philip IV of Spain began enforcing
laws limiting direct trade between Spanish South America and China
at about the same time the new Tokugawa shogunate in Japan
restricted most of its foreign exports, cutting off Dutch and
Portuguese access to its silver. The dramatic spike in silver's value
in China made payment of taxes nearly impossible for most
provinces. The government even resumed use of paper currency
amid Li Zicheng's rebellion.
S p ring Morning in a Han Palace by
Qiu Y ing ( 1494– 15 5 2)
Excessive luxury and decadence marked the late Ming period,
spurred by the enormous state bullion of incoming silver and by
private transactions involving silver.
Painting of a Ming period palace, with women in luxurious clothing

and makeup and a portrait painter.
Agriculture during the Ming

Dynasty
In order to recover from the rule of the Mongols and the wars that
followed, the Hongwu Emperor enacted pro-agricultural policies. The
state invested extensively in agricultural canals and reduced taxes
on agriculture to 3.3% of the output, and later to 1.5%. Ming farmers
also introduced many innovations such as water-powered plows, and
new agricultural methods such as crop rotation. This led to a
massive agricultural surplus that became the basis of a market
economy.
The Ming saw the rise of commercial plantations that produced crops
suitable to their regions. Tea, fruit, paint, and other goods were
produced on a massive scale by these agricultural plantations.
Regional patterns of production established during this period
continued into the Qing dynasty. The Columbian exchange brought
crops such as corn. Still, large numbers of peasants abandoned the
land to become artisans. The population of the Ming boomed;
estimates for the population of the Ming range from 160 to 200
million.
Agriculture during the Ming changed significantly. Firstly, gigantic

areas devoted to cash crops sprung up, and there was demand for
the crops in the new market economy. Secondly, agricultural tools
and carts, some water powered, help to create a large agricultural
surplus that formed the basis of the rural economy. Besides rice,
other crops were grown on a large scale.
Although images of autarkic farmers who had no connection to the

rest of China may have some merit for the earlier Han and Tang
dynasties, this was certainly not the case for the Ming dynasty.
During the Ming dynasty, the increase in population and the
decrease in quality land made it necessary for farmers to make a
living off cash crops. Markets for these crops appeared in the rural
countryside, where goods were exchanged and bartered.
A second type of market that developed in China was the urban-rural

type, in which rural goods were sold to urban dwellers. This was
common when landlords decided to reside in the cities and use
income from rural land holdings to facilitate exchange in those urban
areas. Professional merchants used this type of market to buy rural
goods in large quantities.
The third type of market was the "national market," which was
developed during the Song dynasty but particularly enhanced during
the Ming. This market involved not only the exchanges described
above, but also products produced directly for the market. Unlike
earlier dynasties, many Ming peasants were no longer generating
only products they needed; many of them produced goods for the
market, which they then sold at a profit.
Land Reform
As the Hongwu Emperor came from a peasant family, he was aware
of how peasants used to suffer under the oppression of the scholar-
bureaucrats and the wealthy. Many of the latter, relying on their
connections with government officials, encroached unscrupulously
on peasants' lands and bribed the officials to transfer the burden of
taxation to the poor. To prevent such abuse, the Hongwu Emperor
instituted two systems: Yellow Records and Fish Scale Records.
These systems served both to secure the government's income from
land taxes and to affirm that peasants would not lose their lands.
However, the reforms did not eliminate the threat of the bureaucrats
to peasants. Instead, the expansion of the bureaucrats and their
growing prestige translated into more wealth and tax exemption for
those in government service. The bureaucrats gained new privileges
and some became illegal money-lenders and managers of gambling
rings. Using their power, the bureaucrats expanded their estates at
the expense of peasants' land through outright purchase of those
lands and foreclosure on their mortgages whenever they wanted the
lands. The peasants often became either tenants or workers, or
sought employment elsewhere.
Since the beginning of the Ming dynasty in 1357, great care was
taken by the Hongwu Emperor to distribute land to peasants. One
way was through forced migration to less dense areas; some people
were tied to a pagoda tree in Hongdong and moved. Public works
projects, such as the construction of irrigation systems and dikes,
were undertaken in an attempt to help farmers. In addition, the
Hongwu Emperor also reduced the demands for forced labour on the
peasantry. In 1370, the Hongwu Emperor ordered that some lands in
Hunan and Anhui should be given to young farmers who had
reached adulthood. The order was intended to prevent landlords
from seizing the land, as it also decreed that the titles to the lands
were not transferable. During the middle part of his reign, the
Hongwu Emperor passed an edict stating that those who brought
fallow land under cultivation could keep it as their property without
being taxed.
14.4.3: The Role of Foreign Trade

Trade during the Ming dynasty began slowly, with severe restrictions,
especially toward Japan, but later expanded to markets around the
world.
Learning Objective
Explain the significant role foreign trade played under Ming dynasty
Key Points
In the early Ming, after the devastation of the war that expelled
the Mongols, the Hongwu Emperor imposed severe restrictions
on trade, called the haijin.
The trade ban was completely counterproductive; by the 16th
century, piracy and smuggling were widespread.
After Hongwu Emperor's death, most of his policies were
reversed by his successors.
After the Chinese banned direct trade with Japan, the
Portuguese filled this commercial vacuum as intermediaries
between China and Japan.
Although the bulk of imports to China were silver, the Chinese
also purchased New World crops from the Spanish Empire,
many of which became staple crops.
The thriving of trade and commerce was aided by the
construction of canals, roads, and bridges by the Ming
government.
Key Terms
Matteo Ricci
An Italian Jesuit priest and one of the founding figures of the

Jesuit China missions. His 1602 map of the world in Chinese
characters introduced the findings of European exploration to
East Asia.
haijin
A series of related isolationist Chinese policies restricting private

maritime trade and coastal settlement during most of the Ming
dynasty.
Trade Restrictions
In the early Ming, after the devastation of the war that expelled the
Mongols, the Hongwu Emperor imposed severe restrictions on trade
(the "haij in" or "sea ban"). Believing that agriculture was the basis of
the economy, Hongwu favored that industry over all else, including
the merchant industry. Partly imposed to deal with Japanese piracy
amid the mopping up of Yuan partisans, the sea ban was completely
counterproductive; by the 16th century, piracy and smuggling were
endemic and mostly consisted of Chinese who had been
dispossessed by the policies. China's foreign trade was limited to
irregular and expensive tribute missions, and resistance to them
among the Chinese bureaucracy led to the scrapping of Zheng He's
fleets. Piracy dropped to negligible levels only upon the ending of the
policy in 1567.
After Hongwu Emperor's death, most of his policies were reversed

by his successors. By the late Ming, the state was losing power to
the very merchants Hongwu had wanted to restrict.
J apanese pirates
A map of 16th-century Japanese pirate raids, a phenomenon that
gave rise to severe trade restrictions in the Ming.
A map of Japanese pirate raids along the coast of China.
Trade Ex pands
After the Chinese banned direct trade with Japan, the Portuguese
filled this commercial vacuum as intermediaries between China and
Japan. The Portuguese bought Chinese silk and sold it to the
Japanese in return for Japanese-mined silver; since silver was more
highly valued in China, the Portuguese could then use Japanese
silver to buy even larger stocks of Chinese silk. However, by 1573—
after the Spanish established a trading base in Manila—the
Portuguese intermediary trade was trumped by the prime source of
incoming silver to China from the Spanish Americas. Although it is
unknown just how much silver flowed from the Philippines to China,
it is known that the main port for the Mexican silver trade—Acapulco
—shipped between 150,000 and 345,000 kg (4 to 9 million taels) of
silver annually from 1597 to 1602.
Although the bulk of imports to China were silver, the Chinese also
purchased New World crops from the Spanish Empire. This included
sweet potatoes, maize, and peanuts, foods that could be cultivated
in lands where traditional Chinese staple crops—wheat, millet, and
rice—couldn't grow, hence facilitating a rise in the population of
China. In the Song dynasty (960–1279), rice had become the major
staple crop of the poor; after sweet potatoes were introduced to
China around 1560, they gradually became the traditional food of the
lower classes. The Ming also imported many European firearms in
order to ensure the modernness of their weapons.
The beginning of relations between the Spanish and Chinese were

much warmer than when the Portuguese were first given a reception
in China. In the Philippines, the Spanish defeated the fleet of the
infamous Chinese pirate Limahong in 1575, an act greatly
appreciated by the Ming admiral who had been sent to capture
Limahong. In fact, the Chinese admiral invited the Spanish to board
his vessel and travel back to China, beginning a trip that included
two Spanish soldiers and two Christian friars eager to spread the
faith. However, the friars returned to the Philippines after it became
apparent that their preaching was unwelcome; Matteo Ricci would
fare better in his trip of 1582. The Augustinian monk Juan Gonzáles
de Mendoza wrote an influential work on China in 1585, remarking
that the Ming dynasty was the best-governed kingdom he was aware
of in the known world.
The thriving of trade and commerce was aided by the construction of

canals, roads, and bridges by the Ming government. The Ming saw
the rise of several merchant clans such as the Huai and Jin, who
disposed of large amounts of wealth. The gentry and merchant
classes started to fuse, and the merchants gained power at the
expense of the state. Some merchants were reputed to have a
treasure of 30 million taels.
Matteo Ricci map

Map of East Asia by the Italian Jesuit Matteo Ricci in 1602; Ricci
(1552–1610) was the first European allowed into the Forbidden City.
He taught the Chinese how to construct and play the spinet,
translated Chinese texts into Latin and vice versa, and worked
closely with his Chinese associate X u Guangqi (1562–1633) on
mathematical work.
A map of East Asia made by Matteo Ricci.
14.4.4: Art under the Ming Dynasty

Literature, poetry, and painting flourished during the Ming dynasty,
especially in the economically prosperous lower Yangtze valley.
Learning Objective
Describe some of the artwork characteristic of the Ming dynasty
Key Points
One major innovation during the Ming period was the vernacular
novel, written in a form of Chinese readable to an audience
much larger than the elite literati and incorporating themes
outside the norms of Confucian court styles.
Informal essays, travel writing, and private newspapers also
thrived during the Ming period.
During the Ming, classical forms of painting continued, and new
schools of painting flourished.
Well-known Ming artists could make a living simply by painting
due to the high prices they charged for their artworks and the
great demand by the highly cultured community to collect
precious works of art.
The period was also renowned for ceramics and porcelains,
which were sought around the world, and gave rise to many
scammers and imitators.
Key Terms
calligraphy
A visual art related to writing; the design and execution of

lettering with a broad-tip brush, among other writing instruments.
vernacular

variety of the language.
Literature and Poetry

Short fiction had been popular in China as far back as the Tang
dynasty (618–907), and the works of contemporaneous Ming authors
such as X u Guangqi, X u X iake, and Song Yingxing were often
technical and encyclopedic, but the most striking literary
development during the Ming period was the vernacular novel. While
the gentry elite were educated enough to fully comprehend the
language of classical Chinese, those with rudimentary educations—
such as women in educated families, merchants, and shop clerks—
became a large potential audience for literature and performing arts
that employed vernacular Chinese. Literati scholars edited or
developed major Chinese novels into mature form in this period,
such as W ater Margin and J ourney to the W est. J in Ping Mei,
published in 1610, though it incorporated earlier material, exemplifies
the trend toward independent composition and concern with
psychology. In the later years of the dynasty, Feng Menglong and
Ling Mengchu innovated with vernacular short fiction. Theater scripts
were equally imaginative. The most famous script, The Peony
Pavilion, was written by Tang X ianzu (1550–1616), and had its first
performance at the Pavilion of Prince Teng in 1598.
Informal essay and travel writing was another highlight of Ming

literature. X u X iake (1587–1641), a travel literature author, published
his Travel Diaries in 404,000 written characters, with information on
everything from local geography to mineralogy. In contrast to X u
X iake, who focused on technical aspects in his travel literature, the
Chinese poet and official Yuan Hongdao (1568–1610) used travel
literature to express his desires for individualism, as well as
autonomy from and frustration with Confucian court politics. Yuan
desired to free himself from the ethical compromises that were
inseparable from the career of a scholar-official. This anti-official
sentiment in Yuan's travel literature and poetry was actually following
in the tradition of the Song dynasty poet and official Su Shi (1037–
1101). Yuan Hongdao and his two brothers, Yuan Zongdao (1560–
1600) and Yuan Zhongdao (1570–1623), were the founders of the
Gong'an School of letters. This highly individualistic school of poetry
and prose was criticized by the Confucian establishment for its
association with intense sensual lyricism, which was also apparent in
Ming vernacular novels such as the J in Ping Mei. Yet even the
gentry and scholar-officials were affected by the new popular
romantic literature, seeking courtesans as soulmates to reenact the
heroic love stories that arranged marriages often could not provide
or accommodate.
The first reference to the publishing of private newspapers in Beijing

was in 1582; by 1638 the Beij ing G az ette switched from using
woodblock print to movable type printing. The new literary field of the
moral guide to business ethics was developed during the late Ming
period for the readership of the merchant class.
Painting
Famous painters included Ni Zan and Dong Qichang, as well as the
Four Masters of the Ming dynasty, Shen Zhou, Tang Yin, Wen
Zhengming, and Qiu Ying. They drew upon the techniques, styles,
and complexity in painting achieved by their Song and Yuan
predecessors, but added techniques and styles. Well-known Ming
artists could make a living simply by painting due to the high prices
they charged for their artworks and the great demand by the highly
cultured community to collect precious works of art. The artist Qiu
Ying was once paid 100 oz of silver to paint a long hand-scroll for the
eightieth birthday celebration of the mother of a wealthy patron.
Renowned artists often gathered an entourage of followers, some
who were amateurs who painted while pursuing an official career,
and others who were full-time painters.
The painting techniques that were invented and developed before

the Ming period became classical during it. More colors were used in
painting during the Ming dynasty; seal brown became much more
widely used, and even over-used. Many new painting skills and
techniques were innovated and developed; calligraphy was much
more closely and perfectly combined with the art of painting. Chinese
painting reached another climax in the mid- and late-Ming. Painting
was derived in a broad scale, many new schools were born, and
many outstanding masters emerged.
Chen Hongshou painting from the

Ming period
Painting of flowers, a butterfly, and rock sculpture by Chen
Hongshou (1598–1652); small leaf album paintings like this one first
became popular in the Song dynasty.
A painting of the Ming period, featuring several flowers in bloom

around a twisted piece of rock, a butterfly and calligraphy.
Pottery
The period was also renowned for ceramics and porcelains. The
major production centers for porcelain were the imperial kilns at
Jingdezhen in Jiangxi province and Dehua in Fujian province. The
Dehua porcelain factories catered to European tastes by creating
Chinese export porcelain by the 16th century. Individual potters also
became known, such as He Chaozong, who became famous in the
early 17th century for his style of white porcelain sculpture. The
ceramic trade thrived in Asia; Chuimei Ho estimates that about 16%
of late Ming era Chinese ceramic exports were sent to Europe, while
the rest were destined for Japan and South East Asia.
Carved designs in lacquerware and designs glazed onto porcelain

wares displayed intricate scenes similar in complexity to those in
painting. These items could be found in the homes of the wealthy,
alongside embroidered silks and wares in jade, ivory, and cloisonné .
The houses of the rich were also furnished with rosewood furniture
and feathery latticework. The writing materials in a scholar's private
study, including elaborately carved brush holders made of stone or
wood, were designed and arranged ritually to give an aesthetic
appeal.
Connoisseurship in the late Ming period centered on these items of

refined artistic taste, which provided work for art dealers and even
underground scammers who themselves made imitations and false
attributions. The Jesuit Matteo Ricci, while staying in Nanjing, wrote
that Chinese scam artists were ingenious at making forgeries and
thus huge profits. However, there were guides to help the wary new
connoisseurs; Liu Tong (d. 1637) wrote a book printed in 1635 that
told his readers how to spot fake and authentic pieces of art. He
revealed that a X uande-era (1426–1435) bronzework could be
authenticated by judging its sheen; porcelain wares from the Yongle
era (1402–1424) could be judged authentic by their thickness.
Ming pottery
Ming dynasty X uande mark and period (1426–35) imperial blue and
white vase. Metropolitan Museum of Art, New York.
A photo of a blue and white small vase from the Ming period.
14.4.5 : Fall of the Ming Dynasty

The fall of the Ming dynasty was caused by a combination of factors,
including an economic disaster due to lack of silver, a series of
natural disasters, peasant uprisings, and finally attacks by the
Manchu people.
Learning Objective
Explain why the Ming dynasty eventually fell from power
Key Points
During the last years of the Wanli Emperor's reign and the
reigns of his two successors, an economic crisis developed that
was centered around a sudden widespread lack of the empire's
chief medium of exchange: silver.
In this early half of the 17th century, famines became common
in northern China, and the central government did little to relieve
the populations, leading to widespread discontent among the
people.
The Manchu, formerly called the Jurchen people, rose to power
under the leadership of a tribal leader named Nurhaci, who
commissioned a document titled the Seven Grievances,
essentially a declaration of war against the Ming.
Peasant and soldier uprising under the leadership of Li Zicheng
weakened the government and army of the Ming.
The last Ming emperor, the Chongzhen Emperor, hanged
himself on a tree in the imperial garden outside the Forbidden
City.
Li Zicheng, who had attempted to start a new Shun dynasty,
was eventually defeated by the Manchu army, who founded the
Qing dynasty.
Key Terms
Forbidden City
The Chinese imperial palace from the Ming dynasty to the end
of the Qing dynasty—the years 1420 to 1912—in Beijing.
Wanli Emperor
The 13th emperor of the Ming dynasty of China; his reign of

forty-eight years (1572–1620) was the longest of the Ming
dynasty, and it witnessed the steady decline of the dynasty.
Manchu
A Chinese ethnic minority, formerly the Jurchen people, who

founded the Qing dynasty.
Economic Breakdown
During the last years of the Wanli Emperor's reign and the reigns of
his two successors, an economic crisis developed that was centered
around a sudden widespread lack of the empire's chief medium of
exchange: silver. The Protestant powers of the Dutch Republic and
the Kingdom of England were staging frequent raids and acts of
piracy against the Catholic-based empires of Spain and Portugal in
order to weaken their global economic power. Meanwhile, Philip IV of
Spain (r. 1621–1665) began cracking down on illegal smuggling of
silver from Mexico and Peru across the Pacific towards China, in
favor of shipping American-mined silver directly from Spain to
Manila. In 1639, the new Tokugawa regime of Japan shut down most
of its foreign trade with European powers, causing a halt of yet
another source of silver coming into China. However, while
Japanese silver still came into China in limited amounts, the greatest
stunt to the flow of silver came from the Americas.
These events occurring at roughly the same time caused a dramatic

spike in the value of silver and made paying taxes nearly impossible
for most provinces. People began hoarding precious silver, forcing
the ratio of the value of copper to silver into a steep decline. In the
1630s, a string of one thousand copper coins was worth an ounce of
silver; by 1640 it was reduced to the value of half an ounce; by 1643
it was worth roughly one-third of an ounce. For peasants this was an
economic disaster, since they paid taxes in silver while conducting
local trade and selling their crops with copper coins.
Natural Disasters
In this early half of the 17th century, famines became common in
northern China because of unusual dry and cold weather that
shortened the growing season; these were effects of a larger
ecological event now known as the Little Ice Age. Famine, alongside
tax increases, widespread military desertions, a declining relief
system, natural disasters such as flooding, and the inability of the
government to properly manage irrigation and flood-control projects,
caused widespread loss of life and normal civility. The central
government was starved of resources and could do very little to
mitigate the effects of these calamities. Making matters worse, a
widespread epidemic spread across China from Zhejiang to Henan,
killing a large but unknown number of people. The famine and
drought in the late 1620s and the 1630s contributed to the rebellions
that broke out in Shaanxi led by rebel leaders such as Li Zicheng
and Zhang X ianzhong.
The Qing Conquest of Ming:

Rebellion, Invasion, Collapse
The Qing conquest of the Ming was a period of conflict between the
Qing dynasty, established by the Manchu clan Aisin Gioro in
Manchuria (contemporary Northeastern China), and the ruling Ming
dynasty of China. The Manchu, formerly called the Jurchen people,
had risen to power under the leadership of a tribal leader named
Nurhaci. Leading up to the Qing conquest, in 1618 Nurhaci
commissioned a document titled the Seven Grievances, which
enumerated resentments against the Ming and bespoke rebellion
against their domination. Many of the grievances dealt with conflicts
against Yehe, which was a major Manchu clan, and Ming favoritism
of Yehe. Nurhaci's demand that the Ming pay tribute to him to
redress the Seven Grievances was effectively a declaration of war,
as the Ming were not willing to pay money to a former tributary.
Shortly afterwards, Nurhaci began to force the Ming out of Liaoning
in southern Manchuria.
Nurhaci of the Manchu
Nurhaci's conquest of Ming China's northeastern Liaoning province
laid the groundwork for the conquest of the rest of China by his
descendants, who founded the Qing dynasty in 1644.
A painted portrait of Nurhaci in golden robe atop an ornamented

throne.
At the same time, the Ming dynasty was fighting for its survival
against fiscal turmoil and peasant rebellions. In 1640, masses of
Chinese peasants who were starving, unable to pay their taxes, and
no longer in fear of the frequently defeated Chinese army, began to
form into huge bands of rebels. The Chinese military, caught
between fruitless efforts to defeat the Manchu raiders from the north
and huge peasant revolts in the provinces, essentially fell apart. On
April 24, 1644, Beijing fell to a rebel army led by Li Zicheng, a former
minor Ming official who became the leader of the peasant revolt and
then proclaimed the Shun dynasty. The last Ming emperor, the
Chongzhen Emperor, hanged himself on a tree in the imperial
garden outside the Forbidden City. When Li Zicheng moved against
him, the Ming general Wu Sangui shifted his alliance to the
Manchus. Li Zicheng was defeated at the Battle of Shanhai Pass by
the joint forces of Wu Sangui and the Manchu Prince Dorgon. On
June 6, the Manchus and Wu entered the capital and proclaimed the
young Shunzhi Emperor as Emperor of China.
Battle of Shanhai Pass
A drawing of the mountainous battlegrounds of the decisive Battle of
Shanhai Pass.
A drawing of the battlegrounds in the decisive Battle of Shanhai

Pass in the mountains.
The Kangxi Emperor ascended the throne in 1661, and in 1662 his
regents launched the Great Clearance to defeat the resistance of
Ming loyalists in South China. He fought off several rebellions, such
as the Revolt of the Three Feudatories led by Wu Sangui in southern
China starting in 1673, and then countered by launching a series of
campaigns that expanded his empire. In 1662, Zheng Chenggong
founded the Kingdom of Tungning in Taiwan, a pro-Ming dynasty
state with a goal of reconquering China. However, the Kingdom of
Tungning was defeated in the Battle of Penghu by Han Chinese
admiral Shi Lang, who had also served under the Ming.
The fall of the Ming dynasty was caused by a combination of factors.

Kenneth Swope argues that one key factor was deteriorating
relations between Ming royalty and the Ming empire's military
leadership. Other factors include repeated military expeditions to the
North, inflationary pressures caused by spending too much from the
imperial treasury, natural disasters, and epidemics of disease.
Contributing further to the chaos was the peasant rebellion in Beijing
in 1644 and a series of weak emperors. Ming power would hold out
in what is now southern China for years, but eventually would be
overtaken by the Manchus.
Attributions
Rise of the Ming Dynasty
"Ming dynasty." https://en.wikipedia.org/wiki/Ming_dynasty.
"Hongwu Emperor."
https://en.wikipedia.org/wiki/Hongwu_Emperor. Wikipedia
CC BY-SA 3.0.
"History of the Ming dynasty."
https://en.wikipedia.org/wiki/History_of_the_Ming_dynasty.
"Hongwu1.jpg."
https://commons.wikimedia.org/wiki/File:Hongwu1.jpg.
The Economy under the Ming Dynasty
"Economy of the Ming dynasty."
https://en.wikipedia.org/wiki/Economy_of_the_Ming_dynast
y. Wikipedia CC BY-SA 3.0.
"Hongwu Emperor."
https://en.wikipedia.org/wiki/Hongwu_Emperor. Wikipedia
CC BY-SA 3.0.
"440px-Ch'iu_Ying_001.jpg."
https://commons.wikimedia.org/wiki/File:Ch%27iu_Ying_00
The Role of Foreign Trade
"Haijin." https://en.wikipedia.org/wiki/Haijin. Wikipedia CC
BY-SA 3.0.
"Economy of the Ming dynasty."
https://en.wikipedia.org/wiki/Economy_of_the_Ming_dynast
https://en.wikipedia.org/wiki/History_of_the_Ming_dynasty.
"Wokou.jpg."
https://commons.wikimedia.org/wiki/File:Wokou.jpg.
"1024px-Matteo_Ricci_Far_East_1602_Larger.jpg."
https://commons.wikimedia.org/wiki/File:Matteo_Ricci_Far_
East_1602_Larger.jpg. Wikimedia Public domain.
Art under the Ming Dynasty
"Ming dynasty painting."
https://en.wikipedia.org/wiki/Ming_dynasty_painting.
"1280px-Chen_Hongshou,_leaf_album_painting.jpg."
https://commons.wikimedia.org/wiki/File:Chen_Hongshou,_l
eaf_album_painting.jpg. Wikimedia Public domain.
"800px-thumbnail.jpg."
https://commons.wikimedia.org/wiki/File:Ming_dynasty_X ua
nde_mark_and_period_(1426%E2%80%9335)_imperial_bl
ue_and_white_vase,_from_The_Metropolitan_Museum_of_
Art._%E6%98%8E%E5%AE%A3%E5%BE%B7_%E6%99
%AF%E5%BE%B7%E9%8E%AE%E7%AA%AF%E9%9D
%92%E8%8A%B1%E8%B2%AB%E8%80%B3%E7%93%
B6,_%E7%BA%BD%E7%BA%A6%E5%A4%A7%E9%83%
BD%E5%8D%9A%E7%89%A9%E9%A6%86_.jpg.
Fall of the Ming Dynasty
https://en.wikipedia.org/wiki/History_of_the_Ming_dynasty#
Decline. Wikipedia CC BY-SA 3.0.
"Qing conquest of the Ming."
https://en.wikipedia.org/wiki/Qing_conquest_of_the_Ming.
"Shanhaiguan.gif."
https://commons.wikimedia.org/wiki/File:Shanhaiguan.gif.
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https://commons.wikimedia.org/wiki/File:%E6%B8%85_%E
4%BD%9A%E5%90%8D_%E3%80%8A%E6%B8%85%E5
%A4%AA%E7%A5%96%E5%A4%A9%E5%91%BD%E7%
9A%87%E5%B8%9D%E6%9C%9D%E6%9C%8D%E5%8
3%8F%E3%80%8B.jpg. Wikipedia Public domain.
15 : African Civiliz ations
15 .1: Early Africa
15 .1.1: The Bantu Migration
The Bantu expansion, or a postulated millennia-long series of
migrations of speakers of the original proto-Bantu language group,
originated from the adjoining regions of Cameroon and Nigeria about
3,000 years ago, eventually reaching South Africa around 300 CE.
Learning Objective
Explain how the Bantu Migration impacted the Swahili cultures
Key Points
The Bantu expansion is the name for a postulated millennia-long
series of migrations of speakers of the original proto-Bantu
language group. The primary evidence for this expansion has
been linguistic, namely that the languages spoken in sub-
Equatorial Africa are remarkably similar to each other.
It seems likely that the expansion of the Bantu-speaking people
from their core region in West Africa began around 1000 BCE.
The western branch possibly followed the coast and the major
rivers of the Congo system southward, reaching central Angola
by around 500 BCE.
Further east, Bantu-speaking communities had reached the
great Central African rainforest, and by 500 BCE pioneering
groups had emerged into the savannas to the south, in what are
now the Democratic Republic of the Congo, Angola, and
Zambia.
Another stream of migration, moving east by 1000 BCE, was
creating a major new population center near the Great Lakes of
East Africa. Pioneering groups had reached modern KwaZulu-
Natal in South Africa by CE 300 along the coast, and the
modern Limpopo Province (formerly Northern Transvaal) by 500
CE.
Before the expansion of farming and pastoralist African peoples,
Southern Africa was populated by hunter-gatherers and earlier
pastoralists. The Bantu expansion first introduced Bantu
peoples to Central, Southern, and Southeast Africa, regions
they had previously been absent from. The proto-Bantu
migrants in the process assimilated and/or displaced a number
of earlier inhabitants.
The relatively powerful Bantu-speaking states on a scale larger
than local chiefdoms began to emerge in the regions when the
Bantu peoples settled from the 13th century onward. By the 19th
century, groups with no previous distinction gained political and
economic prominence.
Key Terms
Bantu languages
A traditional branch of the Niger-Congo languages. It is not

known how many of them exist today, but Ethnologue counts
535 languages. They are spoken mostly east and south of
present-day Cameroon, that is, in the regions commonly known
as Central Africa, Southeast Africa, and Southern Africa.
The Bantu expansion
A postulated millennia-long series of migrations of speakers of

the original proto-Bantu language group. The primary evidence
for this expansion has been linguistic, namely that the
languages spoken in sub-Equatorial Africa are remarkably
similar to each other.
Monomatapa
A Portuguese name for the Kingdom of Mutapa, a
Shona kingdom, which stretched from the Zambezi through the
Limpopo rivers to the Indian Ocean in Southern Africa, in what
are the modern states of Zimbabwe, South Africa, Lesotho,
Swaziland, Mozambique, and parts of Namibia and Botswana,
stretching well into modern Zambia. Its founders are
descendants of the builders who constructed Great Zimbabwe.
KwaZulu-Natal
A province of South Africa that was created in 1994 when the

Zulu bantustan of KwaZulu ("Place of the Zulu" in Zulu) and
Natal Province were merged. It is located in the southeast of the
country, enjoying a long shoreline beside the Indian Ocean and
sharing borders with three other provinces and the countries of
Mozambique, Swaziland, and Lesotho.
Trekboers
Nomadic pastoralists descended from mostly Dutch colonists,

French Huguenots, and German Protestants in the Cape
Colony (founded in 1652). They began migrating into the interior
from the areas surrounding what is now Cape Town during the
late 17th century and throughout the 18th century.
Bantu Migration: Background

The Bantu expansion is the name for a postulated millennia-long
series of migrations of speakers of the original proto-Bantu language
group. The primary evidence for this expansion has been linguistic,
namely that the languages spoken in sub-Equatorial Africa are
remarkably similar to each other. Attempts to trace the exact route of
the expansion, to correlate it with archaeological evidence and
genetic evidence, have not been conclusive. Many aspects of the
expansion remain in doubt or are highly contested. The linguistic
core of the Bantu family of languages, a branch of the Niger-Congo
language family, was located in the adjoining region of Cameroon
and Nigeria. From this core, expansion began about 3,000 years
ago, with one stream going into East Africa, and other streams going
south along the African coast of Gabon, the Democratic Republic of
the Congo, and Angola, or inland along the many south-to-north
flowing rivers of the Congo River system. The expansion eventually
reached South Africa as early as 300 CE.
The Ex pansion
It seems likely that the expansion of the Bantu-speaking people from
their core region in West Africa began around 1000 BCE. Although
early models posited that the early speakers were both iron-using
and agricultural, archaeology has shown that they did not use iron
until as late as 400 BCE, though they were agricultural. The western
branch, not necessarily linguistically distinct, according to
Christopher Ehret, followed the coast and the major rivers of the
Congo system southward, reaching central Angola by around 500
BCE. Further east, Bantu-speaking communities had reached the
great Central African rainforest, and by 500 BCE, pioneering groups
had emerged into the savannas to the south, in what are now the
Democratic Republic of the Congo, Angola, and Zambia.
Another stream of migration, moving east by 1000 BCE, was

creating a major new population center near the Great Lakes of East
Africa, where a rich environment supported a dense population.
Movements by small groups to the southeast from the Great Lakes
region were more rapid, with initial settlements widely dispersed near
the coast and near rivers due to comparatively harsh farming
conditions in areas further from water. Pioneering groups had
reached modern KwaZulu-Natal in South Africa by 300 CE along the
coast, and the modern Limpopo Province (formerly Northern
Transvaal) by 500 CE.
The Bantu ex pansion
Map legend: 1 = 2000–1500 BC origin; 2 = ca.1500 BCE first
migrations; 2.a = Eastern African, 2.b = Western African; 3 = 1000–
500 BCE Urewe nucleus of Eastern African; 4–7 = southward
advance; 9= 500 BCE–0 Congo nucleus; 10 = CE 0–1000 last
phase.
The map shows that the origin of Bantu speakers was near modern-
day Cameroon sometime around 2000-1500 BC. The first
migrations, which happened circa 1500 BC, moved the Bantu both to
Eastern Africa and Western Africa. The Urewe nucleus of Bantu
speakers was near modern-day Uganda sometime around 1000-500
BC. From there, the Bantu speakers move southward. The Congo
nucleus of Bantu speakers was near modern-day Democratic
Republic of the Congo sometime around 500 BC - 0. From there, the
Bantu-speakers moved southward sometime around AD 0 -1000.
Effects of the Bantu Migration

Archaeological, linguistic, genetic, and environmental evidence all
support the conclusion that the Bantu expansion was a long process
of multiple human migrations. Before the expansion of farming and
pastoralist African peoples, Southern Africa was populated by
hunter-gatherers and earlier pastoralists. The Bantu expansion first
introduced Bantu peoples to Central, Southern, and Southeast
Africa, regions they had previously been absent from. The proto-
Bantu migrants in the process assimilated and/or displaced a
number of earlier inhabitants that they came across, including
Pygmy and Khoisan populations in the center and south,
respectively. They also encountered some Afro-Asiatic outlier groups
in the southeast, who had migrated down from Northeast Africa.
In Eastern and Southern Africa, Bantu speakers may have adopted

livestock husbandry from other unrelated Cushitic- and Nilotic-
speaking peoples they encountered. Herding practices reached the
far south several centuries before Bantu-speaking migrants did.
Between the 13th and 15th centuries, the relatively powerful Bantu-
speaking states on a scale larger than local chiefdoms began to
emerge in the Great Lakes region, in the savanna south of the
Central African rainforest, and on the Zambezi river where the
Monomatapa kings built the famous Great Zimbabwe complex. Such
processes of state-formation occurred with increasing frequency
from the 16th century onward. This was probably due to denser
populations, which led to more specialized divisions of labor,
including military power, while making outmigration more difficult.
Other factors included increased trade among African communities
and with European and Arab traders on the coasts, technological
developments in economic activity, and new techniques in the
political-spiritual ritualization of royalty as the source of national
strength and health.
By the time Great Zimbabwe had ceased being the capital of a large
trading empire, speakers of Bantu languages were present
throughout much of Southern Africa. Two main groups developed—
the Nguni (X hosa, Zulu, Swazi), who occupied the eastern coastal
plains, and the Sotho-Tswana, who lived on the interior plateau.
In the late 18th and early 19th centuries, two major events occurred.
The Trekboers were colonizing new areas of Southern Africa,
moving northeast from the Cape Colony, and they came into contact
with the X hosa, the Southern Nguni. At the same time the area in
modern-day KwaZulu-Natal was populated by dozens of small clans,
one of which was the Zulu, then a particularly small clan of no local
distinction whatsoever. In 1816, Shaka, one of the most influential
monarchs of the Zulu Kingdom, acceded to the Zulu throne. Within a
year he had conquered the neighboring clans and had made the
Zulu into the most important ally of the large Mtetwa clan, which was
in competition with the Ndwandwe clan for domination of the
northern part of modern-day KwaZulu-Natal.
Currently, 300-600 ethnic groups in Africa speak Bantu languages

and are categorized as Bantu peoples. It is not known how many
Bantu language exist today, but Ethnologue counts 535. They are
spoken mostly east and south of present-day Cameroon, that is, in
the regions commonly known as Central Africa, Southeast Africa,
and Southern Africa. Parts of the Bantu area include languages from
other language families.
Attributions
The Bantu Migration
"Kingdom of Mutapa."
https://en.wikipedia.org/wiki/Kingdom_of_Mutapa.
"Bantu expansion."
https://en.wikipedia.org/wiki/Bantu_expansion. Wikipedia
CC BY-SA 3.0.
"Shaka." https://en.wikipedia.org/wiki/Shaka. Wikipedia CC
BY-SA 3.0.
"Bantu languages."
https://en.wikipedia.org/wiki/Bantu_languages. Wikipedia
CC BY-SA 3.0.
"KwaZulu-Natal." https://en.wikipedia.org/wiki/KwaZulu-
Natal. Wikipedia CC BY-SA 3.0.
"Trekboer." https://en.wikipedia.org/wiki/Trekboer. Wikipedia
CC BY-SA 3.0.
"Bantu peoples."
https://en.wikipedia.org/wiki/Bantu_peoples. Wikipedia CC
BY-SA 3.0.
"Bantu_Phillipson.png."
https://commons.wikimedia.org/wiki/File:Bantu_Phillipson.p
ng. Wikimedia Public domain.
15 .2: Northern Africa
15 .2.1: Post-Byz antine Egypt
The Muslim conquest of Egypt took place shortly after Muhammad's
death, but it was three centuries later, under the Fatimid Caliphate,
that the region became the center of the Islamic world.
Learning Objective
Discuss the effects of the Islamic conquest on Egypt
Key Points
At the onset of the Muslim conquest of North Africa, Egypt was
part of the Byzantine/Eastern Roman Empire, with the capital in
Constantinople. The province held strategic importance for its
grain production and naval yards, and as a base for further
conquests in Africa.
In 639, Rashidun troops led by Amr ibn al-As were sent to
conquer Egypt. The Rashidun army crossed into Egypt from
Palestine and advanced rapidly into the Nile Delta. The Muslim
forces eventually defeated a Byzantine army at the 640 Battle of
Heliopolis. Alexandria and the Thebaid surrendered shortly after
that.
Following the first surrender of Alexandria, Amr chose a new
site to settle his men, near the location of the Byzantine fortress
of Babylon. The new settlement was called Fustat, and quickly
became the focal point of Islamic Egypt.
The main pillar of the early Muslim rule and control in the
country was the military force, or j und, provided by the Arab
settlers. These were initially the men who had followed Amr and
participated in the conquest.
The Fatimid Caliphate conquered Egypt in 969, founding a new
capital in Cairo, which was intended as a royal enclosure for the
Fatimid caliph and his army. Under Fatimid rule, Egypt became
the center of the caliphate.
Under Fatimid rule, Egypt flourished economically and and
culturally, attracting scholars and thinkers from across the world
and becoming the center of intellectual debates and freedom of
expression.
Key Terms
The Fatimid Caliphate
An Ismaili Shia Islamic caliphate that spanned a large area of

North Africa, from the Red Sea in the east to the Atlantic Ocean
in the west. The dynasty ruled across the Mediterranean coast
of Africa, and it was under its rule that Egypt became the center
of the caliphate. At its height the caliphate included, in addition
to Egypt, varying areas of the Maghreb, Sudan, Sicily, the
Levant, and Hijaz.
Byzantine/Eastern Roman Empire
The continuation of the Roman Empire in the East during Late

Constantinople (modern-day Istanbul, originally founded as
Byzantium). It survived the fragmentation and fall of the Western
Roman Empire in the 5th century CE and continued to exist for
an additional thousand years until it fell to the Ottoman Turks in
1453.
mamluk
An Arabic designation for slaves. While they were purchased,

their status was above ordinary slaves, who were not allowed to
carry weapons or perform certain tasks. They eventually formed
a powerful military caste.
Copts
An ethno-religious group situated in North Africa and the Middle

East, mainly in the area of modern Egypt, where they are the
largest Christian denomination. They are also the largest
Christian denomination in Sudan and Libya. Historically they
spoke the Coptic language, a direct descendant of the Demotic
Egyptian spoken in the Roman era, but it has been near-extinct
and mostly limited to liturgical use since the 18th century. They
now speak Arabic.
The Rashidun Caliphat
The Islamic caliphate in the earliest period of Islam, comprising

the first four caliphs—the "Rightly Guided" caliphs. It was
founded after Muhammad's death in 632 (year 11 AH in the
Islamic calendar). At its height, the caliphate controlled an
empire from the Arabian Peninsula and the Levant to the
Caucasus in the north, North Africa from Egypt to present-day
Tunisia in the west, and the Iranian plateau to Central Asia in
the east.
caliphate
An area containing an Islamic steward known as a caliph—a

person considered a religious successor to the Islamic prophet
Muhammad and a leader of the entire Muslim
community. During the history of Islam after the
Rashidun period, many Muslim states, almost all of them
hereditary monarchies, have claimed the right to be defined as
such.
Egypt in the Byz antine Empire

At the onset of the Muslim conquest of North Africa, Egypt was part
of the Byzantine/Eastern Roman Empire, with the capital in
Constantinople. The province held strategic importance for its grain
production and naval yards, and as a base for further conquests in
Africa. Shortly before the Muslim conquest, Egypt had been
conquered by the Persian Empire (619–629). However, Emperor
Heraclius re-captured it after a series of campaigns against the
Sassanid Persians, only to lose it to the Muslim Rashidun army ten
years later. Before the Muslim conquest of Egypt began, the
Byzantines had already lost the Levant and their Arab ally, the
Ghassanid Kingdom, to the Muslims. All of this left the Byzantine
Empire dangerously exposed and vulnerable.
Rashidun Conquest
The Rashidun Caliphate was the Islamic caliphate in the earliest
period of Islam, comprising the first four caliphs. It was founded after
Muhammad's death in 632 (year 11 AH in the Islamic calendar). At
its height, the caliphate controlled an empire from the Arabian
Peninsula and the Levant to the Caucasus in the north, North
Africa from Egypt to present-day Tunisia in the west, and the Iranian
plateau to Central Asia in the east. Caliph Umar conquered more
than 2,200,000 km² area in less than ten years and is known as the
most powerful caliph in the history of Islam.
In 639, some 4,000 Rashidun troops led by Amr ibn al-As were sent
by Umar to conquer the land of the ancient pharaohs. The Rashidun
army crossed into Egypt from Palestine and advanced rapidly into
the Nile Delta. The imperial garrisons retreated into the walled
towns, where they successfully held out for a year or more. But the
Muslims sent for reinforcements and the invading army, joined by
another 12,000 men in 640, defeated a Byzantine army at the Battle
of Heliopolis. Amr next proceeded in the direction of Alexandria,
which was surrendered to him by a treaty signed in November 641.
The Thebaid seems to have surrendered with scarcely any
opposition.
Empire of the Rashidun Caliphate at
its peak
The Rashidun Caliphate expanded gradually. Within the span of
twenty-four years of conquest, a vast territory was conquered
comprising Mesopotamia, the Levant, parts of Anatolia, and most of
the Sasanian Empire. Unlike the Sasanian Persians, the Byzantines,
after losing Syria, retreated back to Anatolia. As a result, they also
lost Egypt to the invading Rashidun army.
Today, the Rashidun Calipate is part of 30 countries: Afghanistan,

Armenia, Azerbaijan, Bahrain, Cyprus, Egypt, Georgia, Iran, Iraq,
Israel, Italy, Jordan, Kuwait, Lebanon, Libya, Oman, Pakistan,
Palestine, Qatar, Russia, Saudi Arabia, Sudan, Syria, Tajikistan,
Tunisia, Turkey, Turkmenistan, United Arab Emirates, Uzbekistan,
and Yemen.
Early Islamic Egypt

Following the first surrender of Alexandria, Amr chose a new site to
settle his men, near the location of the Byzantine fortress of Babylon.
The new settlement was called Fustat. Fustat quickly became the
focal point of Islamic Egypt and—with the exception of the brief
relocation to Hulwan during a plague in 689, and the period of 750–
763, when the seat of the governor moved to Askar—the capital and
residence of the administration. After the conquest, the country was
initially divided in two provinces, Upper Egypt and Lower Egypt with
the Nile Delta. In 643/4, however, Caliph Uthman appointed a single
governor, resident at Fustat, with jurisdiction over all of Egypt. The
governor would in turn nominate deputies for Upper and Lower
Egypt. Alexandria remained a distinct district, reflecting both its role
as the country's shield against Byzantine attacks and as the major
naval base.
The main pillar of the early Muslim rule and control in the country
was the military force, or j und, provided by the Arab settlers. These
were initially the men who had followed Amr and participated in the
conquest. The followers of Amr were mostly drawn from the Yamani.
Although limited in number, they held many privileges and a
protected status of prestige.
In return for a tribute of money and food for the occupying troops, the
Christian inhabitants of Egypt were excused from military service
and left free in the observance of their religion and the administration
of their affairs. Conversions of Copts to Islam were at first rare, and
the old system of taxation was maintained for the greater part of the
first Islamic century.
Egypt under the Fatimid

Caliphate
The Fatimid Caliphate was an Ismaili Shia Islamic caliphate that
spanned a large area of North Africa, from the Red Sea in the east to
the Atlantic Ocean in the west. The dynasty ruled across the
Mediterranean coast of Africa and it was under its rule that Egypt
became the center of the caliphate. At its height the caliphate
included, in addition to Egypt, varying areas of the Maghreb, Sudan,
Sicily, the Levant, and Hijaz.
The Fatimid general Jawhar conquered Egypt in 969 and built a new
palace city there, near Fusṭ at, founding a new capital in Cairo in 969.
Cairo was intended as a royal enclosure for the Fatimid caliph and
his army, though the actual administrative and economic capital of
Egypt was in Fustat until 1169. Egypt flourished and the Fatimids
developed an extensive trade network in both the Mediterranean and
the Indian Ocean. Their trade and diplomatic ties extended all the
way to China and its Song dynasty, which eventually determined the
economic course of Egypt during the High Middle Ages. The Fatimid
focus on long-distance trade was accompanied by a lack of interest
in agriculture and a neglect of the Nile irrigation system.
Unlike western European governments in the era, advancement in

Fatimid state offices was based more on merit than on heredity.
Members of other branches of Islam, like the Sunnis, were just as
likely to be appointed to government posts as Shiites. Tolerance was
extended to non-Muslims such as Christians and Jews, who
occupied high levels in government based on ability. Religious
tolerance was set into place also to ensure the flow of money from
all those who were non-Muslims in order to finance the caliphs' large
army of mamluks (an Arabic designation for slaves) brought in from
Circassia by Genoese merchants. Over time, mamluks became a
powerful military knightly caste, not only in Egypt. In some cases,
they attained the rank of sultan, while in others they held regional
power.
An Egyptian Mamluk warrior in full
armor and armed with lance,
shield, sabre, and pistols; Georg
Moritz Ebers ( 18 37 -18 98 ) , Picturesq ue
E gyp t, Vol. II ( 18 7 8 ) .
In the Middle Ages, soon after the mamluks took up the practice of
chivalry, or furusiyya in Arabic, they came to be known as knights (or
faris in Arabic), though un-free until after their service. The faris were
trained in the use of various weapons and in wrestling. Their martial
art skills were to be honed first on foot and then perfected when
mounted. They were popularly used as heavy knightly cavalry by a
number of different Islamic kingdoms and empires.
Intellectual life in Egypt during the Fatimid period advanced greatly,
with many scholars living in or visiting Egypt and having easy access
to sophisticated libraries. Fatimid caliphs gave prominent positions to
scholars in their courts, encouraged scholarship, and established
libraries in their palaces. Perhaps the most significant feature of
Fatimid rule was the freedom of thought, provided that no one
infringed on the rights of others. The Fatimids reserved separate
pulpits for different Islamic sects, where the scholars expressed their
various ideas. They offered patronage to scholars and invited them
from all over the world, even when their beliefs conflicted with their
own. From the perspective of these developments, the history of the
Fatimids is the history of knowledge, literature, and philosophy. The
period is also known for producing exquisite art and architecture.
During the late 11th century and the twelfth century, the Fatimid
Caliphate declined rapidly, and in 1171 Saladin invaded their
territory. He founded the Ayyubid dynasty and incorporated the
Fatimid state into the Abbasid Caliphate.
15 .2.2: Islamic Conquest of the

Maghreb
The Islamic conquest of the Maghreb region took place largely under
the Umayyad Caliphate (661–750), which at the peak of its influence
ruled one of the vastest empires ever to exist.
Learning Objective
Discuss the effects the Islamic conquest of the Maghreb had on the
area
Key Points
The Muslim conquest of North Africa continued the century of
rapid Arab Muslim military expansion following the death of
Muhammad in 632. The conquest of the Maghreb region (more
or less west of Egypt) took place largely under the Umayyad
Caliphate (661–750).
The Umayyad regime was founded by Muawiya ibn Abi
Sufyan in 661. Syria was the Umayyads' main power base, and
Damascus was their capital. The Umayyads continued the
Muslim conquests, creating one of the vastest empires in human
history.
The Arabs reached the Maghreb in early Umayyad times.
Departing from Damascus, Arab forces marched into North
Africa, and in 670 the city of Kairouan (south of modern Tunis)
was established as a refuge and base for further operations.
By 698, the Arabs had taken most of North Africa from the
Byzantines. The area was divided into three provinces: Egypt
with its governor at al-Fustat, Ifriqiya with its governor at
Kairouan, and the Maghreb (modern Morocco) with its governor
at Tangiers. Arab forces were able to capture Carthage in 698
and Tangiers by 708.
Arab expansion and the spread of Islam into the Maghreb
pushed the development of trans-Saharan trade. Though
restricted due to the cost and dangers, the trade was highly
profitable.
The conventional historical view that the conquest of North
Africa by the Umayyad Caliphate effectively ended Christianity
in Africa for several centuries has been recently questioned by
historians who found evidence that Christianity persisted in the
region for centuries after the completion of the Arab conquest.
Key Terms
Berbers
An ethnic group indigenous to North Africa. They are distributed

in an area stretching from the Atlantic Ocean to the Siwa
Oasis in Egypt, and from the Mediterranean Sea to the Niger
River. Historically, they spoke Berber languages, which together
form the Berber branch of the Afro-Asiatic family. Since the
Muslim conquest of North Africa in the 7th century, a large
number of them inhabiting the Maghreb have acquired different
degrees of knowledge of varieties of the languages of North
Africa.
caliphate
An area containing an Islamic steward known as a caliph—a

person considered a religious successor to the Islamic prophet
Muhammad and a leader of the entire Muslim
community. During the history of Islam after the
Rashidun period, many Muslim states, almost all of them
hereditary monarchies, have claimed the right to be defined as
such.
The Maghreb
Much or most of the region of western North Africa or Northwest

Africa, west of Egypt. The traditional definition as the region
including the Atlas Mountains and the coastal plains of Morocco,
Algeria, Tunisia, and Libya was later superseded by the
inclusion of Mauritania and the disputed territory of Western
Sahara (mostly controlled by Morocco).
the Umayyad Caliphate

the death of Muhammad. This caliphate was centered on the
Umayyad dynasty, hailing from Mecca. The Umayyad family had
first come to power under the third caliph, Uthman ibn Affan (r.
644–656), but the Umayyad regime was founded by Muawiya
ibn Abi Sufyan, long-time governor of Syria, after the end of the
First Muslim Civil War in 661 CE/41 AH. Syria remained the
Umayyads' main power base thereafter, and Damascus was
their capital.
The Maghreb and Islam
The Maghreb is usually defined as much or most of the region of
western North Africa or Northwest Africa, west of today's Egypt. It is
important to keep in mind, however, that because of the constantly
changing borders of the first caliphates in the region, the history of
the Muslim conquest of the Maghreb is intertwined with the history of
the territories east of the border of the region that is today defined as
the Maghreb. Consequently, the history of the Muslim conquest of
the Maghreb and the history of the Muslim conquest of a greater
North African region (reaching far into the Middle East) cannot be
sharply distinguished.
The Muslim conquest of North Africa continued the century of rapid

Arab Muslim military expansion following the death of Muhammad in
632 CE. By 642, the Arabs controlled Mesopotamia, Egypt, and
Syria, had invaded Armenia, and were concluding their conquest of
the Persian Empire. It was at this point that Arab military expeditions
into North African regions west of Egypt were first launched,
continuing for years and furthering the spread of Islam. The
conquest of the Maghreb region (more or less west of Egypt) took
place largely under the Umayyad Caliphate (661–750), which was
the second of the four major Arab caliphates established after the
death of Muhammad.
The Umayyad Caliphate

The Umayyad family had first come to power under the third caliph,
Uthman ibn Affan (644–656), but the Umayyad regime was founded
by Muawiya ibn Abi Sufyan, long-time governor of Syria, after the
end of the First Muslim Civil War in 661 CE/41 AH. Syria remained
the Umayyads' main power base thereafter, and Damascus was their
capital. The Umayyads continued the Muslim conquests,
incorporating the Caucasus, Transoxiana, Sindh, the Maghreb, and
the Iberian Peninsula (Al-Andalus) into the Muslim world. At its
greatest extent, the Umayyad Caliphate covered 15 million square
kilometers (5.79 million square miles) and 62 million people (29% of
the world's population), making it the fifth largest empire in history in
both area and proportion of the world's population.
The Conquest
The Arabs reached the Maghreb in early Umayyad times. The years
665–689 saw another Arab invasion of North Africa. It began with an
army of more than 40,000 Muslims advancing through the desert to
Barca and marching to the neighborhood of Carthage (today's
Tunisia). Next came a force of 10,000 led by the Arab general Uqba
ibn Nafi and enlarged by thousands of others. Departing from
Damascus, the army marched into North Africa and in 670 the city of
Kairouan (south of modern Tunis) was established as a refuge and
base for further operations. This would become the capital of the
Islamic province of Ifriqiya, which would cover the coastal regions of
today's western Libya, Tunisia, and eastern Algeria. After this, Uqba
ibn Nafi moved forward until reaching the Atlantic coast. In his
conquest of the Maghreb, he besieged the coastal city of Bugia as
well as Tingi or Tangier, overwhelming what had once been the
traditional Roman province of Mauretania Tingitana. However, he
was stopped and partially repulsed here. Unable to occupy Tangier,
he was recalled from the coast. On his return, a Berber-Byzantine
coalition ambushed and crushed his forces near Biskra, killing Uqba
and wiping out his troops.
Meanwhile, a new civil war among rivals for the monarchy raged in
Arabia and Syria. It resulted in a series of four caliphs between the
death of Muawiya in 680 and the accession of Abd al-Malik ibn
Marwan (Abdalmalek) in 685. Strife ended only in 692, which
brought about a return of domestic order that allowed the caliph to
resume the Islamic conquest of North Africa. It began with the
renewed invasion of Ifriqiya, but the Byzantine Empire responded
with troops from Constantinople, joined by soldiers and ships from
Sicily and a powerful contingent of V isigoths from Hispania. This
forced the invading Arab army to run back to Kairouan (today's
Tunisia). The following spring, however, the Arabs launched a new
assault by sea and land, forcing the Byzantines and their allies to
evacuate Carthage. The Arabs slaughtered the civilians, totally
destroyed the city, and burned it to the ground, leaving the area
desolate for the next two centuries. After the departure of the main
force of the Byzantines and their allies, another battle was fought
near Utica and the Arabs were again victorious, forcing the
Byzantines to leave that part of North Africa for good.
By 698, the Arabs had taken most of North Africa from the
Byzantines. The area was divided into three provinces: Egypt with its
governor at al-Fustat, Ifriqiya with its governor at Kairouan, and the
Maghreb (modern Morocco) with its governor at Tangiers. Arab
forces were able to capture Carthage in 698 and Tangiers by 708.
After the fall of Tangiers, many Berbers joined the Muslim army. In
740, Umayyad rule in the region was shaken by a major Berber
revolt. After a series of defeats, the caliphate was finally able to
crush the rebellion in 742, although local Berber dynasties continued
to drift away from imperial control from that time on.
Age of the Caliphs: [ dark
purple] Ex pansion under the Prophet
Mohammad, 622-632; [ dark
pink] Ex pansion during the
Patriarchal Caliphate, 632-661; [ dark
orange] Ex pansion during the
Umayyad Caliphate, 661-7 5 0.
The map shows that under Muhammad, the caliphate expanded to
cover most of the Arabian Peninsula from 622-632. Under the
Rashidun Caliphate, the caliphate expanded west to Libya, north to
Russia, and east to Afghanistan from 632-661. Under the Umayyad
Caliphate, the caliphate expanded west to Morocco and east to India
from 661-750.
Effects of the Arab Conquest

on the Maghreb
Arab expansion and the spread of Islam into the Maghreb pushed
the development of trans-Saharan trade. Though restricted due to
the cost and dangers, the trade was highly profitable. Commodities
traded included such goods as salt, gold, and ivory. Slaves were also
transferred. Arab control over the Maghreb was quite weak. V arious
Islamic variations, such as the Ibadis and the Shia, were adopted by
some Berbers, often leading to scorning of caliph control in favor of
other interpretations of Islam. The Arabic language became
widespread only later.
The conventional historical view is that the conquest of North Africa

by the Umayyad Caliphate effectively ended Christianity in Africa for
several centuries. The prevailing view is that the church at that time
lacked the backbone of a monastic tradition and was still suffering
from the aftermath of heresies, and that this contributed to the early
obliteration of the church in the present day Maghreb. However, new
scholarship has appeared that disputes these claims. There are
reports that Christianity persisted in the region from Tripolitania
(present-day western Libya) to present-day Morocco for several
centuries after the completion of the Arab conquest by 700.
15 .2.3: Nubia
Nubia, known also as the Kingdom of Kush, was one of the earliest
civilizations of ancient Northeastern Africa and home to one of the
African empires that, because of its proximity to and relations with
Egypt, remains a lesser known chapter of ancient history.
Learning Objective
Explain some of the sources of wealth that the Kingdom of Kush had
access to
Key Points
Nubia is a region along the Nile river located in what is today
northern Sudan and southern Egypt. It was one of the earliest
civilizations of ancient Northeastern Africa, with a history that
can be traced from at least 2000 BCE, and was home to one of
the African empires.
Before the 4th century, and throughout classical antiquity, Nubia
was known as Kush, or, in Classical Greek usage, included
under the name Ethiopia (Aithiopia). With the disintegration of
the New Kingdom around 1070 BCE, Kush became an
independent kingdom centered at Napata in modern central
Sudan.
Alara, a King of Kush who is the first recorded prince of Nubia,
founded the Napatan, or Twenty-fifth, Kushite dynasty at Napata
in Nubia, now the Sudan. Alara's successor, Kashta, extended
Kushite control north to Elephantine and Thebesin Upper Egypt.
Kashta's successor, Piye, seized control of Lower Egypt around
727 BCE, creating the Twenty-fifth dynasty of Egypt.
The power of the Twenty-fifth dynasty reached a climax under
Taharqa. The Nile valley empire was as large as it had been
since the New Kingdom. New prosperity revived Egyptian
culture. Religion, the arts, and architecture were restored to their
glorious Old, Middle, and New Kingdom forms. It was during the
Twenty-fifth dynasty that the Nile valley saw the first widespread
construction of pyramids (many in modern Sudan) since the
Middle Kingdom.
After brief military successes, Taharqa's successor, Tantamani,
was chased back to Nubia, and never threatened the Assyrian
Empire again. A native Egyptian ruler, Psammetichus I, was
placed on the throne as a vassal of Ashurbanipal.
Aspelta moved the capital to Meroë , considerably farther south
than Napata, possibly in 591 BCE. In about 300 BCE the move
to Meroë was made more complete when the monarchs began
to be buried there, instead of at Napata. Kush began to fade as
a power by the 1st or 2nd century CE.
Key Terms
Nubia
A region along the Nile river located in what is today northern
Sudan and southern Egypt. It was one of the earliest
civilizations of ancient Northeastern Africa, with a history that
can be traced from at least 2000 BCE, and was home to one of
the African empires. Before the 4th century, and throughout
classical antiquity, it was known as Kush, or, in Classical Greek
usage, included under the name Ethiopia (Aithiopia).
the Middle Kingdom
The period in the history of ancient Egypt between about 2000

BCE and 1700 BCE, stretching from the establishment of the
Eleventh dynasty to the end of the Twelfth dynasty, although
some writers include the Thirteenth and Fourteenth dynasties in
the Second Intermediate Period.
the Twenty-fifth dynasty
The last dynasty of the Third Intermediate Period of Ancient

Egypt. It was a line of rulers originating in the Nubian Kingdom
of Kush—in present-day northern Sudan and southern Egypt—
and most saw Napata as their spiritual homeland. They reigned
in part or all of Ancient Egypt from 760 BCE to 656 BCE. Their
reunification of Lower Egypt, Upper Egypt, and Kush (Nubia)
created the largest Egyptian empire since the New Kingdom.
They assimilated into society by reaffirming Ancient Egyptian
religious traditions, temples, and artistic forms, while introducing
some unique aspects of Kushite culture.
the Old Kingdom
The name given to the period in the 3rd millennium BCE when
Egypt attained its first continuous peak of civilization—the first of
three so-called "Kingdom" periods that mark the high points of
civilization in the lower Nile V alley (the others being the Middle
Kingdom and the New Kingdom).
Kush
An ancient Nubian kingdom situated on the confluences of the
Blue Nile, White Nile, and River Atbara in what is now the
Republic of Sudan. It was centered at Napata in its early phase.
After its King Kashta invaded Egypt in the 8th century BCE, its
emperors ruled as pharaohs of the Twenty-fifth dynasty of Egypt
for a century, until they were expelled by the Assyrians under
the rule of Esarhaddon.
the New Kingdom
The period in ancient Egyptian history between the 16th century

BCE and the 11th century BCE, covering the Eighteenth,
Nineteenth, and Twentieth dynasties of Egypt. It followed the
Second Intermediate Period and was succeeded by the Third
Intermediate Period. It was Egypt’s most prosperous time and
marked the peak of its power.
Nubia: Introduction
Nubia is a region along the Nile river located in what is today
northern Sudan and southern Egypt. It was one of the earliest
civilizations of ancient Northeastern Africa, with a history that can be
traced from at least 2000 BCE, and home to one of the African
empires. There were a number of large Nubian kingdoms throughout
the Postclassical Era, the last of which collapsed in 1504 CE, when
Nubia became divided between Egypt and the Sennar sultanate,
resulting in the Arabization of much of the Nubian population. Nubia
was again united within Ottoman Egypt in the 19th century, and
within the Kingdom of Egypt from 1899 to 1956.
Kush
Before the 4th century, and throughout classical antiquity, Nubia was
known as Kush, or, in Classical Greek usage, included under the
name Ethiopia (Aithiopia). Mentuhotep II (21st century BCE founder
of the Middle Kingdom) is recorded to have undertaken campaigns
against Kush in the 29th and 31st years of his reign. This is the
earliest Egyptian reference to Kush. The Nubian region had gone by
other names in the Old Kingdom. During the New Kingdom of Egypt,
Nubia (Kush) was an Egyptian colony, from the 16th century BCE.
With the disintegration of the New Kingdom around 1070 BCE, Kush
became an independent kingdom centered at Napata in modern
central Sudan.
Control of Egypt
Alara, a King of Kush who is the first recorded prince of Nubia,
founded the Napatan, or Twenty-fifth, Kushite dynasty at Napata in
Nubia, now the Sudan. Alara's successor Kashta extended Kushite
control north to Elephantine and Thebesin Upper Egypt. Kashta's
successor, Piye, seized control of Lower Egypt around 727 BCE,
creating the Twenty-fifth dynasty of Egypt.
Piye was defeated by the Assyrian king Shalmaneser V and then his
successor Sargon II in the 720s BCE. The power of the Twenty-fifth
dynasty reached a climax under Piye's son, Taharqa. The Nile valley
empire was as large as it had been since the New Kingdom. New
prosperity revived Egyptian culture. Religion, the arts, and
architecture were restored to their glorious Old, Middle, and New
Kingdom forms. The Nubian pharaohs built or restored temples and
monuments throughout the Nile valley, including Memphis, Karnak,
Kawa, and Jebel Barkal. It was during the 25th dynasty that the Nile
valley saw the first widespread construction of pyramids (many in
modern Sudan) since the Middle Kingdom. Writing was introduced to
Kush in the form of the Egyptian-influenced Meroitic script circa 700–
600 BCE, although it appears to have been wholly confined to the
royal court and major temples.
The Kushite Empire
A map showing the full extent of the Kushite Empire in 700 BCE.
At its peak, the Kushite Empire extended from modern-day Lebanon,

southwest to the Nile river delta, and south to modern-day Sudan
Between 674 and 671 BCE the Assyrians began their invasion of
Egypt under King Esarhaddon. Assyrian armies had been the best in
the world since the 14th century BCE, and they conquered this vast
territory with surprising speed. Taharqa was driven from power by
Esarhaddon and fled to his Nubian homeland. However, the native
Egyptian vassal rulers installed by Esarhaddon as puppets were
unable to effectively retain full control for long without Assyrian aid.
Two years later, Taharqa returned from Nubia and seized control of a
section of southern Egypt as far north as Memphis from
Esarhaddon's local vassals. Esarhaddon's successor, Ashurbanipal,
sent a Turtanu (general) with a small but well-trained army that once
more defeated Taharqa and ejected him from Egypt, and he was
forced to flee back to his homeland in Nubia, where he died two
years later.
Taharqa's successor, Tanutamun, attempted to regain Egypt. He
successfully defeated Necho, the subject ruler installed by
Ashurbanipal, taking Thebes in the process. The Assyrians, who had
a military presence in the north, then sent a large army southwards.
Tantamani was routed, and the Assyrian army sacked Thebes to
such an extent that it never truly recovered. Tantamani was chased
back to Nubia, and never threatened the Assyrian Empire again. A
native Egyptian ruler, Psammetichus I, was placed on the throne as
a vassal of Ashurbanipal.
Move to Meroë
Aspelta, a ruler of the kingdom of Kush from c. 600 to c. 580 BCE,
moved the capital to Meroë , considerably farther south than Napata,
possibly in 591 BCE. It is also possible that Meroë had always been
the Kushite capital. Historians believe that the Kushite rulers may
have chosen Meroë as their home because, unlike Napata, the
region around Meroë had enough woodlands to provide fuel for iron
working. In addition, Kush was no longer dependent on the Nile to
trade with the outside world. They could instead transport goods
from Meroë to the Red Sea coast, where Greek merchants were now
traveling extensively.
In about 300 BCE the move to Meroë was made more complete
when the monarchs began to be buried there, instead of at Napata.
One theory is that this represents the monarchs breaking away from
the power of the priests at Napata. Kushite civilization continued for
several centuries. In the Napatan period, Egyptian hieroglyphs were
used; at this time writing seems to have been restricted to the court
and temples. From the 2nd century BCE there was a separate
Meroitic writing system. This was an alphabetic script with twenty-
three signs used in a hieroglyphic form (mainly on monumental art)
and in a cursive form. The latter was widely used. So far, some 1278
texts using this version are known. The script was deciphered, but
the language behind it is still a problem, with only a few words
understood by modern scholars.
Kush began to fade as a power by the 1st or 2nd century CE,
sapped by the war with the Roman province of Egypt and the decline
of its traditional industries. Christianity began to gain over the old
pharaonic religion, and by the mid-6th century CE the Kingdom of
Kush was dissolved.
The eventual influx of Arabs and Nubians to Egypt and Sudan had
contributed to the suppression of the Nubian identity following the
collapse of the last Nubian kingdom around 1504. A major part of the
modern Nubian population became totally Arabized, and some
claimed to be Arabs. A vast majority of the Nubian population is
currently Muslim, and the Arabic language is their main medium of
communication in addition to their indigenous old Nubian language.
On account of the Kingdom of Kush's proximity to Ancient Egypt—

the first cataract at Elephantine usually being considered the
traditional border between the two polities—and because the
Twenty-fifth dynasty ruled over both states in the 8th century BCE,
from the Rift V alley to the Taurus mountains, historians have closely
associated the study of Kush with Egyptology. This is in keeping with
the general assumption that the complex sociopolitical development
of Egypt's neighbors can be understood in terms of Egyptian
models. As a result, the political structure and organization of Kush
as an independent ancient state has not received as thorough
attention from scholars, and there remains much ambiguity,
especially surrounding the earliest periods of the state.
The Nubian region today
With the end of colonialism and the establishment of the Republic of
Egypt (1953) and the secession of the Republic of Sudan from unity
with Egypt (1956), Nubia was divided between Egypt and Sudan.
During the early-1970s, many Egyptian Nubians were forcibly
resettled to make room for Lake Nasser after the construction of the
dams at Aswan. Nubian villages can now be found north of Aswan
on the west bank of the Nile and on Elephantine Island, and many
Nubians now live in large cities, such as Cairo.
Attributions
Post-Byzantine Egypt
"Muslim conquest of Egypt."
https://en.wikipedia.org/wiki/Muslim_conquest_of_Egypt.
"Fatimid Caliphate."
https://en.wikipedia.org/wiki/Fatimid_Caliphate. Wikipedia
CC BY-SA 3.0.
"Egypt in the Middle Ages."
https://en.wikipedia.org/wiki/Egypt_in_the_Middle_Ages# Fa
timid_period. Wikipedia CC BY-SA 3.0.
"Copts." https://en.wikipedia.org/wiki/Copts. Wikipedia CC
BY-SA 3.0.
"Byzantine Empire."
https://en.wikipedia.org/wiki/Byzantine_Empire. Wikipedia
CC BY-SA 3.0.
"Mamluk." https://en.wikipedia.org/wiki/Mamluk. Wikipedia
CC BY-SA 3.0.
https://en.wikipedia.org/wiki/Rashidun_Caliphate. Wikipedia
CC BY-SA 3.0.
"Early Muslim conquests."
https://en.wikipedia.org/wiki/Early_Muslim_conquests.
"Egypt in the Middle Ages."
https://en.wikipedia.org/wiki/Egypt_in_the_Middle_Ages.
"Mohammad_adil-Rashidun-empire-at-its-peak-close.PNG."
https://commons.wikimedia.org/wiki/File:Mohammad_adil-
Rashidun-empire-at-its-peak-close.PNG. Wikimedia GNU
FDL 1.2.
"800px-Mameluke-in-Full-Armour.jpg."
https://commons.wikimedia.org/wiki/File:Mameluke-in-Full-
Armour.jpg. Wikimedia Public domain.
Islamic Conquest of the Maghreb
"Caliphate." https://en.wikipedia.org/wiki/Caliphate.
"Umayyad Caliphate."
CC BY-SA 3.0.
"Muslim conquest of the Maghreb."
https://en.wikipedia.org/wiki/Muslim_conquest_of_the_Mag
hreb. Wikipedia CC BY-SA 3.0.
"Maghreb." https://en.wikipedia.org/wiki/Maghreb. Wikipedia
CC BY-SA 3.0.
"Early Muslim conquests."
https://en.wikipedia.org/wiki/Early_Muslim_conquests.
"Berbers." https://en.wikipedia.org/wiki/Berbers. Wikipedia
CC BY-SA 3.0.
"Map_of_expansion_of_Caliphate.svg.png."
https://commons.wikimedia.org/wiki/File:Map_of_expansion
_of_Caliphate.svg. Wikimedia Public domain.
Nubia
"Old Kingdom of Egypt."
https://en.wikipedia.org/wiki/Old_Kingdom_of_Egypt.
"Aspelta." https://en.wikipedia.org/wiki/Aspelta. Wikipedia
CC BY-SA 3.0.
"Alara of Nubia."
https://en.wikipedia.org/wiki/Alara_of_Nubia. Wikipedia CC
BY-SA 3.0.
"Meroe." http://en.wikipedia.org/wiki/Mero%C3%AB.
"Twenty-fifth Dynasty of Egypt."
https://en.wikipedia.org/wiki/Twenty-fifth_Dynasty_of_Egypt.
"Kingdom of Kush."
http://en.wikipedia.org/wiki/Kingdom_of_Kush. Wikipedia
CC BY-SA 3.0.
"Nubia." http://en.wikipedia.org/wiki/Nubia. Wikipedia CC
BY-SA 3.0.
https://en.wikipedia.org/wiki/New_Kingdom_of_Egypt.
"The Egyptian and Nubian Empires."
https://en.wikipedia.org/wiki/Middle_Kingdom_of_Egypt.
CDA's World History Wiki CC BY-SA 3.0.
"Kushite Empire 700 BC."
http://en.wikipedia.org/wiki/Kingdom_of_Kush%23mediavie
wer/File:Kushite_empire_700bc.jpg. Wikipedia Public
domain.
"Nubia the Forgotten Kingdom."
http://www.youtube.com/watch? v= CmGKU4TGS70.
YouTube Youtube License.
"The Nubian Region Today."
http://en.wikipedia.org/wiki/Nubia. Wikipedia CC BY-SA 3.0.
15 .3: Central African Empires
15 .3.1: Bornu Empire
The Kanem-Bornu Empire was an empire that existed in modern
Chad and Nigeria from the 14th to 19th centuries.
Learning Objective
Locate the Bornu Empire
Key Points
The Kanem Empire (c. 700–1376) at its height encompassed an
area covering much of Chad, parts of southern Libya (Fezzan)
and eastern Niger, northeastern Nigeria, and northern
Cameroon.
The empire of Kanem formed under the nomadic Tebu-speaking
Kanembu, who eventually abandoned their nomadic lifestyle
and founded a capital around 700 CE under the first
documented Kanembu king (mai), known as Sef of Saif. The
capital of Njimi grew in power and influence under the Duguwa
dynaty.
The major factor that later influenced the history of the state of
Kanem was the early penetration of Islam that came with North
African traders, Berbers, and Arabs.
By the end of the 14th century, internal struggles and external
attacks had torn Kanem apart. Around 1380, the Bulala forced
Mai Umar Idrismi to abandon Njimi and move the Kanembu
people to Bornu on the western edge of Lake Chad. Around
1460, a fortified capital at Ngazargamu, to the west of Lake
Chad (in present-day Niger), was built, but in the early 16th
century Mai Idris Katakarmabe retook Njimi, the former capital.
With control over both capitals, the Sayfawa dynasty became
more powerful than ever. The two states were merged, but
political authority still rested in Bornu. Kanem-Bornu peaked
during the reign of the statesman Mai Idris Alwma.
During the 17th century, the empire began to decline, and finally
dissolved at the end of the 19th century.
Key Terms
jihad
An Islamic term referring to the religious duty of Muslims to

maintain and spread the religion. Muslims and scholars do not
all agree on its definition. Many observers—both Muslim and
non-Muslim—as well as the Dictionary of I slam, talk of the term
as having two meanings: an inner spiritual struggle and an outer
physical struggle against the enemies of Islam, which may take
a violent or non-violent form.
Duguwa dynasty
The line of kings (mai) of the Kanem Empire prior to the rise of
the Islamic Seyfawa dynasty in 1068. According to the Girgam,
they were the kings of Kanem; their dynastic name is derived
from Duku, the third king of the Duguwa.
The Kanem Empire
An empire (c. 700–1376) that at its height encompassed an area

covering much of Chad, parts of southern Libya (Fezzan) and
eastern Niger, northeastern Nigeria, and northern Cameroon. Its
history is mainly known from the Royal Chronicle, or
G irgam, discovered in 1851 by the German traveler Heinrich
Barth.
the Sefuwa dynasty

The name of the kings (or mai, as they called themselves) of the
Kanem-Bornu Empire, centered first in Kanem in western Chad,
and then, after 1380, in Borno (today's northeastern Nigeria).
mai
A term that in the history of the Kanem-Bornu Empire was used

to roughly refer to a king.
The Kanem Empire

The Kanem Empire (c. 700–1376) at its height encompassed an
area covering Chad, parts of southern Libya (Fezzan) and eastern
Niger, northeastern Nigeria, and northern Cameroon. The history of
the empire is mainly known from the Royal Chronicle, or
G irgam, discovered in 1851 by the German traveller Heinrich Barth.
The empire of Kanem began forming around CE 300 under the

nomadic Tebu-speaking Kanembu. The Kanembu eventually
abandoned their nomadic lifestyle and founded a capital around 700
CE under the first documented Kanembu king (mai), known as Sef of
Saif. The capital of Njimi grew in power and influence under Sef's
son, Dugu. This transition marked the beginning of the Duguwa
dynasty. The mais of the Duguwa were regarded as divine kings and
belonged to the ruling establishment known as the magumi. Despite
changes in dynastic power, the magumi and the title of mai would
persevere for over a thousand years.
The major factor that later influenced the history of the state of
Kanem was the early penetration of Islam that came with North
African traders, Berbers, and Arabs. In 1085, a Muslim noble by the
name of Hummay removed the last Duguwa king, Selma, from
power and thus established the new dynasty of the Sefuwa. The
introduction of the Sefuwa dynasty meant radical changes for the
Kanem Empire. First, it meant the Islamization of the court and state
policies. Second, the identification of founders had to be revised.
Islam offered the Sayfawa rulers the advantage of new ideas from
Arabia and the Mediterranean world, as well as literacy in
administration. But many people resisted the new religion, favoring
traditional beliefs and practices.
Kanem's expansion peaked during the long and energetic reign of

Mai Dunama Dabbalemi (ca. 1221–1259), also of the Sayfawa
dynasty. Dabbalemi initiated diplomatic exchanges with sultans in
North Africa and apparently arranged for the establishment of a
special hostel in Cairo to facilitate pilgrimages to Mecca. During his
reign, he declared jihad against the surrounding tribes and initiated
an extended period of conquest. However, he also destroyed the
national Mune cult and thus precipitated widespread revolt
culminating in the uprise of the Tubu and the Bulala. The former was
quenched, but the latter continued to linger on, leading finally to the
retreat of the Sayfuwa from Kanem to Bornu c. 1380.
The Bornu Empire

By the end of the 14th century, internal struggles and external
attacks had torn Kanem apart. Between 1359 and 1383, seven mais
reigned, but Bulala invaders (from the area around Lake Fitri to the
east) killed five of them. This proliferation of mais resulted in
numerous claimants to the throne and a series of destructive wars.
Finally, around 1380, the Bulala forced Mai Umar Idrismi to abandon
Njimi and move the Kanembu people to Bornu on the western edge
of Lake Chad. Over time, the intermarriage of the Kanembu and
Bornu peoples created a new people and language, the Kanuri.
But even in Bornu, the Sayfawa dynasty's troubles persisted. During

the first three-quarters of the 15th century, for example, fifteen mais
occupied the throne. Around 1460, Mai Ali Dunamami defeated his
rivals and began the consolidation of Bornu. He built a fortified
capital at Ngazargamu, to the west of Lake Chad (in present-day
Niger), the first permanent home a Sayfawa mai had enjoyed in a
century. The Sayfawa rejuvenation was so successful that by the
early 16th century, Mai Idris Katakarmabe (1487–1509) was able to
defeat the Bulala and retake Njimi, the former capital. The empire's
leaders, however, remained at Ngazargamu because its lands were
more agriculturally productive and better suited to the raising of
cattle.
The Kanem-Bornu Period

With control over both capitals, the Sayfawa dynasty became more
powerful than ever. The two states were merged, but political
authority still rested in Bornu. Kanem-Bornu peaked during the reign
of the statesman Mai Idris Alwma (also spelled Alooma or Alawma;
the last decades of the 16th/the beginning of the 17th century).
Alwma introduced a number of legal and administrative reforms
based on his religious beliefs and Islamic law (sharia). He sponsored
the construction of numerous mosques and made a pilgrimage to
Mecca, where he arranged for the establishment of a hostel to be
used by pilgrims from his empire. Alwma's reformist goals led him to
seek loyal and competent advisers and allies, and he frequently
relied on slaves who had been educated in noble homes. He
required major political figures to live at the court, and he reinforced
political alliances through appropriate marriages.
Kanem-Bornu under Alwma was strong and wealthy. Government

revenue came from tribute (or booty, if the recalcitrant people had to
be conquered), sales of slaves, and duties on and participation in
trans-Saharan trade. Unlike West Africa, the Chadian region did not
have gold. Still, it was central to one of the most convenient trans-
Saharan routes. Between Lake Chad and Fezzan lay a sequence of
well-spaced wells and oases, and from Fezzan there were easy
connections to North Africa and the Mediterranean Sea. Many
products were sent north, including natron (sodium carbonate),
cotton, kola nuts, ivory, ostrich feathers, perfume, wax, and hides.
However, the most significant export of all were slaves. Imports
included salt, horses, silks, glass, muskets, and copper.
Decline
The administrative reforms and military brilliance of Alwma sustained
the empire until the mid-17th century, when its power began to fade.
By the late 18th century, Bornu rule extended only westward, into the
land of the Hausa. Around that time, Fulani people, invading from the
west, were able to make major inroads into Bornu. By the early 19th
century, Kanem-Bornu was clearly an empire in decline, and in 1808
Fulani warriors conquered Ngazargamu. Usman dan Fodio led the
Fulani thrust and proclaimed a j ihad (holy war) on the irreligious
Muslims of the area. His campaign eventually affected Kanem-Bornu
and inspired a trend toward Islamic orthodoxy. But Muhammad al-
Kanem contested the Fulani advance. Kanem was a Muslim scholar
and non-Sayfawa warlord who had put together an alliance of Shuwa
Arabs, Kanembu, and other semi-nomadic peoples. He eventually
built a capital at Kukawa (in present-day Nigeria) in 1814. Sayfawa
mais remained titular monarchs until 1846. In that year, the last mai,
in league with Ouaddai tribesmen, precipitated a civil war. It was at
that point that Kanem's son, Umar, became king, thus ending one of
the longest dynastic reigns in regional history.
Bornu in the 18 th century
The extent of the Bornu Empire in 1750.
The Bornu empire spanned an area surrounding Lake Chad in

central Africa including portions of modern-day Cameroon, Nigeria,
Niger, and Chad.
Although the dynasty ended, the kingdom of Kanem-Bornu survived.

Umar could not match his father's vitality ,and gradually allowed the
kingdom to be ruled by advisers. Bornu began a further decline as a
result of administrative disorganization, regional particularism, and
attacks by the militant Ouaddai Empire to the east. The decline
continued under Umar's sons. In 1893, Rabih az-Zubayr led an
invading army from eastern Sudan and conquered Bornu. Following
his expulsion shortly thereafter, the state was absorbed by the
British-ruled entity that eventually became known as Nigeria. From
that point on, a remnant of the old kingdom was (and still is) allowed
to continue to exist in subjection to the various governments of the
country as the Borno Emirate.
Attributions
Bornu Empire
"Sayfawa Dynasty."
http://en.wikipedia.org/wiki/Sayfawa_Dynasty. Wikipedia
CC BY-SA 3.0.
"Bornu Empire." http://en.wikipedia.org/wiki/Bornu_Empire.
"Kanem Empire."
https://en.wikipedia.org/wiki/Kanem_Empire. Wikipedia CC
BY-SA 3.0.
"Duguwa Dynasty."
https://en.wikipedia.org/wiki/Duguwa_Dynasty. Wikipedia
CC BY-SA 3.0.
"Chronology of the Sefuwa (Kanem-Bornu)."
http://en.wikipedia.org/wiki/Chronology_of_the_Sefuwa_(Ka
nem-Bornu). Wikipedia CC BY-SA 3.0.
"Kanem-Bornu Empire." http://en.wikipedia.org/wiki/Kanem-
Bornu_Empire. Wikipedia CC BY-SA 3.0.
"Jihad." https://en.wikipedia.org/wiki/Jihad. Wikipedia CC
BY-SA 3.0.
"Idris Alooma." http://en.wikipedia.org/wiki/Idris_Aluma.
"Bornu map 1750."
http://en.wikipedia.org/wiki/Bornu_Empire%23mediaviewer/
File:Bornu_map_1750.svg. Wikipedia CC BY-SA 3.0.
15 .4: W est African Empires
15 .4.1: The Ghana Empire
The Ghana Empire was located in what is now southeastern
Mauritania, western Mali, and eastern Senegal, and derived its
power from the control of trans-Saharan trade, particularly gold
trade.
Learning Objective
Describe the Ghana Empire and the source of its wealth
Key Points
The Ghana Empire, called the Wagadou (or Wagadu) Empire by
its rulers, was located in what is now southeastern Mauritania,
western Mali, and eastern Senegal. There is no consensus on
when precisely it originated. Different traditions identify its
beginnings between as early as 100 CE and the 9th century,
with most scholars accepting the 8th or 9th century.
Ghana's economic development and eventual wealth was linked
to the growth of regular and intensified trans-Saharan trade in
gold, salt, and ivory, which allowed for the development of larger
urban centers and encouraged territorial expansion to gain
control over different trade routes.
The empire's capital is believed to have been at Koumbi Saleh
on the rim of the Sahara desert. According to the description of
the town left by Al-Bakri in 1067/1068, the capital was actually
two cities, but "between these two towns are continuous
habitations," so they might have merged into one.
The Ghana Empire lay in the Sahel region to the north of the
West African gold fields, and was able to profit by controlling the
trans-Saharan gold trade, which turned Ghana into an empire of
legendary wealth.
Ghana appears to have had a central core region and was
surrounded by vassal states. One of the earliest sources notes
that "under the king's authority are a number of kings." These
"kings" were presumably the rulers of the territorial units often
called kafu in Mandinka.
Although scholars debate how and when Ghana declined and
collapsed, it is clear that it was incorporated into the Mali Empire
around 1240.
Key Terms
Koumbi Saleh
The site of a ruined medieval town in southeast Mauritania that

may have been the capital of the Ghana Empire.
the Soninke people
A Mandé people who descend from the Bafour and are closely
related to the Imraguen of Mauritania. They were the founders
of the ancient empire of Ghana c. 750–1240 CE. Subgroups
include the Maraka and Wangara.
the Almoravids
A Berber imperial dynasty of Morocco that formed an empire in

the 11th century that stretched over the western Maghreb and
Al-Andalus. Founded by Abdallah ibn Yasin, their capital was
Marrakesh, a city they founded in 1062. The dynasty originated
among the Lamtuna and the Gudala, nomadic Berber tribes of
the Sahara, traversing the territory between the Draa, the Niger,
and the Senegal rivers.
Disputed Origins of the Ghana
Empire
The Ghana Empire, called the Wagadou (or Wagadu) Empire by its
rulers, was located in what is now southeastern Mauritania, western
Mali, and eastern Senegal. There is no consensus on when
precisely it originated, but its development is linked to the changes in
trade that emerged throughout the centuries after the introduction of
the camel to the western Sahara (3rd century). By the time of the
Muslim conquest of North Africa in the 7th century, the camel had
changed the earlier, more irregular trade routes into a trade network
running from Morocco to the Niger River. This regular and intensified
trans-Saharan trade in gold, salt, and ivory allowed for the
development of larger urban centers and encouraged territorial
expansion to gain control over different trade routes.
The Ghana ruling dynasty was first mentioned in written records in

830, and thus the 9th century is sometimes identified as the empire's
beginning. In the medieval Arabic sources the word "Ghana" can
refer to a royal title, the name of a capital city, or a kingdom. The
earliest reference to Ghana as a town is by al-Khuwarizmi, who died
around 846. Research on the site of Koumbi Saleh (or Kumbi Saleh),
a ruined medieval town in southeast Mauritania that may have been
the capital of the Ghana Empire, suggests earlier beginnings. The
earliest author to mention Ghana is the Persian astronomer Ibrahim
al-Fazari, who, writing at the end of the eighth century, refers to "the
territory of Ghana, the land of gold." From the 9th century, Arab
authors mention the Ghana Empire in connection with the trans-
Saharan gold trade. Al-Bakri, who wrote in the 11th century,
described the capital of Ghana as consisting of two towns six miles
apart, one inhabited by Muslim merchants and the other by the king
of Ghana. According to the tradition of the Soninke people, they
migrated to southeastern Mauritania in the 1st century, and as early
as around 100 CE created a settlement that would eventually
develop into the Ghana Empire. Other sources identify the
beginnings of the empire some time between the 4th century and the
mid-8th century.
The Ghana Empire at its greatest

ex tent
When the Gold Coast in 1957 became the first country in sub-
Saharan Africa to regain its independence from colonial rule, it was
renamed in honor of the long-gone empire from which the ancestors
to the Akan people of modern-day Ghana are thought to have
migrated.
At its peak, the Ghana Empire spanned portions of modern-day

southeastern Mauritania, western Mali, and eastern Senegal.
The Capital City: Koumbi Saleh

The empire's capital is believed to have been at Koumbi Saleh on
the rim of the Sahara desert. According to the description of the town
left by Al-Bakri in 1067/1068, the capital was actually two cities, but
"between these two towns are continuous habitations," so they might
have merged into one. According to al-Bakri, the major part of the
city was called El-Ghaba, and was the residence of the king. It was
protected by a stone wall and functioned as the royal and spiritual
capital of the empire. It contained a sacred grove of trees used for
Soninke religious rites in which priests lived. It also contained the
king's palace, the grandest structure in the city. There was also one
mosque for visiting Muslim officials. The name of the other section of
the city is not recorded. It was surrounded by wells with fresh water,
where vegetables were grown. It had twelve mosques, one of which
was designated for Friday prayers, and had a full group of scholars,
scribes, and Islamic jurists. Because the majority of these Muslims
were merchants, this part of the city was probably its primary
business district.
Economy and Government

Most of our information about the economy of Ghana comes from al-
Bakri. He noted that merchants had to pay a one gold dinar tax on
imports of salt and two on exports of salt. Al-Bakri mentioned also
copper and "other goods." Imports probably included products such
as textiles and ornaments. Many of the hand-crafted leather goods
found in old Morocco also had their origins in the Ghana Empire.
Tribute was also received from various tributary states and
chiefdoms at the empire's periphery. The Ghana Empire lay in the
Sahel region to the north of the West African gold fields, and was
able to profit from controlling the trans-Saharan gold trade. The early
history of Ghana is unknown, but there is evidence that North Africa
had begun importing gold from West Africa before the Arab conquest
in the middle of the 7th century.
Much testimony on ancient Ghana comes from the recorded visits of

foreign travelers, who, by definition, could provide only a fragmentary
picture. Islamic writers often commented on the social-political
stability of the Empire based on the seemingly just actions and
grandeur of the king. Al-Bakri questioned merchants who visited the
empire in the 11th century and wrote of the king hearing grievances
against officials and being surrounded by great wealth. Ghana
appears to have had a central core region and was surrounded by
vassal states. One of the earliest sources, al-Ya'qubi, writing in
889/890 (276 AH), noted that "under the king's authority are a
number of kings." These "kings" were presumably the rulers of the
territorial units often called kafu in Mandinka. In al-Bakri's time, the
rulers of Ghana had begun to incorporate more Muslims into
government, including the treasurer, his interpreter, and "the majority
of his officials."
Decline
Given scarce Arabic sources and the ambiguity of the existing
archaeological record, it is difficult to determine when and how
Ghana declined and fell. According to Arab tradition, Ghana fell
when it was sacked by the Almoravid movement in 1076–1077, but
this interpretation has been questioned. Conrad and Fisher (1982)
argued that the notion of any Almoravid military conquest is merely
perpetuated folklore, derived from a misinterpretation of or limited
reliance on Arabic sources. Dierke Lange agreed with the original
military incursion theory but argued that this does not preclude
Almoravid political agitation, claiming that Ghana's demise owed
much to the latter. Sheryl L. Burkhalter argued that while the idea of
the conquest was unclear, the influence and success of the
Almoravid movement in securing West African gold and circulating it
widely necessitated a high degree of political control. Furthermore,
the archaeology of ancient Ghana does not show signs of the rapid
change and destruction that would be associated with any
Almoravid-era military conquests.
It is assumed that the ensuing war pushed Ghana over the edge,
ending the kingdom's position as a commercial and military power by
1100. It collapsed into tribal groups and chieftaincies, some of which
later assimilated into the Almoravids, while others founded the Mali
Empire. Despite ambiguous evidence, it is clear that Ghana was
incorporated into the Mali Empire around 1240.
15 .4.2: Mali
The Mali Empire was an empire in West Africa that lasted from 1230
to 1600 and profoundly influenced the culture of the region through
the spread of its language, laws, and customs along lands adjacent
to the Niger River, as well as other areas consisting of numerous
vassal kingdoms and provinces.
Learning Objective
Evaluate each period in the history of the Mali Empire
Key Points
The Mali Empire, also historically referred to as the Manden
Kurufaba, was an empire in West Africa that lasted from c. 1230
to 1600. It was the largest empire in West Africa and profoundly
influenced the culture of the region through the spread of its
language, laws, and customs along lands adjacent to the Niger
River, as well as other areas consisting of numerous vassal
kingdoms and provinces.
Modern oral traditions recorded that the Mandinka kingdoms of
Mali or Manden had already existed several centuries before
unification. This area was composed of mountains, savanna,
and forest providing ideal protection and resources for the
population of hunters. Those not living in the mountains formed
small city-states.
The combined forces of northern and southern Manden
defeated the Sosso army at the Battle of Kirina in approximately
1235. This victory resulted in the fall of the Kaniaga kingdom
and the rise of the Mali Empire.
The Mali Empire covered a larger area for a longer period of
time than any other West African state before or since. What
made this possible was the decentralized nature of
administration throughout the state. Its power came, above all,
from trade.
The Mali Empire reached its largest size and flourished as a
trade and intellectual center under the Laye Keita mansas
(1312–1389). The empire's total area included nearly all the
land between the Sahara Desert and the coastal forests.
The 1599 battle of Djenné marked the effective end of the great
Mali Empire and set the stage for a plethora of smaller West
African states to emerge.
Key Terms
mansa
A Mandinka word meaning "sultan" (king) or "emperor." It is

particularly associated with the Keita dynasty of the Mali Empire,
which dominated West Africa from the 13th century to the 15th
century.
muezzin
The person appointed at a mosque to lead and recite the call to

prayer for every event of prayer and worship. The muezzin's
post is an important one, and the community depends on him for
an accurate prayer schedule.
Introduction
The Mali Empire, also historically referred to as the Manden
Kurufaba, was an empire in West Africa that lasted from c. 1230 to
1600. The empire was founded by Sundiata Keita and became
renowned for the wealth of its rulers. It was the largest empire in
West Africa and profoundly influenced the culture of the region
through the spread of its language, laws, and customs along lands
adjacent to the Niger River, as well as other areas consisting of
numerous vassal kingdoms and provinces.
Pre-Imperial Mali
Modern oral traditions recorded that the Mandinka kingdoms of Mali
or Manden had already existed several centuries before unification
by Sundiata, a Malian mansa also known as Mari Djata I, as a small
state just to the south of the Soninké empire of Wagadou (the Ghana
Empire). This area was composed of mountains, savanna, and forest
providing ideal protection and resources for the population of
hunters. Those not living in the mountains formed small city-states
such as Toron, Ka-Ba, and Niani.
In approximately 1140, the Sosso kingdom of Kaniaga, a former

vassal of Wagadou, began conquering the lands of its old masters.
By 1180, it had even subjugated Wagadou, forcing the Soninké to
pay tribute. In 1203, the Sosso king Soumaoro of the Kanté clan
came to power and reportedly terrorized much of Manden, stealing
women and goods from both Dodougou and Kri.
After many years in exile, first at the court of Wagadou and then at
Mema, Sundiata, a prince who eventually became founder of the
Mali Empire, was sought out by a Niani delegation and begged to
combat the Sosso and free the kingdoms of Manden. Returning with
the combined armies of Mema, Wagadou, and all the rebellious
Mandinka city-states, Maghan Sundiata, or Sumanguru, led a revolt
against the Kaniaga Kingdom around 1234. The combined forces of
northern and southern Manden defeated the Sosso army at the
Battle of Kirina (then known as K rina) in approximately 1235. This
victory resulted in the fall of the Kaniaga kingdom and the rise of the
Mali Empire. After the victory, King Soumaoro disappeared and the
Mandinka stormed the last of the Sosso cities. Maghan Sundiata
was declared "faama of faamas" and received the title "mansa,"
which translates roughly to emperor. At the age of eighteen, he
gained authority over all the twelve kingdoms in an alliance known
as the Manden Kurufaba. He was crowned under the throne name
Sunidata Keita, becoming the first Mandinka emperor. And so the
name Keita became a clan/family and began its reign.
Imperial Mali ( 125 0– 15 5 9)

The Mali Empire covered a larger area for a longer period of time
than any other West African state before or since. What made this
possible was the decentralized nature of administration throughout
the state; yet the mansa managed to keep tax money and nominal
control over the area without agitating his subjects into revolt.
Officials at the village, town, city, and county levels were elected
locally, and only at the state or provincial level was there any
palpable interference from the central authority in Niani. Provinces
picked their own governors via their own custom (election,
inheritance, etc.), but governors had to be approved by the mansa
and were subject to his oversight.
The Mali Empire flourished because of trade above all else. It

contained three immense gold mines within its borders, and the
empire taxed every ounce of gold or salt that entered its borders. By
the beginning of the 14th century, Mali was the source of almost half
the Old World's gold, exported from mines in Bambuk, Boure, and
Galam. There was no standard currency throughout the realm, but
several forms were prominent by region. The Sahelian and Saharan
towns of the Mali Empire were organized as both staging posts in the
long-distance caravan trade and trading centers for the various West
African products (e.g., salt, copper). Ibn Battuta, a Medieval
Moroccan Muslim traveler and scholar, observed the employment of
slave labor. During most of his journey, Ibn Battuta traveled with a
retinue that included slaves, most of whom carried goods for trade
but would also be traded themselves. On the return from Takedda to
Morocco, his caravan transported 600 female slaves, which
suggests that slavery was a substantial part of the commercial
activity of the empire.
The number and frequency of conquests in the late 13th century and
throughout the 14th century indicate that the Kolonkan mansas (who
ruled at the time) inherited and/or developed a capable military.
However, it went through radical changes before reaching the
legendary proportions proclaimed by its subjects. Thanks to steady
tax revenue and a stable government beginning in the last quarter of
the 13th century, the Mali Empire was able to project its power
throughout its own extensive domain and beyond. The empire
maintained a semi-professional full-time army in order to defend its
borders. The entire nation was mobilized, with each clan obligated to
provide a quota of fighting-age men. Historians who lived during the
height and decline of the Mali Empire consistently recorded its army
at 100,000, with 10,000 of that number being made up of cavalry.
The Mali Empire reached its largest size under the Laye Keita
mansas (1312–1389). The empire's total area included nearly all the
land between the Sahara Desert and the coastal forests. It spanned
modern-day Senegal, southern Mauritania, Mali, northern Burkina
Faso, western Niger, the Gambia, Guinea-Bissau, Guinea, the Ivory
Coast, and northern Ghana. The first ruler from the Laye lineage was
Kankan Musa Keita (or Moussa), also known as Mansa Musa. He
embarked on a large building program, raising mosques and
madrasas in Timbuktu and Gao. He also transformed Sankore from
an informal madrasah into an Islamic university. By the end of Mansa
Musa's reign, the Sankoré University had been converted into a fully
staffed university, with the largest collections of books in Africa since
the Library of Alexandria. During this period, there was an advanced
level of urban living in the major centers of the Mali. Sergio Domian,
an Italian art and architecture scholar, wrote the following about this
period: "Thus was laid the foundation of an urban civilization. At the
height of its power, Mali had at least 400 cities, and the interior of the
Niger Delta was very densely populated."
Ex tent of the Mali Empire ( c. 135 0)
The Mali Empire was the largest in West Africa, and profoundly
influenced the culture of the region through the spread of its
language, laws, and customs along lands adjacent to the Niger
River, as well as other areas consisting of numerous
vassal kingdoms and provinces.
The map shows that the Mali Empire covered portions of modern-
day Senegal, Gambia, Mauritania, Guinea, Mali, Burkina Faso, and
Niger.
Collapse
Mansa Mahmud Keita IV was the last emperor of Manden, according
to the Tarikh al-Sudan. He launched an attack on the city of Djenné
in 1599 with Fulani allies, hoping to take advantage of Songhai's
defeat. Eventually, the army inside Djenné intervened, forcing Mansa
Mahmud Keita IV and his army to retreat to Kangaba. The battle
marked the effective end of the great Mali Empire and set the stage
for a plethora of smaller West African states to emerge. Around
1610, Mahmud Keita IV died. Oral tradition states that he had three
sons who fought over Manden's remains. No single Keita ever ruled
Manden after Mahmud Keita IV 's death, thus the end of the Mali
Empire.
The old core of the empire was divided into three spheres of
influence. Kangaba, the de facto capital of Manden since the time of
the last emperor, became the capital of the northern sphere. The
Joma area, governed from Siguiri, controlled the central region,
which encompassed Niani. Hamana (or Amana), southwest of Joma,
became the southern sphere, with its capital at Kouroussa in modern
Guinea. Each ruler used the title of mansa, but their authority only
extended as far as their own sphere of influence. Despite this
disunity in the realm, the realm remained under Mandinka control
into the mid-17th century. The three states warred on each other as
much if not more than they did against outsiders, but rivalries
generally stopped when faced with invasion. This trend would
continue into colonial times against Tukulor enemies from the west.
Timbuktu manuscripts, c. 14th century
Timbuktu became a permanent settlement early in the 12th century.
After a shift in trading routes, Timbuktu flourished from the trade in
salt, gold, ivory, and slaves. It became part of the Mali Empire early
in the 14th century. In its Golden Age, the town's numerous Islamic
scholars and extensive trading network made possible an important
book trade. Together with the campuses of the Sankore Madrasah,
an Islamic university, this established Timbuktu as a scholarly center
in Africa.
15 .4.3: Songhai
The Songhai Empire dominated the western Sahel in the 15th and
16th centuries; at its peak, it was one of the largest states in Africa.
Learning Objective
Explain the importance of Timbuktu after locating the Songhai
Empire
Key Points
The Songhai Empire was a state that dominated the western
Sahel in the 15th and 16th centuries. At its peak, it was one of
the largest states in African history. Initially, the empire was
ruled by the Sonni dynasty (c. 1464–1493), but it was later
replaced by the Askiya dynasty (1493–1591).
In the second half of the 14th century, disputes over succession
weakened the Mali Empire and in the 1430s Songhai, previously
a Mali dependency, gained independence under the Sonni
Dynasty.
Sonni Ali reigned from 1464 to 1492. In the late 1460s, he
conquered many of the Songhai's neighboring states, including
what remained of the Mali Empire. He was arguably the
empire's most formidable military strategist and conqueror.
Under his rule, Songhai reached a size of over 1,400,000
square kilometers.
The internal political chaos and multiple civil wars within the
empire allowed Morocco to invade Songhai. The main reason
for the Moroccan invasion was to seize control of and revive the
trans-Saharan trade in salt and gold. The empire fell to the
Moroccans and their firearms in 1591.
The empire's power was linked to economic trade; their
government system granted authority to local chiefs as long as
they did not undermine Songhai policy and tightly controlled
labor division system.
Key Terms
Timbuktu
A historical and still-inhabited city in the West African nation of

Mali, situated 20 km (12 mi) north of the River Niger on the
southern edge of the Sahara Desert. In its Golden Age, the
town's numerous Islamic scholars and extensive trading network
enabled an important book trade. Together with the campuses of
the Sankore Madrasah, an Islamic university, this established
the city as a scholarly center in Africa.
Sahel
The ecoclimatic and biogeographic zone of transition in Africa

between the Sahara to the north and the Sudanian Savanna to
the south. Having a semi-arid climate, it stretches across the
south-central latitudes of Northern Africa between the Atlantic
Ocean and the Red Sea.
Sonni dynasty
A dynasty of rulers of the Songhai Empire of medieval West

Africa. The first ruler of the dynasty, Sunni Ali Kulun, probably
reigned at the end of the fourteenth century. The last ruler,
Sonni Baru, ruled until 1493 when the throne was usurped by
the Askiya Muhammad I (known also as Askia the Great), the
founder of the Askiya Dynasty.
Gao
A city in Mali located on the River Niger that for much of its
history was an important commercial center involved in the
trans-Saharan trade. Towards the end of the 13th century, it
became part of the Mali Empire, but in the first half of the 15th
century the town regained its independence and with the
conquests of Sonni Ali (ruled 1464–1492) it became the capital
of the Songhai Empire.
Introduction
The Songhai Empire (also transliterated as Songhay) was a state
that dominated the western Sahel in the 15th and 16th centuries. At
its peak, it was one of the largest states in African history. The state
is known by its historiographical name, derived from its leading
ethnic group and ruling elite, the Songhai. Sonni Ali established Gao
as the capital of the empire, although a Songhai state had existed in
and around Gao since the 11th century. Other important cities in the
empire were Timbuktu and Djenné , conquered in 1468 and 1475
respectively, where urban-centered trade flourished. Initially, the
empire was ruled by the Sonni dynasty (c. 1464–1493), but it was
later replaced by the Askiya dynasty (1493–1591).
During the second half of the 13th century, Gao and the surrounding
region had grown into an important trading center and attracted the
interest of the expanding Mali Empire. Mali conquered Gao towards
the end of the 13th century and the town would remain under Malian
hegemony until the late 14th century. But as the Mali Empire started
to disintegrate, the Songhai reasserted control of Gao. Songhai
rulers subsequently took advantage of the weakened Mali Empire to
expand Songhai rule.
Imperial Songhai
In the second half of the 14th century, disputes over succession
weakened the Mali Empire and in the 1430s, Songhai, previously a
Mali dependency, gained independence under the Sonni Dynasty.
Around thirty years later, Sonni Sulayman Dama attacked Mema, the
Mali province west of Timbuktu, paving the way for his successor,
Sonni Ali, to turn his country into one of the greatest empires sub-
Saharan Africa has ever seen.
Sonni Ali reigned from 1464 to 1492. Like Songhai kings before him,
he was a Muslim. In the late 1460s, he conquered many of the
Songhai's neighboring states, including what remained of the Mali
Empire. He was arguably the empire's most formidable military
strategist and conqueror. Under his rule, Songhai reached a size of
over 1,400,000 square kilometers. During his campaigns for
expansion, Ali conquered many lands, repelling attacks from the
Mossi to the south and overcoming the Dogon people to the north.
He annexed Timbuktu in 1468, after Islamic leaders of the town
requested his assistance in overthrowing marauding Tuaregs
(Berber people with a traditionally nomadic pastoralist lifestyle) who
had taken the city following the decline of Mali. However, Ali met
stark resistance after setting his sights on the wealthy and renowned
trading town of Djenné (also known as Jenne). After a persistent
seven-year siege, he was able to forcefully incorporate it into his vast
empire in 1473, but only after having starved its citizens into
surrender
Oral traditions present a conflicted image of Sonni Ali. On the one

hand, the invasion of Timbuktu destroyed the city; Ali was described
as an intolerant tyrant who conducted a repressive policy against the
scholars of Timbuktu, especially those of the Sankore region who
were associated with the Tuareg. On the other hand, his control of
critical trade routes and cities brought great wealth. He is thus often
presented as a powerful politician and great military commander and
under his reign, Djenné and Timbuktu became great centers of
learning.
Songhai Empire in 15 00
Songhai rulers took advantage of the weakened Mali Empire to
expanded Songhai rule. Under the rule of Sonni Ali, the Songhai
surpassed the Malian Empire in area, wealth, and power, absorbing
vast areas of the Mali Empire and reaching its greatest extent.
The map shows that the Songhai Empire covered portions of

modern-day Gambia, Senegal, Guinea, Mauritania, Mali, Burkina
Faso, Niger, Benin, and Nigeria.
Following Ali's reign, Askia the Great strengthened the Songhai
Empire and made it the largest empire in West Africa's history. At its
peak under his reign, the Songhai Empire encompassed the
Hausa states as far as Kano (in present-day Nigeria) and much of
the territory that had belonged to the Songhai empire in the west. His
policies resulted in a rapid expansion of trade with Europe and Asia,
the creation of many schools, and the establishment of Islam as an
integral part of the empire. Askia opened religious schools,
constructed mosques, and opened up his court to scholars and
poets from throughout the Muslim world, but he was also tolerant of
other religions and did not force Islam on his people. Among his
great accomplishments was an interest in astronomical knowledge,
which led to the development of astronomy and observatories in the
capital.
Not only was he a patron of Islam but he was also gifted in

administration and encouraging trade. He centralized the
administration of the empire and established an efficient bureaucracy
that was responsible for, among other things, tax collection and the
administration of justice. He also demanded that canals be built in
order to enhance agriculture, which would eventually increase trade.
More importantly than anything he did for trade was the introduction
of weights and measures and the appointment of an inspector for
each of Songhai's important trading centers. During his reign Islam
became more widely entrenched, trans-Saharan trade flourished,
and the Saharan salt mines of Taghaza were brought within the
boundaries of the empire.
However, as Askia the Great grew older, his power declined. In

1528, his sons revolted against him and declared Musa, one of
Askia's many sons, as king. Following Musa's overthrow in 1531,
Songhai's empire went into decline. Multiple attempts at governing
the empire by Askia's sons and grandsons failed and between the
political chaos and multiple civil wars within the empire, Morocco
invaded Songhai. The main reason for the Moroccan invasion of
Songhai was to seize control and revive the trans-Saharan trade in
salt and gold. The Songhai military, during Askia's reign, consisted of
full-time soliders, but the king never modernized his army. The
Empire fell to the Moroccans and their firearms in 1591.
The Organiz ation of Songhai

At its peak, the Songhai city of Timbuktu became a thriving cultural
and commercial center where Arab, Italian, and Jewish merchants all
gathered for trade. Economic trade existed throughout the empire
due to the standing army stationed in the provinces. Central to the
regional economy were independent gold fields. The
J ulla (merchants) would form partnerships, and the state would
protect these merchants and the port cities of the Niger.
The Songhai economy was based on a clan system. The clan a

person belonged to ultimately decided one's occupation. The most
common were metalworkers, fishermen, and carpenters. Lower
caste participants consisted of mostly non-farm working immigrants,
who at times were provided special privileges and held high
positions in society. At the top were noblemen and direct
descendants of the original Songhai people, followed by freemen
and traders. At the bottom were war captives and European slaves
obligated to labor, especially in farming. Historian James Olson
describes the labor system as resembling modern day unions, with
the empire possessing craft guilds that consisted of various
mechanics and artisans
Criminal justice in Songhai was based mainly, if not entirely, on

Islamic principles, especially during the rule of Askia the Great.
Upper classes in society converted to Islam while lower classes
often continued to follow traditional religions. Sermons emphasized
obedience to the king. Sonni Ali established a system of government
under the royal court, later to be expanded by Askia, which
appointed governors and mayors to preside over local tributary
states situated around the Niger valley. Local chiefs were still
granted authority over their respective domains as long as they did
not undermine Songhai policy.
Tax was imposed onto peripheral chiefdoms and provinces to ensure
the dominance of Songhai, and in return these provinces were given
almost complete autonomy. Songhai rulers only intervened in the
affairs of these neighboring states when a situation became volatile,
usually an isolated incident. Each town was represented by
government officials, holding positions and responsibilities similar to
today's central bureaucrats.
15 .4.4: The Y oruba States

While Ile-Ife is considered to be the spiritual homeland of the Yoruba
people, numerous Yoruba states were eventually centralized within
the modern Oyo Empire, which grew to become one of the largest
African states.
Learning Objective
Discuss the Yoruba states and their progression towards centralized
government
Key Points
Yorubaland is the cultural region of the Yoruba people in West
Africa. It spans the modern-day countries of Nigeria, Togo, and
Benin. Its pre-modern history is based largely on oral traditions
and legends. According to Yoruba religion, Oduduwa became
the ancestor of the first divine king of the Yoruba.
By the 8th century, Ile-Ife was already a powerful Yoruba
kingdom, one of the earliest in Africa south of the Sahara-Sahel.
Almost every Yoruba settlement traces its origin to princes of Ile-
Ife. As such, Ife can be regarded as the cultural and spiritual
homeland of the Yoruba nation.
Ile-Ife was a settlement of substantial size between the 12th and
14th centuries, with houses featuring potsherd pavements. It is
known worldwide for its ancient and naturalistic bronze as well
as stone and terracotta sculptures, which reached their peak of
artistic expression between 1200 and 1400.
The mythical origins of the Oyo Empire lie with Oranyan, who
made Oyo his new kingdom and became the first oba with the
title of Alaafin of Oyo. The oral tradition holds that he left all his
treasures in Ife and allowed another king named Adimu to rule
there.
Oyo had grown into a formidable inland power by the end of the
14th century, but it suffered military defeats at the hands of the
Nupe led by Tsoede. During the 17th century, Oyo began a long
stretch of growth, becoming a major empire. It never
encompassed all Yoruba-speaking people, but it was the most
populous kingdom in Yoruba history. The key to Yoruba
rebuilding Oyo was a stronger military and a more centralized
government.
In the second half of the 18th century, dynastic intrigues, palace
coups, and failed military campaigns began to weaken the Oyo
Empire. It became a protectorate of Great Britain in 1888 before
further fragmenting into warring factions. The Oyo state ceased
to exist as any sort of power in 1896.
Key Terms
Yorubaland
The cultural region of the Yoruba people in West Africa. It spans

the modern-day countries of Nigeria, Togo, and Benin, and
covers a total land area of 142,114 square kilometers. The
geocultural space contains an estimated 55 million people, the
overwhelming majority of whom are ethnic Yorubas.
Oranyan
A Yoruba king from the kingdom of Ile-Ife; although last born, he

was heir to Oduduwa. According to Yoruba history, he founded
Oyo as its first Alaafin at around the year 1300 and one of his
children, Eweka I, went on to become the first Oba of the Benin
Empire.
Oduduwa
The King of Ile-Ife, whose name is generally ascribed to the

ancestral dynasties of Yorubaland because he is held by the
Yoruba to have been the ancestor of their numerous crowned
kings. Following his posthumous deification, he was admitted to
the Yoruba pantheon as an aspect of a primordial divinity of the
same name.
Ile-Ife
An ancient Yoruba city in southwestern Nigeria (located in the

present-day Osun State) that turned into the first powerful
Yoruba kingdom, one of the earliest in Africa south of the
Sahara-Sahel. It is regarded as the cultural and spiritual
homeland of the Yoruba nation.
Y orubaland: Introduction
Yorubaland is the cultural region of the Yoruba people in West Africa.
It spans the modern-day countries of Nigeria, Togo, and Benin. Its
pre-modern history is based largely on oral traditions and legends.
According to Yoruba religion, Olodumare, the Supreme God, ordered
Obatala to create the earth, but on Obatala's way he found palm
wine, which he drank and became intoxicated. Therefore, his
younger brother, Oduduwa, took the three items of creation from
him, climbed down from the heavens on a chain, and threw a handful
of earth on the primordial ocean, then put a cockerel on it so that it
would scatter the earth, thus creating the land on which Ile-Ife would
be built. On account of his creation of the world, Oduduwa became
the ancestor of the first divine king of the Yoruba, while Obatala is
believed to have created the first Yoruba people out of clay. The
meaning of the word "ife" in Yoruba is "expansion." "Ile-Ife" is
therefore in reference to the myth of origin, "The Land of Expansion."
Ile-Ife
Evidence suggests that as of the 7th century BCE, the African
peoples who lived in Yorubaland were not initially known as the
Yoruba, though they shared a common ethnicity and language
group. By the 8th century CE, Ile-Ife was already a powerful Yoruba
kingdom, one of the earliest in Africa south of the Sahara-Sahel.
Almost every Yoruba settlement traces its origin to princes of Ile-Ife.
As such, Ife can be regarded as the cultural and spiritual homeland
of the Yoruba nation. Archaeologically, the settlement at Ife can be
dated to the 4th century BC, with urban structures appearing in the
12th century CE. Until today, the Oò ni (or king) of Ife claims direct
descent from Oduduwa.
The city was a settlement of substantial size between the 12th and
14th centuries, with houses featuring potsherd pavements. Ile-Ife is
known worldwide for its ancient and naturalistic bronze as well as
stone and terracotta sculptures, which reached their peak of artistic
expression between 1200 and 1400. In the period around 1300 the
artists at Ife developed a refined and naturalistic sculptural tradition
in terracotta, stone, and copper alloy—copper, brass, and bronze—
many of which appear to have been created under the patronage of
King Obalufon II, the man who today is identified as the Yoruba
patron deity of brass casting, weaving, and regalia. After this period,
production declined as political and economic power shifted to the
nearby kingdom of Benin, which, like the Yoruba kingdom of Oyo,
developed into a major empire.
Bronz e head from Ife, probably a king,
dated around 1300
Ile-Ife is known worldwide for its ancient and naturalistic bronze,
stone, and terracotta sculptures, which reached their peak of artistic
expression between 1200 and 1400.
The Rise of the Oyo Empire
The mythical origins of the Oyo Empire lie with Oranyan (also known
as Oranmiyan), the second prince of Ile-Ife, who made Oyo his new
kingdom and became the first oba with the title of Alaafin of Oyo
(Alaafin means "owner of the palace" in Yoruba). The oral tradition
holds that he left all his treasures in Ife and allowed another king,
named Adimu, to rule there.
Oranyan was succeeded by Oba Ajaka, but he was deposed

because he allowed his sub-chiefs too much independence.
Leadership was then conferred upon Ajaka's brother, Shango, who
was later deified as the deity of thunder and lightning. Ajaka was
restored after Shango's death. His successor, Kori, managed to
conquer the rest of what later historians would refer to as
metropolitan Oyo. The heart of metropolitan Oyo was its capital at
Oyo-Ile.
Oyo had grown into a formidable inland power by the end of the 14th
century, but it suffered military defeats at the hands of the Nupe led
by Tsoede. Sometime around 1535, the Nupe occupied Oyo and
forced its ruling dynasty to take refuge in the kingdom of Borgu. The
Yoruba of Oyo went through an interregnum of eighty years as an
exiled dynasty. However, they re-established Oyo to be more
centralized and expansive than ever. During the 17th century, Oyo
began a long stretch of growth, becoming a major empire. It never
encompassed all Yoruba-speaking people, but it was the most
populous kingdom in Yoruba history.
Oyo Empire and surrounding states c.
17 00
The Oyo Empire rose through the outstanding organizational skills of
the Yoruba, gaining wealth from trade and its powerful cavalry. It was
the most politically important state in the region from the mid-17th
century to the late 18th century, holding sway not only over most of
the other kingdoms in Yorubaland, but also over nearby African
states, notably the Fon Kingdom of Dahomey in the modern
Republic of Benin to the west.
The maps shows Oyo Empire was a Yoruba empire of what is today
Western and North central Nigeria, and Eastern Benin.
The Power Of Oyo

The key to Yoruba rebuilding Oyo was a stronger military and a more
centralized government. Oba Ofinran succeeded in regaining Oyo's
original territory from the Nupe. A new capital, Oyo-Igboho, was
constructed, and the original became known as Old Oyo. The next
oba, Eguguojo, conquered nearly all of Yorubaland. Despite a failed
attempt to conquer the Benin Empire sometime between 1578 and
1608, Oyo continued to expand. The Yoruba allowed autonomy to
the southeast of metropolitan Oyo, where the non-Yoruba areas
could act as a buffer between Oyo and Imperial Benin. By the end of
the 16th century, the Ewe and Aja states of modern Benin were
paying tribute to Oyo.
The reinvigorated Oyo Empire began raiding southward as early as

1682. By the end of its military expansion, its borders would reach to
the coast some 200 miles southwest of its capital. At the beginning,
the people were concentrated in metropolitan Oyo. With imperial
expansion, Oyo reorganized to better manage its vast holdings
within and outside Yorubaland. It was divided into four layers defined
by relation to the core of the empire. These layers were Metropolitan
Oyo, southern Yorubaland, the Egbado Corridor, and Ajaland.
The Oyo Empire developed a highly sophisticated political structure

to govern its territorial domains. Scholars have not determined how
much of this structure existed prior to the Nupe invasion. Some of
Oyo's institutions are clearly derivative of early accomplishments in
Ife. The Oyo Empire was not a hereditary monarchy, nor an absolute
one. While the Alaafin of Oyo was supreme overlord of the people,
he was not without checks on his power. The Oyo Mesi (seven
councilors of the states) and the Yoruba Earth cult known as
Ogboni kept the Oba's power in check. The Oyo Mesi spoke for the
politicians while the Ogboni spoke for the people, backed by the
power of religion. The power of the Alaafin of Oyo in relation to the
Oyo Mesi and Ogboni depended on his personal character and
political shrewdness.
Oyo became the southern emporium of the trans-Saharan trade.

Exchanges were made in salt, leather, horses, kola nuts, ivory, cloth,
and slaves. The Yoruba of metropolitan Oyo were also highly skilled
in craft making and iron work. Aside from taxes on trade products
coming in and out of the empire, Oyo also became wealthy off the
taxes imposed on its tributaries. Oyo's imperial success made
Yoruba a lingua franca almost to the shores of the V olta. Toward the
end of the 18th century, the empire acted as a go-between for both
the trans-Saharan and trans-Atlantic slave trade. By 1680, the Oyo
Empire spanned over 150,000 square kilometers.
Decline
In the second half of the 18th century, dynastic intrigues, palace
coups, and failed military campaigns began to weaken the Oyo
Empire. Recurrent power struggles and resulting periods of
interregnum created a vacuum, in which the power of regional
commanders rose. As Oyo tore itself apart via political intrigue, its
vassals began taking advantage of the situation to press for
independence. Some of them succeeded, and Oyo never regained
its prominence in the region. It became a protectorate of Great
Britain in 1888 before further fragmenting into warring factions. The
Oyo state ceased to exist as any sort of power in 1896.
Attributions
The Ghana Empire
"History of the Soninke people."
https://en.wikipedia.org/wiki/History_of_the_Soninke_peopl
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http://www.newworldencyclopedia.org/entry/Ghana_Empire.
New World Encyclopedia CC BY-SA 3.0.
"Koumbi Saleh."
https://en.wikipedia.org/wiki/Koumbi_Saleh. Wikipedia CC
BY-SA 3.0.
"Ghana Empire."
https://en.wikipedia.org/wiki/Ghana_Empire. Wikipedia CC
BY-SA 3.0.
"Soninke people."
https://en.wikipedia.org/wiki/Soninke_people. Wikipedia CC
BY-SA 3.0.
"Almoravid dynasty."
https://en.wikipedia.org/wiki/Almoravid_dynasty. Wikipedia
CC BY-SA 3.0.
"800px-Ghana_empire_map.png."
https://en.wikipedia.org/wiki/Ghana_Empire# /media/File:Gh
ana_empire_map.png. Wikipedia CC BY-SA 3.0.
Mali
"Battle of Jenné ."
https://en.wikipedia.org/wiki/Battle_of_Jenn%C3%A9.
"Ibn Battuta." https://en.wikipedia.org/wiki/Ibn_Battuta.
"Sundiata Keita."
http://en.wikipedia.org/wiki/Sundiata_Keita. Wikipedia CC
BY-SA 3.0.
"Pre-Imperial Mali." http://en.wikipedia.org/wiki/Pre-
Imperial_Mali. Wiktionary CC BY-SA 3.0.
"Musa I of Mali."
https://en.wikipedia.org/wiki/Musa_I_of_Mali. Wikipedia CC
BY-SA 3.0.
"Mansa (title)." https://en.wikipedia.org/wiki/Mansa_(title).
"Muezzin." https://en.wikipedia.org/wiki/Muezzin. Wikipedia
CC BY-SA 3.0.
"Timbuktu." https://en.wikipedia.org/wiki/Timbuktu.
"Mali Empire." http://en.wikipedia.org/wiki/Mali_Empire.
"Mali Map."
https://commons.wikimedia.org/wiki/File:MALI_empire_map
.PNG. Wikimedia GNU FDL 1.2.
"Timbuktu Manuscripts."
http://upload.wikimedia.org/wikipedia/commons/thumb/4/4f/
Timbuktu-manuscripts-astronomy-mathematics.jpg/640px-
Timbuktu-manuscripts-astronomy-mathematics.jpg.
Songhai
"Songhai Empire."
http://en.wikipedia.org/wiki/Songhai_Empire. Wikipedia CC
BY-SA 3.0.
"Sonni Dynasty."
https://en.wikipedia.org/wiki/Sonni_Dynasty. Wikipedia CC
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"Askia Mohammad I."
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CC BY-SA 3.0.
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3.0.
The Yoruba States
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3.0.
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g. Wikimedia GNU FDL 1.2.
15 .5 : East African Empires
15 .5 .1: Kingdom of Aksum
The Kingdom of Aksum was a trading nation in the area of northern
Ethiopia and Eritrea that existed from approximately 100 to 940 CE.
Learning Objective
Discuss the characteristics of the Kingdom of Aksum
Key Points
The Kingdom of Aksum (or Axum; also known as the Aksumite
Empire) was a trading nation in the area of northern Ethiopia
and Eritrea that existed from approximately 100 to 940 CE.
The Aksumite Empire at its height extended across most of
present-day Eritrea, northern Ethiopia, western Yemen, southern
Saudi Arabia, and Sudan. The capital city of the empire was
Aksum, now in northern Ethiopia.
By 350, Aksum conquered the Kingdom of Kush. Around 520,
King Kaleb sent an expedition to Yemen against the Jewish
Himyarite King Dhu Nuwas, who was persecuting the
Christian/Aksumite community in his kingdom. These wars may
have been Aksum's swan-song as a great power, but it is also
possible that Ethiopia was affected by the Plague of Justinian.
Covering parts of what is now northern Ethiopia and Eritrea,
Aksum was deeply involved in the trade network between India
and the Mediterranean (Rome, later Byzantium). Aksum's
access to both the Red Sea and the Upper Nile enabled its
strong navy to profit in trade between various African (Nubia),
Arabian (Yemen), and Indian states.
The Kingdom of Aksum is notable for a number of
achievements, such as its own alphabet, the Ge'ez alphabet.
Under Emperor Ezana, Aksum adopted Christianity, which gave
rise to the present-day Ethiopian Orthodox Tewahedo
Church and Eritrean Orthodox Tewahdo Church.
There exist different hypotheses as to why the empire collapsed,
but historians agree that climate changes must have greatly
contributed to the end of Aksum.
Key Terms
Sabaeans
An ancient people speaking an Old South Arabian language

who lived in what is today Yemen, in the southwest of the
Arabian Peninsula. For some time, they were believed to have
established the Kingdom of Aksum, but historians today reject
this claim.
Agaw
An ethnic group inhabiting Ethiopia and neighboring Eritrea.

They speak Agaw languages, which belong to the Cushitic
branch of the Afro-Asiatic family. They are credited with
establishing first settlements in the territory that later became
the Kingdom of Aksum.
Ge'ez
A script used as an abugida (syllable alphabet) for several

languages of Ethiopia and Eritrea. It originated as
anabj ad (consonant-only alphabet) and was first used to write
the liturgical language of the Ethiopian Orthodox Tewahedo
Church and the Eritrean Orthodox Tewahedo Church.
Miaphysitism
A Christological formula of the Oriental Orthodox churches. It
holds that in the one person of Jesus Christ, Divinity and
Humanity are united in one nature, without separation, without
confusion, and without alteration.
Plague of Justinian
A pandemic that afflicted the Eastern Roman (Byzantine)

Empire, especially its capital, Constantinople, the Sassanid
Empire, and port cities around the entire Mediterranean Sea
(541–542). One of the greatest plagues in history, this
devastating pandemic resulted in the deaths of an estimated 25
to 50 million people. It is generally regarded as the first
recorded instance of bubonic plague.
Aksum
The capital of the Kingdom of Aksum.
Introduction
The Kingdom of Aksum (or Axum; also known as the Aksumite
Empire) was a trading nation in the area of northern Ethiopia and
Eritrea that existed from approximately 100 to 940 CE. It grew from
the proto-Aksumite Iron Age period around the 4th century BCE to
achieve prominence by the 1st century CE, and was a major agent in
the commercial route between the Roman Empire and Ancient India.
The Aksumite rulers facilitated trade by minting their own Aksumite
currency. The state established its hegemony over the declining
Kingdom of Kush and regularly entered the politics of the kingdoms
on the Arabian Peninsula, eventually extending its rule over the
region with the conquest of the Himyarite Kingdom. The Persian
Prophet Mani regarded Axum as the third of the four greatest powers
of his time after Rome and Persia, with China being the fourth.
Origins
Aksum was previously thought to have been founded by Sabaeans,
an ancient people speaking an Old South Arabian language who
lived in what is today Yemen, in the southwest of the Arabian
Peninsula. However, most scholars now agree that prior to the arrival
of Sabaeans, an African settlement by the Agaw people and other
Ethiopian groups had already existed in the territory. Sabaean
influence is now thought to have been minor, limited to a few
localities, and disappearing after a few decades or a century,
perhaps representing a trading or military colony.
Empire
The Aksumite Empire at its height extended across most of present-
day Eritrea, northern Ethiopia, western Yemen, southern Saudi
Arabia, and Sudan. The capital city of the empire was Aksum, now in
northern Ethiopia. Today a smaller community, the city of Aksum was
once a bustling metropolis and cultural and economic center. By the
reign of Endubis in the late 3rd century, the empire had begun
minting its own currency. It converted to Christianity in 325 or 328
under King Ezana, and was the first state ever to use the image of
the cross on its coins. The kingdom used the name "Ethiopia" as
early as the 4th century.
By 350, Aksum conquered the Kingdom of Kush. Around 520, King

Kaleb sent an expedition to Yemen against the Jewish Himyarite
King Dhu Nuwas, who was persecuting the Christian/Aksumite
community in his kingdom. After several years of military and political
struggles, Yemen fell under the rule of Aksumite general Abreha,
who continued to promote the Christian faith until his death, not long
after which Yemen was conquered by the Persians. According to
Munro-Hay these wars may have been Aksum's swan-song as a
great power, with an overall weakening of Aksumite authority and
over-expenditure in money and manpower. It is also possible that
Ethiopia was affected by the Plague of Justinian around this time, a
disease thought to be the first recorded instance of bubonic plague.
Trading and Culture

Covering parts of what is now northern Ethiopia and Eritrea, Aksum
was deeply involved in the trade network between India and the
Mediterranean (Rome, later Byzantium), exporting ivory, tortoise
shell, gold, and emeralds, and importing silk and spices. Aksum's
access to both the Red Sea and the Upper Nile enabled its strong
navy to profit in trade between various African (Nubia), Arabian
(Yemen), and Indian states. The empire traded with Roman traders
as well as with Egyptian and Persian merchants.
Ex tent of Silk Route/ Silk Road

The economically important northern Silk Road and southern Spice
(Eastern) trade routes. The sea routes around the horn of Arabia and
the Indian sub-continent were Aksum's specialty for nearly a
millennium.
The land route covered portions of Egypt, Arabia, Persia, India, and
China. The sea/water route covered the Mediterranean Sea and the
Indian Ocean.
The main exports of Aksum were agricultural products. The land was
fertile during the time of the Aksumites, and the principal crops were
grains such as wheat and barley. The people of Aksum also raised
cattle, sheep, and camels. Wild animals were hunted for ivory and
rhinoceros horns. The empire was rich with gold and iron deposits,
and salt was an abundant and widely traded mineral.
Aksum benefited from a major transformation of the maritime trading

system that linked the Roman Empire and India. Starting around 100
BCE, a route from Egypt to India was established, making use of the
Red Sea and using monsoon winds to cross the Arabian Sea directly
to southern India. Aksum was ideally located to take advantage of
the new trading situation. Adulis soon became the main port for the
export of African goods, such as ivory, incense, gold, and exotic
animals. Slaves were also traded along the same routes. During the
2nd and 3rd centuries, the Kingdom of Aksum continued to expand
their control of the southern Red Sea basin. A caravan route to
Egypt, which bypassed the Nile corridor entirely, was established.
Aksum succeeded in becoming the principal supplier of African
goods to the Roman Empire.
A gold coin of the Aksumite king
Ousas, specifically a one third
solidus, diameter 17 mm, weight 1.5 0
gm.
The Aksumite Empire was one of the first African polities
economically and politically ambitious enough to issue its own
coins, which bore legends in Ge'ez and Greek.
The Aksumite Empire is notable for a number of achievements, such

as its own alphabet, the Ge'ez alphabet, which was eventually
modified to include vowels. Furthermore, in the early times of the
empire, giant obelisks to mark emperors' (and nobles') tombs
(underground grave chambers) were constructed, the most famous
of which is the Obelisk of Aksum.
Under Emperor Ezana, Aksum adopted Christianity in place of its

former polytheistic and Judaic religions. This gave rise to the present
day Ethiopian Orthodox Tewahedo Church (only granted autonomy
from the Coptic Church in 1953), and Eritrean Orthodox Tewahdo
Church (granted autonomy from the Ethiopian Orthodox church in
1993). Since the schism with orthodoxy following the Council of
Chalcedon (451), it has been an important Miaphysite church, and its
scriptures and liturgy continue to be in Ge'ez.
The Rome Stele ( known also as the
Aksum Obelisk) in Aksum ( Tigray
Region, Ethiopia)
The Stelae (hawilt/hawilti in local languages) are perhaps the most
identifiable part of the Aksumite legacy. These stone towers served
to mark graves and represent a magnificent multi-storied palace.
They are decorated with false doors and windows in typical Aksumite
design. The Stelae have most of their mass out of the ground, but
are stabilized by massive underground counter-weights. The stone
was often engraved with a pattern or emblem denoting the king's or
the noble's rank.
Decline
Eventually, the Islamic Empire took control of the Red Sea and most
of the Nile, forcing Aksum into economic isolation. Northwest of
Aksum, in modern-day Sudan, the Christian states of Makuria and
Alodia lasted until the 13th century before becoming Islamic. Aksum,
isolated, nonetheless still remained Christian.
After a second golden age in the early 6th century, the empire began
to decline, eventually ceasing its production of coins in the early 7th
century. Around the same time, the Aksumite population was forced
to go farther inland to the highlands for protection, abandoning
Aksum as the capital. Arab writers of the time continued to describe
Ethiopia (no longer referred to as Aksum) as an extensive and
powerful state, although it had lost control of most of the coast and
its tributaries. While land was lost in the north, it was gained in the
south, and Ethiopia still attracted Arab merchants. The capital was
moved to a new location, currently unknown, though it may have
been called Ku'bar or Jarmi.
There exist different hypotheses as to why the empire collapsed, but

historians agree that climate changes must have greatly contributed
to the end of Aksum. As international profits from the exchange
network declined, Aksum lost its ability to control its own raw
material sources, and that network collapsed. The already persistent
environmental pressure of a large population to maintain a high level
of regional food production had to be intensified. The result was a
wave of soil erosion that began on a local scale circa 650 and
attained catastrophic proportions after 700. Presumably, complex
socio-economic inputs compounded the problem. These are
traditionally reflected in declining maintenance, deterioration and
partial abandonment of marginal crop land, shifts to destructive
pastoral exploitation, and eventual wholesale and irreversible land
degradation. This syndrome was possibly accelerated by an
apparent decline in rainfall reliability beginning in 730–760, with the
presumed result that an abbreviated modern growing season was
reestablished during the 9th century.
15 .5 .2: The Sultanates of Somalia

From the Middle Ages until when Europeans colonized the territory
of today's Somalia, the region was never dominated by a centralized
empire, and instead witnessed the development and decline of
several powerful trading sultanates whose cultures were deeply
rooted in Islam.
Learning Objective
Explain the impact the arrival of Islam had on Somalia
Key Points
During the Middle Ages, Somalia's territory witnessed the
emergence and decline of several powerful sultanates that
dominated the regional trade. At no point was the region
centralized as one state, and the development of all the
sultanates was linked to the central role that Islam played in the
area since the 7th century.
The Sultanate of Mogadishu was an important trading empire
that lasted from the 10th century to the 16th century. It
maintained a vast trading network, dominated the regional
gold trade, minted its own Mogadishu currency, and left an
extensive architectural legacy in present-day southern Somalia.
The Ajuran Sultanate ruled over large parts of the Horn of Africa
between the 13th and late 17th centuries. Through a strong
centralized administration and an aggressive military stance
towards invaders, it successfully resisted an Oromo invasion
from the west and a Portuguese incursion from the east. It left
an extensive architectural and engineering legacy.
The Warsangali Sultanate was a kingdom centered in
northeastern and in some parts of southeastern Somalia. It was
one of the largest sultanates ever established in the territory.
The Sultanate of Ifat was a medieval Muslim Sultanate in the
Horn of Africa. Led by the Walashma dynasty, it was centered in
the ancient cities of Zeila and Shewa. The Kingdom ruled over
parts of what are now eastern Ethiopia, Djibouti, and northern
Somalia. Ifat first emerged in the 13th century, when Sultan
Umar Walashma conquered the Sultanate of Showa in 1285.
The Adal Sultanate or Kingdom of Adal was founded after the
fall of the Sultanate of Ifat. It flourished from around 1415 to
1577.
Following the Middle Ages and Early Modern period, Arab
sultanates continued to dominate the region until it fell under the
colonial control of Europeans in the 19th century.
Key Terms
Berbers
An ethnic group indigenous to North Africa. They are distributed

in an area stretching from the Atlantic Ocean to the Siwa
Oasis in Egypt, and from the Mediterranean Sea to the Niger
River. Since the Muslim conquest of North Africa in the 7th
century, a large number inhabiting the Maghreb have acquired
different degrees of knowledge of the various languages of
North Africa.
Zeila
A port city in northwestern Somali. It evolved into an early

Islamic center with the arrival of Muslims shortly after the hijra.
By the 9th century it was the capital of the Ifat Sultanate and a
major port for its successor state the Adal Sultanate. It would
attain its height of prosperity a few centuries later, in the 16th
century. The city subsequently came under Ottoman and British
protection in the 18th century.
hijra
The migration or journey of the Islamic prophet Muhammad and

his followers from Mecca to Yathrib, later renamed Medina, in
622 CE. In May 622 CE, after being warned of a plot to
assassinate him, Muhammad secretly left his home in Mecca to
emigrate to Yathrib, 320 kilometers (200 miles) north of Mecca,
along with his companion, Abu Bakr.
Somali Sultanates and Islam

During the Middle Ages, Somalia's territory witnessed the
emergence and decline of several powerful sultanates that
dominated the regional trade. At no point was the region centralized
as one state, and the development of all the sultanates was linked to
the central role that Islam played in the area since the 7th century.
Islam was introduced to the northern Somali coast from the Arabian
Peninsula early on, shortly after the hijra (also hegira), or the journey
of the Islamic prophet Muhammad and his followers from Mecca to
Yathrib, later renamed Medina, in 622 CE.
The oldest mosque in the city of Zeila, a major port/trading center,

dates to the 7th century. In the late 9th century, Muslims were living
along the northern Somali seaboard, and evidence suggests that
Zeila was already the headquarters of a Muslim sultanate in the 9th
or 10th century. According to I.M. Lewis, the polity was governed by
local dynasties consisting of Somalized Arabs or Arabized Somalis,
who also ruled over the Sultanate of Mogadishu in the
Benadir region to the south.
Mogadishu
The Sultanate of Mogadishu was an important trading empire that
lasted from the 10th century to the 16th century. It rose as one of the
pre-eminent powers in the Horn of Africa over the course of the 12th
to 14th centuries, before becoming part of the expanding Ajuran
Empire. The Mogadishu Sultanate maintained a vast trading
network, dominated the regional gold trade, minted its own
Mogadishu currency, and left an extensive architectural legacy in
present-day southern Somalia. Its first dynasty was established by
Sultan Fakr ad-Din. This ruling house was succeeded by the
Muzaffar dynasty, and the kingdom subsequently became closely
linked with the Ajuran Sultanate. For many years, Mogadishu stood
as the pre-eminent city in what is known as the Land of the Berbers,
which was the medieval Arab term for the Somali coast.
Contemporary historians suggest that the Berbers were ancestors of
the modern Somalis.
Location of Mogadishu Sultanate
according to 15 th-century Italian
cartographer Fra Mauro
During his travels, Ibn Sa'id al-Maghribi (1213–1286) noted that the
city had already become the leading Islamic center in the region. By
the time of the Moroccan traveler Ibn Battuta's appearance on the
Somali coast in 1331, the city was at the zenith of its prosperity. He
described Mogadishu as "an exceedingly large city" with many rich
merchants that was famous for its high quality fabric that it exported
to Egypt, among other places.
Fra Mauro's map of East Africa

Ajuran
The Ajuran Sultanate ruled over large parts of the Horn of Africa
between the 13th and late 17th centuries. Through a strong
centralized administration and an aggressive military stance toward
invaders, it successfully resisted an Oromo invasion (a series of
expansions in the 16th and 17th centuries by the Oromo people from
parts of Kenya and Somalia to Ethiopia) from the west and a
Portuguese incursion from the east during the Gaal Madow and the
Ajuran-Portuguese wars. Trading routes dating from the ancient and
early medieval periods of Somali maritime enterprise were
strengthened or re-established, and foreign trade and commerce in
the coastal provinces flourished, with ships sailing to and coming
from many kingdoms and empires in East Asia, South Asia, Europe,
the Near East, North Africa, and East Africa.
The Ajuran Sultanate left an extensive architectural legacy, being

one of the major medieval Somali powers engaged in castle and
fortress building. Many of the ruined fortifications dotting the
landscapes of southern Somalia today are attributed to the Ajuran
Sultanate's engineers. During the Ajuran period, many regions and
people in the southern part of the Horn of Africa converted to Islam
because of the theocratic nature of the government. The royal family,
the House of Garen, expanded its territories and established its
hegemonic rule through a skillful combination of warfare, trade
linkages, and alliances.
As a hydraulic empire, the Ajuran monopolized the water resources

of the Shebelle and Jubba rivers. It also constructed many of the
limestone wells and cisterns of the state that are still in use today.
The rulers developed new systems for agriculture and taxation,
which continued to be used in parts of the Horn of Africa as late as
the 19th century. The tyrannical rule of the later Ajuran rulers caused
multiple rebellions to break out in the sultanate, and at the end of the
17th century the Ajuran state disintegrated into several successor
kingdoms and states, the most prominent being the Geledi
Sultanate.
W arsangali
The Warsangali Sultanate was a kingdom centered in northeastern
and in some parts of southeastern Somalia. It was one of the largest
sultanates ever established in the territory, and, at the height of its
power, included the Sanaag region and parts of the northeastern
Bari region of the country, an area historically known as Maakhir or
the Maakhir Coast. The Sultanate was founded in the late 13th
century in northern Somalia by a group of Somalis from the
Warsangali branch of the Darod clan. It survived until the British
colonization of the region in the 19th century.
The Ajuuraan, Adal, and W arsangali
Sultanates in the 15 th century
Already in the classical (ancient) period, the Somali city-states of
Mosylon, Opone, Malao, Sarapion, Mundus, Essina, and Tabae
developed a lucrative trade network connecting with merchants from
Phoenicia, Ptolemic Egypt, Greece, Parthian Persia, Sheba,
Nabataea, and the Roman Empire. They used the ancient Somali
maritime vessel known as the beden to transport their cargo.
The map shows the Horn of Africa. The Adal Sultanate was located
on the Gulf of Tadjoura in modern-day Djibouti, the Warsangali
Sultanate was located to the east in modern-day northeastern
Somalia, the Ajuuraan Empire was located to the south on the
Benadir Coast of modern-day Somalia, and the Portuguese Empire
was located south of that near Pate, on the modern-day northeast
coast of Kenya.
Ifat
The Sultanate of Ifat was a medieval Muslim Sultanate in the Horn of
Africa. Led by the Walashma dynasty, it was centered in the ancient
cities of Zeila and Shewa. The sultanate ruled over parts of what are
now eastern Ethiopia, Djibouti, and northern Somalia. Ifat first
emerged in the 13th century, when Sultan Umar Walashma (or his
son Ali, according to another source) is recorded as having
conquered the Sultanate of Showa in 1285. Historian Taddesse
Tamrat explains Sultan Umar's military acts as an effort to
consolidate the Muslim territories in the Horn of Africa in much the
same way as Emperor Yekuno Amlak was attempting to consolidate
the Christian territories in the highlands during the same period.
These two states inevitably came into conflict over Shewa and
territories further south. A lengthy war ensued, but the Muslim
sultanates of the time were not strongly unified. Ifat was finally
defeated by Emperor Amda Seyon I of Ethiopia in 1332.
Despite this setback, the Muslim rulers of Ifat continued their

campaign. The Ethiopian emperor branded the Muslims of the
surrounding area "enemies of the Lord" and invaded Ifat in the early
15th century. After much struggle, Ifat's troops were defeated. Ifat
eventually disappeared as a distinct polity following the Conquest of
Abyssinia led by Ahmad ibn Ibrahim al-Ghazi and the subsequent
Oromo migrations into the area. Its name is preserved in the
modern-day Ethiopian district of Yifat, situated in Shewa.
Adal
The Adal Sultanate or Kingdom of Adal was founded after the fall of
the Sultanate of Ifat. It flourished from around 1415 to 1577. The
sultanate was established predominately by local Somali tribes, as
well as Afars, Arabs, and Hararis. At its height, the polity controlled
large parts of Somalia, Ethiopia, Djibouti, and Eritrea. During its
existence, Adal had relations and engaged in trade with other polities
in northeast Africa, the Near East, Europe, and South Asia. Many of
the historic cities in the Horn of Africa, such as Abasa and Berbera,
flourished under its reign, with courtyard houses, mosques, shrines,
walled enclosures, and cisterns. Adal attained its peak in the 14th
century, trading in slaves, ivory, and other commodities with
Abyssinia and kingdoms in Arabia through its chief port of Zeila.
Modern Sultanates
Following the Middle Ages and Early Modern period, Arab sultanates
continued to dominate the region, until it fell under the colonial
control of Europeans in the 19th century. The Sultanate of the
Geledi ruled parts of the Horn of Africa during the late 17th century
and 19th century. The Sultanate was governed by the Gobroon
Dynasty. It was eventually incorporated into Italian Somaliland in
1908, and ended with the death of Osman Ahmed in 1910.
The Majeerteen Sultanate was a Somali Sultanate centered in the

Horn of Africa. Ruled by Boqor Osman Mahamuud during its golden
age, it controlled much of northern and central Somalia in the 19th
and early 20th centuries. The polity had all of the organs of an
integrated modern state and maintained a robust trading network. It
also entered into treaties with foreign powers and exerted strong
centralized authority on the domestic front. In late 1889, Boqor
Osman entered into a treaty with Italy, making his kingdom a
protectorate known as Italian Somaliland.
Finally, the Sultanate of Hobyo, in present-day northeastern and

central Somalia and eastern Ethiopia, was established in the 1870s
by Yusuf Ali Kenadid, cousin of Boqor Osman Mahamuud. As with
the Majeerteen Sultanate, the Sultanate of Hobyo exerted a strong
centralized authority during its existence, and possessed all of the
organs and trappings of an integrated modern state: a functioning
bureaucracy, a hereditary nobility, titled aristocrats, a state flag, and
a professional army. In late 1888, Sultan Kenadid entered into a
treaty with the Italians, making his realm an Italian protectorate, but
the sultanate eventually dissolved in 1926.
15 .5 .3: Ethiopia and Eritrea

Following the ancient kingdom of D'mt and the medieval empire of
Aksum, some of current Ethiopia's territory was dominated by the
Christian Ethiopian Empire established by the Zagwe dynasty in the
12th century, and later ruled by the Solomonic dynasty until the 20th
century.
Learning Objective
Compare and contrast Ethiopia with other East African empires
Key Points
The first kingdom thought to have existed in today's Ethiopia
was the kingdom of D'mt, with its capital at Yeha, where a
Sabaean-style temple was built around 700 BCE. It rose to
power around the 10th century BCE, but little is certain about its
development and decline. Aksum is the first verifiable kingdom
of great power to rise in the region. It was a trading empire in
the area of northern Ethiopia and Eritrea, and existed
approximately from 100 to 940 CE.
An Agaw lord named Mara Takla Haymanot founded the Zagwe
dynasty in 1137. The new dynasty established its capital at
Roha and controlled a smaller area than the Aksumites, with its
core in the Lasta region. The Zagwe seem to have ruled over a
mostly peaceful state with a flourishing urban culture.
Around 1270, a new dynasty was established in the Abyssinian
highlands under Yekuno Amlak. A 14th century legend was
created to legitimize the Solomonic dynasty, under which the
chief provinces became Tigray (northern), what is now Amhara
(central), and Shewa (southern).
Towards the close of the 15th century, the Portuguese missions
into Ethiopia began, and Pê ro da Covilhã arrived in Ethiopia in
1490. In 1507, an Armenian named Matthew was sent by the
emperor to the king of Portugal to request his aid against the
Muslims. In 1520, a Portuguese fleet, with Matthew on board,
entered the Red Sea in compliance with this request.
Between 1528 and 1543, wars with Somali sultanates
dominated the Ethiopian Empire. With the support of the
Portuguese, Ethiopia emerged victorious from the conflict.
In the 18th century, the so-called Zemene Mesafint (Era of the
Princes) began. It was a period in Ethiopian history when the
country was divided into several regions with no effective central
authority. It ended in the mid-19th century, and Ethiopia was one
of few territories not colonized by Europeans.
Key Terms
Hatata
A 1667 ethical philosophical treatise by Ethiopian philosopher

Zera Yacob. The philosophy is theistic in nature and came
during a period when African philosophical literature was
significantly oral in character. It has often been compared by
scholars to Descartes' Discours de la methode (1637). Yacob
wrote his treatise as an investigation of the light of reason.
Yacob is most noted for this philosophy surrounding the
principle of harmony.
Aksum
A trading nation in Eritrea and Northern Ethiopia Tigray

that existed approximately from 100 to 940 CE. It grew from the
proto-Aksumite Iron Age period c. the 4th century BCE to
achieve prominence by the 1st century CE, and was a major
agent in the commercial route between the Roman Empire and
Ancient India.
the Zagwe dynasty
A historical kingdom in present-day northern Ethiopia. Centered

at Lalibela, it ruled large parts of the territory from approximately
900 to 1270, when the last Zagwe King Za-Ilmaknun was killed
in battle by the forces of Yekuno Amlak.
the Solomonic dynasty
The former ruling imperial house of the Ethiopian Empire. Its

members claim patrilineal descent from King Solomon of
Israel and the Queen of Sheba. Yekuno Amlak claimed direct
male-line descent from the old Aksumite royal house that the
Zagwes had replaced on the throne. It continued to rule Ethiopia
with few interruptions until 1974, when the last emperor, Haile
Selassie I, was deposed.
Fasil Ghebbi
A fortress-city within Gondar, Ethiopia. It was founded in the

17th and 18th centuries by Emperor Fasilides (Fasil) and was
the home of Ethiopia's emperors. Its unique architecture shows
diverse influences, including Nubian styles.
Zemene Mesafint
Known also as Era of the Princes, was a period (18th century to

mid-19th century) in Ethiopian history when the country was
divided into several regions with no effective central authority. It
was a period in which the emperors were reduced to
figureheads confined to the capital city of Gondar.
Ancient and Medieval Ethiopia

The first kingdom thought to have existed in today's Ethiopia was the
kingdom of D'mt, with its capital at Yeha, where a Sabaean-style
temple was built around 700 BCE. It rose to power around the 10th
century BCE, but little is certain about its development and decline. It
is not known whether D'mt ended as a civilization before Aksum's (its
one possible successor) early stages, evolved into the Aksumite
state, or was one of the smaller states united in the Aksumite
kingdom possibly around the beginning of the 1st century. Aksum is
the first verifiable kingdom of great power to rise in the region. It was
a trading empire in the area of northern Ethiopia and Eritrea that
existed approximately from 100 to 940 CE, and was a major agent in
the commercial route between the Roman Empire and Ancient India.
About 1000 (presumably c. 960, though the date is uncertain), a non-
Christian female ruler conquered the area. Little is known about this
episode, but the later Solomonic Dynasty used the legend of a
princess named Yodit to legitimize its rule.
At one point during the next century, the last of Yodit's successors
were overthrown by an Agaw lord named Mara Takla Haymanot,
who founded the Zagwe dynasty in 1137—the year that marks the
beginning of the Ethiopian Empire, known also as Abyssinia. The
new Zagwe dynasty established its capital at Roha (also called
Lalibela), where they built a series of monolithic churches. The
architecture of the Zagwe shows a continuation of earlier Aksumite
traditions. The Zagwe dynasty controlled a smaller area than the
Aksumites, with its core in the Lasta region. The Zagwe seem to
have ruled over a mostly peaceful state with a flourishing urban
culture. Unlike the Aksumites, they were very isolated from the other
Christian nations, although they did maintain a degree of contact
through Jerusalem and Cairo. Later, as the Crusades were dying out
in the early 14th century, the Ethiopian King Wedem Ar'ad
dispatched a thirty-man mission to Europe, where they traveled to
Rome to meet the Pope and then, since the Medieval Papacy was in
schism, they traveled to Avignon to meet the Antipope. During this
trip, the Ethiopian mission also traveled to France, Spain, and
Portugal in the hopes of building an alliance against the Muslim
states that threatened Ethiopia's existence.
The Solomonic Dynasty
Around 1270, a new dynasty was established in the Abyssinian
highlands under Yekuno Amlak, who deposed the last of the Zagwe
kings and married one of his daughters. According to legends, the
new dynasty were male-line descendants of Aksumite monarchs.
The 14th century legend was created to legitimize the Solomonic
dynasty, under which the chief provinces became Tigray (northern),
what is now Amhara (central), and Shewa (southern). The seat of
government, or rather of overlordship, was usually in Amhara or
Shewa, and the ruler exacted tribute, when he could, from the other
provinces. At the time, Ethiopia engaged in military reforms and
imperial expansion that left it dominating the Horn of Africa,
especially under the rule of Amda Seyon I (1314–44). Artistic and
literary advancement of the period came together with a decline in
urbanization, as the Solomonic emperors did not have a fixed capital
but rather moved around the empire in mobile camps.
Towards the close of the 15th century, the Portuguese missions into
Ethiopia began. A belief had long prevailed in Europe of the
existence of a Christian kingdom in the far east whose monarch was
known as Prester John, and various expeditions had been sent to
find it. Among others engaged in this search was Pê ro da Covilhã ,
who arrived in Ethiopia in 1490. Da Covilhã remained in the country,
but in 1507 an Armenian named Matthew was sent by the emperor
to the king of Portugal to request his aid against the Muslims. In
1520, a Portuguese fleet, with Matthew on board, entered the Red
Sea in compliance with this request, and an embassy from the fleet
visited the emperor, Lebna Dengel, and remained in Ethiopia for
about six years. One of this embassy was Father Francisco Á lvares,
who wrote one of the earliest accounts of the country.
Lebna Dengel, nə gusä
nä gä st ( emperor) of Ethiopia and a
member of the Solomonic dynasty.
Portrait by Cristofano dell'Altissimo,
c. 15 5 2-15 68 , Uffiz i, Florence.
The Solomonic dynasty was a bastion of Judaism and later of
Ethiopian Orthodox Christianity. It is considered to have ruled
Ethiopia in the 10th century BCE. Records of the dynasty's history
were reported to have been maintained by the Ethiopian Orthodox
monasteries to near antiquity. However, if such records existed, most
were lost as a result of the destruction of Orthodox monasteries. The
Dynasty re-established itself in 1270 CE, when when Yekuno
Amlak overthrew the last ruler of the Zagwe dynasty.
W ars with Somali Sultanates

Between 1528 and 1540, armies of Muslims, under the Imam Ahmad
ibn Ibrihim al-Ghazi, entered Ethiopia from the low country to the
southeast and overran the Abyssinian Kingdom, obliging the
Emperor to take refuge in the mountains. The ruler turned to the
Portuguese again. Joã o Bermudes, a subordinate member of the
mission of 1520, was sent to Lisbon, although it is not know what his
specific role was. In response to Bermudes's message, a
Portuguese fleet under the command of Estê vã o da Gama was sent
from India and arrived at Massawa in 1541. Under the command of
Cristó vã o da Gama, younger brother of the admiral, the Portuguese
and local troops were initially successful against the enemy.
However, they were subsequently defeated at the Battle of Wofla
(1542), and their commander was captured and executed.
Nonetheless, in 1543, Al-Ghazi was shot and killed in the Battle of
Wayna Daga, and his forces were totally routed. Following the
victory, quarrels arose between the emperor and Bermudes, who
now urged the emperor to publicly profess his obedience to Rome.
The emperor refused, and Bermudes was obliged to leave.
Gondar and Z emene Mesafint

Upon the death of Emperor Susenyos and the accession of his son
Fasilides in 1633, the Jesuits, who had accompanied or followed the
Gama expedition, were expelled and the native religion restored to
official status. Fasilides made Gondar his capital in 1636 and built a
castle there, which would grow into the castle complex known as the
Fasil Ghebbi, or Royal Enclosure. During this time, Ethiopian
philosophy flourished, with philosophers Zera Yacob and Walda
Heywat leading the way. Yaqob is known for his treatise on religion,
morality, and reason, known as Hatata.
The Royal Enclosure ( Fasil Ghebbi)

and Gondar
Emperor Fasilides made Gondar his capital and built a castle there,
which would grow into the castle complex known as the Fasil
Ghebbi, or Royal Enclosure. Fasilides also constructed several
churches in Gondar, many bridges across the country, and expanded
the Church of Our Lady Mary of Zion in Aksum.
In the 18th century, the so-called Zemene Mesafint (Era of the

Princes) began. It was a period in Ethiopian history when the country
was divided into several regions with no effective central authority.
The emperors were reduced to little more than figureheads confined
to the capital city of Gondar. Historians debate what triggered
Zemene Mesafint, pointing to various events ranging from 1706 to
1769 as the beginning of the era. A religious conflict between settling
Muslims and traditional Christians, between nationalities they
represented, and between feudal lords dominated the region at the
time. The power lay ever more openly in the hands of the great
nobles and military commanders.
Bitter religious conflicts contributed to hostility toward foreign

Christians and Europeans; they persisted into the 20th century and
were a factor in Ethiopia's isolation until the mid-19th century, when
the first British mission was sent in 1805 to conclude an alliance with
Ethiopia and obtain a port on the Red Sea in case France conquered
Egypt. This isolation was pierced by very few European travelers.
The first years of the 19th century were disturbed by fierce

campaigns between Ras Gugsa of Begemder and Ras Wolde
Selassie of Tigray, who fought over control of the figurehead
emperor Egwale Seyon. Wolde Selassie was eventually the victor
and practically ruled the whole country until his death in 1816 at the
age of eighty. Dejazmach Sabagadis of Agame succeeded Wolde
Selassie in 1817, through force of arms, to become warlord of Tigre.
Under the emperors Tewodros II (1855–1868), Yohannes IV (1872–
1889), and Menelek II (1889–1913), the empire began to emerge
from its isolation. Under Emperor Tewodros II, Zemene Mesafint was
brought to an end.
Ethiopia was never colonized by a European power, but was

occupied by Italians in 1936. However, several colonial powers had
interests in and designs on Ethiopia in the context of the 19th
century colonization of Africa.
Attributions
Kingdom of Aksum
"Miaphysitism." https://en.wikipedia.org/wiki/Miaphysitism.
"Agaw people." https://en.wikipedia.org/wiki/Agaw_people.
"Ge'ez script."
https://en.wikipedia.org/wiki/Ge%27ez_script. Wikipedia CC
BY-SA 3.0.
"Plague of Justinian."
https://en.wikipedia.org/wiki/Plague_of_Justinian. Wikipedia
CC BY-SA 3.0.
"Kingdom of Aksum."
http://en.wikipedia.org/wiki/Kingdom_of_Aksum. Wikipedia
CC BY-SA 3.0.
"Sabaeans." https://en.wikipedia.org/wiki/Sabaeans.
"Obolisk of Aksum."
https://commons.wikimedia.org/wiki/File:Rome_Stele.jpg.
"Silk Route."
https://commons.wikimedia.org/wiki/File:Silk_route.jpg.
"Ousas."
https://commons.wikimedia.org/wiki/File:Ousas.jpg.
The Sultanates of Somalia
"Islam in Somalia."
https://en.wikipedia.org/wiki/Islam_in_Somalia. Wikipedia
CC BY-SA 3.0.
"Sultanate of Mogadishu."
https://en.wikipedia.org/wiki/Sultanate_of_Mogadishu.
"Adal Sultanate."
https://en.wikipedia.org/wiki/Adal_Sultanate. Wikipedia CC
BY-SA 3.0.
"Sultanate of Hobyo."
https://en.wikipedia.org/wiki/Sultanate_of_Hobyo. Wikipedia
CC BY-SA 3.0.
"Warsangali Sultanate."
https://en.wikipedia.org/wiki/Warsangali_Sultanate.
"Ajuran Sultanate."
https://en.wikipedia.org/wiki/Ajuran_Sultanate. Wikipedia
CC BY-SA 3.0.
"Zeila." https://en.wikipedia.org/wiki/Zeila. Wikipedia CC BY-
SA 3.0.
"Hegira." https://en.wikipedia.org/wiki/Hegira. Wikipedia CC
BY-SA 3.0.
"Sultanate of Ifat."
https://en.wikipedia.org/wiki/Sultanate_of_Ifat. Wikipedia
CC BY-SA 3.0.
"History of Somalia."
https://en.wikipedia.org/wiki/History_of_Somalia. Wikipedia
CC BY-SA 3.0.
"Oromo migrations."
https://en.wikipedia.org/wiki/Oromo_migrations. Wikipedia
CC BY-SA 3.0.
"Sultanate of the Geledi."
https://en.wikipedia.org/wiki/Sultanate_of_the_Geledi.
"Majeerteen Sultanate."
https://en.wikipedia.org/wiki/Majeerteen_Sultanate.
"Berbers." https://en.wikipedia.org/wiki/Berbers. Wikipedia
CC BY-SA 3.0.
"Ajuuraan2.png."
https://en.wikipedia.org/wiki/Ajuran_Sultanate# /media/File:A
juuraan2.png. Wikipedia CC BY-SA 3.0.
"Fra_Mauro_Somalia.jpg."
https://commons.wikimedia.org/wiki/File:Fra_Mauro_Somali
a.jpg. Wikimedia Public domain.
Ethiopia and Eritrea
"Amda Seyon I."
https://en.wikipedia.org/wiki/Amda_Seyon_I. Wikipedia CC
BY-SA 3.0.
"Zemene Mesafint."
https://en.wikipedia.org/wiki/Zemene_Mesafint. Wikipedia
CC BY-SA 3.0.
"Hatata." https://en.wikipedia.org/wiki/Hatata. Wikipedia CC
BY-SA 3.0.
"Solomonic dynasty."
https://en.wikipedia.org/wiki/Solomonic_dynasty. Wikipedia
CC BY-SA 3.0.
"Fasil Ghebbi." https://en.wikipedia.org/wiki/Fasil_Ghebbi.
"History of Ethiopia."
https://en.wikipedia.org/wiki/History_of_Ethiopia. Wikipedia
CC BY-SA 3.0.
"Zagwe dynasty."
https://en.wikipedia.org/wiki/Zagwe_dynasty. Wikipedia CC
BY-SA 3.0.
"Ethiopian Empire."
https://en.wikipedia.org/wiki/Ethiopian_Empire. Wikipedia
CC BY-SA 3.0.
"Kingdom of Aksum."
https://en.wikipedia.org/wiki/Kingdom_of_Aksum. Wikipedia
CC BY-SA 3.0.
"1280px-Royal_Enclosure_at_Gondar.jpg."
https://commons.wikimedia.org/wiki/File:Royal_Enclosure_a
t_Gondar.jpg. Wikimedia Public domain.
"Cristofano_dell’Altissimo_Portrait_of_Lebnä -
Dengel._c._1552-1568.jpg."
https://commons.wikimedia.org/wiki/File:Cristofano_dell%E
2%80%99Altissimo,_Portrait_of_Lebn%C3%A4-
Dengel._c._1552-1568.jpg. Wikimedia Public domain.
15 .6: Southern African States
15 .6.1: Namibia
Today's Namibia did not witness the emergence of ancient or
medieval kingdoms and empires that would largely dominate its
territory, but evidence suggests that a number of diverse peoples
settled there as a result of ancient, medieval, and modern
migrations.
Learning Objective
Describe the tribal makeup of Namibia
Key Points
Not much is known about pre-colonial Namibia, but evidence
suggests that a number of diverse peoples settled there as a
result of ancient, medieval, and modern migrations.
The San (also called Bushmen) are generally assumed to have
been the earliest inhabitants of the region comprising today's
Namibia, Botswana, and South Africa. Until about 2,000 years
ago, they were the only inhabitants in Namibia, but around that
time the Nama (also known as Namaqua), the Khoikhoi, and the
Hottentots settled around the Orange River in the south, on the
border between Namibia and South Africa, where they kept
herds of sheep and goats.
In the 9th century, the Damara entered Namibia. The Damara do
not relate to the other Khoisan peoples, although they share a
similar language. It is believed that they separated themselves
early on from their Bantu brothers of Southern and Central
Africa and moved to Southwest Africa.
The Ovambo, and the smaller and closely related group
Kavango, lived in northern Namibia and southern Angola. The
Kavango also lived in western Zambia. They migrated south
from the upper regions of Zambezi around the 14th century.
Their economy was based on farming, cattle, and fishing, but
they also produced metal goods.
During the 17th century, the Herero, a pastoral, nomadic people
keeping cattle, moved into Namibia. They came from the east
African lakes and entered Namibia from the northwest.
In the 19th century white farmers, mostly Boers, moved farther
north, pushing the indigenous Khoisan peoples, who put up a
fierce resistance, across the Orange River. Known as Oorlams,
these Khoisan adopted Boer customs and spoke a language
similar to Afrikaans.
Europeans first arrived in Namibia in the 15th century, and the
territory became one of the first European (German) colonies on
the continent.
Key Terms
the Herero and Namaqua genocide
A campaign of racial extermination and collective punishment

that the German Empire undertook in German South-West
Africa (modern-day Namibia) against the Herero and Nama
people. It is considered one of the first genocides of the 20th
century. It took place between 1904 and 1907 during the Herero
Wars.
Herero Wars
A series of colonial wars between the German Empire and the

Herero people of German South-West Africa (present-day
Namibia, c. 1903–1908).
Khoisan peoples
A unifying name for two groups of peoples of Southern Africa
who share physical and putative linguistic characteristics distinct
from the Bantu majority of the region. Culturally, they are divided
into the foraging San, or Bushmen, and the pastoral Khoi, or
more specifically Khoikhoi, previously known as Hottentots.
Zambezi
The fourth-longest river in Africa, the longest east flowing river in

Africa, and the largest river flowing into the Indian Ocean from
Africa. The 2,574-kilometer-long river (1,599 miles) rises in
Zambia and flows through eastern Angola, along the eastern
border of Namibia and the northern border of Botswana, then
along the border between Zambia and Zimbabwe to
Mozambique, where it crosses the country to empty into the
Indian Ocean.
The Peoples Of Pre-Colonial

Namibia
Unlike in other territories in Africa, no powerful ancient or medieval
kingdoms and empires served as predecessors of the Namibian
state today. Not much is known about pre-colonial Namibia, but
evidence suggests that a number of diverse peoples settled there as
a result of ancient, medieval, and modern migrations. The San (also
called Bushmen) are generally assumed to have been the earliest
inhabitants of the region comprising today's Namibia, Botswana, and
South Africa. The San were hunters and gatherers with a nomadic
lifestyle. The most important part of their diet consisted of fruits, nuts,
and roots, but they also hunted different kinds of antelopes. Until
about 2,000 years ago, the original hunters and gatherers of the San
people were the only inhabitants in Namibia, but around that time,
the Nama (also known as Namaqua), the Khoikhoi, and the
Hottentots settled around the Orange River in the south, on the
border between Namibia and South Africa, where they kept herds of
sheep and goats. Both the San and the Nama were Khoisan
peoples, and spoke languages from the Khoisan language group.
In the 9th century, the Damara entered Namibia. The Damara do not
relate to the other Khoisan peoples, although they share a similar
language. It is believed that they separated themselves early on from
their Bantu brothers of Southern and Central Africa and moved to
Southwest Africa. It is unclear where they came from, but they
settled in the grasslands in central Namibia, known as Damaraland.
The Ovambo, and the smaller and closely related group Kavango,
lived in northern Namibia and southern Angola. The Kavango also
lived in western Zambia. They migrated south from the upper regions
of Zambezi around the 14th century. Their economy was based on
farming, cattle, and fishing, but they also produced metal goods.
Both groups belonged to the Bantu nation. They rarely ventured
south to the central parts of the country, where the conditions did not
suit their farming way of life. However, they extensively traded their
knives and agricultural implements. The Ovambo constitute the
largest ethnic group and a majority of the population in today's
Namibia.
During the 17th century, the Herero, a pastoral, nomadic people

African lakes and entered Namibia from the northwest. First they
resided in Kaokoland, but in the middle of the 19th century some
tribes moved farther south and into Damaraland. A number of tribes
remained in Kaokoland. During German occupation of this region,
about one third of the population was wiped out in a genocide that
continues to provoke historical and political debates. Known as the
Herero and Namaqua genocide, it was a campaign of racial
extermination and collective punishment. It is considered one of the
first genocides of the 20th century, taking place between 1904 and
1907 during the Herero Wars.
Herero, c. 1910
During the 17th century the Herero, a pastoral, nomadic people
African lakes and entered Namibia from the northwest.
Photograph of seven members of a Herero family
In the 19th century white farmers, mostly Boers, moved farther north,
pushing the indigenous Khoisan peoples, who put up a fierce
resistance, across the Orange River. Known as Oorlams, these
Khoisans adopted Boer customs and spoke a language similar to
Afrikaans. Armed with guns, the Oorlams caused instability as more
and more came to settle in Namaqualand, and eventually conflict
arose between them and the Nama. Under the leadership of Jonker
Afrikaner, the Oorlams used their superior weapons to take control of
the best grazing land. In the 1830s, Jonker Afrikaner concluded an
agreement with the Nama chief Oaseb whereby the Oorlams would
protect the central grasslands of Namibia from the Herero who were
then pushing south. Eventually, warfare over land control between
the Herero and the Oorlams, as well as between the two of them and
the Damara, who were the original inhabitants of the area, broke out.
The Damara were displaced by the fighting and many were killed.
Europeans in Namibia
The first European to set foot on Namibian soil was the Portuguese
Diogo Cã o, in 1485 during an exploratory mission along the west
coast of Africa. The next European to visit Namibia was also a
Portuguese, Bartholomeu Dias, who stopped there on his way to
round the Cape of Good Hope. However, as the inhospitable Namib
Desert constituted a formidable barrier, neither of the Portuguese
explorers went far inland.
In 1793, the Dutch authority in the Cape decided to take control of

Walvis Bay, since it was the only good deep-water harbor along the
Skeleton Coast. When the United Kingdom took control of the Cape
Colony in 1797, they also took over Walvis Bay. But white settlement
in the area was limited, and neither the Dutch nor the British
penetrated far into the country. One of the first European groups to
show interest in Namibia were the missionaries. In 1805 the London
Missionary Society began working in Namibia, moving north from the
Cape Colony. In 1811 they founded the town Bethanie in southern
Namibia, where they built a church, which today is Namibia's oldest
building.
In the 1840s the German Rhenish Mission Society started working in

Namibia and cooperating with the London Missionary Society. It was
not until the 19th century, when European powers sought to carve up
the African continent between them in the so-called Scramble for
Africa, that Europeans—predominately Germany and Great Britain—
became interested in Namibia. The first territorial claim on a part of
Namibia came when Britain occupied Walvis Bay, confirming the
settlement of 1797, and permitted the Cape Colony to annex it in
1878. The annexation was an attempt to forestall German ambitions
in the area, and it also guaranteed control of the good deep water
harbor on the way to the Cape Colony and other British colonies on
Africa's east coast. Believing that Britain was soon about to declare
the whole area a protectorate, the German chancellor, Otto von
Bismarck claimed it in 1884, thereby establishing German South-
West Africa as a colony.
15 .6.2: Great Z imbabwe

Great Zimbabwe was the capital of the Kingdom of Zimbabwe (13th–
15th c.); it flourished as an international gold and ivory trade center
and its architecturally unique ruins remain among the oldest and
largest structures in Southern Africa.
Learning Objective
Explain the social structure, unique aspects, and decline of Great
Zimbabwe
Key Points
Great Zimbabwe is a ruined city in the southeastern hills of
today's Zimbabwe. It was the capital of the Kingdom of
Zimbabwe during the country's Late Iron Age. Construction on
the monument began in the 11th century and continued until the
15th century.
David Beach believes that the city and its state, the Kingdom of
Zimbabwe, flourished from 1200 to 1500, although a somewhat
earlier date for its demise is implied by a description transmitted
in the early 1500s to Joã o de Barros. Its growth has been linked
to the decline of Mapungubwe from around 1300, due to climatic
change or the greater availability of gold in the hinterland of
Great Zimbabwe.
Archaeological evidence suggests that Great Zimbabwe
became a center for trading, with a trade network linked to Kilwa
Kisiwani and extending as far as China. This international trade
was mainly in gold and ivory. The rulers of Zimbabwe brought
artistic and stone masonry traditions from Mapungubwe. The
construction of elaborate stone buildings and walls reached its
apex in the kingdom.
Causes suggested for the decline and ultimate abandonment of
the city of Great Zimbabwe have included a decline in trade
compared to sites further north, the exhaustion of the gold
mines, political instability, and famine and water shortages
induced by climatic change.
In the early 11th century, people from the Kingdom of
Mapungubwe in Southern Africa are believed to have settled on
the Zimbabwe plateau. There, they would establish the Kingdom
of Zimbabwe around 1220.
Nyatsimba Mutota from Great Zimbabwe established his
dynasty at Chitakochangonya Hill, and the land he conquered
would become the Kingdom of Mutapa. Within a generation,
Mutapa eclipsed Great Zimbabwe. By 1450, the capital and
most of the kingdom had been abandoned.
Key Terms
Kingdom of Zimbabwe
A medieval (c. 1220–1450) kingdom located in modern-day

Zimbabwe. Its capital, Great Zimbabwe, is the largest stone
structure in precolonial Southern Africa.
Great Zimbabwe
A ruined city in the southeastern hills of Zimbabwe near Lake

Mutirikwe and the town of Masvingo. It was the capital of the
Kingdom of Zimbabwe during the country's Late Iron Age.
Construction on the monument began in the 11th century and
continued until the 15th century. It is believed to have served as
a royal palace for the local monarch. As such, it would have
been used as the seat of political power.
Shona
A group of Bantu people in Zimbabwe and some neighboring
countries. The main part of them is divided into five major clans
and adjacent to some people of very similar culture and
languages. They created empires and states on the Zimbabwe
plateau. These states include the Kingdom of Zimbabwe (12th–
16th century), the Torwa State, and the Munhumutapa states.
Mapungubwe
A pre-colonial state in Southern Africa located at the confluence

of the Shashe and Limpopo rivers, south of Great Zimbabwe. It
was the first stage in a development that would culminate in the
creation of the Kingdom of Zimbabwe in the 13th century and
with gold trading links to Rhapta and Kilwa Kisiwani on the
African east coast. It lasted about 80 years, and at its height its
population was about 5,000 people.
Introduction
Great Zimbabwe is a ruined city in the southeastern hills of today's
Zimbabwe. It was the capital of the Kingdom of Zimbabwe during the
country's Late Iron Age. Construction on the monument began in the
11th century and continued until the 15th century. The exact identity
of the Great Zimbabwe builders is at present unknown. Local
traditions recorded in the 18th and 19th centuries assert that the
stoneworks were constructed by the early Lemba. However, the
most popular modern archaeological theory is that the edifices were
erected by the ancestral Shona.
Origins and Growth

Construction of the stone buildings started in the 11th century and
continued for over 300 years. The ruins at Great Zimbabwe are
some of the oldest and largest structures in Southern Africa; they are
the second oldest after nearby Mapungubwe in South Africa. The
most formidable edifice, commonly referred to as the Great
Enclosure, makes it the largest ancient structure south of the Sahara
Desert. David Beach believes that the city and its state, the Kingdom
of Zimbabwe, flourished from 1200 to 1500, although a somewhat
earlier date for its demise is implied by a description transmitted in
the early 1500s to Joã o de Barros. Its growth has been linked to the
decline of Mapungubwe from around 1300, due to climatic change or
the greater availability of gold in the hinterland of Great Zimbabwe.
At its peak, estimates are that Great Zimbabwe had as many as
18,000 inhabitants. The ruins that survive are built entirely of stone,
and they span 730 ha (1,800 acres).
Economy
Archaeological evidence suggests that Great Zimbabwe became a
center for trading, with a trade network linked to Kilwa Kisiwani (the
historic center of the Kilwa Sultanate; off the southern coast of
present-day Tanzania in eastern Africa) and extending as far as
China. This international trade was mainly in gold and ivory. Some
estimates indicate that more than 20 million ounces of gold were
extracted from the ground. That international commerce was in
addition to the local agricultural trade, in which cattle were especially
important. The large cattle herd that supplied the city moved
seasonally and was managed by the court. Archaeological evidence
also suggests a high degree of social stratification, with poorer
residents living outside of the city. Chinese pottery shards, coins
from Arabia, glass beads, and other non-local items have been
excavated. Despite these strong international trade links, there is no
evidence to suggest exchange of architectural concepts between
Great Zimbabwe and other centers such as Kilwa Kisiwani.
A tower of Great Z imbabwe
Great Zimbabwe is notable for its advanced masonry techniques.
The ruins form three distinct architectural groups. They are known as
the Hill Complex, the V alley Complex and the Great Enclosure. The
Hill Complex is the oldest, and was occupied from the 9th to 13th
centuries. The Great Enclosure was occupied from the 13th to 15th
centuries, and the V alley Complex from the 14th to 16th centuries.
Kingdom of Z imbabwe
The Kingdom of Zimbabwe, of which Great Zimbabwe was the
capital, existed between circa 1220 and 1450 in modern-day
Zimbabwe. Although it was formally established during the medieval
period, archaeological excavations suggest that state formation here
was considerably more ancient. In the early 11th century, people
from the Kingdom of Mapungubwe in Southern Africa are believed to
have settled on the Zimbabwe plateau. There, they would establish
the Kingdom of Zimbabwe around 1220. Sixteenth-century records
left by the explorer Joã o de Barros indicate that Great Zimbabwe
appears to have still been inhabited as recently as the early 1500s.
The rulers of Zimbabwe brought artistic and stone masonry traditions

from Mapungubwe. The construction of elaborate stone buildings
and walls reached its apex in the kingdom. The kingdom taxed other
rulers throughout the region. It was composed of over 150 tributaries
headquartered in their own minor zimbabwes (stone structures). The
Kingdom controlled the ivory and gold trade from the interior to the
southeastern coast of Africa. Asian and Arabic goods could be found
in abundance. The Great Zimbabwe people mined minerals like gold,
copper, and iron. They also kept livestock.
Decline of the State and the

City
Causes suggested for the decline and ultimate abandonment of the
city of Great Zimbabwe have included a decline in trade compared to
sites further north, the exhaustion of the gold mines, political
instability, and famine and water shortages induced by climatic
change. Around 1430, prince Nyatsimba Mutota from Great
Zimbabwe traveled north in search of salt among the Shona-Tavara.
He defeated the Tonga and Tavara with his army and established his
dynasty at Chitakochangonya Hill. The land he conquered would
become the Kingdom of Mutapa. Within a generation, Mutapa
eclipsed Great Zimbabwe as the economic and political power in
Zimbabwe. By 1450, the capital and most of the kingdom had been
abandoned.
The end of the kingdom resulted in a fragmentation of proto-Shona
power. Two bases emerged along a north-south axis. In the north,
the Kingdom of Mutapa carried on and even improved upon
Zimbabwe's administrative structure. It did not carry on the stone
masonry tradition to the extent of its predecessor. In the south, the
Kingdom of Butua was established as a smaller but nearly identical
version of Zimbabwe. Both states were eventually absorbed into the
largest and most powerful of the Kalanga states, the Rozwi Empire.
15 .6.3: The Swahili Culture

Swahili culture originated on the Swahili Coast from the mixture of
Perso-Arab and Bantu cultures that is credited for creating Swahili as
a distinctive East African culture and language.
Learning Objective
Explain how the Bantu migration impacted the Swahili culture
Key Points
Swahili culture is the culture of the Swahili people inhabiting the
Swahili Coast. They speak Swahili as their native language,
which belongs to the Niger-Congo family. Swahili culture is the
product of the history of the coastal part of the African Great
Lakes region.
As with the Swahili language, Swahili culture has a Bantu core
and has also borrowed from foreign influences. Around 3,000
years ago, speakers of the proto-Bantu language group began a
millennia-long series of migrations; the Swahili people originate
from Bantu inhabitants of the coast of Southeast Africa, in
Kenya, Tanzania, and Mozambique. They are mainly united
under the mother tongue of Kiswahili, a Bantu language.
Around the 8th century, the Swahili people engaged in the
Indian Ocean trade. As a consequence, they were influenced by
Arabic, Persian, Indian, and Chinese cultures. During the 10th
century, several city-states flourished along the Swahili Coast
and adjacent island. They were Muslim, cosmopolitan, and
politically independent of one another.
The Kilwa Sultanate was a medieval sultanate, centered at
Kilwa, whose authority, at its height, stretched over the entire
length of the Swahili Coast. It was founded in the 10th century,
and the last native dynasty was overthrown by a Portuguese
invasion in 1505. By 1513, the sultanate was already
fragmented into smaller states.
Despite its origin as a Persian colony, extensive inter-marriage
and conversion of local Bantu inhabitants and later Arab
immigration turned the Kilwa Sultanate into a very diverse state.
It is the mixture of Perso-Arab and Bantu cultures in Kilwa that is
credited for creating Swahili as a distinctive East African culture
and language.
The diverse history of the Swahili Coast has also resulted in
multicultural influences on Swahili arts, including furniture and
architecture.
Key Terms
Bantu expansion
A postulated millennia-long series of migrations of speakers of

the original proto-Bantu language group. Attempts to trace the
exact route of the migrations, to correlate it with archaeological
evidence and genetic evidence, have not been conclusive. The
Bantu traveled in two waves, and it is likely that the migration of
the Bantu-speaking people from their core region in West Africa
began around 1000 BCE.
Kilwa Sultanate
A Medieval sultanate, centered at Kilwa (an island off modern-

day Tanzania), whose authority, at its height, stretched over the
entire length of the Swahili Coast. It was founded in the 10th
century by Ali ibn al-Hassan Shirazi, a Persian prince of
Shiraz. His family ruled the Sultanate until 1277, when it was
replaced by the Arab family of Abu Moaheb. The latter was
overthrown by a Portuguese invasion in 1505.
Bantu and Swahili Culture

Swahili culture is the culture of the Swahili people inhabiting the
Swahili Coast, encompassing today's Tanzania, Kenya, Uganda, and
Mozambique, as well as the adjacent islands of Zanzibar and
Comoros and some parts of the Democratic Republic of the Congo
and Malawi. They speak Swahili as their native language, which
belongs to the Niger-Congo family. Swahili culture is the product of
the history of the coastal part of the African Great Lakes region.
As with the Swahili language, Swahili culture has a Bantu core and
has also borrowed from foreign influences. Around 3,000 years ago,
speakers of the proto-Bantu language group began a millennia-long
series of migrations eastward from their homeland between West
Africa and Central Africa, at the border of eastern Nigeria and
Cameroon. This Bantu expansion first introduced Bantu peoples to
central, southern, and southeastern Africa, regions they had
previously been absent from. The Swahili people are mainly united
under the mother tongue of Kiswahili, a Bantu language. This also
extends to Arab, Persian, and other migrants who reached the coast
around the 7th and 8th centuries, providing considerable cultural
infusion and numerous loan words from Arabic and
Persian. However, archaeologist Felix Chami notes the presence of
Bantu settlements straddling the Southeast African coast as early as
the beginning of the 1st millennium. They evolved gradually from the
6th century onward to accommodate for an increase in trade (mainly
with Arab merchants), population growth, and further centralized
urbanization, developing into what would later become known as the
Swahili city-states.
Swahili Arabic script on a carved
wooden door ( open) at Lamu in Kenya
British archaeologists assumed during the colonial period that Arab
or Persian colonizers brought stone architecture and urban
civilization to the Swahili Coast. Today we know that it was local
populations that developed the Swahili coast. Swahili architecture
exhibits a range of influences and innovations, and diverse forms
and histories interlock and overlap to create densely layered
structures that cannot be broken down into distinct stylistic parts.
Swahili City-States
Around the 8th century, the Swahili people began trading with the
Arab, Persian, Indian, Chinese, and Southeast Asian peoples—a
process known as the Indian Ocean trade. As a consequence of
long-distance trading routes crossing the Indian Ocean, the Swahili
were influenced by Arabic, Persian, Indian, and Chinese cultures.
During the 10th century, several city-states flourished along the
Swahili Coast and adjacent islands, including Kilwa, Malindi, Gedi,
Pate, Comoros, and Zanzibar. These early Swahili city-states were
Muslim, cosmopolitan, and politically independent of one another.
They grew in wealth as the Bantu Swahili people served as
intermediaries and facilitators to local, Arab, Persian, Indonesian,
Malaysian, Indian, and Chinese merchants. They all competed
against one another for the best of the Great Lakes region's trade
business, and their chief exports were salt, ebony, gold, ivory, and
sandalwood. They were also involved in the slave trade. These city-
states began to decline towards the 16th century, mainly as a
consequence of the Portuguese advent. Eventually, Swahili trading
centers went out of business, and commerce between Africa and
Asia on the Indian Ocean collapsed.
Kilwa Sultanate
The Kilwa Sultanate was a medieval sultanate, centered at Kilwa (an
island off modern-day Tanzania), whose authority, at its height,
stretched over the entire length of the Swahili Coast. It was founded
in the 10th century by Ali ibn al-Hassan Shirazi, a Persian prince of
Shiraz. His family ruled the Sultanate until 1277, when it was
replaced by the Arab family of Abu Moaheb. The latter was
overthrown by a Portuguese invasion in 1505. By 1513, the sultanate
was already fragmented into smaller states, many of which became
protectorates of the Sultanate of Oman.
Despite its origin as a Persian colony, extensive inter-marriage and

conversion of local Bantu inhabitants and later Arab immigration
turned the Kilwa Sultanate into a diverse state not ethnically
differentiable from the mainland. It is the mixture of Perso-Arab and
Bantu cultures in Kilwa that is credited for creating Swahili as a
distinctive East African culture and language. Nonetheless, the
Muslims of Kilwa (whatever their ethnicity) would often refer to
themselves generally as Shiraz i or Arabs, and to the unconverted
Bantu peoples of the mainland as Z anj or K haffirs (infidels).
The Kilwa Sultanate was almost wholly dependent on external

commerce. Effectively, it was a confederation of urban settlements,
and there was little or no agriculture carried on in within the
boundaries of the sultanate. Grains (principally millet and rice),
meats (cattle and poultry), and other supplies necessary to feed the
large city populations had to be purchased from the Bantu peoples of
the interior. Kilwan traders from the coast encouraged the
development of market towns in the Bantu-dominated highlands of
what are now Kenya, Tanzania, Mozambique, and Zimbabwe. The
Kilwan mode of living was as middlemen traders, importing
manufactured goods (cloth, etc.) from Arabia and India, which were
then swapped in the highland market towns for Bantu-produced
agricultural commodities (grain, meats, etc.) for their own
subsistence, and precious raw materials (gold, ivory, etc.) that they
would export back to Asia. The exception was the coconut palm tree.
Arts
The diverse history of the Swahili Coast has also resulted in
multicultural influences on Swahili arts, including furniture and
architecture. The Swahili do not often use designs with images of
living beings due to their Muslim heritage. Instead, Swahili designs
are primarily geometric. The most typical musical genre of Swahili
culture is taarab (or tarabu), sung in the Swahili language. Its
melodies and orchestration have Arab and Indian influences,
although Western instruments, such as guitars, are sometimes used.
Swahili architecture, a term used to designate a whole range of
diverse building traditions practiced or once practiced along the
eastern and southeastern coasts of Africa, is in many ways an
extension of mainland African traditions, although structural
elements, such as domes and barrel vaulting, clearly connect to
Persian Gulf area and South Asian building traditions as well. Exotic
ornament and design elements also connected the architecture of
the Swahili coast to other Islamic port cities. In fact, many of the
classic mansions and palaces of the Swahili Coast belonged to
wealthy merchants and landowners, who played a key role in the
mercantile economy of the region.
15 .6.4: The Kingdoms of Madagascar

Among many fragmented communities that populated Madagascar,
the Sakalava, Merina, and Betsimisaraka seized the opportunity to
unite disparate groups and establish powerful kingdoms under their
rule.
Learning Objective
Identify some of the kingdoms that ruled on Madagascar before the
arrival of Europeans
Key Points
Over the past 2,000 years, Madagascar has received waves of
settlers of diverse origins, including Austronesian, Bantu, Arab,
South Asian, Chinese, and European populations. Centuries of
intermarriages created the Malagasy people that form nearly the
entire population of Madagascar today.
By the European Middle Ages, over a dozen predominant ethnic
identities had emerged on the island, typified by rule under a
local chieftain. Leaders of some communities, such as the
Sakalava, Merina, and Betsimisaraka, seized the opportunity to
unite these disparate groups and establish powerful kingdoms
under their rule.
According to local tradition, the founders of the Sakalava
kingdom quickly subdued the neighboring princes, starting with
the southern ones, in the Mahafaly area. The true founder of
Sakalava dominance was Andriamisara. In the 17th century, the
empire started to split, resulting in a southern kingdom
(Menabe) and a northern kingdom (Boina). Further splits
followed.
A northern Betsimisaraka zana-malata named Ratsimilaho
successfully united his compatriots, and around 1712 was
elected king of all the Betsimisaraka. He established alliances
with the southern Betsimisaraka and the neighboring
Bezanozano, extending his authority over these areas by
allowing local chiefs to maintain their power while offering
tributes of rice, cattle, and slaves. By 1730, he was one of the
most powerful kings of Madagascar. Around a century later, the
fractured Betsimisaraka kingdom was easily colonized by
Radama I, king of Merina.
The Merina emerged as the politically dominant group in the
course of the 17th and 18th centuries, and the Merina kingdom
reached the peak of its power in the early 19th century. Its
economy was heavily based on slave labor. The absolute
dominance of the Merina kingdom over all of Madagascar came
to an end with the first Franco-Hova War of 1883 to 1885.
In 1896, the French Parliament voted to annex Madagascar,
forming the colony of French Madagascar in 1897.
Key Terms
Sakalava
An ethnic group of Madagascar that occupies the western edge

of the island from Toliara in the south to Sambirano in the north.
The term denominates a number of smaller ethnic groups that
once comprised an empire, rather than an ethnic group in its
own right. During the Middle Ages, their influence extended
across the area that is now the provinces of Antsiranana,
Mahajanga, and Toliara. However, with the domination of the
Indian Ocean by the British fleet and the end of the Arab slave
trade, they lost their power to the emerging Merina threat.
Merina
The dominant "highlander" Malagasy ethnic group in

Madagascar, and one of the country's eighteen official ethnic
groups. Their core territory corresponds to the former
Antananarivo Province in the center of the island. Beginning in
the late 18th century, their sovereigns extended political
domination over the rest of the island, ultimately uniting it under
their rule.
Betsimisaraka
A group that makes up approximately 15% of the Malagasy

people and is the second largest ethnic group in Madagascar
after the Merina. They occupy a large stretch of the eastern
seaboard of Madagascar, from Mananjary in the south to
Antalaha in the north. They have a long history of extensive
interaction with European seafarers and traders that produced a
significant subset with mixed European-Malagasy origins,
termed the z ana- malata.
Malagasy people
The ethnic group that forms nearly the entire population of

Madagascar. They are divided into two subgroups: the
"Highlander" Merina, Sihanaka, and Betsileo of the central
plateau around Antananarivo, Alaotra, and Fianarantsoa, and
the "coastal dwellers" elsewhere in the country. This division has
its roots in historical patterns of settlement.
Diverse Populations and the

Rise of Great Kingdoms
Over the past 2,000 years, Madagascar has received waves of
settlers of diverse origins, including Austronesian, Bantu, Arab,
South Asian, Chinese, and European populations. Centuries of
intermarriages created the Malagasy people, who primarily speak
Malagasy, an Austronesian language with Bantu, Malay, Arabic,
French, and English influences. Most of the genetic makeup of the
average Malagasy, however, reflects an almost equal blend of
Austronesian and Bantu influences, especially in coastal
regions. Other populations often intermixed with the existent
population to a more limited degree or have sought to preserve a
separate community from the majority Malagasy.
By the European Middle Ages, over a dozen predominant ethnic

identities had emerged on the island, typified by rule under a local
chieftain. Leaders of some communities, such as the Sakalava,
Merina, and Betsimisaraka, seized the opportunity to unite these
disparate groups and establish powerful kingdoms under their rule.
The kingdoms increased their wealth and power through exchanges
with European, Arab, and other seafaring traders, whether they were
legitimate vessels or pirates.
Sakalava
The island's west clan chiefs began to extend their power through
trade with their Indian Ocean neighbors, first with Arab, Persian, and
Somali traders who connected Madagascar with East Africa, the
Middle East, and India, and later with European slave traders. The
wealth created in Madagascar through trade produced a state
system ruled by powerful regional monarchs known as the
Maroserana. These monarchs adopted the cultural traditions of
subjects in their territories and expanded their kingdoms. They took
on divine status, and new nobility and artisan classes were created.
Madagascar functioned as a contact port for the other Swahili
seaport city-states, such as Sofala, Kilwa, Mombasa, and Zanzibar.
By the Middle Ages, large chiefdoms began to dominate
considerable areas of the island. Among these were the
Betsimisaraka alliance of the eastern coast and the Sakalava
chiefdoms of the Menabe (centered in what is now the town of
Morondava) and of Boina (centered in what is now the provincial
capital of Mahajanga). The influence of the Sakalava extended
across the area that is now the provinces of Antsiranana,
Mahajanga, and Toliara.
According to local tradition, the founders of the Sakalava kingdom

were Maroserañ a (or Maroseranana, "those who owned many
ports") princes from the Fiherenana (now Toliara). They quickly
subdued the neighboring princes, starting with the southern ones, in
the Mahafaly area. The true founder of Sakalava dominance was
Andriamisara. His son Andriandahifotsy (c. 1610–1658) extended his
authority northwards, past the Mangoky River. His two sons,
Andriamanetiarivo and Andriamandisoarivo, extended gains further
up to the Tsongay region (now Mahajanga). At about that time, the
empire started to split, resulting in a southern kingdom (Menabe) and
a northern kingdom (Boina). Further splits followed, despite
continued extension of the Boina princes' reach into the extreme
north, in Antankarana country.
Betsmiraka
Like the Sakalava to the west, today's Betsimisaraka are composed
of numerous ethnic sub-groups that formed a confederation in the
early 18th century. Through the late 17th century, the various clans
of the eastern seaboard were governed by chieftains who typically
ruled over one or two villages. Around 1700, the Tsikoa clans began
uniting around a series of powerful leaders. Ramanano, the chief of
V atomandry, was elected in 1710 as the leader of the Tsikoa ("those
who are steadfast") and initiated invasions of the northern ports. A
northern Betsimisaraka z ana- malata (a person of mixed native and
European origin) named Ratsimilaho led a resistance to these
invasions and successfully united his compatriots around this cause.
In 1712, he forced the Tsikoa to flee, and was elected king of all the
Betsimisaraka and given a new name, Ramaromanompo ("Lord
Served by Many") at his capital at Foulpointe. He established
alliances with the southern Betsimisaraka and the neighboring
Bezanozano, extending his authority over these areas by allowing
local chiefs to maintain their power while offering tributes of rice,
cattle, and slaves. By 1730, he was one of the most powerful kings
of Madagascar. By the time of his death in 1754, his moderate and
stabilizing rule had provided nearly forty years of unity among the
diverse clans within the Betsimisaraka political union. He also allied
the Betsimisaraka with the other most powerful kingdom of the time,
the Sakalava of the west coast, through marriage with Matave, the
only daughter of Iboina king Andrianbaba.
Ratsimilaho's successors gradually weakened the union, leaving it

vulnerable to the growing influence and presence of European and
particularly French settlers, slave traders, missionaries, and
merchants. The fractured Betsimisaraka kingdom was easily
colonized in 1817 by Radama I, king of Merina. The subjugation of
the Betsimisaraka in the 19th century left the population relatively
impoverished. Under colonization by the French (1896–1960), a
focused effort was made to increase access to education and paid
employment on French plantations.
Map of Madagascar and surrounding
areas, c. 17 02– 17 07
Over the 19th century, a series of Merina monarchs engaged in the
process of modernization through close diplomatic ties to Britain that
led to the establishment of European-style schools, government
institutions, and infrastructure. Christianity, introduced by members
of the London Missionary Society, was made the state religion under
Queen Ranavalona II and her prime minister, highly influential
statesman Rainilaiarivony.
Merina
The Merina emerged as the politically dominant group in the course
of the 17th and 18th centuries. Oral history traces the emergence of
a united kingdom in the central highlands of Madagascar—a region
called Imerina—back to early 16th century king Andriamanelo. By
1824, sovereigns in his line had conquered nearly all of Madagascar,
particularly through the military strategy and ambitious political
policies of Andrianampoinimerina (c. 1785–1810) and his son
Radama I (1792–1828). The kingdom's contact with British and later
French powers led local leaders to build schools and a modern army
based on European models.
The Merina oral histories mention several attacks by Sakalava

raiders against their villages as early as the 17th century and during
the entire 18th century. However, it seems that the term was used
generically to design all the nomadic peoples in the sparsely settled
territories between the Merina country and the western coast of the
island. The Merina king Radama I's wars with the western coast of
the island ended in a fragile peace sealed through his marriage with
the daughter of a king of Menabe. Though the Merina were never to
annex the two last Sakalava strongholds of Menabe and Boina
(Mahajanga), the Sakalava never again posed a threat to the central
plateau, which remained under Merina control until the French
colonization of the island in 1896.
The Merina kingdom reached the peak of its power in the early 19th
century. In a number of military expeditions, large numbers of non-
Merina were captured and used for slave labor. By the 1850s, these
slaves were replaced by imported slaves from East Africa, mostly of
Makoa ethnicity. Until the 1820s, the imported slave labor benefited
all classes of Merina society, but in the period of 1825 to 1861, a
general impoverishment of small farmers led to the concentration of
slave ownership in the hands of the ruling elite. The slave-based
economy led to a constant danger of a slave revolt, and for a period
in the 1820s all non-Merina males captured in military expeditions
were killed rather than enslaved for fear of an armed uprising. There
was a brief period of increased prosperity in the late 1870s, as slave
import began to pick up again, but it was cut short with the
abolishment of slavery under French administration in 1896. Due to
the influence of British missionaries, the Merina upper classes
converted entirely to Protestantism in the mid-19th century, following
the example of their queen, Ranavalona II.
The absolute dominance of the Merina kingdom over all of

Madagascar came to an end with the first Franco-Hova War of 1883
to 1885, when a French flying column marched to the capital,
Antananarivo, taking the city's defenders by surprise. In 1896, the
French Parliament voted to annex Madagascar, forming the colony
of French Madagascar in 1897.
Attributions
Namibia
"Herero and Namaqua genocide."
https://en.wikipedia.org/wiki/Herero_and_Namaqua_genoci
de. Wikipedia CC BY-SA 3.0.
"History of Namibia."
https://en.wikipedia.org/wiki/History_of_Namibia. Wikipedia
CC BY-SA 3.0.
"Herero Wars." https://en.wikipedia.org/wiki/Herero_Wars.
"Ovambo people."
https://en.wikipedia.org/wiki/Ovambo_people. Wikipedia CC
BY-SA 3.0.
"Zambezi." https://en.wikipedia.org/wiki/Zambezi. Wikipedia
CC BY-SA 3.0.
"Khoisan." https://en.wikipedia.org/wiki/Khoisan. Wikipedia
CC BY-SA 3.0.
"Herero.jpg."
https://commons.wikimedia.org/wiki/File:Herero.jpg.
Great Zimbabwe
"Shona people."
https://en.wikipedia.org/wiki/Shona_people. Wikipedia CC
BY-SA 3.0.
"Great Zimbabwe."
http://en.wikipedia.org/wiki/Great_Zimbabwe. Wikipedia CC
BY-SA 3.0.
"Kingdom of Zimbabwe."
http://en.wikipedia.org/wiki/Kingdom_of_Zimbabwe.
"Kingdom of Mapungubwe."
https://en.wikipedia.org/wiki/Kingdom_of_Mapungubwe.
"Kilwa Kisiwani."
https://en.wikipedia.org/wiki/Kilwa_Kisiwani. Wikipedia CC
BY-SA 3.0.
"Tower, Great Zimbabwe."
https://commons.wikimedia.org/wiki/File:Tower,_Great_Zim
babwe1.jpg. Wikimedia GNU FDL 1.2.
The Swahili Culture
"Swahili architecture."
https://en.wikipedia.org/wiki/Swahili_architecture. Wikipedia
CC BY-SA 3.0.
"Swahili people."
https://en.wikipedia.org/wiki/Swahili_people. Wikipedia CC
BY-SA 3.0.
"Bantu expansion."
https://en.wikipedia.org/wiki/Bantu_expansion. Wikipedia
CC BY-SA 3.0.
"Zanzibar." https://en.wikipedia.org/wiki/Zanzibar. Wikipedia
CC BY-SA 3.0.
"Swahili culture."
https://en.wikipedia.org/wiki/Swahili_culture. Wikipedia CC
BY-SA 3.0.
"Kilwa Sultanate."
https://en.wikipedia.org/wiki/Kilwa_Sultanate. Wikipedia CC
BY-SA 3.0.
"Swahili language."
https://en.wikipedia.org/wiki/Swahili_language. Wikipedia
CC BY-SA 3.0.
"800px-Lamu_door.jpg."
https://commons.wikimedia.org/wiki/File:Lamu_door.jpg.
The Kingdoms of Madagascar
"Sakalava people."
https://en.wikipedia.org/wiki/Sakalava_people. Wikipedia
CC BY-SA 3.0.
"Betsimisaraka people."
https://en.wikipedia.org/wiki/Betsimisaraka_people.
"Merina Kingdom."
https://en.wikipedia.org/wiki/Merina_Kingdom. Wikipedia
CC BY-SA 3.0.
"Malagasy people."
https://en.wikipedia.org/wiki/Malagasy_people. Wikipedia
CC BY-SA 3.0.
"Merina people."
https://en.wikipedia.org/wiki/Merina_people. Wikipedia CC
BY-SA 3.0.
"History of Madagascar."
https://en.wikipedia.org/wiki/History_of_Madagascar.
"A_new_draught_of_the_Island_of_MADAGASCAR_ats_St
._LORENZO_with_Augustin_Bay_and_the_Island_of_Mom
bass_at_Large_NYPL1640654.tiff.jpg."
https://commons.wikimedia.org/wiki/File:A_new_draught_of
_the_Island_of_MADAGASCAR_ats_St._LORENZO_with_
Augustin_Bay_and_the_Island_of_Mombass_at_Large_NY
PL1640654.tiff. Wikimedia Public domain.
16: Civiliz ations in the
Americas
16.1: South American
Civiliz ations
16.1.1: The Moche
The Moche culture lasted from 100 to 800 CE in what is modern-day
Peru.
Learning Objective
Identify key aspects of Moche life
Key Points
The Moche were less of a state or empire and more of a society
—they lived in a general geographic area and shared cultural
values, but were not governed under a uniform political system.
The Moche practiced a number of religious rituals, some of
which involved human sacrifice.
Moche art appears in a variety of mediums, such as ceramics,
architecture, and textiles, and lends insight into their beliefs and
culture.
Key Terms
Decapitator
A Moche icon, usually depicted as a spider, and associated with

ritual sacrifices and the elements of land, air, and water.
Moche
A city in modern-day Peru, which is also where the Moche
culture was centered.
vicuñ a
A wild South American camelid that lives in the high alpine

areas of the Andes. It is a relative of the llama, and is now
believed to be the wild ancestor of domesticated alpacas, which
are raised for their coats.
Huaca
A large, pyramid-like structure made of adobe bricks and used

as a palace, ritual site, temple, and administrative center.
The Moche (also known as the Early Chimú or Mochica) lived in

what is modern-day Peru, near Moche and Trujillo. Their civilization
lasted from approximately 100 to 800 CE. The Moche shared cultural
values and social structures within a distinct geographical region.
However, scholars suggest this civilization functioned as individual
city-states, sharing similar cultural elite classes, rather than as an
empire or a single political system.
The Moche cultural sphere centered around several valleys along

the north coast of Peru, and occupied 250 miles of desert coastline
that extended up to 50 miles inland. Moche society was agriculturally
based, but because of the arid climate, they invested heavily in the
construction of a network of irrigation canals. These ornate canals
diverted river water to crops across the region. The Moche are also
noted for their expansive ceremonial architecture (huacas),
elaborately painted ceramics, and woven textiles.
Religion
Both iconography and the discovery of human skeletons in ritual
contexts seem to indicate that human sacrifice played a significant
part in Moche religious practices. These rites appear to have
involved the elite, both ruling men and women, as key actors in an
elaborate spectacle. These rituals included:
Costumed participants, including elite priests and priestesses,

many of which also ruled the city-states;
Monumental settings, including the pyramid-like structures
called huacas; and
Likely the consumption of human blood and possibly flesh as a
part of a renewal ritual.
The Moche may have also held and tortured the victims for several
weeks before sacrificing them, with the intent of deliberately drawing
blood. The sacrifices may have been associated with rites of
ancestral renewal and agricultural fertility.
Moche iconography features a figure, which scholars have

nicknamed the "Decapitator" or Ai Apaec. It is frequently depicted as
a spider, but sometimes as a winged creature or a sea monster.
Together, all three features symbolize land, water, and air. When the
body is included, the figure is usually shown with one arm holding a
knife and another holding a severed head by the hair. It has also
been depicted as "a human figure with a tiger's mouth and snarling
fangs."
Moche Decapitator
A mural depicting the Decapitator, a central Moche icon of the land,
water, and air as well as a figure of death and renewal.
Architecture
The Huaca del Sol, a pyramidal adobe structure on the Rio Moche,
was the largest pre-Columbian structure in Peru. Huacas were the
centerpieces for ritual sites and used as administrative centers and
palaces for Moche culture. However, the Huaca del Sol was partly
destroyed when Spanish Conquistadores mined its graves for gold in
the 16th century. During the Spanish occupation of Peru in the early
17th century, colonists redirected the waters of the Moche River to
run past the base of the Huaca del Sol in order to facilitate the
looting of gold artifacts from the temple, which caused massive
erosion. In total, approximately two-thirds of the structure has been
lost to erosion and such looting. The remaining structure stands at a
height of 41 meters (135 feet). Looting and erosion due to El Niñ o
continue to be major concerns to this day
Huaca del Sol
Originally the largest pre-Columbian adobe structure in the
Americas, this pyramid was constructed using around 130 million
bricks.
The nearby Huaca de la Luna is better preserved. Its interior walls

contain many colorful murals with complex iconography. The site has
been under professional archaeological excavation since the early
1990s.
A view of the Huaca de la Luna, with
Cerro Blanco in the background
When this structure was originally completed it would have been
covered in brightly painted murals in yellows, blues, reds, and black.
Art
The Moche are well known for their art, especially their naturalistic
and articulate ceramics, particularly in the form of stirrup-spout
vessels. The ceramics incorporate a wide-ranging subject matter,
both in shape and painted decorations, including representations of
people, animals, and ritual scenes. They also feature gods hunting,
scenes of war, music making, visiting rulers, burying the dead, curing
the sick, and anthropomorphic iconography. Moche ceramics
illustrate these recurring narrative themes, which help illuminate and
define their ideologies in the present day.
Some of the ceramics have become known as "sex-pots": vessels

depicting sexual acts. It is thought that these vessels were used for
didactic purposes, and also as articulations of Moche culture.
Because irrigation was the source of wealth and foundation of the
empire, the Moche culture emphasized the importance of circulation
and flow. Sexual themes in the pottery are posited to reflect Moche
views of bodily fluids as an essential life force.
The Moche also wove textiles, mostly using wool from vicuñ as and
alpacas. Although there are few surviving examples of this,
descendants of the Moche people have strong weaving traditions.
Collapse
There are several theories as to what caused the demise of the
Moche political structure. Some scholars have emphasized the role
of environmental change. Studies of ice cores drilled from glaciers in
the Andes reveal climatic events between 536 and 594 CE, possibly
a super El Niñ o, that resulted in thirty years of intense rain and
flooding followed by thirty years of drought, part of the aftermath of
the climate changes of 535–536. These weather events could have
disrupted the Moche way of life and shattered their faith in their
religion, which had promised stable weather through sacrifices.
Other evidence demonstrates that these events did not cause the
final Moche demise. Moche polities survived beyond 650 in the
Jequetepeque V alley and the Moche V alleys. For instance, in the
Jequetepeque V alley, later settlements are characterized by
fortifications and defensive works. While there is no evidence of a
foreign invasion, as many scholars have suggested in the past, the
defensive works suggest social unrest, possibly the result of climate
change, as factions fought for control over increasingly scarce
resources.
16.1.2: The Naz ca

The Nazca lived near the southern coast of Peru from 100 BCE to
800 CE.
Learning Objective
Explain the culture, religion, agriculture, and decline of the Nazca
civilization
Key Points
Early Nazca society was made up of local chiefdoms and
regional centers of power centered around the ritual site of
Cahuachi.
The Nazca are known for their Nazca Lines—geometric shapes,
lines, and animal figures carved into the desert floor.
Like the Moche, the Nazca decline was likely due to
environmental changes.
Key Terms
Nazca Lines
A series of geometric shapes, miles of lines, and large drawings

of animal figures created by the Nazca culture.
shamans
Spiritual practitioners that reach altered states of consciousness

in order to encounter and interact with the spirit world and
channel these transcendental energies into this world for healing
and divination purposes.
Trephination
This primitive surgery removed a piece of bone from the skull,

while the person was still alive, to allow drainage after a head
injury.
The Nazca (or Nasca) lived near the arid southern coast of
Peru from 100 BCE to 800 CE. Early Nazca society was made up of
local chiefdoms and regional centers of power centered around
Cahuachi, a non-urban ceremonial site of earthwork mounds and
plazas. These pyramid-like structures and plazas, situated in the
lower part of the Nazca V alley, served as important spaces for fertility
and agricultural rituals. People from across the Nazca region most
likely gathered in Cahuachi during specific times of the year to feast
and make offerings.
The Nazca developed underground aqueducts, named puq uios, to

sustain cities and agriculture in this arid climate. Many of them still
function today. They also created complex textiles and ceramics
reflecting their agricultural and sacrificial traditions.
Society and Religion

Likely related to the arid and extreme nature of the environment,
Nazca religious beliefs were based upon agriculture and fertility.
Much of Nazca art depicts powerful nature gods, such as the
mythical killer whale, the harvesters, the mythical spotted cat, the
hummingbird, and the serpentine entity. As in the contemporary
Moche culture based in northwest Peru, shamans apparently used
hallucinogenic drugs, such as extractions from the San Pedro
cactus, to induce visions during ceremonies.
Killer whale ( Orca)
Powerful nature gods were an essential element of the Nazca
religious culture, which centered around agriculture.
Naz ca Lines
The geoglyphs of Nazca, or "Nazca Lines," are a series of geometric
shapes, extended lines that run for miles, and large drawings of
animal figures (some as large as a football field) constructed on the
desert floor in the Nazca region. A large number of people over an
extended period of time could have constructed the lines.
Researchers have demonstrated techniques to explore how this was

done. By extending a rope between two posts and removing the red
pebbles on the desert surface along the rope, the lines could have
been constructed. The contrast of the red desert pebbles and the
lighter earth beneath would make the lines visible from a high
altitude. Due to the simplistic construction of the geoglyphs, regular
amounts of rainfall would have easily eroded the drawings, but the
dry desert environment has preserved the lines for hundreds of
years. Several theories have been posited as to why the Nazca
Lines exist, but the true meaning of the geoglyphs remains a
mystery.
Naz ca Lines
These Nazca lines, called The Hummingbird, are representative of
the type of structures that remain.
Agriculture and Diet

Nazca subsistence was based largely on agriculture. Iconography on
ceramics and excavated remains indicate that the Nazca people had
a varied diet, including:
Maize
Squash
Sweet potatoes
Beans
Manioc (also known as Yuca)
Achira
Small amounts of fish
Peanuts
They also grew several non-food crops, such as cotton for textiles,
coca, San Pedro cactus, and gourds. The latter were decorated to
illustrate activities in daily life. The presence of coca is evident in
pottery and artwork. The leaves of this plant were chewed and
worked as a stimulant that suppressed hunger, pain, thirst, and
fatigue. The hallucinogenic San Pedro cactus also appears on
several polychrome pots and bowls showcasing its ceremonial
significance.
In terms of animal resources, the Nazca made sacrifices of llamas

and guinea pigs at Cahuachi. Llamas were also commonly exploited
as pack animals, for their wool, and as a source of meat.
San Pedro cactus
This plant, Echinopsis pachanoi, has hallucinogenic properties,
which shamans of the Nazca culture utilized in ceremonies.
Trephination and Cranial

Manipulation
Trephination was a primitive skull surgery used by the Nazca that
relieved pressure on the brain from battle wounds or for ritual
purposes. It entails the removal of one or more sections of bone from
the skull, while the person is still alive. Evidence of trephination has
been seen through the analysis of excavated skulls. Some of the
skulls show signs of healing, evidence that some individuals who
underwent the procedure survived.
Elongated skulls, as a result of skull manipulation, were also seen in

the excavations from Cahuachi. This effect was achieved by binding
a cushion to an infant's forehead and a board to the back of the
head. Archaeologists can only speculate as to why this was done to
some of the skulls. Several theories suggest skull manipulation
created an ethnic identity, formed the individual into a social being,
or may have illustrated social status.
Decline of the Naz ca

Like the Moche, who lived along the arid northern coast of Peru
during the same time period, it is thought that the Nazca may have
been forced into decline by environmental changes. This is thought
to have occurred when an El Niñ o triggered widespread and
destructive flooding, leaving the civilization unstable by 750 CE.
Evidence also suggests that the Nazca people may have
exacerbated the effects of these floods by gradually cutting down
Prosopis pallida trees to make room for maize and cotton agriculture.
These trees play an extremely important role as an ecological
keystone of this landscape, in particular preventing river and wind
erosion. Gradual removal of trees would have exposed the
landscape to the effects of climate perturbations such as El Niñ o,
leading to erosion and leaving irrigation systems high and dry.
16.1.3: The Sicá n

The Sicán culture inhabited what is now the north coast of Peru
between about 750 and 1375 CE.
Learning Objective
Explain the unique aspects of the Sicán and what led to their
downfall
Key Points
In the Early Sicán period (750–900 CE) the Sicán began to
establish trade and commerce.
The Middle Sicán period (900–1100 CE) saw an explosion of
culture and art, along with the development of extensive trading
routes.
Environmental changes caused unrest in the Late Sicán period
(1100–1375), but the ultimate end to the Sicán came when they
were conquered by the Chimú .
Key Terms
tumbaga
A thin sheet of low-karat gold alloy, which was used to decorate

symbolic metal vessels for lower elites.
Sicán Precinct
The religious and cultural center of the Sicán culture.
Sicán Deity
The central religious figure of the Middle Sicán period. This

entity represented water, the ocean, and natural resources. It
was also the social underpinning of the theocratic state.
The Sicán culture inhabited what is now the north coast of Peru
between about 750 CE and 1375 CE. They succeeded the Moche
culture, but there is still controversy among archeologists and
anthropologists over whether the two are separate cultures.
Early Sicá n Period
The Early Sicán period began around 750 CE and lasted until 900
CE. The lack of artifacts has limited the development of knowledge
about this early period. Based on common themes, the Sicán were
probably direct descendants of the Moche and developed their new
culture during an unstable time in the region.
From remains found in archaeological locations, researchers have

determined that this culture maintained commercial exchange with
people from present-day Ecuador, Colombia, and Chile, and the
eastern basin of the Marañ ó n River.
The Early Sicán culture is known for the highly polished, black-finish
ceramics found in the La Leche V alley. This black-finish ceramic
style began in the Moche culture prior to the Early Sicán, and
demonstrates the sharing of cultures in the region. Many of the
ceramics were examples of a single spout, loop-handle bottle,
featuring an anthropomorphic-avian (bird) face at the spout base.
The face consisted of bulging eyes, a hooked beak or triangular
projection instead of a nose, stylized ears, and no mouth. It
appeared to be a predecessor to the related faces of the Sicán Deity
and the Sicán Lord of the Middle Sicán culture.
Ceremonial mask
Peru, north coast, La Leche V alley, 900–1100 CE.
Aside from the shared ceramic styles, much of the Early Sicán
defines a distinguishable culture. While the ceramic styles and
iconography show some continuity with previous cultures, the
changing iconography, ceramic themes, and funerary practices
reflect a change in religious ideology and cosmology that expressed
the Sicán culture.
Most importantly, the late Early Sicán period saw a major

organizational and religious shift, by which the Sicán constructed
monumental adobe structures, developed large-scale copper alloy
smelting and metalworking, and developed the elaborate funerary
tradition that would come to characterize the Middle Sicán. Such
changes have been noted by researchers at sites in Batan Grande,
including the Huaca del Pueblo site, dated to around 850–900 CE.
Middle Sicá n Period

The Middle Sicán period lasted from 900 to 1100 CE. This is the
period of the Sicán's "cultural florescence," and was marked by the
emergence of various cultural innovations, some of which were
unprecedented in the local area. The Sicán culture had a highly
productive economy, clear social differentiation, and an influential
religious ideology. This religious ideology served as the underpinning
of the social hierarchy of the theocratic state.
The precious metal objects found in Middle Sicán sites reveal the
unprecedented scale of their production and use, as well as the
class hierarchy inherent in Sicán culture. Metal objects permeated all
levels of society. Tumbaga, a thin sheet of low-karat gold alloy, was
used to wrap ceramic vessels for the lower elites, while the upper
elites had high-karat gold alloys. Common laborers had only
arsenical copper objects.
Gold beaker
A 9th—11th century gold beaker exemplary of Middle Sicán art and
craftsmanship.
Funerary Practices of the Middle

Sicá n
Funerary practices at Huaca Loro reflected the social differentiation
and hierarchy present in Sicán society. This social stratification is
revealed in varying burial types and practices, along with
accompanying grave goods. The most obvious difference in burial
type based on social hierarchy was that commoners were buried in
simple, shallow graves on the peripheries of the monumental
mounds while the elite were buried in deep shaft tombs beneath
monumental mounds. It was found that one's social status was also
a determinant of the burial position of the body—whether it was
seated, extended, or flexed. Bodies of the high elite were always
buried in the seated position, while commoners could be buried in a
seated, extended, or flexed position.
Social stratification and hierarchy is also evidenced through the

variation in quantity and quality of grave goods for different social
classes. The elite East Tomb at Huaca Loro contained over a ton of
diverse grave goods, over two-thirds of which were objects of
arsenical bronze, tumbaga, silver and copper alloys, and high-karat
gold alloys. Other grave goods of the elite included:
Semi-precious stone objects

Amber
Feathers
Textiles
Imported shells (such as conus and spondylus)
Shell beads
Double spout bottles
All of these items required hours of labor and precious supplies,

highlighting the power of the elite. On the other hand, commoners
had significantly fewer grave goods of different types, made of less
valuable materials. For example, commoner grave goods at Huaca
Loro were usually restricted to single-spout bottles, utilitarian plain
and/or paddle decorated pottery, and copper-arsenic objects, instead
of the precious metal objects of the elite tombs.
Religious Cities and Elite
Culture
The Sicán culture was characterized by the establishment of
religious cities with monumental temples. The religious capital city
and cultural center of the Middle Sicán is referenced as the Sicán
Precinct, which is defined by a number of monumental rounds. The
pyramidal monumental mounds were used as both burials sites for
the elite and places of worship and ritual. The construction of these
mounds required considerable material, manpower, and time,
indicating the Sicán elite's control and monopoly over the society's
resources.
None of the metalworking sites showed evidence of on-site mining of

any materials. In addition, the spondylus shell, emeralds, feathers,
and other minerals were imported to the area. Their materials came
from mainly the Northern Andes, but could have also come from as
far south as the Tiwanaku lands in the South Central Andes and as
far east as the Marañ ó n River, a major Amazon River tributary. The
Sicán also could have controlled the transport methods in addition to
the goods being traded. The breeding and herding of llamas on the
north coast since the time of the Moche could have been utilized by
the Sicán to provide caravans of llamas to transport the goods
considerable distances.
Late Sicá n Period

The Late Sicán period began around 1100 CE and ended with the
Chimú conquest of the Lambayeque region around 1375 CE.
Around 1020 CE, a major drought lasting thirty years occurred at

Sicán. At the time of the drought, the Sicán Deity, so closely tied to
the ocean and water in general, was at the center of Sicán religion,
and appeared in most major artistic motifs. The catastrophic
changes in weather were thus linked to the Sicán Deity, mainly to the
failure of the deity to mediate nature for the Sicán people. The Sicán
ceremonies (and mounds on which they were performed) were
supposed to ensure that there was an abundance of resources for
the people. After thirty years of uncertainty in respect to nature, the
temples that were the center of Middle Sicán religion and elite power
were burned and abandoned, between 1050 and 1100 CE.
Perhaps the ancestor cult and aggrandizing of the elites caused too
much resentment. Coupled with the drought that surely weakened
agriculture in the area, the tolerance of the common population
plummeted, forcing the removal of the political and religious
leadership at Sicán.
Religious mounds at Tú cume

The last capital of the Sicán culture was located just south of the La
Leche River, where they built twenty-six new religious mounds.
The Sicán then built a new capital at Tú cume, also known as

Purgatorio by local people today, where they thrived for another 250
years. The Sicán were able to build twenty-six ceremonial mounds in
this new capital in that time period. However, in 1375, the Chimú
conquered the area, marking the end of the Sicán era.
16.1.4: Chimú
The Chimú lived in modern-day Peru from 900–1470 CE.
Learning Objective
Discuss distinguishing aspects of Chimú religion, craftsmanship, and
agriculture
Key Points
The Chimú expanded to cover a vast area and include many
different ethnic groups along the northern coast of modern-day
Peru.
Chimú artisans made notable multi-colored textiles and
monochromatic pottery and metalwork.
In 1470, the Chimú were conquered by the Inca.
The Chimú worshipped the Moon as the essential deity of
fertility, good weather, and bountiful crops.
Key Terms
Chan Chan
The capital of the Chimú culture. It is in modern-day Peru.
Chimor
The long swath of land along the northern coast of Peru that
was ruled by the Chimú elite.
ciudadela
Any one of a number of walled cities in the Chimú capital of

Chan Chan where elites consolidated power and artisans lived
in organized groups to make prestige goods.
The Chimú were a culture that lasted from approximately 900 CE

until 1470 CE along the northern coast of modern-day Peru,
centered in the city of Chan Chan. This is not to be confused with the
Early Chimú , a related group also known as the Moche that lived in
the region until about 800 CE.
The Inca ruler Tupac Inca Yupanqui led a campaign that conquered
the Chimú around 1470 CE. This was just fifty years before the
arrival of the Spanish in the region. Consequently, Spanish
chroniclers were able to record accounts of Chimú culture from
individuals who had lived before the Inca conquest. Similarly,
archaeological evidence suggests Chimor, the large coastal swath of
land inhabited by Chimú culture, grew out of the remnants of Moche
culture. Early Chimú ceramics in a high-sheen black, along with
detailed and intricate precious metalworking, shared many of the
same aspects as Moche craftsmanship.
The mature Chimú culture developed in roughly the same territory

where the Moche had existed centuries before, which made the
Chimú another coastal culture. It was developed in the Moche V alley
south of present-day Lima, northeast of Huarmey, and grew to
include central present-day Trujillo, where the bureaucratic and
artisanal capital of Chan Chan developed.
The Chimú expansion also incorporated many different ethnic

groups, including the Sicán culture, which lasted independently until
1375. At its peak, the Chimú advanced to the limits of the desert
coast, to the Jequetepeque V alley in the north, and Carabayallo in
the south. Their expansion southward was stopped by the military
power of the great valley of Lima.
Agriculture and Bureaucracy

The Chimú expanded and gained power over their 500-year growth
through intensive farming techniques and hydraulic works, which
joined valleys to form complexes. A few of these landmark
agricultural techniques included the following:
Huachaq ues: These sunken farms included the removal of the

top layer of earth and allowed farmers to work the moist, sandy
soil underneath.
Walk-in wells, similar to those of the Nazca, were developed to
draw water.
Large reservoirs were developed to retain water from river
systems in this arid climate where water was an essential
resource.
These systematic changes increased the productivity of the land,

which multiplied Chimú wealth and likely contributed to the formation
of a bureaucratic, hierarchical system.
The Chimú cultivated beans, sweet potatoes, papayas, and cotton

with their reservoir and irrigation systems. This focus on large-scale
irrigation persisted until the Late Intermediate period. At this point,
there was a shift to a more specialized system that focused on
importing and redistributing resources from satellite communities.
There appears to have been a complex network of sites that
provided goods and services for Chimú subsistence.
Many of these satellite areas produced commodities that the Chimú

population based in the capital of Chan Chan could not. Some sites
relied on marine resources, such as fish and precious shells.
However, after the advent of agriculture, more sites developed
further inland, where marine resources were harder to attain. These
inland communities began raising llamas as a supplemental source
of meat, but by the Late Intermediate period and Late Horizon, inland
sites started to rely on llamas as an essential transportation and food
resource.
Chimú mantle
The Chimú are known for their artisanal works, such as this mantle
spun of multiple colored fibers sometime from 1000 to 1476 CE.
Artisans
The capital of Chan Chan likely developed a complex bureaucracy
due to the elite's controlled access to information. This bureaucratic
center imported raw materials from across Chimor, which were then
processed into prestige goods by highly skilled artisans. The majority
of the citizens in each ciudadela (walled cities in the capital of Chan
Chan) were artisans. In the late Chimú , about 12,000 artisans lived
and worked in Chan Chan alone. Artisans played an essential role in
Chimú culture:
They engaged in fishing, agriculture, craft work, and trade.

Artisans were forbidden to change their profession, and were
grouped in the ciudadela according to their area of
specialization.
Archeologists have noted a dramatic increase in Chimú craft
production over time, and they believe that artisans may have
been brought to Chan Chan from other areas taken as a result
of Chimú conquest.
Chimú pottery
Chimú pottery is distinctly monochromatic and bears a striking
resemblance to Moche pottery.
Pottery and Tex tiles

Though their textiles were multicolored, their pottery and metalwork
are known for being monochromatic. The pottery is often in the
shape of a creature, or has a human figure sitting or standing on a
cuboid bottle. The shiny black finish of most Chimú pottery was
achieved by firing the pottery at high temperatures in a closed kiln,
which prevented oxygen from reacting with the clay.
Deities
The Chimú worshipped the Moon (Si) and considered it the greatest
and most powerful of the deities. It was believed to be more powerful
than the Sun, as it appeared by night and day, and was deeply linked
with patterns in weather, fertility, and the growth of crops. Sacrifices
of spondylus shells and other precious items were made to the
Moon. Devotees sacrificed their own children on piles of colored
cotton with offerings of fruit and chicha. They believed the sacrificed
children, normally around the age of five, would become deified.
Spondylus
Spondylus shells were used as a currency and as offerings to the
deities.
Animals and birds were also sacrificed to the Moon in order to

appease this powerful entity. Two of the stars of Orion's Belt were
considered to be the emissaries of the Moon. The constellation Fur
(the Pleiades) was also used to calculate the year and was believed
to watch over the crops.
The Sun was associated with stones called alaec- pong (cacique
stone). These stones were believed to be ancestors of the people in
the areas they were found. They were also considered to be sons of
the Sun deity. Along with the Sun, the Sea (Ni) was also a very
important deity, and sacrifices of white maize flour, red ochre, and
other precious items were made to it. Prayers for fish and protection
against drowning were also offered. Shrines (called huacas)
developed in each district across Chimor, dedicated to an associated
legend, deity, or cult of belief, depending on the region.
The Fall of the Chimú

The end of the Chimú was brought about in the 1470s. They were
conquered by the Inca ruler Tupac Inca Yupanqui, who led a fierce
and well organized army northward. The Chimú were considered the
last substantial rival culture standing in the way of the Inca conquest
of the region.
Attributions
The Moche
"Huaca del Sol." http://en.wikipedia.org/wiki/Huaca_del_Sol.
"V icuna." http://en.wikipedia.org/wiki/V icuna. Wikipedia CC
BY-SA 3.0.
"Moche culture."
http://en.wikipedia.org/wiki/Moche_(culture). Wikipedia CC
BY-SA 3.0.
"Moche." http://en.wikipedia.org/wiki/Moche. Wikipedia CC
BY-SA 3.0.
"Chimu Culture."
http://en.wikipedia.org/wiki/Chimu%23Early_Chim.C3.BA_.
28Moche_Civilization.29. Wikipedia CC BY-SA 3.0.
"Moche Pottery." http://mochepottery.wikispaces.com/.
Moche Pottery CC BY-SA 3.0.
"Huaca del Sol."
http://upload.wikimedia.org/wikipedia/commons/thumb/c/c4/
Huaca_Sol_lou.jpg/640px-Huaca_Sol_lou.jpg. Wikipedia
CC BY-SA 3.0.
"Huaca de la Luna."
https://commons.wikimedia.org/wiki/File:Cerro_Blanco_and
_Huaca_de_la_Luna.jpg. Wikimedia GNU FDL 1.2.
"Moche "Decapitator" (Ayapec, Ai Apaec) mural at Huaca
de la Luna."
https://commons.wikimedia.org/wiki/File:Moche_decapitator
.jpg. Wikimedia Public domain.
The Nazca
"Coca." https://en.wikipedia.org/wiki/Coca. Wikipedia CC
BY-SA 3.0.
"Nazca Culture." http://en.wikipedia.org/wiki/Nazca_culture.
"Shamanism." http://en.wikipedia.org/wiki/Shaman.
"Nazca Lines." http://it.wikipedia.org/wiki/Linee_di_Nazca.
"Orca Mitica."
https://commons.wikimedia.org/wiki/File:Orca_mitica_nasca
.jpg. Wikimedia GNU FDL 1.2.
"Linee di Nazca."
https://commons.wikimedia.org/wiki/File:Lignes_de_Nazca_
D%C3%A9cembre_2006_-_Colibri_2.jpg. Wikimedia CC
BY 3.0.
"San Pedro Cactus."
https://commons.wikimedia.org/wiki/File:Starr_070320-
5799_Echinopsis_pachanoi.jpg. Wikimedia CC BY-SA 3.0.
The Sicán
"Sican Culture." http://en.wikipedia.org/wiki/Sican_culture.
"Chimu."
https://en.wikipedia.org/wiki/Chim%C3%BA_culture.
"Moche." https://en.wikipedia.org/wiki/Moche_culture.
"Tú cume." https://en.wikipedia.org/wiki/T%C3%BAcume.
"The_V alleys_of_Tú cume_Peru.jpg."
https://en.wikipedia.org/wiki/T%C3%BAcume# /media/File:T
he_V alleys_of_T%C3%BAcume_(Peru).jpg. Wikipedia CC
BY-SA 2.0.
"Ceremonial Mask."
http://upload.wikimedia.org/wikipedia/commons/thumb/6/6b/
Ceremonial_Mask_(peru,_North_Coast,_La_Leche_V alley,
_A.D._900-1100).JPG/640px-
Ceremonial_Mask_(peru,_North_Coast,_La_Leche_V alley,
_A.D._900-1100).JPG. Wikipedia CC BY-SA 3.0.
"Sic& # 225;n gold beaker cups (9-11th century)."
http://en.wikipedia.org/wiki/Sican_culture%23mediaviewer/F
ile:Sic%C3%A1n_gold_beaker_cups_(9-11th_century).jpg.
Chimú
"Topa Inca Yupanqui."
https://en.wikipedia.org/wiki/Topa_Inca_Yupanqui.
"Chimor." http://en.wikipedia.org/wiki/Chimor. Wikipedia CC
BY-SA 3.0.
"Chimu culture." http://en.wikipedia.org/wiki/Chimu.
"Spondylus."
http://en.wikipedia.org/wiki/Spondylus%23mediaviewer/File:
Spondylus.jpg. Wikipedia CC BY-SA 3.0.
"Chimu."
http://en.wikipedia.org/wiki/Chimor%23mediaviewer/File:Chi
m%C3%BA.jpg. Wikipedia CC BY-SA 3.0.
"Chimu Mantle."
http://en.wikipedia.org/wiki/Chim%C3%BA_culture%23medi
aviewer/File:Chimu_Mantle.jpg. Wikipedia Public domain.
16.2: The Inca
16.2.1: The Inca People
The Inca Empire was the largest of the pre-Columbian
mesoamerican empires.
Learning Objective
Explain Inca agriculture, clothing, commodities, and architecture, and
how these elements shaped their complex society.
Key Points
Centered in Cusco, the Inca Empire extended from modern-day
Chile to modern-day Colombia.
Inca society was sophisticated, and boasted around seventy
different crops across the empire's various climates.
The Inca considered finely woven textiles to be an essential
commodity, and spun various grades of cloth from llama and
vicuñ a wool.
Key Terms
quinoa
This grain crop produces edible seeds that are high in protein
and played an essential role in the Inca diet.
Machu Picchu
This Inca citadel was probably built for the emperor Pachacutec
around 1450 CE in the Andes at a height of around 8,000 feet
above sea level using dry stone masonry.
awaska
A lower-grade textile woven from llama wool and used for

everyday household chores and cleaning.
The Inca Empire, or Inka Empire, was the largest empire in pre-
Columbian America. The civilization emerged in the 13th century and
lasted until it was conquered by the Spanish in 1572. The
administrative, political, and military center of the empire was located
in Cusco (also spelled Cuzco) in modern-day Peru. From 1438 to
1533, the Incas used a variety of methods, from conquest to
peaceful assimilation, to incorporate a large portion of western South
America. Beginning with the rule of Pachacuti-Cusi Yupanqui, the
Inca expanded their borders to include large parts of modern
Ecuador, Peru, western and south-central Bolivia, northwest
Argentina, north and north-central Chile, and southern Colombia.
This vast territory was known in Quechua (the language of the Inca
Empire) as Tawantin Suyu, or the Four Regions, which met in the
capital of Cusco.
Inca Empire
From 1438 to 1533, the Inca Empire expanded significantly.
Architecture and Masonry

Architecture illustrates the sophistication and technical skill typical
of the Inca Empire. The main example of this resilient art form was
the capital city of Cusco, which drew together the Four Regions. The
Inca used a mortarless construction technique, called dry stone wall,
that fit stones together so well that a knife could not be fitted through
the stonework. This was a process first used on a large scale by the
Pucara (c. 300 BCE–300 CE) peoples to the south in Lake Titicaca,
and later in the great city of Tiwanaku (c. 400–1100 CE) in present-
day Bolivia. The rocks used in construction were sculpted to fit
together exactly by repeatedly lowering one rock onto another and
carving away any sections on the lower rock where there was
compression or the pieces did not fit exactly. The tight fit and the
concavity on the lower rocks made them extraordinarily stable.
Machu Picchu was built around 1450, at the height of the Inca
Empire. It is a rare example of this architectural building technique
and remains in remarkable condition after many centuries. The
construction of Machu Picchu appears to date from the period of the
two great Inca emperors, Pachacutec Inca Yupanqui (1438–1471)
and Tupac Inca Yupanqui (1472–1493), and was probably built as a
temple for the emperor Pachacutec. Machu Picchu was abandoned
just over 100 years later, in 1572, as a belated result of the Spanish
Conquest, possibly related to smallpox.
Machu Picchu
This impressive mountain-top temple was built around 1450 CE
using dry stone wall.
Tex tiles, Ceramics, and

Metalwork
Textiles were one of the most precious commodities of the Inca
culture and denoted a person's social status, and often their
profession. The brightly colored patterns on a wool tunic represented
various positions and achievements. For example, a black-and-white
checkerboard pattern topped with a pink triangle denoted a soldier.
Because textiles were so specific to a person's class and
employment, citizens could not change their wardrobe without the
express permission of the government. Textiles were also
manufactured that could only be used for certain tasks or social
arenas. A rougher textile, spun from llama wool and called awaska,
was used for everyday household chores. On the other hand, a fine-
spun, very soft cloth made from vicuñ a wool could only be used in
religious ceremonies.
Inca tunic
The complex patterns woven into most Inca textiles and made into
tunics, like this one, denoted a person's position in society.
Although textiles were considered the most precious commodity in

Inca culture, Incas also considered ceramics and metalwork
essential commodities of the economy and class system. Incan
pottery was distinctive and normally had a spherical body with a
cone-shaped base. The pottery would also include curved handles
and often featured animal heads, such as jaguars or birds. These
ceramics were painted in bright colors, such as orange, red, black,
and yellow.
The Inca also required every province to mine for precious metals
like tin, silver, gold, and copper. The intricate metalwork of the Inca
was heavily influenced by the Chimú culture, which was conquered
and absorbed into the Inca culture around 1470. This metalwork
included detailed friezes and patterns inlaid into the metal. Fine
silver and gold were made into intricate decorative pieces for the
emperors and elites based on these Chimú metallurgy traditions, and
often included animal motifs with butterflies, jaguars, and llamas
etched into the metal. Skilled metallurgists also transformed bronze
and copper into farming implements, blades, axes, and pins for
everyday activities.
Agriculture and Diet

The Inca culture boasted a wide variety of crops, numbering around
seventy different strains in total, making it one of the most diverse
crop cultures in the world. Some of these flavorful vegetables and
grains included:
Potatoes
Sweet potatoes
Maize
Chili peppers
Cotton
Tomatoes
Peanuts
Oca
Quinoa
Amaranth
Terraced farmland in Peru
Terraces allowed Inca farmers to utilize the mountainous terrain and
grow around seventy different crops.
These crops were grown in the high-altitude Andes by building

terraced farms that allowed farmers to utilize the mineral-rich
mountain soil. The quick change in altitude on these mountain farms
also utilized the micro-climates of each terrace to grow a wider range
of crops. The Inca also produced bounties in the Amazon rainforest
and along the more arid coastline of modern-day Peru.
Alongside vegetables, the Inca supplemented their diet with fish,

guinea pigs, camelid meat, and wild fowl. They also fermented
maize, or corn, to create the alcoholic beverage chicha.
16.2.2: Administration of the Inca

Empire
The Inca Empire utilized complex road systems, recording tools, and
a hierarchical rule of law to oversee the administration of its vast
population.
Learning Objective
Understand the importance of the governing bodies, road system,
recording tools, and social hierarchy of the Inca Empire
Key Points
The Inca Empire utilized a complex road system with about
25,000 miles of roads that relayed messages and goods
throughout the society.
Inca administrators used brightly colored knotted strings called
quipus to keep precise records of labor, taxes, and goods.
The Inca had no written legal code, but relied on magistrates
and inspectors to keep people in line with established social
customs.
Key Terms
quipus
Brightly colored knotted strings that recorded numerical

information, such as taxes, goods, and labor, using the base
number of 10 to record data in knots.
suyus
Distinct districts of the Inca Empire that all reported back to the
capital of Cusco. There were four major districts during the
height of the empire.
ayllu
A clan-like family unit based upon a common ancestor.
Hierarchy
The Inca Empire was a hierarchical system with the emperor, or Inca
Sapa, ruling over the rest of society. A number of religious officials
and magistrates oversaw the administration of the empire directly
below the emperor. Kurakas were magistrates that served as the
head of an ayllu, or clan-like family unit based on a common
ancestor. These leaders mitigated between the spiritual and physical
worlds. They also collected taxes, oversaw the day-to-day
administration of the empire in their regions, and even chose brides
for men in their communities. Some of the privileges kurakas
enjoyed included exemption from taxation, the right to ride in a litter,
and the freedom to practice polygamy.
Society was broken into two distinct parts. One segment was
comprised of the common people, including those cultures that had
been subsumed by the Inca Empire. The second group was made
up of the elite of the empire, including the emperor and the kurakas,
along with various other dignitaries and blood relations. Education
was vocationally based for commoners, while the elite received a
formal spiritual education.
There was no codified legal system for people that broke with the
cultural and social norms. Local inspectors called okoyrikoq , or “ he
who sees all," reported back to the capital and the emperor and
made immediate decisions regarding punishment in cases where
customs were not honored. Many times these local inspectors were
blood relatives of the emperor.
Road System
The Inca civilization was able to keep populations in line, collect
taxes efficiently, and move goods, messages, and military resources
across such a varied landscape because of the complex road
system. Measuring about 24,800 miles long, this road system
connected the the regions of the empire and was the most complex
and lengthy road system in South America at the time. Two main
routes connected the north and the south of the empire, with many
smaller branches extending to outposts to the east and west. The
roads varied in width and style because often the Inca leaders
utilized roads that already existed to create this powerful network.
Common people could not use these official roads unless they were
given permission by the government.
These roads were used for relaying messages by way of chasq ui, or
human runners, who could run up to 150 miles a day with messages
for officials. Llamas and alpacas were also used to distribute goods
throughout the empire and ease trade relations. The roads also had
a ritual purpose because they allowed the highest leaders of the Inca
Empire to ascend into the Andes to perform religious rituals in
sacred spaces, such as Machu Picchu.
Chasqui carrying a quipu on official
state business
Chasquis were highly agile long-distance runners who used the
complex road systems to relay messages and goods between cities.
Record Keeping
The Inca utilized a complex recording system to keep track of the
administration of the empire. Quipus (also spelled khipus) were
colorful bunches of knotted strings that recorded census data, taxes,
calendrical information, military organization, and accounting
information. These “ talking knots” could contain anything from a few
threads to around 2,000, and used the base number of 10 to record
information in complex variations of knots and spaces.
Inca quipu
These complex recording devices allowed officials to keep track of
taxes, labor, and goods in a precise fashion.
The Spanish burned the vast majority of existing quipus when they
arrived in South America. However, there is some evidence to
suggest that these tools were also used to record stories and
language for posterity, and were not only numerical recording
devices.
Trade and Economics

Trade and the movement of goods fed into what is called the vertical
archipelago. This system meant that all goods produced within the
empire were immediately property of the ruling elites. These elites,
such as the emperor and governors, then redistributed resources
across the empire as they saw fit.
Taxes and goods were collected from four distinct suyus, or districts,
and sent directly to the ruling emperor in Cusco. This highly
organized system was most likely perfected under the emperor
Pachacuti around 1460.
The Four suyus of the Inca Empire

The economic system linked together four large suyus, or districts,
that all reported back to the capital of Cusco.
This system also required a minimum quota of manual labor from the
general population. This form of labor taxation was called mita. The
populations of each district were expected to contribute to the wealth
of the empire by mining, farming, or doing other manual labor that
would benefit the entire empire. Precious metals, textiles, and crops
were collected and redistributed using the the road system that
snaked across the land, from the ocean to the Andes.
16.2.3: Religion in the Inca Empire

The Inca Empire worshipped the Sun god Inti, and expanded its hold
on outlying areas by incorporating other deities into the religious
system.
Learning Objective
Learn about the forms of worship of the Sun god Inti, the religious
hierarchy, and the cultural assimilation of outlying clans in the Inca
Empire
Key Points
The Inca rulers worshipped the Sun god Inti and built the central
temple, Qurikancha, in Cusco.
The Inca elite incorporated the varied populations into the
empire by allowing the worship of other deities.
V arious festivals celebrated the different aspects of the Sun. The
most important of these festivals was Inti Raymi, which focused
on abundance.
Key Terms
Pachamama
The Earth goddess worshipped by many clans in outlying areas

of the Inca Empire. Inca rulers enforced a religious system that
favored Inti, but they incorporated the Earth goddess as a lesser
deity.
Inti
The central Sun god the Inca worshipped. He represented

abundance, harvests, and fertility, and was considered more
important than any other deity worshipped in the region.
Inti Raymi
The most important religious festival of the Inca year. It means
"Sun Festival" and occurred close to the winter solstice, which
happens in June in South America.
The Inca religious system utilized oral traditions to pass down the
mythology of their Sun god, Inti. This benevolent male deity was
often represented as a gold disk with large rays and a human face.
Golden disks were commonly displayed at temples across the Inca
Empire and were also associated with the ruling emperor, who was
supposed to be a direct descendent of Inti, and divinely powerful. Inti
was also associated with the growth of crops and material
abundance, especially in the high Andes, where the Inca centered
their power.
Some myths state that this benevolent entity, along with Mama Killa,
the Moon goddess, had children. Inti ordered these children, named
Manco Cápac and Mama Ocllo, to descend from the sky and onto
Earth with a divine golden wedge. This wedge penetrated the earth,
and they built the capital of Cusco and civilization on that very spot.
Inti W orship
Royalty were considered to be direct descendants of Inti and,
therefore, able to act as intermediaries between the physical and
spiritual realms. The high priest of Inti was called the W illaq Umu. He
was often the brother or a direct blood relation of the Sapa Inca, or
emperor, and was the second most powerful person in the empire.
The royal family oversaw the collection of goods, spiritual festivals,
and the worship of Inti. Power consolidated around the cult of the
Sun, and scholars suggest that the emperor Pachacuti expanded
this Sun cult to garner greater power in the 15th century.
An illustrated representation of the
Sun god Inti
This image of Inti appears at the center of Argentina's modern-day
flag.
Conquered provinces were expected to dedicate a third of their

resources, such as herds and crops, directly to the worship of Inti.
Each province also had a temple with male and female priests
worshipping the Inti cult. Becoming a priest was considered one of
the most honorable positions in society. Female priests were called
mamakuna, or “ the chosen women,” and they wove special cloth and
brewed chicha for religious festivals.
The main temple in the Inca Empire, called Qurikancha, was built in
Cusco. The temple housed the bodies of deceased emperors and
also contained a vast array of physical representations of Inti, many
of which were removed or destroyed when the Spanish arrived.
Qurikancha was also the main site of the religious festival Inti Raymi,
which means “ Sun Festival.” It was considered the most important
festival of the year, and is still celebrated on the winter solstice in
Cusco. It represents the mythical origin of the Inca and the hope for
good crops in the coming year as the winter sun returns from
darkness.
The festival of Inti Raymi

This festival is celebrated in late June in the capital of Cusco every
year. Thousands of visitors arrive to see the procession and rituals.
Religious Ex pansion
Religious life was centered in the Andes near Cusco, but as the Inca
Empire expanded its sphere of influence, they had to incorporate a
wide array of religious customs and traditions to avoid outright revolt.
Ayllus, or family clans, often worshipped very localized entities and
gods. The ruling Inca often incorporated these deities into the Inti
cosmos. For example, Pachamama, the Earth goddess, was a long-
worshipped deity before the Inca Empire. She was incorporated into
Inca culture as a lower divine entity. Similarly, the Chimú along the
northern coast of Peru worshipped the Moon, rather than the Sun,
probably due to the hot, arid climate and their proximity to the ocean.
The Inca also incorporated the Moon into their religious myths and
practices in the form of Mama Killa.
Sacrifice and the Afterlife

The Inca believed in reincarnation. Death was a passage to the next
world that was full of difficulties. The spirit of the dead,
camaquen, would need to follow a long dark road. The trip required
the assistance of a black dog that was able to see in the dark. Most
Incas imagined the after world to be very similar to the Euro-
American notion of heaven, with flower-covered fields and snow-
capped mountains. It was important for the Inca to ensure they did
not die as a result of burning or that the body of the deceased did not
become incinerated. This is because of the underlying belief that a
vital force would disappear and this would threaten their passage to
the after world. Those who obeyed the Inca moral code (do not steal,
do not lie, do not be lazy) went to live in the "Sun's warmth" while
others spent their eternal days "in the cold earth."
Skull showing signs of artificial
cranial deformation
Although this skull predates the Inca Empire, and is from the Nazca
culture, Inca elites would reshape infants' skulls in a similar manner
to illustrate a higher class status.
Human sacrifice has been exaggerated by myth, but it did play a role
in Inca religious practices. As many as 4,000 servants, court officials,
favorites, and concubines were killed upon the death of the Inca
Huayna Capac in 1527, for example. The Incas also performed child
sacrifices during or after important events, such as the death of the
Sapa Inca or during a famine. These sacrifices were known as
capacocha.
The Inca also practiced cranial deformation. They achieved this by

wrapping tight cloth straps around the heads of newborns in order to
alter the shape of their soft skulls into a more conical form; this
cranial deformation distinguished social classes of the communities,
with only the nobility having it.
16.2.4: The Spanish Conquest
The Inca Empire already faced instability due to the Inca Civil War,
European diseases, and internal revolt when explorer Francisco
Pizarro began the conquest of Inca territory.
Learning Objective
Learn about the contributing factors that allowed the Spanish
explorers to overpower the Inca Empire and establish control of the
region
Key Points
The Inca War of Succession began after the emperor Huayna
Capac died around 1528 and his two sons both wanted to seize
power.
Internal instability allowed Francisco Pizarro and his men to find
allies within the Inca Empire.
Spanish forces ousted the last Inca holdout of V ilcabamba in
1572 and enforced a harsh rule of law on the local population.
Key Terms
mita
A form of labor tax that required one person from each family to
work in the mines. The Spanish enforced this heavy labor tax
once they gained control of the region.
V iceroyalty of Peru
The Spanish forces gave the newly seized Inca region this title
and started to collect taxes and labor from the local people.
Inca Civil War
This internal dispute started around 1528 between two sons of

the deceased emperor who both wanted control, causing
instability in the Inca Empire.
Spanish Arrival
The Spanish explorer Francisco Pizarro, along with a small military
retinue, landed on South American soil around 1526. The Spanish
recognized the wealth and abundance that could be had in this
territory; at this point the Inca Empire was at its largest, measuring
around 690,000 square miles. In 1528 Pizarro went back to Spain to
ask for the official blessing of the Spanish crown to the conquer the
area and become governor. He returned with his blessings around
1529 and began the official takeover of the region.
Inca Civil W ar
Although Pizarro had a small force behind him, many problems
within the Inca Empire worked to his advantage between 1528 and
1533. Foremost among these was the Inca Civil War, which is also
known as the War of Succession or the War of Two Brothers. It
began to brew just one year after Pizarro first landed in the region.
Around 1528, the ruling Inca emperor, Huayna Capac, and his
designated heir, Ninan Cuyochic, died of disease. It was most likely
smallpox, which had quickly traveled down to South America after
the arrival of Spanish explorers in Central America. Brothers
Huascar and Atahualpa, two sons of the emperor Huayna Capac,
both wanted to rule after their father's death.
Inca Emperor Atahualpa
Although Atahualpa successfully won the Inca Civil War and ruled as
emperor, he was soon captured by the Spanish and killed in 1533.
Initially, Huascar captured the throne in Cusco, claiming legitimacy.

However, Atahualpa had a keen military mind and close relations
with the military generals at the time, and proved to be the deadlier
force. Between 1529 and 1532 the two brothers' armies waged
warfare, with one or the other gaining a stronger foothold for a time.
Atahualpa initially garnered favor with northern allies and built a new
capital for his forces in Quito. By 1532, Atahualpa had overpowered
his brother's forces via intrigue and merciless violence, scaring many
local populations away from standing up to his power. This civil war
left the population in a precarious position by the time it ended.
Spanish Coloniz ation
Around the same time that Atahualpa seized the throne in 1532,
Pizarro returned to Peru with blessings from the Spanish crown. The
Spanish forces went to meet with Atahualpa and demanded he take
up the “ true faith” (Catholicism) and the yoke of Charles I of Spain.
Because of the language barrier, the Inca rulers probably did not
understand much of these demands, and the meeting quickly
escalated to the Battle of Cajamarca. This clash left thousands of
native people dead. The Spanish also captured Atahualpa and kept
him hostage, demanding ransoms of silver and gold. They also
insisted that Atahualpa agree to be baptized. Although the Inca ruler
was mostly cooperative in captivity, and was finally baptized, the
Spanish killed him on August 29, 1533, essentially ending the
potential for larger Inca attacks on Spanish forces.
An engraved representation of the

Battle of Cajamarca
This battle began in 1532, leaving thousands of native people dead
and ending with the capture of Atahualpa.
Even though the Inca Civl War made it easier for the Spanish armies
to gain control initially, many other contributing factors brought about
the demise of Inca rule and the crumbling of local populations. As
scholar Jared Diamond points out, the Inca Empire was already
facing threats:
Local unrest in the provinces after years of paying tribute to the

Inca elite created immediate allies for the Spanish against the
Inca rulers.
Demanding terrain throughout the empire made it even more
difficult to keep a handle on populations and goods as the
empire expanded.
Diseases that the population had never been exposed to, such
as smallpox, diphtheria, typhus, measles, and influenza,
devastated large swaths of the population within fifty years.
Superior Spanish military gear, including armor, horses, and
weapons, overpowered the siege warfare more common in the
Inca Empire.
The Last Incas

After Atahualpa died and the Spanish seized control, they placed
Atahualpa's brother Manco Inca Yupanqui in charge of Cusco as a
puppet ruler while they tried to reign in the north. After a failed
attempt to recapture the city from greater Spanish rule during this
time, Manco retreated to V ilcabamba and built the last stronghold of
the Inca. The Inca continued to revolt against totalitarian Spanish
rule until the year 1572. In that year the Spanish conquered
V ilcabamba and killed the last Inca emperor, Tupac Amaru, after a
summary trial.
An image of the Spanish ex ecuting
Tupac Amaru
The last Inca ruler, Tupac Amaru, was killed by Spanish forces in
1572, effectively ending any potential for an Inca uprising.
Spanish Rule
The Spanish named this vast region the V iceroyalty of Peru and set
up a Spanish system of rule, which effectively suppressed any type
of uprising from local communities.
The Spanish system destroyed many of the Inca traditions and ways
of life in a matter of years. Their finely honed agricultural system,
which utilized tiered fields in the mountains, was completely
disbanded. The Spanish also enforced heavy manual labor taxes,
called mita, on the local populations. In general, this meant that
every family had to offer up one person to work in the highly
dangerous gold and silver mines. If that family member died, which
was common, the family had to replace the fallen laborer. The
Spanish also enforced heavy taxes on agriculture, metals, and other
fine goods. The population continued to suffer heavy losses due to
disease as Spanish rule settled into place.
Attributions
The Inca People
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http://en.wikipedia.org/wiki/Spanish_conquest_of_the_Inca_
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http://en.wikipedia.org/wiki/History_of_the_Incas. Wikipedia
CC BY-SA 3.0.
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"Inca Empire." http://en.wikipedia.org/wiki/Inca_Empire.
"Dry stone."
https://en.wikipedia.org/wiki/Dry_stone# Dry_stone_walls.
http://en.wikipedia.org/wiki/Inca_civilization. Wikipedia CC
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"Quinoa." https://en.wikipedia.org/wiki/Quinoa. Wikipedia
CC BY-SA 3.0.
"Machu Picchu." http://en.wikipedia.org/wiki/Machu_Picchu.
"Inca Expansion."
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"Machu Picchu."
http://en.wikipedia.org/wiki/Machu_Picchu%23mediaviewer/
File:80_-_Machu_Picchu_-_Juin_2009_-_edit.2.jpg.
"Terraced farmland in Peru."
https://en.wikipedia.org/wiki/Terrace_(agriculture)# /media/Fi
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https://en.wikipedia.org/wiki/Inca_society# /media/File:Tupa-
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Administration of the Inca Empire
"Kuraka." https://en.wikipedia.org/wiki/Kuraka. Wikipedia
CC BY-SA 3.0.
"Quipu." https://en.wikipedia.org/wiki/Quipu. Wikipedia CC
BY-SA 3.0.
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"Inca road system."
https://en.wikipedia.org/wiki/Inca_road_system. Wikipedia
CC BY-SA 3.0.
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https://en.wikipedia.org/wiki/History_of_the_Incas.
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16.3: Early Civiliz ations of
Mex ico and Mesoamerica
16.3.1: The Olmec
The Olmec were the first major civilization in Mexico, lasting from
approximately 1500—400 BCE.
Learning Objective
Give an account of the society, trade, art, and religion of the Olmec
Key Points
The Olmec lived in south-central Mexico, with their center in La
V enta in Tabasco.
Little is known about Olmec religion, though scholars believe
there were eight main deities.
People lived in small agricultural villages outside of urban
centers, which were mainly for ceremonial use.
The decline of the Olmec population from 400—350 BCE may
have been due to environmental changes.
Key Terms
La V enta
The main city of the Olmec civilization.
Mesoamerican ballgame
An ancient ritual sport that involved keeping a rubber ball in play
in designated courts. It most likely originated in the Olmec
culture.
Olmec colossal heads
Basalt sculptures of human faces wearing large helmeted

headdresses that stand up to 3.4 meters high. These sculptures
most likely represent important rulers.
The Olmec were the first major civilization in Mexico. They lived in
the tropical lowlands of south-central Mexico, in the present-day
states of V eracruz and Tabasco, and had their center in the city of La
V enta.
The Olmec flourished during Mesoamerica's formative period, dating

roughly from as early as 1500 BCE to about 400 BCE. Pre-Olmec
cultures had flourished in the area since about 2500 BCE, but by
1600–1500 BCE, Early Olmec culture had emerged. They were the
first Mesoamerican civilization and laid many of the foundations for
the civilizations that followed, such as the Maya. Judging from the
available archeological evidence it is likely that they originated the
Mesoamerican ballgame and possible that they practiced ritual
bloodletting.
The Gulf of Mexico's lowlands are generally considered the

birthplace of the Olmec culture, and remained the heartland of this
civilization during its existence. This area is characterized by
swampy lowlands punctuated by low hills, ridges, and volcanoes.
The Tuxtlas Mountains rise sharply in the north, along the Gulf of
Mexico's Bay of Campeche. Here the Olmec constructed permanent
city-temple complexes at San Lorenzo Tenochtitlán, La V enta, Tres
Zapotes, and Laguna de los Cerros. San Lorenzo remained the
Olmec capital up until about 900 BCE, when the central city became
La V enta, which remained functional until the demise of the Olmec
around 400 BCE. Possible river or weather changes caused this
movement to occur.
Trade and V illage Life
There are no written records of Olmec commerce, beliefs, or
customs, but from the archeological evidence it appears they were
not economically confined. In fact, Olmec artifacts have been found
across Mesoamerica, indicating that there were extensive
interregional trade routes. The Olmec period saw a significant
increase in the length of trade routes, the variety of goods, and the
sources of traded items.
Trading helped the Olmec build their urban centers of San Lorenzo
and La V enta. However, these cities were used predominantly for
ceremonial purposes and elite activity; most people lived in small
villages. Individual homes had a lean-to and a storage pit nearby.
They also likely had gardens, in which the Olmec would grow
medicinal herbs and small crops, like sunflowers.
The Great Pyramid in La V enta,

Tabasco
Remains of the last capital of the Olmec society, La V enta, include
this religious site where elites most likely performed rituals.
Most agriculture took place outside of the villages in fields cleared
using slash-and-burn techniques. The Olmec likely grew crops such
as:
Maize
Beans
Squash
Manioc
Sweet potatoes
Cotton
Religion
Unfortunately, there is no surviving direct account of Olmec beliefs,
but their notable artwork provide clues about their life and religion.
Olmec king
Surviving art, like this relief of a king or chief found in La V enta, help
provide clues about how Olmec society functioned.
There were eight different androgynous Olmec deities, each with its
own distinct characteristics. For example, the Bird Monster was
depicted as a harpy eagle associated with rulership. The Olmec
Dragon was shown with flame eyebrows, a bulbous nose, and
bifurcated tongue. These gods were believed to provide the rulers a
mandate to lead. Deities often represented a natural element and
included:
The Maize deity

The Rain Spirit or Were-Jaguar
The Fish or Shark Monster
Religious activities regarding these deities probably included the elite
rulers, shamans, and possibly a priest class making offerings at
religious sites in La V enta and San Lorenzo.
Art
The Olmec culture was defined and unified by a specific art style,
and this continues to be the hallmark of the culture. Wrought in a
large number of media—jade, clay, basalt, and greenstone, among
others—much Olmec art, such as The Wrestler, is surprisingly
naturalistic. Other art expresses fantastic anthropomorphic
creatures, often highly stylized, using an iconography reflective of a
religious meaning. Common motifs include downturned mouths and
a cleft head, both of which are seen in representations of were-
jaguars and the rain deity.
Olmec hollow baby figurine
Realistic ceramic objects, such as this portrayal of an infant, illustrate
the highly skilled artistic style of the Olmec culture.
Olmec Colossal Heads

The most striking art left behind by this culture are the Olmec
colossal heads. Seventeen monumental stone representations of
human heads sculpted from large basalt boulders have been
unearthed in the region to date. The heads date from at least before
900 BCE and are a distinctive feature of the Olmec civilization. All
portray mature men with fleshy cheeks, flat noses, and slightly
crossed eyes. However, none of the heads are alike, and each
boasts a unique headdress, which suggests they represent specific
individuals.
The boulders were brought from the Sierra de los Tuxtlas mountains
of V eracruz. Given that the extremely large slabs of stone used in
their production were transported over large distances, requiring a
great deal of human effort and resources, it is thought that the
monuments represent portraits of powerful individual Olmec rulers.
The heads were variously arranged in lines or groups at major
Olmec centers, but the method and logistics used to transport the
stone to these sites remain uncertain.
The discovery of a colossal head at Tres Zapotes in the 19th century

spurred the first archaeological investigations of Olmec culture by
Matthew Stirling in 1938. Most colossal heads were sculpted from
spherical boulders, but two from San Lorenzo Tenochtitlán were re-
carved from massive stone thrones. An additional monument, at
Takalik Abaj in Guatemala, is a throne that may have been carved
from a colossal head. This is the only known example from outside
the Olmec heartland.
Olmec head
This sculpture is typical of the colossal heads of the Olmec.
The End of the Olmecs

The Olmec population declined sharply between 400 and 350 BCE,
though it is unclear why. Archaeologists speculate that the
depopulation was caused by environmental changes, specifically
riverine environment changes. These changes may have been
triggered by the silting up of rivers due to agricultural practices.
Another theory for the considerable population drop relates to

tectonic upheavals or subsidence, as suggested by Santley and
colleagues who propose relocation of settlements due to volcanism,
instead of extinction. V olcanic eruptions during the Early, Late, and
Terminal Formative periods would have blanketed the lands and
forced the Olmec to move their settlements.
16.3.2: The Mix tec
The Mixtec are a group who lived in modern-day Mexico before the
Spanish conquest. People still identify as Mixtec today.
Learning Objective
Distinguish between the Mixtec people and the Mixtec language and
identify when they were most prominent
Key Points
The Mixtec survive today, but reached peak prominence in the
11th century CE.
The Mixtec language is a set of up to fifty languages, and is not
to be confused with the Mixtec people.
The Mixtec are well known in the anthropological world for their
codices, or phonetic pictures in which they wrote their history
and genealogies.
Key Terms
Mixtec
Indigenous Mesoamerican peoples inhabiting the region known

as La Mixteca, which covers parts of the Mexican states of
Oaxaca, Guerrero, and Puebla.
Codices
Phonetic pictures painted on deerskin and folded into books,

which recorded Mixtec history and genealogy.
Tututepec
A prominent city center during the height of the Mixtec state,
situated along the coast of modern-day Oaxaca.
The Mixtec are indigenous Mesoamerican peoples inhabiting the

region known as La Mixteca, which covers parts of the Mexican
states of Oaxaca, Guerrero, and Puebla. Though the Mixtec remain
today, they were most prominent in the 11th century and the
following years, until they were conquered by the Spanish and their
allies in the 16th century.
Before the arrival of Spanish hostility, a number of Mixtecan city-

states competed with each other and with the Zapotec kingdoms.
The major Mixtec polity was Tututepec, which rose to prominence in
the 11th century under the leadership of Eight Deer Jaguar Claw.
This prominent leader was the only Mixtec king to ever unite the
highland and lowland polities into a single Mixtec state. During this
era there were approximately 1.5 million Mixtecs populating this
varied region.
Modern Mix tec People

Today there are approximately 800,000 Mixtec people in Mexico, and
there are also large populations in the United States. In recent years
a large exodus of indigenous peoples from Oaxaca, such as the
Zapotec and Triqui, have emerged as one of the most numerous
groups of Amerindians in the United States. As of 2011, an
estimated 150,000 Mixtec people were living in California, and
25,000 to 30,000 were living in New York City. Large Mixtec
communities exist in the border cities of Tijuana; Baja California; San
Diego, California; and Tucson, Arizona. Mixtec communities are
generally described as trans-national or trans-border because of
their ability to maintain and reaffirm social ties between their native
homelands and diasporic communities.
Mix tec Language

The word "Mixtec" is often used to refer not to the group of people of
Mixtec ancestry, but to the family of languages that have developed
alongside the group. There is no longer one single Mixtec language;
some estimate that there are fifty distinct languages in the Mixtec
family, including Cuicatec and Triqui.
Mix tec's area

The historical geographic area inhabited by the Mixtec, including the
important polities, such as Tututepec.
Mix tec History

Important ancient centers of the Mixtec include the ancient capital of
Tilantongo, as well as the sites of Achiutla, Cuilapan, and
Yucuñ udahui. The Mixtec also erected major constructions at the
ancient city of Monte Albán, which had originated as a Zapotec city
before the Mixtec gained control of it.
The west side platform at Monte Albá n
This ancient city remained a religious site for centuries, and was
more sparsely populated during the rise of smaller Mixtec polities.
However, religious sites were often reused by Mixtec elites.
At the height of the Aztec Empire (between 1428 and 1521 CE)
many Mixtec polities were forced to pay tribute. However, many
Mixtec polities remained completely independent of the threatening
empire, even as it expanded outward. The smaller Mixtec polities
also put up resistance to Spanish forces led by Pedro de Alvarado
until the invaders gained control of the region and destroyed any
attempt at a revolt in 1521. Disease, weaponry, and local political
fractures likely aided the Spanish takeover of the area.
Mix tex Art

The work of Mixtec artisans who produced work in stone, wood, and
metal were well regarded throughout ancient Mesoamerica. Mixtec
artists were known for their exceptional mastery of jewelry, in which
gold and turquoise figured prominently. The intricate metalwork of
Mixtec goldsmiths formed an important part of the tribute the Mixtecs
had to pay to the Aztecs during parts of their history.
Mix tec funerary mask

Mixtec art included the use of turquoise, gold, and carved stones,
and exemplified artistry before the arrival of the Spanish.
Codices
The Mixtec are well known in the anthropological world for their
codices, or phonetic pictures, in which they wrote their history and
genealogies in deerskin in the "fold-book" form. The best-known
story of the Mixtec codices is that of Lord Eight Deer, named after
the day on which he was born, whose personal name was Jaguar
Claw, and whose epic history is related in several codices. He
successfully conquered and united most of the Mixteca region.
A page from the Codex Bodley
This codex tells the story of the Tilantongo and Tiaxiaco dynasties.
Codices can be read from right to left and often measure many feet
long. The Codex Bodley measures twenty-two feet long and contains
complex explanations of important family lineages and creation
stories, such as the War of Heaven, that directly refer back to elite
dynasties. The preservation of these extremely rare Codices paints a
distinct picture of Mesoamerica right before the arrival of Spanish
forces.
16.3.3: Teotihuacan
Teotihuacan was a city founded outside of modern Mexico City in
100 BCE and was known for its pyramids.
Learning Objective
Discuss the diversity and notable archeological features of
Teotihuacan
Key Points
Teotihuacan was founded around 100 BCE and reached its
peak population around 450 CE.
Teotihuacan was a multi-ethnic city, with distinct quarters
occupied by Otomi, Zapotec, Mixtec, Maya and Nahua peoples.
The geographical layout of Teotihuacan is a good example of
the Mesoamerican tradition of planning cities, settlements, and
buildings as a reflections of their view of the Universe.
Key Terms
Pyramid of the Sun
The largest building in Teotihuacan, which measures 246 feet

high and 736 feet wide.
Teotihuacan
A large precolumbian Mesoamerican city known for its

archeological significance.
The Great Goddess

This deity was one of the central icons of Teotihuacano religious
culture. She appears in painted murals with images associated
with the underworld, birth, death, and creation.
Just 30 miles from modern day Mexico City lies the precolumbian
Mesoamerican city of Teotihuacan. It is famous for its pyramids and
series of accompanying residential compounds, but was once much
more than an archaeological and tourist site.
Archaeological evidence suggests that Teotihuacan was a multi-

ethnic city, with distinct quarters occupied by Otomi, Totonac,
Zapotec, Mixtec, Maya, and Nahua peoples. In 2001, Terrence
Kaufman presented linguistic evidence suggesting that an important
ethnic group in Teotihuacan was of Totonacan or Mixe–Zoquean
linguistic affiliation. Other scholars maintain that the largest
population group must have been of Otomi ethnicity, because the
Otomi language is known to have been spoken in the area around
Teotihuacan both before and after the classic period and not during
the middle period.
Although it is a subject of debate whether Teotihuacan was the

center of a state empire, its influence throughout Mesoamerica is
well documented; evidence of Teotihuacano presence can be seen
at numerous sites in V eracruz and the Maya region. Many Maya
murals represent Teotihucuan and the leaders of the city during its
zenith. The Aztecs were also heavily influenced by the architecture,
culture, and lore of this ancient city, claiming common ancestry with
the Teotihuacanos and adopting some of their artistic and
architectural styles.
Founding of the City

The city and culture, which can be referred to as Teotihuacan or
Teotihuacano, is thought to have been established around 100 BCE,
with major monuments continuously under construction until about
250 CE. It began as a new religious center in the Mexican Highland
and a large population was drawn to the city over a few centuries. It
may have lasted until sometime between the 7th and 8th centuries
CE, but its major monuments were sacked and systematically
burned around 550 CE. At its zenith, around the first half of the first
millennium CE, Teotihuacan was the largest city in the pre-
Columbian Americas, with a population estimated at 125,000 or
more. It's varied population made it, at minimum, the sixth largest
city in the world during its epoch. The city eventually included multi-
floor apartment compounds built to accommodate this large
population.
Mysterious Founders and Religion

The founders of this religious and populous city remain a mystery to
scholars of the area. Some have speculated that the X itle volcano,
which is located southwest of modern-day Mexico City, may have
prompted a mass emigration out of the central valley and into the
Teotihuacan valley. These displaced settlers may have founded, or
at least helped grow, the city.
An alternate explanation is that the Totonac people, who still remain

today, founded Teotihuacan. There is also evidence that at least
some of the people living in Teotihuacan immigrated from those
areas influenced by the Teotihuacano civilization, including the
Zapotec, Mixtec, and Maya peoples.
Mural of the Great Goddess of
Teotihuacan
This powerful goddess was associated with darkness, mystery,
death, and creation. She was often depicted with owls, jaguars, and
spiders, all creatures of the earth, darkness and the underworld. This
mural is from the Tetitla compound at Teotihuacan.
As a religious center, Teotihuacan displayed its most prominent gods

and goddesses in murals and architecture. The Great Goddess of
Teotihuacan appears to be the most prominent of these deities, and
she likely represented the underworld, war, creation, water, and the
earth. Evidence of human sacrifices to honor the completion of
buildings or special times of year has also been uncovered by
archeologists. Captives from wars were decapitated, had their hearts
removed, were bludgeoned, or were buried alive to commemorate
these momentous occasions.
Pyramid of the Sun
This giant pyramid dwarfs the smaller platforms surrounding it and
was the largest building at Teotihuacan.
Layout
The city's broad central avenue, called "Avenue of the Dead" (a
translation from its Nahuatl name Miccoatli), is flanked by impressive
ceremonial architecture, including the immense Pyramid of the Sun
(third largest in the World after the Great Pyramid of Cholula and the
Great Pyramid of Giza) and the Pyramid of the Moon. Along the
Avenue of the Dead are many smaller talud-tablero platforms. The
Aztecs believed they were tombs, inspiring the Nahuatl name of the
avenue.
Pyramid of the Moon
This pyramid is the second largest in Teotihuacan.
Further down the Avenue of the Dead is the area known as the
Citadel, containing the ruined Temple of the Feathered Serpent. This
area was a large plaza surrounded by temples that formed the
religious and political center of the city. Most of the common people
lived in large apartment buildings spread across the city. Many of the
buildings contained workshops where artisans produced pottery and
other goods.
Teotihuacan City Plan
The layout of Teotihuacan exemplifies Mesoamerican urban planning
The geographical layout of Teotihuacan is a good example of the

Mesoamerican tradition of planning cities, settlements, and buildings
as a reflection of the Universe. Its urban grid is aligned to precisely
15.5º east of North. One theory says this is due to the fact that the
sun rose at that same angle during the same summer day each year.
Settlers used the alignment to calibrate their sense of time or as a
marker for planting crops or performing certain rituals. Another
theory is that there are numerous ancient sites in Mesoamerica that
seem to be oriented with the tallest mountain in their given area. This
appears to be the case at Teotihuacan, although the mountain to
which it is oriented is not visible from within the Teotihuacan complex
due to a closer mountain ridge. Pecked-cross circles throughout the
city and in the surrounding regions indicate how the people managed
to maintain the urban grid over long distances. It also enabled them
to orient the Pyramids to the distant mountain that was out of sight.
Fall of Teotihuacan
There is an ongoing debate about why Teotihuacan collapsed and
the population abandoned this city center. Evidence of climate
changes, which caused severe droughts around 535 CE, suggest
there was a general population decline in the region. In fact,
archeological digs have revealed juvenile skeletons with signs of
malnutrition, which probably forced populations to move and caused
internal social strife. Further archeological evidence reveals that only
the buildings associated with the elites along the Avenue of the Dead
were sacked and burned. This type of activity suggests there might
have been internal unrest and possibly a revolt against the elite
power structure, which caused the collapse of the city.
16.3.4: The Z apotec

The Zapotec civilization developed in modern-day Mexico and lasted
from approximately the 6th century BCE to the 16th century CE.
Learning Objective
Explain the culture, religion, expansion, and demise of the Zapotec
civilization
Key Points
The Zapotec civilization originated in the three Central V alleys of
Oaxaca in the late 6th Century BCE.
There are five distinct Zapotec periods, denoted Monte Albán 1–
5 (after the place of origin).
The Zapotec were polytheists who developed a calendar and
logosyllabic writing system.
Key Terms
Monte Alban
The place of origin for the Zapotec civilization.
Cocijo
The lightning and rain god of the Zapotec civilization. He was

the most important of the religious figures and was believed to
have created the universe with his breath.
Mitla
The main religious city of the Zapotec culture. Elaborate

buildings and artwork display the richness of religious life for the
Zapotec elite.
The Zapotec civilization originated in the three Central V alleys of

Oaxaca in the late 6th Century BCE. The valleys were divided
between three different-sized societies, separated by no-man's-land
in the middle, today occupied by the city of Oaxaca. Archaeological
evidence from the period, such as burned temples and sacrificed
captives, suggests that although the three societies shared linguistic,
cultural, and religious traditions, they also competed against one
another.
Panorama from Monte Albá n

The view from the site of origin of the Zapotec rulers that expanded
power beyond the Central V alleys of Oaxaca.
Five Phases
The Zapotec state formed at Monte Albán. This consolidation of
power began outward political expansion during the late Monte
Albán 1 phase (400–100 BCE) and throughout the Monte Albán 2
phase (100 BCE–200 CE). Zapotec rulers from Monte Albán seized
control of provinces outside the valley of Oaxaca with their superior
military and political clout, which quickly overtook less-developed
local entities. By 200 CE, the end of the Monte Albán 2 phase, the
Zapotecs had extended their influence, from Quiotepec in the North
to Ocelotepec and Chiltepec in the South. The religious and cultural
city of Monte Albán had become the largest city in what are today
the southern Mexican highlands. This powerful city retained this
status until approximately 700 CE.
Monte Albá n phases

Historical Monte Albán phases and the duration of each phase.
Ex pansion and Decline

Between Monte Albán phases 1 and 2 there was a considerable
expansion of the population of the V alley of Oaxaca. As the
population grew, so did the degree of social differentiation, the
centralization of political power, and ceremonial activity. Another
effect of this population boom and the political expansion of the
military during Monte Albán 1–2 was the development of fragmented,
independent states. These areas developed regional centers of
power with distinct leaders and linguistic dialects. However, the
Zapotec rulers retained control over vast swaths of the region. Some
archeologists argue that the building centered on the main plaza of
Monte Albán contains depictions of elaborate heads, which
represent the rulers of conquered provinces.
J ade warrior mask from Monte Albá n

This jade replica illustrates the fierce military presence that initially
expanded the Zapotec holdings during Monte Albán phase 2.
The Zapotecs were ultimately destroyed by Spanish invaders.

Having lost militarily to the Aztecs in battles from 1497–1502, the
Zapotecs tried to avoid confrontation with the Spaniards, and
hopefully the tragic fate of the Aztecs. The Spaniards took
advantage of this pacifist stance and ultimately defeated the
Zapotecs after five years of campaigns ending in 1527. The arrival of
new diseases and steel weapons also weakened any attempts at a
revolt from the Zapotec population. There were some subsequent
uprisings against the new rulers, but for all intents and purposes, the
Zapotecs were conquered. However, the seven Zapotec languages,
and hundreds of Zapotec dialects, still survive with populations that
have spread throughout Mexico and also Los Angeles, California.
Z apotec W riting and Religion

The Zapotecs developed a calendar and a logosyllabic system of
writing that used a separate glyph to represent each of the syllables
of the language. This writing system is thought to be one of the first
writing systems of Mesoamerica and a predecessor of those
developed by the Maya, Mixtec, and Aztec civilizations.
Like most Mesoamerican religious systems, the Zapotec religion was

polytheistic. Two principal deities included Cocijo, the rain god
(similar to the Aztec god Tlaloc), and Coquihani, the god of light.
These deities, along with many others, centered around concepts of
fertility and agriculture. It is likely that the Zapotec practiced human
sacrifices to these gods of fertility, and also played elaborate and
ritualistic ball games in the court at Monte Albán. They also practiced
dedication rituals, which cleansed a new space. Fine pieces of rare
jade, pearl, and obsidian were found in a cache in Oaxaca, and were
probably used to cleanse religious sites or temples upon the
completion of construction.
The ball court at Monte Albá n
A religious ball game utilizing a rubber ball was practiced throughout
Mesoamerica by young men playing for sacred, and often sacrificial,
purposes.
According to historic, as well as contemporary, Zapotec legends,

their ancestors emerged from the earth or from caves, or turned into
people from trees or jaguars. Their governing elite apparently
believed that they descended from supernatural beings that lived
among the clouds, and that upon death they would return to the
same status. In fact, the name by which Zapotecs are known today
results from this belief. The Zapotecs of the Central V alleys call
themselves "Be'ena' Za'a"—the Cloud People.
A funerary urn in the shape of a " bat
god" or a jaguar
c. 300–650 CE. Height: 9.5 in (23 cm).
Mitla
Evidence of the central role of religion in the Zapotec cultural
hierarchy is pronounced at the religious city of Mitla. It is the second
most important archeological site in the state of Oaxaca, and the
most important of the Zapotec culture. The site is located 44
kilometers from the city of Oaxaca. While Monte Albán was most
important as the political center, Mitla was the main religious center,
as evidenced by the elaborate buildings and artwork throughout the
city. The name "Mitla" is derived from the Nahuatl name "Mictlán,"
which was the place of the dead or underworld. Its Zapotec name is
Lyobaa, which means "place of rest." The name "Mictlán" was
Hispanicized to "Mitla" by the Spanish.
Fretwork on a building in the religious
capital of Mitla
This complex fretwork illustrates the religious importance of this
ancient city in the Zapotec culture.
What makes Mitla unique among Mesoamerican sites is the

elaborate and intricate mosaic fretwork and geometric designs that
cover tombs, panels, friezes, and even entire walls. These mosaics
are made with small, finely cut and polished stone pieces, which
have been fitted together without the use of mortar. No other site in
Mexico has this.
Attributions
The Olmec
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https://en.wikipedia.org/wiki/Bloodletting_in_Mesoamerica.
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http://en.wikipedia.org/wiki/Olmec_religion. Wikipedia CC
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The Mixtec
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https://commons.wikimedia.org/wiki/File:Mixtecs.png.
"Codex Bodley."
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las Culturas de Oaxaca anagoria."
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27_Mixtec_funerary_mask_Grave_No._7_Monte_Alban_M
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Teotihuacan
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16.4: The Maya
16.4.1: The Preclassic Period of the
Maya
The Preclassic period lasted from 2000 BCE to 250 CE and saw the
emergence of many distinctive elements of Mayan civilization.
Learning Objective
Describe life in the Preclassic period
Key Points
The Preclassic period itself is further divided into four periods:
Early Preclassic, Middle Preclassic, Late Preclassic, and
Terminal Preclassic.
The Early Preclassic period (2000–1000 BCE) was when the
Maya transitioned into an agrarian society.
In the Middle Preclassic period (1000–400 BCE), the Mayans
built more established cities and expanded through war.
Two powerful states emerged in the Late Preclassic period (400
BCE–100 CE).
The Mayan civilization collapsed and left the major Preclassic
capitals behind at the end of the Terminal Preclassic period
(100–250 CE) for unknown reasons.
Key Terms
kakaw
An Olmec word for the cacao plant. This word was borrowed
and incorporated into the Mayan language, illustrating the
relationship between these two cultures.
Southern Maya Area
The geographic region in which Mayan civilization first emerged.
Kaminaljuyu
The ruling city-state of the Middle Preclassic era. Evidence of

stone monuments and complex canals illustrate the power this
early capital retained for centuries.
The Preclassic period is the first of three periods in Mayan history,

coming before the Classic and Postclassic periods. It extended from
the emergence of the first settlements sometime between 2000 and
1500 BCE until 250 CE. The Preclassic period saw the rise of large-
scale ceremonial architecture, writing, cities, and states. Many of the
distinctive elements of Mesoamerican civilization can be traced back
to this period, including the dominance of corn, the building of
pyramids, human sacrifice, jaguar worship, the complex calendar,
and many of the gods.
Mayan language speakers most likely originated in the Chiapas-

Guatamalan Highlands and dispersed from there. By around 2500–
2000 BCE researchers can begin to trace the arc of Mayan-language
settlements and culture in what is now southeastern Mexico,
Guatemala, and Belize. The Preclassic period itself is divided into
four periods: Early Preclassic, Middle Preclassic, Late Preclassic,
and Terminal Preclassic
Agricultural Shift - Early

Preclassic ( 2000 BCE– 1000
BCE)
Though the exact starting date of Mayan civilization is unclear, there
were Mayan language speakers in the Southern Maya Area by 2000
BCE. It appears that around this time the Maya people began to
transition from a hunter-gatherer lifestyle to a culture based around
agricultural villages. The process appears to have been a gradual
one. Analysis of bones from early Maya grave sites indicates that,
although maize had already become a major component of the diet
by this time, fish, meat from game animals, and other hunted or
gathered foods still made up a major component of the diet. Along
with the gradual development of agriculture, basic forms of pottery
began to appear, with simple designs and some slipped vessels.
Around this time, the Olmec culture began to emerge in nearby

Tabasco, granting the early Maya an important trading partner and
beginning a period of prolonged contact that would have profound
effects on Maya society and artistic production.
Southern Maya Area
By 2000 BCE, there were speakers of Mayan languages in the
Southern Maya Area.
The map shows the Olmec heartland and the Southern Maya Area of
the Preclassic era. The Olmec heartland was located on the
southern portion of Mexico's Gulf Coast region between the Tuxtla
mountains and the Olmec archaeological site of La V enta, extending
roughly 80 km (50 mi) inland from the Gulf of Mexico coastline at its
deepest. From west to east, it included the cities of Tres Zapotes,
San Lorenzo, and La V enta. The Southern Maya Area was located
within a broad arc or cantilevered rectangle from Chiapa de Corzo, in
the Isthmus of Tehuantepec, in the northwest due south to Izapa and
Paso de la Amada, from Chiapa de Corzo southeast to Copán,
Honduras, and from Copán south to Chalchuapa, El Salvadolo. From
west to east, it included the cities of Pijijiiapan, Pajó n, Chiapa de
Corzo, Paso de la Amada, Izapa, TAkalik Abaj, El Baú l, Kaminaljuyu,
Chalchuapa, Copán, and Quiriguá.
Complex Cities - Middle

Preclassic ( 1000 BCE– 400 BCE)
By around the year 1000 BCE, centuries of agricultural village life
had begun to form the beginnings of a complex society, with an elite
class, entrenched religious practices, and a military presence. Other
developments of this era include the following:
Prestige goods, such as obsidian mirrors and jade mosaics,

began to appear, increasing the demand for more extensive
trade with other language groups, including the Olmecs.
Canals and irrigation schemes demanding coordinated human
effort began to appear with increasing complexity and scale.
V illages began to include central plazas and earthen mounds,
occasionally enhanced by masonry. For instance, the site of La
Blanca featured a central mound more than seventy-five feet
tall. It contained a masonry fragment strongly resembling a head
in the distinctive Olmec style. These plazas also suggest a
developing religious and hierarchical social structure.
Carved stone stele also began to appear during this period,
adorned with portraits of rulers but still devoid of writing.
Warfare appears to have intensified during this period, as
evidenced by advanced weaponry, rulers beginning to be
portrayed as warriors, and the appearance of mass graves and
decapitated skeletons.
Beginning around 900 BCE, the Pacific coastal region fell under the
dominance of the La Blanca statelet, which collapsed around 600
BCE, to be replaced by a polity centered around the El Ujuxte site.
Another early statelet was probably based at the site of Chalchuapa,
a town with extensive earthen mounds arranged around several
plazas. However, it was likely ruled by the first true Mayan city-state,
Kaminaljuyu.
Ex cavation site at Kaminaljuyu
Complex temples, stairways, and friezes illustrate the acme of this
Preclassic city's power and influence.
Lying within modern-day Guatemala City on the shores of Lake

Miraflores, Kaminaljuyu developed a powerful government structure
that organized massive irrigation campaigns and built numerous
intricately carved stone monuments to its rulers. These monuments
clearly depict war captives and often show the rulers holding
weapons. These images indicate the Kaminaljuyu polity engaged in
active warfare and dominated the Guatemalan highlands for
centuries.
Nakbe Palace
The ruins of a Middle Preclassic palace at Nakbe.
During this period, the Olmec culture reached its zenith, centered
around the capital of La V enta in modern-day Tabasco near the early
Maya centers. Speakers of a Mixe–Zoquean language, the Olmec
are generally recognized as the first true civilization in the Americas.
Their capital city of La V enta contains extensive earthworks and
stone monuments, including several of the distinctive Olmec stone
heads. The Olmec share several features with later Maya culture,
including extensive jaguar worship, a diet dominated by maize, and
the use of the cacao plant. Several words entered Mayan from a
Mixe–Zoquean language, presumably due to Olmec influence.
These words include the words "ajaw," meaning "lord," and "kakaw,"
which has become the English words "cacao" and "chocolate. " Most
of these borrowings relate to prestige concepts and high culture,
indicating that the Middle Preclassic Maya were deeply impressed
and influenced by their northwestern neighbors.
Art and Language - Late

Preclassic ( 400 BCE– 100 CE)
Some of the earliest remaining examples of the complex writing
system of the Maya appear from the 3rd century BCE. The glyph-
based system represents complex concepts and often reflects the
religious beliefs of the Maya, including jaguar worship, elites
practicing blood letting rituals, and offerings to deities. The Maya
also developed the concept of the number zero during this era. The
appearance of an explicit number zero in their written records might
be the first example of it worldwide. The appearance of this number
also helped Mayan architects and priests make exact calculations of
the stars and buildings for religious and social purposes.
The Late Preclassic also saw the rise of two powerful states that rival
later Classic Mayan city-states for scale and monumental
architecture—Kaminaljuyu in the highlands and El Mirador in the
lowlands. Both cities display the continued refinement in stonework,
artistic friezes, and architecture during this era.
City Collapse - Terminal

Preclassic ( 100 CE– 25 0 CE)
The Late or Terminal Preclassic murals found in San Bartolo reflect
the profound relationship between the Olmec and Maya civilizations
over hundreds of years, due to the striking artistic similarities. These
murals also provide a window into the Terminal Preclassic sacrificial
and inauguration rituals, such as bloodletting, that were practiced
around 100 BCE. Elites were expected to perform these painful
rituals in reverence to powerful deities.
Painted mural at San Bartolo from
around 100 BCE
This colorful mural depicts a king practicing bloodletting, probably for
an inauguration or other sacrificial purpose.
The collapse of the Preclassic Maya civilization remains a mystery,

and little is known as to why the major cities were abandoned around
250 CE. However, there were actually two collapses, one at the end
of the Preclassic and a more famous one at the end of the Classic.
The Preclassic collapse refers to the systematic decline and
abandoning of the major Preclassic cities, such as Kaminaljuyu and
El Mirador around 100 CE. In fact, the Maya remained an essential
part of the region. A number of theories have been proposed, but
there is as little consensus as there is for the causes of the more
famous collapse between the Classic and Postclassic periods.
16.4.2: The Classic Period of the Maya
The Classic period lasted from 250 to 900 CE and was the peak of
the Maya civilization.
Learning Objective
Describe life, religion, and architecture in the Classic period
Key Points
The Maya developed an agriculturally intensive, city-centered
civilization consisting of numerous independent city-states of
varying power and influence.
The Maya civilization participated in long-distance trade with
many other Mesoamerican cultures and established trade routes
between city-states.
The Maya used complex calendars to calculate religious, solar,
and lunar cycles.
The cause of the collapse of the Maya civilization is unknown.
Key Terms
Copán
An important city that boasted some of the most complex

architecture from the Classic period of Maya history.
Tzolkin
This 365-day solar calendar utilized the movement of Earth

around the Sun to calculate the year.
stelae
Carved stones depicting rulers with heirogliphic texts describing
their accomplishments.
The Classic period lasted from 250 to 900 CE. It saw a peak in large-
scale construction and urbanism, the recording of monumental
inscriptions, and significant intellectual and artistic development,
particularly in the southern lowland regions. During this period the
Maya population numbered in the millions, with many cities
containing 50,000 to 120,00o people. The Maya developed an
agriculturally intensive, city-centered civilization consisting of
numerous independent city-states of varying power and influence.
They created a multitude of kingdoms and small empires, built
monumental palaces and temples, engaged in highly developed
ceremonies, and developed an elaborate hieroglyphic writing
system.
The political, economic, and culturally dominant "core" Maya units of

the Classic Maya world system were located in the central lowlands,
while the corresponding peripheral Maya units were found along the
margins of the southern highland and northern lowland areas. The
semi-peripheral (mediational) units generally took the form of trade
and commercial centers. But as in all world systems, the Maya core
centers shifted through time, starting out during Preclassic times in
the southern highlands, moving to the central lowlands during the
Classic period, and finally shifting to the northern peninsula during
the Postclassic period.
Monuments
The most notable monuments are the stepped pyramids the Maya
built in their religious centers and the accompanying palaces of their
rulers. The palace at Cancué n is the largest in the Maya area, but
the site has no pyramids. On the other hand, cities like Tikal and
Copán illustrate the wealth of architectural accomplishments during
these prolific centuries. Copán came to its full power between the 6th
and 8th centuries, and included massive temples and carvings that
illustrate the full power of its ruling, and often merciless, emperors.
Tikal Temple
Classic period temple from Tikal, Guatemala.
The cities of Palenque and Yaxchilan were also cultural and religious
centers in the southeastern Maya region, and included large
temples, ball courts, and even a uniquely vaulted ceiling in the
hallway of the Palenque Palace.
The Palenque Palace and aqueduct
Cities like Palenque boasted some of the most refined architectural
works in the Classic period of Maya culture.
Other important archaeological remains include the carved stone

slabs usually called stelae (the Maya called them tetun, or "tree-
stones"), which depict rulers along with hieroglyphic texts describing
their genealogy, military victories, and other accomplishments.
Maya mask
Stucco frieze from Placeres, Campeche. Early Classic period (c.
250–600 CE).
Trade
The political relationship between Classic Maya city-states has been
likened to the relationships between city-states in Classical Greece
and Renaissance Italy. Some cities were linked to each other by
straight limestone causeways, known as sacbeob. Whether the
exact function of these roads was commercial, political, or religious
has not been determined.
The Maya civilization participated in long distance trade with many

other Mesoamerican cultures, including Teotihuacan, the Zapotec,
and other groups in central and gulf-coast Mexico. In addition, they
traded with more distant, non-Mesoamerican groups, such as the
Taínos of the Caribbean islands. Archeologists have also found gold
from Panama in the Sacred Cenote of Chichen Itza. Important trade
goods included:
Cacao
Salt
Seashells
Jade
Obsidian
Calendars and Religion

The Maya utilized complex mathematical and astronomical
calculations to build their monuments and conceptualize the
cosmography of their religion. Each of the four directions
represented specific deities, colors, and elements. The underworld,
the cosmos, and the great tree of life at the center of the world all
played their part in how buildings were built and when feasts or
sacrifices were practiced. Ancestors and deities helped weave the
various levels of existence together through ritual, sacrifice, and
measured solar years.
The Maya developed a mathematical system that is strikingly similar

to the Olmec traditions. The Maya also linked this complex system to
the deity Itzamna. This deity was believed to have brought much of
Maya culture to Earth. A 260-day calendar (Tzolkin) was combined
with the 365-day solar calendar (Haab') to create a calendar round.
This calendar round would take fifty-two solar years to return to the
original first date. The Tzolkin calendar was used to calculate exact
religious festival days. It utilized twenty named days that repeated
thirteen times in that calendar year. The solar calendar (Haab') is
very similar to the modern solar calendar year that uses Earth's orbit
around the Sun to measure time. The Maya believed there were five
chaotic days at the end of the solar year that allowed the portals
between worlds to open up, known as Wayeb'.
A Classic period Maya calendar
Each symbol represents a specific day within the calendar. When the
Tzolkin and Haab' calendar's are combined they create a fifty-two-
year solar calendar.
These calendars were recorded utilizing specific symbols for each

day in the two central cycles. Calendrical stones were employed to
carefully follow the movement of the solar and religious years.
Although less commonly used, the Maya also employed a long count
calendar that calculated dates hundreds of years in the future. They
also inscribed a lengthier 819-day calendar on many religious
temples throughout the region that most likely coincided with
important religious days.
Decline
The Classic Maya Collapse refers to the decline of the Maya Classic
Period and abandonment of the Classic Period Maya cities of the
southern Maya lowlands of Mesoamerica between the 8th and 9th
centuries. This should not be confused with the collapse of the
Preclassic Maya in the 2nd century CE. The Classic Period of
Mesoamerican chronology is generally defined as the period from
300 to 900 CE, the last 100 years of which, from 800 to 900 CE, are
frequently referred to as the Terminal Classic.
It has been hypothesized that the decline of the Maya is related to

the collapse of their intricate trade systems, especially those
connected to the central Mexican city of Teotihuacán. Before there
was a greater knowledge of the chronology of Mesoamerica,
Teotihuacan was believed to have fallen during 700–750 CE, forcing
the "restructuring of economic relations throughout highland
Mesoamerica and the Gulf Coast." This remaking of relationships
between civilizations would have then given the collapse of the
Classic Maya a slightly later date. However, it is now believed that
the strongest Teotihuacan influence was during the 4th and 5th
centuries. In addition, the civilization of Teotihuacan started to lose
its power, and maybe even abandoned the city, during 600–650 CE.
The Maya civilizations are now thought to have lived on, and also
prospered, perhaps for another century after the fall of Teotihuacano
influence.
The Classic Maya Collapse is one of the biggest mysteries in

archaeology. The classic Maya urban centers of the southern
lowlands, among them Palenque, Copán, Tikal, Calakmul, and many
others, went into decline during the 8th and 9th centuries and were
abandoned shortly thereafter. Some 88 different theories, or
variations of theories, attempting to explain the Classic Maya
Collapse have been identified. From climate change, to
deforestation, to lack of action by Maya kings, there is no universally
accepted collapse theory, although drought is gaining momentum as
the leading explanation.
16.4.3: The Decline of the Maya

The period after the second collapse of the Maya Empire (900 CE–
1600 CE) is called the Postclassic period.
Learning Objective
Explain what happened to the structure of the Maya Empire in the
Postclassic period
Key Points
The Maya cities of the northern lowlands in Yucatán continued
to flourish.
The center of power shifted to the northern peninsula.
The Postclassic period was a time of technological
advancement in areas of architecture, engineering, and
weaponry.
The Spanish conquest of the Maya began in the 16th century,
but lasted close to 150 years.
Mayan languages, agricultural practices, and familial cultures
still exist in parts of Chiapas and Guatemala.
Key Terms
Yucatán
A geographic area in the south of modern day Mexico near

Belize.
Codex
A book containing religious and cultural information written in

the Mayan script. Only three of these books remain in the
world.
Mayapan
The cultural capital of the Maya culture during the Postclassic

period. It was at its height between 1220 and 1440 CE.
The period after the second collapse of the Maya Empire (900 CE–
1600 CE) is called the Postclassic period. The center of power
shifted from the central lowlands to the northern peninsula as
populations most likely searched for reliable water resources, along
with greater social stability.
The Maya cities of the northern lowlands in Yucatán continued to

flourish; some of the important sites in this era were Chiché n Itzá,
Uxmal, Edzná, and Coba. A typical Classic Maya polity was a small
hierarchical state (called an aj awil, aj awlel, or aj awlil) headed by a
hereditary ruler known as an aj aw (later k'uhul aj aw). However, the
Postclassic period generally saw the widespread abandonment of
once-thriving sites as populations gathered closer to water sources.
Warfare most likely caused populations in long-inhabited religious
cities, like Kuminaljuyu, to be abandoned in favor of smaller, hilltop
settlements that had a better advantage against warring factions.
El Castillo ( pyramid of Kukulcá n) in

Chiché n Itz á
Built by the pre-Columbian Maya civilization sometime between the
9th and 12th centuries CE, El Castillo served as a temple to the god
Kukulkan, the Yucatec Maya Feathered Serpent deity closely related
to the god Quetzalcoatl known to the Aztecs and other central
Mexican cultures of the Postclassic period.
Postclassic Cities
Maya cities during this era were dispersed settlements, often
centered around the temples or palaces of a ruling dynasty or elite in
that particular area. Cities remained the locales of administrative
duties and royal religious practices, and the sites where luxury items
were created and consumed. City centers also provided the sacred
space for privileged nobles to approach the holy ruler and the places
where aesthetic values of the high culture were formulated and
disseminated and where aesthetic items were consumed. These
more established cities were the self-proclaimed centers of social,
moral, and cosmic order.
If a royal court fell out of favor with the people, as in the well-
documented cases of Piedras Negras or Copan, this fall from power
would cause the inevitable "death" and abandonment of the
associated settlement. After the decline of the ruling dynasties of
Chiché n Itzá and Uxmal, Mayapan became the most important
cultural site until about 1450 CE. This city's name may be the source
of the word "Maya," which had a more geographically restricted
meaning in Yucatec and colonial Spanish. The name only grew to its
current meaning in the 19th and 20th centuries. The area
degenerated into competing city-states until the Spanish arrived in
the Yucatán and shifted the power dynamics.
Certain smaller Maya groups, such as the Itza Maya, Ko'woj, and
Yalain of Central Peten, survived the collapse in the Postclassic
period in small numbers. By around 1250 CE these groups had
reconstituted themselves to form competing city-states. The Itza
maintained their capital at Tayasal (also known as Noh Peté n), an
archaeological site thought to underlay the modern city of Flores,
Guatemala, on Lake Peté n Itzá. The Ko'woj had their capital at
Zacpeten. Though less visible during this era, Postclassic Maya
states also continued to survive in the southern highlands.
Artistry, Architecture, and

Religion
The Postclassic period is often viewed as a period of cultural decline.
However, it was a time of technological advancement in areas of
architecture, engineering, and weaponry. Metallurgy came into use
for jewelry and the development of some tools utilizing new metal
alloys and metalworking techniques that developed within a few
centuries. And although some of the classic cities had been
abandoned after 900 CE, architecture continued to develop and
thrive in newly flourishing city-states, such as Mayapan. Religious
and royal architecture retained themes of death, rebirth, natural
resources, and the afterlife in their motifs and designs. Ballcourts,
walkways, waterways, pyramids, and temples from the Classic
period continued to play essential roles in the hierarchical world of
Maya city-states.
A religious building at Mayapan along

the northern Y ucatá n Peninsula
Curved walls, complex carvings, and layered platforms illustrate the
continued prevalence of architecture in Maya culture and religion
during the Postclassic period.
Maya religion continued to be centered around the worship of male

ancestors. These patrilineal intermediaries could vouch for mortals in
the physical world from their position in the afterlife. Archeological
evidence shows that deceased relatives were buried under the floor
of family homes. Royal dynasties built pyramids in order to bury their
ancestors. This patrilineal form of worship was used by some royal
dynasties in order to justify their right to rule. The afterlife was
complex, and included thirteen levels in heaven and nine levels in
the underworld, which had to be navigated by an initiated priesthood,
ancestors, and powerful deities.
Precise food preparation, offerings, and astronomical predictions

were all required for religious practices. Powerful deities that often
represented natural elements, such as jaguars, rain, and
hummingbirds, needed to be placated with offerings and prayers
regularly. Many of the motifs on large pyramids and temples of the
royal dynasties reflect the worship of both deities and patrilineal
ancestors and provide a window into the daily practices of this
culture before the arrival of Spanish forces.
The Colonial Period

Shortly after their first expeditions to the region in the 16th century,
the Spanish attempted to subjugate the Maya polities several times.
The Maya leaders and people were understandably hostile towards
the Spanish crown, and utilized bows and arrows, spears, and
padded armor in defense of their city-states. The Spanish campaign,
sometimes termed "The Spanish Conquest of Yucatán," would prove
to be a lengthy and dangerous exercise for the invaders from the
outset, and it would take some 170 years and tens of thousands of
Indian auxiliaries before the Spanish established substantive control
over all Maya lands.
Pages from the Paris Codex
One of three surviving examples of Mayan writing, the Paris Codex
offers keen insights into religious and patrilineal traditions before the
Spanish invasion.
Unlike the Aztec and Inca Empires, there was no single Maya
political center during the Postclassic period that, once overthrown,
would hasten the end of collective resistance from the indigenous
peoples. Instead, Spanish forces needed to subdue the numerous
independent Maya polities almost one by one, many of which kept
up a fierce resistance. Myths of gold and precious metals motivated
many Spanish forces to capture and dominate the Maya lands.
However, the Yucatán does not offer rich mining opportunities, and
some areas were difficult to navigate because of the dense jungle
environment.
As the battle over control of the region waged on, the Spanish
church and government officials destroyed the vast majority of Maya
texts and, with them, a large swath of knowledge about Maya writing
and language. Fortunately, three of the pre-Columbian books dated
to the Postclassic period survived the Spanish invasion and
destruction of Maya culture. These are known as the Madrid Codex,
the Dresden Codex, and the Paris Codex. The last Maya states
(and the last indigenous holdouts from Spanish control in the
Americas)—the Itza polity of Tayasal and the Ko'woj city of Zacpeten
—remained independent of the Spanish until late in the 17th century.
They were finally subdued by the Spanish in 1697 after many
casualties.
Maya Today
Although Spanish weaponry, administration, and practices became
much more dominant throughout Mesoamerica by the 17th century
and onward, the Maya people persisted, along with many of their
essential traditions. Today, in remote parts of Guatemala and
Chiapas, similar familial configurations, uses of the 260-day Maya
calendar, and agricultural practices continue to shape families of
descendants. Millions of Mayan-language speakers inhabit their
ancestral lands and keep these languages and traditions alive.
Attributions
The Preclassic Period of the Maya
"Mayan Civilization."
https://ridgeaphistory.wikispaces.com/Mayan+ Civilization.
Ridgeaphistory CC BY-SA.
"Southern Maya Area."
https://en.wikipedia.org/wiki/Southern_Maya_area.
"Olmec heartlad."
https://en.wikipedia.org/wiki/Olmec_heartland. Wikipedia
CC BY-SA 3.0.
"Mesoamerica Chronology."
http://en.wikipedia.org/wiki/Mesoamerican_chronology.
"Kaminaljuyu." https://en.wikipedia.org/wiki/Kaminaljuyu.
"Preclassic Maya."
http://en.wikipedia.org/wiki/Preclassic_Maya. Wikipedia CC
BY-SA 3.0.
"San Bartolo (Maya Site)."
https://en.wikipedia.org/wiki/San_Bartolo_(Maya_site).
"Larger Southern Maya Area."
https://commons.wikimedia.org/wiki/File:Larger_Southern_
Maya_area_v3.svg. Wikimedia GNU FDL 1.2.
"Nakbe." https://en.wikipedia.org/wiki/File:Nakbe_str.JPG.
"San Bartolo."
https://commons.wikimedia.org/wiki/File:SBmural.jpg.
"Kaminaljuyu."
https://commons.wikimedia.org/wiki/File:Kaminaljuyu_2.jpg.
The Classic Period of the Maya
"Maya Civilization."
http://en.wikipedia.org/wiki/Maya_civilization. Wikipedia CC
BY-SA 3.0.
"Classic Maya Collapse."
http://en.wikipedia.org/wiki/Classic_Maya_collapse.
"Maya Calendar."
https://en.wikipedia.org/wiki/Maya_calendar. Wikipedia CC
BY-SA 3.0.
"Maya city." http://en.wikipedia.org/wiki/Maya_city.
"Palenque." https://en.wikipedia.org/wiki/Palenque.
"stelae." http://en.wikipedia.org/wiki/stelae. Wikipedia CC
BY-SA 3.0.
http://en.wikipedia.org/wiki/Maya_civilization%23Classic_pe
riod. Wikipedia CC BY-SA 3.0.
"Copan." https://en.wikipedia.org/wiki/Cop%C3%A1n.
"Classic Maya language."
http://en.wikipedia.org/wiki/Classic_Maya. Wikipedia CC
BY-SA 3.0.
"Maya Religion."
https://en.wikipedia.org/wiki/Maya_religion. Wikipedia CC
BY-SA 3.0.
"Itzamna." https://en.wikipedia.org/wiki/Itzamna. Wikipedia
CC BY-SA 3.0.
"Mayan Civilization."
https://ridgeaphistory.wikispaces.com/Mayan+ Civilization.
Ridgeaphistory CC BY-SA 3.0.
"Maya Calendar by Matthew Bisanz."
https://commons.wikimedia.org/wiki/File:Maya_Calendar_by
_Matthew_Bisanz.JPG. Wikimedia CC BY-SA 3.0.
"Classic Mayan Collapse."
https://commons.wikimedia.org/wiki/File:Maya-Maske.jpg.
"Tikal Temple."
https://commons.wikimedia.org/wiki/File:Tikal_temple_jagua
r.jpg. Wikimedia CC BY-SA 2.0.
"Palenque."
https://commons.wikimedia.org/wiki/File:The_Palenque_Pal
ace_Aqueduct.jpg. Wikimedia CC BY-SA 3.0.
The Decline of the Maya
http://en.wikipedia.org/wiki/Maya_civilization. Wikipedia CC
BY-SA 3.0.
"Mesoamerican Chronology."
http://en.wikipedia.org/wiki/Mesoamerican_chronology.
"Mayapan." https://en.wikipedia.org/wiki/Mayapan.
http://en.wikipedia.org/wiki/Maya_civilization%23Postclassic
_period. Wikipedia CC BY-SA 3.0.
"Spanish Conquest of Yucatan."
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3%A1n. Wikipedia CC BY-SA 3.0.
"El Castillo."
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ediaviewer/File:Chichen_Itza_3.jpg. Wikipedia CC BY-SA
3.0.
"Paris Codex, pages 4-5."
https://en.wikipedia.org/wiki/Maya_civilization# /media/File:P
aris_Codex,_pages_4-5.jpg. Wikipedia CC BY-SA 3.0.
"Maya civilization."
https://en.wikipedia.org/wiki/Maya_civilization# /media/File:
Mayapan_chac.JPG. Wikipedia CC BY-SA 3.0.
16.5 : The Toltecs and the
Az tecs
16.5 .1: The Toltecs
The Toltecs were a Mesoamerican people who preceded the Aztecs
and existed between 800 and 1000 CE.
Learning Objective
Identify the Toltecs
Key Points
Much of what is known about the Toltecs is based on what has
been learned about the Aztecs.
Historicists believe that Aztec accounts of the Toltecs can be
trusted as historical sources.
Others believe that Aztec accounts are too shrouded in myth to
be trusted as sources of truth.
Certain Mayan sites, such as Chiché n Itzá, share distinctive
archeological traits with religious monuments and buildings in
Tula.
Key Terms
Quetzalcoatl
The feathered serpent deity that appears in carvings at Tula and

also in much later buildings and mythology in the Aztec Empire.
Historicist
A scholar that utilizes Aztec accounts of Toltec culture to piece

together the history of the Toltec people.
Atlantean figures
Gigantic stone statues of Toltec warriors that only appear at the

sites of Tula, Chiché n Itzá, and Potrero Nuevo.
The Toltec culture is an archaeological Mesoamerican culture that

dominated a state centered in Tula in the early Postclassic period of
Mesoamerican chronology (c. 800–1000 CE). Much of what is known
about the Toltecs is based on what has been learned about the
Aztecs, another Mesoamerican culture that postdated the Toltecs
and admired the Toltecs as predecessors. Since so much of what
remains on record about the Toltecs may have been tainted by Aztec
glorification and mythology in the 14th through 16th centuries, it is
difficult to parse out the true history.
The later Aztec culture saw the Toltecs as their intellectual and
cultural predecessors, and described Toltec culture emanating from
Tō llān [ ˈ toː lː aː n] (Nahuatl for Tula) as the epitome of civilization.
Indeed, in the Nahuatl language the word "Tō ltē catl" [ toː lˈ teː kat͡]
(singular) or "Tō ltē cah" [ toː lˈ teː kaʔ ] (plural) came to take on the
meaning "artisan." The Aztec oral and pictographic tradition also
described the history of the Toltec Empire, giving lists of rulers and
their exploits.
Among modern scholars it is a matter of debate whether the Aztec

narratives of Toltec history should be given credence as descriptions
of actual historical events. While all scholars acknowledge that there
is a large mythological part of the narrative, some maintain that by
using a critical comparative method some level of historicity can be
salvaged from the sources. Others maintain that continued analysis
of the narratives as sources of actual history is futile and hinders
access to actual knowledge of the culture.
Another controversy relating to the Toltecs remains how best to
understand the reasons behind the perceived similarities in
architecture and iconography between the archaeological site of Tula
and the Mayan site of Chiché n Itzá. No consensus has yet emerged
about the degree or direction of influence between these two sites.
Toltec pyramid at Tula, Hidalgo

Similarities to the pyramid at Chiché n Itzá can be seen, including the
sloped shape and external steps.
Historicists
The historicists believe that there is truth within the stories told by the
Aztecs. Theories abound about the role the Toltecs actually played in
Mesoamerica, from the central Mexican valleys all the way down to
certain Maya city-states.
Dé siré Charnay, the first archaeologist to work at Tula, Hidalgo,

defended the historicist views based on his impression of the
Toltec capital. He was the first to note similarities in architectural
styles between Tula and Chiché n Itzá, a famous Maya
archeological site. This led him to posit the theory that Chiché n
Itzá had been violently taken over by a Toltec military force
under the leadership of Kukulcan.
Following Charnay, the term "Toltec" has since been associated
with the influx of certain Central Mexican cultural traits into the
Maya sphere of dominance during the late Classic and early
Postclassic periods. The Postclassic Maya civilizations of
Chiché n Itzá, Mayapán, and the Guatemalan highlands have
been referred to as "Toltecized" or "Mexicanized" Mayas.
Some 20th-century historicist scholars, such as David Carrasco,
Miguel Leó n Portilla, Nigel Davies and H. B. Nicholson, argued
that the Toltecs were a distinct ethnic group. This school of
thought connected the "Toltecs" to the archaeological site of
Tula, which was taken to be the Tollan of Aztec myth.
Historicists supportive of the ethnic group theory also argue that
much of central Mexico was possibly dominated by a "Toltec
empire" between the 10th and 12th centuries CE. One possible
clue they point to is that the Aztecs referred to several Mexican
city-states as Tollan, "Place of Reeds," such as "Tollan
Cholollan."
Archaeologist Laurette Sejourné , followed by the historian
Enrique Florescano, argued that the "original" Tollan was
probably Teotihuacán.
Anti-Historicist
On the other side of the argument lie those who believe that the
Aztec stories are clouded by myth and cannot be taken as accurate
accounts of the Toltec civilization. Multiple theories place the Toltec
and the site of Tula within a more general framework:
Some scholars argue that the Toltec era is best considered the
fourth of the five Aztec mythical "suns" or ages. This fourth sun
immediately precedes the fifth sun of the Aztec people, which
was prophesied to be presided over by Quetzalcoatl.
Some researchers argue that the only historically reliable data in
the Aztec chronicles are the names of some rulers and possibly
some of the conquests ascribed to them.
Skeptics argue that the ancient city of Teotihuacán and the
Aztec city of Tenochtitlan were much more influential sites for
Mesoamerican culture than Tula. However, this skeptical school
of thought acknowledges that Tula still contributed to central
Mexican cultural heritage in unique ways.
Recent scholarship does not frame Tula, Hidalgo, as the capital
of the Toltecs as described in the Aztec accounts. Rather, it
takes "Toltec" to mean simply an inhabitant of Tula during its
apogee. Separating the term "Toltec" from those of the Aztec
accounts, it attempts to find archaeological clues to the ethnicity,
history, and social organization of the inhabitants of the site of
Tula.
Archeology and Clues

While the residents of the site of Tula, Hidalgo, remain a mysterious
group, and their ethnic and social dynamics are obscure, they left
behind substantial archeological records that modern scholars have
attempted to parse through.
Stone carving of Quetz alcoatl
This powerful feathered serpent deity has deep mythological roots in
Aztec stories. He also appears regularly in carvings at Tula.
The city of Tula boasts 15-foot-tall warrior statues carved from stone.
These same Atlantean figures, as they are called, also appear at the
Mayan sites of Chiché n Itzá and Potrero Nuevo.
Toltec warrior statues at Tula
These stone statues highlight the artistic style of the city of Tula.
They also connect this city with other cultural sites in Mesoamerica.
Tula also boasts intricate carvings of eagles, jaguars, hummingbirds,

and butterflies, all of which the Aztec Empire used prolifically.
Furthermore, the site of Tula includes two ball courts for the religious
rubber ball game that appears in many Mesoamerican civilizations.
Along with these distinct relics, the Toltecs also built distinctive
pyramids that mirror other sites, such as Chiché n Itzá.
Many questions still remain about the inhabitants of this site,

including questions about their origin and their demise. This site also
raises questions about the flow of influence between multiple
Mesoamerican cultures before the rise of the Aztec Empire.
16.5 .2: The Az tec People

The Aztecs were a pre-Columbian Mesoamerican people of Central
Mexico during the 14th, 15th, and 16th centuries.
Learning Objective
Describe distinguishing factors of Aztec life
Key Points
The Aztec "empire" was more of a collection of city-states than
an empire.
Mexico City today is built on the ruins of Tenochtitlan, which was
the capital of the Aztec empire.
Agriculture played a key role in the Aztec civilization. Irrigation
and floating garden beds allowed people to grow several crops
a year.
Key Terms
altepetl
Small, mostly independent city-states that often paid tribute to

the Aztec capital of Tenochtitlan.
Nahuatl
The language spoken by the Mexica people who made up the

Aztec Triple Alliance, as well as many city-states throughout the
region.
flower wars
The form of ritual war where warriors from the Triple Alliance
fought with enemy Nahua city-states.
The Aztecs were a pre-Columbian Mesoamerican people of Central

Mexico in the 14th, 15th, and 16th centuries. They called themselves
Mexica. The Republic of Mexico and its capital, Mexico City, derive
their names from the word "Mexica." The capital of the Aztec empire
was Tenochtitlan, built on a raised island in Lake Texcoco. Modern
Mexico City is built on the ruins of Tenochtitlan.
From the 13th century, the V alley of Mexico was the heart of Aztec
civilization; here the capital of the Aztec Triple Alliance, the city of
Tenochtitlan, was built upon raised islets in Lake Texcoco. The Triple
Alliance was comprised of Tenochtitlan along with their main allies of
Acolhuas of Texcoco and Tepanecs of Tlacopan. They formed a
tributary empire expanding its political hegemony far beyond the
V alley of Mexico, conquering other city-states throughout
Mesoamerica. At its pinnacle, Aztec culture had rich and complex
mythological and religious traditions, and reached remarkable
architectural and artistic accomplishments. In 1521 Hernán Corté s,
along with a large number of Nahuatl-speaking indigenous allies,
conquered Tenochtitlan and defeated the Aztec Triple Alliance under
the leadership of Hueyi Tlatoani Moctezuma II. Subsequently the
Spanish founded the new settlement of Mexico City on the site of the
ruined Aztec capital, from where they proceeded to colonize Central
America.
Basin in the V alley of Mex ico
Circa 1519, at the time of the arrival of the Spanish.
The map shows the capital of Mexico-Tenochtitlan located on an

island in Lake Texcoco. It also shows three causeways, one from
Mexico-Tenochtitlan to Tepeyacac; another from Mexico-Tenochtitlan
to Tlacopan; and another from Mexico-Tenochtitlan to Coyoacan and
Mexicaltzingo.
Politics
The Aztec empire was an example of an empire that ruled by indirect
means. Like most European empires, it was ethnically very diverse,
but unlike most European empires, it was more of a system of tribute
than a single system of government. Although the form of
government is often referred to as an empire, in fact most areas
within the empire were organized as city-states, known as "altepetl"
in Nahuatl. These were small polities ruled by a king (tlatoani) from a
legitimate dynasty.
Two of the primary architects of the Aztec empire were the half-
brothers Tlacaelel and Montezuma I, nephews of Itzcoatl.
Moctezuma I succeeded Itzcoatl as Hueyi Tlatoani (or king) in 1440.
Although he was also offered the opportunity to be tlatoani, Tlacaelel
preferred to operate as the power behind the throne. Tlacaelel
focused on reforming the Aztec state and religious practices.
According to some sources, he ordered the burning of most of the
extant Aztec books, claiming that they contained lies. He thereupon
rewrote the history of the Aztec people, thus creating a common
awareness of history for the Aztecs. This rewriting led directly to the
curriculum taught to scholars, and promoted the belief that the
Aztecs were always a powerful and mythic nation—forgetting forever
a possible true history of modest origins. One component of this
reform was the institution of ritual war (the flower wars) as a way to
have trained warriors, and the necessity of constant sacrifices to
keep the Sun moving.
Economics
The Aztec economy can be divided into a political sector, under the
control of nobles and kings, and a commercial sector that operated
independently of the political sector. The political sector of the
economy centered on the control of land and labor by kings and
nobles. Nobles owned all land, and commoners got access to
farmland and other fields through a variety of arrangements, from
rental through sharecropping to serf-like labor and slavery. These
payments from commoners to nobles supported both the lavish
lifestyles of the high nobility and the finances of city-states. Many
luxury goods were produced for consumption by nobles. The
producers of featherwork, sculptures, jewelry, and other luxury items
were full-time commoner specialists who worked for noble patrons.
Several forms of money were in circulation, most notably the cacao

bean. These beans could be used to buy food, staples, and cloth.
Around thirty beans would purchase a rabbit, while one father was
recorded as selling his daughter for around 200 cacao beans. The
Aztec rulers also maintained complex road systems with regular
stops to rest and eat every ten miles or so. Couriers walked these
roads regularly to ensure they were in good working order and to
bring news back to Tenochtitlan.
Az tec headdress
The feathers most likely came from a tropical rainforest far away,
and the headdress was probably owned by an elite or noble.
Trade also formed a central part of Aztec life. While local commoners
regularly paid tribute to the nobles a few times a year, there was also
extensive trade with other regions in Mesoamerica. Archeological
evidence shows that jade, obsidian, feathers, and shells reached the
capital through established trade routes. Rulers and nobles enjoyed
wearing these more exotic goods and having them fashioned into
expressive headdresses and jewelry.
Architecture and Agriculture
The capital of Tenochtitlan was divided into four even sections called
campans. All of these sections were interlaced together with a series
of canals that allowed for easy transportation throughout the islets of
Lake Texcoco. Commoner housing was usually built of reeds or
wood, while noble houses and religious sites were constructed from
stone.
Agriculture played a large part in the economy and society of the

Aztecs. They used dams to implement irrigation techniques in the
valleys. They also implemented a raised bed gardening technique by
layering mud and plant vegetation in the lake in order to create moist
gardens. These raised beds were called chinampas. These
extremely fertile beds could harvest seven different crops each year.
Some of the most essential crops in Aztec agriculture included:
Avocados
Beans
Squash
Sweet Potatoes
Maize
Tomatoes
Amarinth
Chilies
Cotton
Cacao beans
Most farming occurred outside of the busy heart of Tenochtitlan.

However, each family generally had a garden where they could grow
maize, fruits, herbs, and medicinal plants on a smaller scale.
16.5 .3: Az tec Religion

The Aztec religion focused on death, rebirth, and the renewal of the
sun. The Aztecs practiced ritual sacrifice, ball games, and
bloodletting in order to renew the sun each day.
Learning Objective
Outline the key points of Aztec religious practices and beliefs
Key Points
The Aztec religion incorporated deities from multiple cultures
into its pantheon.
Ritual sacrifice played an essential role in the religious practice
of the Aztecs, and they believed it ensured the sun would rise
again and crops would grow.
The Aztecs utilized a 365-day calendar split into eighteen
months based on agricultural traditions and different deities.
Key Terms
Huitzilopochtli
The left-handed hummingbird god that mythically founded

Tenochtitlan and represented war and the sun.
Toxcatl
A month in the Aztec sun calendar that represented drought and

ritual renewal.
Mesoamerican ballgame
This ritual practice involved a rubber ball that the players hit with
their elbows, knees, and hips, and tried to get through a small
hoop in a special court.
The Aztecs had at least two manifestations of the supernatural: tē tl
and tē ixiptla. Tē tl, which the Spaniards and European scholars
routinely mistranslated as "god" or "demon," referred rather to an
impersonal, mysterious force that permeated the world. Tē ixiptla, by
contrast, denoted the physical representations ("idols," statues, and
figurines) of the tē tl as well as the human cultic activity surrounding
this physical representation.
The Aztec religious cosmology included the physical earth plane,

where humans lived, the underworld (or land of the dead), and the
realm of the sky. Due to the flexible imperial political structure, a
large pantheon of gods was incorporated into the larger cultural
religious traditions. The Aztecs also worshipped deities that were
central to older Mesoamerican cultures, such as the Olmecs. Some
of the most central deities that the Aztecs paid homage to included:
Huitzilopochtli – The “ left-handed hummingbird” god was the

god of war and the sun and also the founder of Tenochtitlan.
Quetzalcoatl – The feathered serpent god that represented the
morning star, wind, and life.
Tlaloc – The rain and storm god.
Mixcoatl – The “ cloud serpent” god that was incorporated into
Aztec belief and represented war.
X ipe Totec – The flayed god that was associated with fertility.
This deity was also incorporated from cultures under the Aztec
Triple Alliance umbrella.
Huitz ilopochtli as depicted in the
Codex Telleriano-Remensis
This depiction of the war and sun god shows him in all of his warrior
and ritual garb.
Founding Myth of Tenochtitlan

V eneration of Huitzilopochtli, the personification of the sun and of
war, was central to the religious, social, and political practices of the
Mexica people. Huitzilopochtli attained this central position after the
founding of Tenochtitlan and the formation of the Mexica city-state
society in the 14th century. According to myth, Huitzilopochtli
directed the wanderers to found a city on the site where they would
see an eagle devouring a snake perched on a fruit-bearing nopal
cactus. (It was said that Huitzilopochtli killed his nephew, Có pil, and
threw his heart on the lake. Huitzilopochtli honoured Có pil by
causing a cactus to grow over Có pil's heart.) This legendary vision is
pictured on the coat of arms of Mexico.
Ritual and Sacrifice

Like all other Mesoamerican cultures, the Aztecs played a variant of
the Mesoamerican ballgame, named "tlachtli" or "ollamaliztli" in
Nahuatl. The game was played with a ball of solid rubber, called an
olli. The players hit the ball with their hips, knees, and elbows, and
had to pass the ball through a stone ring to automatically win. The
practice of the ballgame carried religious and mythological meanings
and also served as sport. Many times players of the game were
captured during the famous Aztec flower wars with neighboring
rivals. Losers of the game were often ritually sacrificed as an
homage to the gods.
A depiction of human sacrifice in the
Codex Magliabechiano
This Spanish rendering of human sacrifices reflects the outsider's
view of these ritual traditions.
While human sacrifice was practiced throughout Mesoamerica, the

Aztecs, if their own accounts are to be believed, brought this practice
to an unprecedented level. For example, for the reconsecration of
the Great Pyramid of Tenochtitlan in 1487, the Aztecs reported that
they sacrificed 80,400 prisoners over the course of four days,
reportedly by Ahuitzotl, the Great Speaker himself. This number,
however, is not universally accepted. Accounts by the Tlaxcaltecas,
the primary enemy of the Aztecs at the time of the Spanish
Conquest, show that at least some of them considered it an honor to
be sacrificed. In one legend, the warrior Tlahuicole was freed by the
Aztecs but eventually returned of his own volition to die in ritual
sacrifice. Tlaxcala also practiced the human sacrifice of captured
Aztec citizens.
Everyone was affected by human sacrifice, and it should be
considered in the context of the religious cosmology of the Aztec
people. It was considered necessary in order for the world to
continue and be reborn each new day. Death and ritual blood
sacrifice ensured the sun would rise again and crops would continue
to grow. Not only were captives and warriors sacrificed, but nobles
would often practice ritual bloodletting during certain sacred days of
the year. Every level of Aztec society was affected by the belief in
the human responsibility to pay homage to the gods, and anyone
could serve as a sacrificial offering.
Priests and Religious

Architecture
A noble priest class played an integral role in the religious worship
and sacrifices of Aztec society. They were responsible for collecting
tributes and ensuring there were enough goods for sacrificial
ceremonies. They also trained young men to impersonate various
deities for an entire year before being sacrificed on a specific day.
These priests were respected by all of society and were also
responsible for practicing ritual bloodletting on themselves at regular
intervals. Priests could come from the noble or common classes, but
they would receive their training at different schools and perform
different functions.
Az tec pyramid of St. Cecilia Acatitlan
This pyramid is typical of Aztec religious architecture. Priests would
have stood on the platform at the top to perform religious duties and
sacrifices.
Priests performed rituals from special temples and religious houses.

The temples were generally huge pyramidal structures that were
covered over with a new surface every fifty-two years, meaning
some pyramids were gigantic in scale. These feats of architectural
display were the sites of large sacrificial offerings and festivals,
where Spanish reports said blood would run down the steps of the
pyramids. The priests often performed smaller daily rituals in small,
dark temple houses where incense and images of important gods
were displayed.
Az tec Calendar
Az tec sun calendar
This calendar shows the eighteen months circling around a
representation of the sun.
The Aztecs based their calendar on the sun and utilized a 365-day
religious calendar. It was split into eighteen twenty-day months, and
each month had its own religious, and often agricultural, theme. For
example, the late winter month Altcahualo fell between February 14
and March 5 and represented a time of sowing crops and fertility.
The month Toxcatl occurred in May and was a time of drought in the
central valley. The Aztecs saw this month as a time of renewal, and it
involved a large festival where a young man that had been
impersonating the god Tezcatlipoca for a full year would be
sacrificed.
16.5 .4: The Az tec in the Colonial
Period
The Aztec empire was defeated by an alliance between the Spanish
and the Confederacy of Tlaxcala.
Learning Objective
Describe the role of the Confederacy of Tlaxcala in the fall of the
Aztec empire
Key Points
The arrival of Hernándo Corté s in 1519 marked the beginning of
the end for the Aztec empire.
Corté s and the Confederacy of Tlaxcala allied to militarily defeat
the Aztecs, who were further weakened by a smallpox epidemic
in 1520–1521 and subsequent outbreaks.
Aztec hegemonic structure was re-appropriated to serve the
Spanish colonialists.
Some aspects of Aztec culture, such as the language, survive.
Key Terms
Tlaxcalan
The people of a pre-Columbian city and state in Central Mexico,

who helped Corté s conquer the Aztec empire.
Bartolomé de las Casas
(Seville, c. 1484– Madrid, July 18, 1566) Sixteenth-century

Spanish historian, social reformer, and Dominican friar. Arriving
as one of the first European settlers in the Americas, he
participated in the atrocities committed against the Native
Americans by the Spanish colonists. In 1515, he reformed his
views and advocated before King Charles V , Holy Roman
Emperor, on behalf of rights for the natives.
Overview
The Spanish conquest of the Aztec empire was one of the most
significant events in the Spanish colonization of the Americas. The
Spanish campaign began in February 1519, and was declared
victorious on August 13, 1521, when a coalition army of Spanish
forces and native Tlaxcalan warriors led by Hernándo Corté s and
X icotencatl the Younger captured the emperor Cuauhtemoc and
Tenochtitlan, the capital of the Aztec empire. The fall of the Aztec
empire was the key event in the formation of the Spanish overseas
empire, with New Spain, which later became Mexico, a major
component.
Herná ndo Corté s

Conquest of the Az tecs
During the campaign, Corté s was given support from a number of
tributaries and rivals of the Aztecs, including the Totonacs and the
Tlaxcaltecas, Texcocans, and other city-states particularly bordering
Lake Texcoco. In their advance, the allies were tricked and
ambushed several times by the people they encountered. After eight
months of battles and negotiations, which overcame the diplomatic
resistance of the Aztec emperor Moctezuma II to his visit, Corté s
arrived in Tenochtitlan on November 8, 1519, where he was
welcomed by Moctezuma and took up residence. When news
reached Corté s of the death of several of his men during the Aztec
attack on the Totonacs in V eracruz, he took the opportunity to take
Moctezuma captive; Moctezuma allowed himself to be captured as a
diplomatic gesture. Capturing the indigenous ruler was standard
operating procedure for Spaniards in their expansion in the
Caribbean, so capturing Moctezuma had considerable precedent.
When Corté s left Tenochtitlan to return to the coast and deal with the
expedition of Pánfilo de Narváez, Pedro de Alvarado was left in
charge. Alvarado allowed a significant Aztec feast to be celebrated in
Tenochtitlan, and in the pattern of the earlier massacre in Cholula
closed off the square and massacred the celebrating Aztec
noblemen. The biography of Corté s by Francisco Ló pez de Gó mara
contains a description of the massacre. The Alvarado massacre at
the Main Temple of Tenochtitlan precipitated rebellion by the
population of the city. When the captured emperor Moctezuma II,
now seen as a mere puppet of the invading Spaniards, attempted to
calm the outraged populace, he was killed by a projectile. Corté s,
who by then had returned to Tenochtitlan, and his men fled the
capital city during the Noche Triste in June 1520. The Spanish,
Tlaxcalans, and reinforcements returned a year later, on August 13,
1521, to a civilization that had been wiped out by famine and
smallpox. This made it easier to conquer the remaining Aztecs.
Aftermath
To reward Spaniards who participated in the conquest of what is now
contemporary Mexico, the Spanish crown authorized grants of native
labor in particular indigenous communities via the encomienda. The
indigenous were not slaves, chattel bought and sold or removed
from their home community, but the system was one of forced labor.
The indigenous of Central Mexico had practices rendering labor and
tribute products to their polity's elites, and those elites to the Mexica
overlords in Tenochtitlan, so the Spanish system of encomienda was
built on pre-existing patterns. The Spanish conquerors in Mexico
during the early colonial era lived off the labor of the indigenous. Due
to some horrifying instances of abuse against the indigenous
peoples, Bishop Bartolomé de las Casas suggested importing black
slaves to replace them (he later repented when he saw the even
worse treatment given to the black slaves).
Nevertheless, Aztec culture survives today. Modern-day Mexico City

is built on the site of the Aztec capital, Tenochtitlan. There are still
1.5 million people who speak the Aztec language of Nahuatl, and
part of the Mexica migration story appears on the Mexican flag.
Attributions
The Toltecs
"Maya-Toltec Controversy in Chichen Itza."
http://en.wikipedia.org/wiki/Maya-
Toltec_Controversy_in_Chichen_Itza. Wikipedia CC BY-SA
3.0.
"Toltec." http://en.wikipedia.org/wiki/Toltec. Wikipedia CC
BY-SA 3.0.
"Atlantean figures."
https://en.wikipedia.org/wiki/Atlantean_figures. Wikipedia
CC BY-SA 3.0.
"Aztec." https://en.wikipedia.org/wiki/Aztec. Wikipedia CC
BY-SA 3.0.
"Tenochtitlan." https://en.wikipedia.org/wiki/Tenochtitlan.
"Teotihuacan." https://en.wikipedia.org/wiki/Teotihuacan.
"Toltec."
http://upload.wikimedia.org/wikipedia/commons/thumb/c/cd/
Pir%C3%A1mide_tula.jpg/640px-Pir%C3%A1mide_tula.jpg.
"Tula birdman."
https://en.wikipedia.org/wiki/Toltec# /media/File:Tula_birdma
n.jpg. Wikipedia CC BY-SA 3.0.
"Atlantean figures."
https://en.wikipedia.org/wiki/Atlantean_figures# /media/File:T
elamones_Tula.jpg. Wikipedia CC BY-SA 3.0.
The Aztec People
"Moctezuma I." http://en.wikipedia.org/wiki/Montezuma_I.
"Aztec."
http://en.wikipedia.org/wiki/Aztec%23Cultural_patterns.
"Aztec." http://en.wikipedia.org/wiki/Aztec. Wikipedia CC
BY-SA 3.0.
"Flower wars." https://en.wikipedia.org/wiki/Flower_war.
"History of the Aztecs."
http://en.wikipedia.org/wiki/History_of_the_Aztecs.
"The V alley of Mexico."
http://en.wikipedia.org/wiki/V alley_of_Mexico. Wikipedia CC
BY-SA 3.0.
"Basin of Mexico."
Basin_of_Mexico_1519_map-en.svg/360px-
Basin_of_Mexico_1519_map-en.svg.png. Wikipedia CC
BY-SA 3.0.
"Aztec Headdress."
https://commons.wikimedia.org/wiki/File:Aztecheaddress.jp
Aztec Religion
"Aztec religion." https://en.wikipedia.org/wiki/Aztec_religion.
"Toxcatl." https://en.wikipedia.org/wiki/Toxcatl. Wikipedia
CC BY-SA 3.0.
"Flower war." https://en.wikipedia.org/wiki/Flower_war.
"Aztec." https://en.wikipedia.org/wiki/Aztec. Wikipedia CC
BY-SA 3.0.
"History of the Aztecs."
https://en.wikipedia.org/wiki/History_of_the_Aztecs.
"Huitzilopochtli." https://en.wikipedia.org/wiki/Huitzilopochtli.
"Aztec calendar."
https://en.wikipedia.org/wiki/Aztec# /media/File:Aztec_calen
dar.svg. Wikipedia CC BY-SA 3.0.
"Huitzilopochtli in the Codex Telleriano-Remensis."
https://en.wikipedia.org/wiki/Huitzilopochtli# /media/File:Huit
zilopochtli_telleriano.jpg. Wikipedia Public domain.
"St. Cecilia Acatitlan."
https://en.wikipedia.org/wiki/Aztec# /media/File:StaCeciliaAc
atitlan.jpg. Wikipedia Public domain.
"Codex Magliabechiano."
https://en.wikipedia.org/wiki/Aztec# /media/File:Codex_Magli
abechiano_(141_cropped).jpg. Wikipedia Public domain.
The Aztec in the Colonial Period
"Spanish conquest of the Aztec Empire."
http://en.wikipedia.org/wiki/Spanish_conquest_of_the_Azte
c_Empire. Wikipedia CC BY-SA 3.0.
"Tlaxcala."
http://en.wikipedia.org/wiki/Tlaxcala_(Nahua_state).
"Bartolome de las Casas."
http://en.wikipedia.org/wiki/Bartolom%C3%A9_de_las_Cas
as. Wikipedia CC BY-SA 3.0.
"Hernan Cortes."
http://upload.wikimedia.org/wikipedia/commons/5/5a/Cortes
.jpg. Wikipedia CC BY-SA 3.0.
16.6: Native American Cultures
in North America
16.6.1: Great Basin Culture
The peoples of the Great Basin area required ease of mobility to
follow bison herds and gather seasonally available food supplies.
Learning Objective
Describe the culture of the Great Basin civilizations
Key Points
Between 10,500 BCE and 9,500 BCE (11,500 - 12,500 years
ago), the broad-spectrum, big game hunters of the Great Plains
began to focus on a single animal species: the bison.
Paleo-Indians were not numerous, and population densities
were quite low during this time.
These bison-oriented indigenous peoples inhabited a portion of
the North American continent known as the Great Basin.
The climate in the Great Basin was very arid, which affected the
lifestyles and cultures of its inhabitants.
Key Terms
cultural region
A cultural region is inhabited by a culture that does not limit their

geographic coverage to the borders of a nation state, or to
smaller subdivisions of a state.
metates
A morter and grind stone tool used for processing grain and
seeds.
Numic languages
A branch of the Uto-Aztecan language family. Includes seven

languages spoken by American Indian peoples traditionally
living in the Great Basin, Colorado River Basin, and southern
Great Plains.
Between 10,500 BCE and 9,500 BCE (11,500 - 12,500 years ago),
the broad-spectrum, big game hunters of the Great Plains began to
focus on a single animal species: the bison, an early cousin of the
American Bison. The earliest of these bison-oriented hunting
traditions is known as the Folsom tradition. Folsom peoples traveled
in small family groups for most of the year, returning yearly to the
same springs while others favored locations on higher grounds.
There they would camp for a few days, moving on after erecting a
temporary shelter, making and/or repairing stone tools, or processing
meat. Paleo-Indians were not numerous, and population densities
were quite low during this time.
These bison-oriented indigenous peoples mostly inhabited a portion

of the North American continent known as the "cultural region" of the
Great Basin. The Great Basin is the region between the Rocky
Mountains and the Sierra Nevada, in what is now modern-day
Nevada, Utah, California, Idaho, Wyoming, and parts of Oregon. The
original inhabitants of the region are believed to have arrived as
early as 10,000 BCE. The climate in the Great Basin was and is very
arid; this affected the lifestyles and cultures of its inhabitants.
Map showing the Great Basin
The Great Basin is a multi-state endorheic area surrounded by the
Pacific Watershed of North America, home to the pre-Columbian
indigenous peoples of the Great Basin.
Language
While anthropologists can point to many distinct peoples throughout
the region, most peoples of the Great Basin shared certain common
cultural elements that distinguished them from other surrounding
cultures. Except for the Washoe, most of the groups spoke Numic
languages. Some groups may have not have spoken Numic
languages, but no relics of their linguistic patterns remain today.
There was considerable intermingling among the groups, who lived
peacefully and often shared common territories. These groups were
all predominantly hunters and gatherers. As a result of these
similarities, anthropologists use the terms "Desert Archaic" or more
simply "The Desert Culture" to refer collectively to the Great Basin
tribes.
Lifeways
Desert Archaic peoples required great mobility to follow seasonally
available food supplies. The use of pottery was rare because of its
weight, but intricate baskets were woven that could be used to hold
water, cook food, and winnow grass seeds. Baskets were also used
for storage, including the storage of pine nuts. Heavy items such as
metates were cached rather than carried between foraging areas.
Agriculture was not practiced within the Great Basin itself, although it
was practiced in adjacent areas. The area was too dry, and even
modern agriculture in the Great Basin requires either large mountain
reservoirs or deep artesian wells. Likewise, the Great Basin tribes
had no permanent settlements, although winter villages might be
revisited winter after winter by the same groups of families. In the
summer groups would split; the largest social grouping was usually
the nuclear family, an efficient response to the low density of food
supplies.
Religion
Because Great Basin peoples did not come into contact with
European-Americans or African Americans until comparatively later
in North American history, many groups were able to maintain their
traditional tribal religions. These peoples were leading proponents of
cultural and religious renewals during the 19th century. Two Paiute
prophets, Wodziwob and Wovoka, introduced the Ghost Dance as a
means to commune with departed loved ones and bring renewals of
buffalo herds and precontact lifeways. The Ute Bear Dance also
emerged in the Great Basin, as did the Sun Dance.
Peyote religion flourished in the Great Basin as well, particularly
among the Ute who used peyote obtained through trade and other
potent ceremonial plants. Ute religious beliefs borrowed heavily from
Plains Indians after the arrival of the horse. Northern and
Uncompahgre Ute were among the only group of indigenous peoples
known to create ceremonial pipes out of salmon alabaster and rare
black pipestone found in creeks that border the southeastern slops
of the Uinta Mountains in Utah and Colorado. The Uncompahgre Ute
are also among the first documented peoples to utilize the effect of
mechanoluminescene with quartz crystals to generate light in
ceremonies used to call spirits. Special ceremonial rattles were
made from buffalo rawhide and filled with clear quartz crystals
collected from the mountains of Colorado and Utah. These
ceremonial rattles were considered extremely powerful religious
objects.
16.6.2: Pacific Coast Culture

The mild climate and abundant natural resources along the Pacific
Coast of North America allowed a complex aboriginal culture to
flourish.
Learning Objective
Examine how natural resources shaped the cultures of the Pacific
Coast
Key Points
Due to the prosperity made possible by the abundant natural
resources in this region, the indigenous peoples of the Pacific
Northwest developed complex religious and social ceremonies
as well as many fine arts and crafts.
Music was created to honor the Earth, the creator, ancestors,
and all other aspects of the supernatural world.
Many works of art served practical purposes, such as clothing,
tools, weapons of war and hunting, transportation, and shelter;
but others were purely aesthetic.
The Pacific Coast was at one time the most densely populated
area of North America in terms of indigenous peoples.
Key Terms
animism
The worldview that non-human entities—such as animals,

plants, and inanimate objects—possess a spiritual essence.
potlatch
A ceremony amongst certain American Indian peoples of the

Pacific Coast in which gifts are bestowed upon guests and
personal property is destroyed in a show of wealth and
generosity.
permaculture
Any system of sustainable agriculture that renews natural

resources and enriches local ecosystems.
The indigenous peoples of the Pacific Northwest Coast were

composed of many nations and tribal affiliations, each with distinctive
cultural and political identities; but they shared certain beliefs,
traditions, and practices, such as the centrality of salmon as a
resource and spiritual symbol. These nations had time and energy to
devote to the establishment of fine arts and crafts and to religious
and social ceremonies. The term "Northwest Coast", or "North West
Coast", is used to refer to the groups of indigenous people residing
along the coasts of British Columbia, Washington State, parts of
Alaska, Oregon, and northern California.
The Pacific Northwest Coast at one time had the most densely
populated areas of indigenous people. The mild climate and
abundant natural resources, such as cedar and salmon, made
possible the rise of a complex aboriginal culture. The indigenous
people in this region practiced various forms of forest gardening and
fire-stick farming in the forests, grasslands, mixed woodlands, and
wetlands, ensuring that desired food and medicine plats continued to
be available through the use of advanced farming techniques. Those
involved in agricultural development would create low-intensity fires
in order to prevent larger, catastrophic fires and sustain low-density
agriculture in a loose rotation. This is what is known as
permaculture, or any system of sustainable agriculture that renews
natural resources and enriches local ecosystems.
Arts and Crafts

One of the major cultural elements that began to flourish on the
Pacific Northwest Coast was the use of music and other forms of
arts and crafts. Although music varied in function and expression
among indigenous tribes, there were cultural similarities. For
example, some tribes used hand drums made of animal hides as
their instrument of choice, while others used plank or log drums,
along with whistlers, wood clappers, and rattles. However,
regardless of the type of instrument used, music and song were
created to accompany ceremonies, dancing, and festivities.
The principal function of music in this region was to invoke

spirituality. Music was created to honor the Earth, the creator,
ancestors, and all other aspects of the supernatural world. Songs
were also used to convey stories and sometimes were owned by
families like property that could be inherited, sold, or given as a gift
to a prestigious guest at a feast. Professional musicians existed in
some communities, and in some nations, those who made musical
errors were punished, usually through shaming. V ocal rhythmic
patterns were often complex and ran counter to rigid percussion
beats.
As with music, the creation of art also served as a means of
transmitting stories, history, wisdom, and property from generation to
generation. Due to the abundance of natural resources and the
affluence of most Northwest tribes, there was plenty of leisure time
to create art. Many works of art served practical purposes, such as
clothing, tools, weapons of war and hunting, transportation, cooking,
and shelter. Others were purely aesthetic. Art provided indigenous
people with a tie to the land and was a constant reminder of their
birth places, lineages, and nations. One example of this is the use of
symbols on totem poles and plank houses of the Pacific Northwest
coast.
Pacific Coast Art

Tribal art included plank houses and totem poles that served as
constant reminders of indigenous peoples' birth places, lineages,
and nations.
Religious and Social

Ceremonies
Other cultural elements that became established were the religious
and social ceremonies of the Pacific Northwest nations. Although
various tribes might have had their own different mythologies and
rituals, "animism" is said to describe the most common, foundational
thread of indigenous peoples' spiritual or supernatural perspectives
in this region. Spiritualism, the supernatural, and the importance of
the environment played such integral roles in day-to-day life.
Therefore, it was not unusual for worldly goods to be adorned with
symbols, crests, and totems that represented some important
figure(s) from both the seen and unseen worlds.
Many of these religious or spiritual symbols would be present during

social ceremonies as well. The potlatch, a gift-giving feast, was
perhaps one of the most significant social experiences that occurred
within Pacific Northwest groups. It was a highly complex event where
people gathered in order to commemorate a specific event such as
the raising of a totem pole or the appointment/election of a new
chief. In the potlatch ceremony, the chief would give highly elaborate
gifts to visiting peoples in order to establish his power and prestige,
and by accepting these gifts, the visitors conveyed their approval of
the chief. There were also great feasts and displays of conspicuous
consumption. Groups of dancers put on elaborate dances and
ceremonies. Watching these performances was considered an
honor. Potlatches were held for several reasons: the confirmation of
a new chief, coming of age, tattooing or piercing ceremonies,
initiation into a secret society, marriages, the funeral of a chief, or a
battle victory.
16.6.3: Eastern W oodland Culture

Eastern Woodland Culture refers to the way of life of indigenous
peoples in the eastern part of North America between 1,000 BCE
and 1,000 CE.
Learning Objective
Analyze how agricultural practices shaped the Eastern Woodland
Culture
Key Points
This time period is widely regarded as a developmental period
for the people of this region as they steadily advanced in their
means of cultivation, tools and textile manufacture, and use of
pottery.
While the increasing use of agriculture meant the nomadic
nature of many groups was supplanted by permanent villages,
intensive agriculture did not become the norm for most cultures
until the succeeding Mississippian period.
The Early Woodland period differed from the Archaic period in
the following ways: the appearance of permanent settlements,
elaborate burial practices, intensive collection and horticulture of
starchy seed plants, differentiation in social organization, and
specialized activities.
Due to the similarity of earthworks and burial goods,
researchers assume a common body of religious practice and
cultural interaction existed throughout the entire region, referred
to as the "Hopewellian Interaction Sphere."
Key Terms
maize
A grain, domesticated by indigenous peoples in Mesoamerica in

prehistoric times, known in many English-speaking countries as
corn.
atlatl
A wooden stick with a thong or perpendicularly protruding hook

on the rear end that grips a grove or socket on the butt of its
accompanying spear.
The Eastern Woodland cultural region extended from what is now
southeastern Canada, through the eastern United States, down to
the Gulf of Mexico. The time in which the peoples of this region
flourished is referred to as the Woodland Period. This period is
known for its continuous development in stone and bone tools,
leather crafting, textile manufacture, cultivation, and shelter
construction. Many Woodland hunters used spears and atlatls until
the end of the period when those were replaced by bows and
arrows. The Southeastern Woodland hunters however, also used
blowguns. The major technological and cultural advancements
during this period included the widespread use of pottery and the
increasing sophistication of its forms and decoration. The growing
use of agriculture and the development of the Eastern Agricultural
Complex also meant that the nomadic nature of many of the groups
was supplanted by permanently occupied villages.
Early W oodland Period ( 1000– 1

BCE)
The archaeological record suggests that humans in the Eastern
Woodlands of North America were collecting plants from the wild by
6,000 BCE and gradually modifying them by selective collection and
cultivation. In fact, the eastern United States is one of 10 regions in
the world to become an “ independent center of agricultural origin.”
Research also indicates that the first appearance of ceramics
occurred around 2,500 BCE in parts of Florida and Georgia. What
differentiates the Early Woodland period from the Archaic period is
the appearance of permanent settlements, elaborate burial practices,
intensive collection and horticulture of starchy seed plants, and
differentiation in social organization. Most of these were evident in
the southeastern United States by 1,000 BCE with the Adena
culture, which is the best-known example of an early Woodland
culture.
The Adena culture was centered around what is present-day Ohio
and surrounding states and was most likely a number of related
American Indian societies that shared burial complexes and
ceremonial systems. Adena mounds generally ranged in size from
2o to 300 feet in diameter and served as burial structures,
ceremonial sites, historical markers, and possibly even gathering
places. The mounds provided a fixed geographical reference point
for the scattered populations of people dispersed in small
settlements of one to two structures. A typical Adena house was built
in a circular form, 15 to 45 feet in diameter. Walls were made of
paired posts tilted outward that were then joined to other pieces of
wood to form a cone-shaped roof. The roof was covered with bark,
and the walls were bark and/or wickerwork.
While the burial mounds created by Woodland culture peoples were

beautiful artistic achievements, Adena artists were also prolific in
creating smaller, more personal pieces of art using copper and
shells. Art motifs that became important to many later American
Indians began with the Adena. Examples of these motifs include the
weeping eye and the cross and circle design. Many works of art
revolved around shamanic practices and the transformation of
humans into animals, especially birds, wolves, bears, and deer,
indicating a belief that objects depicting certain animals could impart
those animals’ qualities to the wearer or holder.
Middle W oodland Period ( 1– 5 00

CE)
The beginning of this period saw a shift of settlement to the interior.
As the Woodland period progressed, local and inter-regional trade of
exotic materials greatly increased to the point where a trade network
covered most of the eastern United States. Throughout the
Southeast and north of the Ohio River, burial mounds of important
people were very elaborate and contained a variety of mortuary gifts,
many of which were not local. The most archaeologically certifiable
sites of burial during this time were in Illinois and Ohio. These have
come to be known as the Hopewell tradition.
Hopewell mounds
The Eastern Woodland cultures built burial mounds for important
people such as these of the Hopewell tradition in Ohio.
The Hopewellian peoples had leaders, but they were not powerful
rulers who could command armies of soldiers or slaves. It has been
posited that these cultures accorded certain families with special
privileges and that these societies were marked by the emergence of
“ big-men,” or leaders who were able to acquire positions of power
through their ability to persuade others to agree with them on
matters of trade and religion. It is also likely these rulers gained
influence through the creation of reciprocal obligations with other
important community members. Regardless of their path to power,
the emergence of big-men marked another step toward the
development of the highly structured and stratified sociopolitical
organization called the chiefdom, which would characterize later
American Indian tribes. Due to the similarity of earthworks and burial
goods, researchers assume a common body of religious practice
and cultural interaction existed throughout the entire region (referred
to as the "Hopewellian Interaction Sphere"). Such similarities could
also be the result of reciprocal trade, obligations, or both between
local clans that controlled specific territories. Clan heads were buried
along with goods received from their trading partners to symbolize
the relationships they had established. Although many of the Middle
Woodland cultures are called Hopewellian, and groups shared
ceremonial practices, archaeologists have identified the
development of distinctly separate cultures during the Middle
Woodland period. Examples include the Armstrong culture, Copena
culture, Crab Orchard culture, Fourche Maline culture, the Goodall
Focus, the Havana Hopewell culture, the Kansas City Hopewell, the
Marksville culture, and the Swift Creek culture.
Hopewell Interaction Area and local
ex pressions of the Hopewell tradition
Throughout the Southeast and north of the Ohio River, burial
mounds of important people were very elaborate and contained a
variety of mortuary gifts, many of which were not local. The most
archaeologically certifiable sites of burial during this time were in
Illinois and Ohio. These sites were constructed within the Hopewell
tradition of Eastern Woodland cultures.
The map shows the Hopewell exchange system, which at its

greatest extent ran from the Southeastern United States as far south
as the Crystal River Indian Mounds into the southeastern Canadian
shores of Lake Ontario up north.
Ceramics during this time were thinner, of better quality, and more
decorated than in earlier times. This ceramic phase saw a trend
towards round-bodied pottery and lines of decoration with cross-
etching on the rims.
Late W oodland Period ( 5 00–

1000 CE)
The late Woodland period was a time of apparent population
dispersal. In most areas, construction of burial mounds decreased
drastically, as did long distance trade in exotic materials. Bow and
arrow technology gradually overtook the use of the spear and atlatl,
and agricultural production of the "three sisters" (maize, beans, and
squash) was introduced. While full scale intensive agriculture did not
begin until the following Mississippian period, the beginning of
serious cultivation greatly supplemented the gathering of plants.
Late Woodland settlements became more numerous, but the size of

each one was generally smaller than their Middle Woodland
counterparts. It has been theorized that populations increased so
much that trade alone could no longer support the communities and
some clans resorted to raiding others for resources. Alternatively, the
efficiency of bows and arrows in hunting may have decimated the
large game animals, forcing tribes to break apart into smaller clans
to better use local resources, thus limiting the trade potential of each
group. A third possibility is that a colder climate may have affected
food yields, also limiting trade possibilities. Lastly, it may be that
agricultural technology became sophisticated enough that crop
variation between clans lessened, thereby decreasing the need for
trade.
In practice, many regions of the Eastern Woodlands adopted the full

Mississippian culture much later than 1,000 CE. Some groups in the
North and Northeast of the United States, such as the Iroquois,
retained a way of life that was technologically identical to the Late
Woodland until the arrival of the Europeans. Furthermore, despite
the widespread adoption of the bow and arrow, indigenous peoples
in areas near the mouth of the Mississippi River, for example, appear
never to have made the change.
16.6.4: Southwestern Culture

Environmental changes allowed for many cultural traditions to
flourish and develop similar social structures and religious beliefs.
Learning Objective
Describe the cultural traditions of the Southwest
Key Points
Three of the major cultural traditions that impacted the region
include the Paleo-Indian tradition, the Southwestern Archaic
tradition, and the Post-Archaic cultures tradition.
As Southwestern cultural traditions evolved, tribes transitioned
from a hunting-gathering, nomadic experience to more
permanent agricultural settlements.
As various cultures developed over time, many shared
similarities in family structure and religious beliefs.
Extensive irrigation systems were developed and were among
the largest of the ancient world.
Elaborate adobe and sandstone buildings were constructed, and
highly ornamental and artistic pottery was created.
Key Terms
irrigation
The act or process of irrigating, or the state of being irrigated;
especially, the operation of causing water to flow over lands for
the purpose of nourishing plants.
shamanism
A practice that involves a practitioner reaching altered states of

consciousness in order to perceive and interact with a spirit
world and channel transcendental energies into this world.
animism
The worldview that non-human entities—such as animals,

plants, and inanimate objects—possess a spiritual essence.
sandstone
A sedimentary rock produced by the consolidation and

compaction of sand, cemented with clay.
Overview
The greater Southwest has long been occupied by hunter-gatherers
and agricultural settlements. This area, comprised of modern-day
Colorado, Arizona, New Mexico, Utah, and Nevada, and the states
of Sonora and Chihuahua in northern Mexico, has seen successive
prehistoric cultural traditions since approximately 12,000 years ago.
Three of the major cultural traditions that impacted the region include
the Paleo-Indian tradition, the Southwestern Archaic tradition, and
the Post-Archaic cultures tradition. As various cultures developed
over time, many of them shared similarities in family structure and
religious beliefs.
Southwestern Agriculture
Southwestern farmers probably began experimenting with agriculture
by facilitating the growth of wild grains such as amaranth and
chenopods as well as gourds for their edible seeds and shells. The
earliest maize known to have been grown in the Southwest was a
popcorn varietal measuring one to two inches long. It was not a very
productive crop. More productive varieties were developed later by
Southwestern farmers or introduced via Mesoamerica, though the
drought-resistant tepary bean was native to the region. Cotton has
been found at archaeological sites dating to about 1,200 BCE in the
Tucson basin and was most likely cultivated by indigenous peoples
in the region. Evidence of tobacco use and possibly the cultivation of
tobacco, dates back to approximately the same time period.
Agave, especially agave murpheyi, was a major food source of the

Hohokam and grown on dry hillsides where other crops would not
grow. Early farmers also possibly cultivated cactus fruit, mesquite
bean, and species of wild grasses for their edible seeds.
Paleolithic peoples utilized habitats near water sources like rivers,

swamps, and marshes, which had an abundance of fish and
attracted birds and game animals. They hunted big game—bison,
mammoths, and ground sloths—who were also attracted to these
water sources. A period of relatively wet conditions saw many
cultures in the American Southwest flourish. Extensive irrigation
systems were developed and were among the largest of the ancient
world. Elaborate adobe and sandstone buildings were constructed,
and highly ornamental and artistic pottery was created. The unusual
weather conditions could not continue forever, however, and gave
way in time, to the more common arid conditions of the area. These
dry conditions necessitated a more minimal way of life and,
eventually, the elaborate accomplishments of these cultures were
abandoned.
During this time, the people of the Southwest developed a variety of

subsistence strategies, all using their own specific techniques. The
nutritive value of weed and grass seeds was discovered and flat
rocks were used to grind flour to produce gruels and breads. The
use of grinding slabs originated around 7,500 BCE and marks the
beginning of the Archaic tradition. Small bands of people traveled
throughout the area gathering plants such as cactus fruits, mesquite
beans, acorns, and pine nuts. Archaic people established camps at
collection points, and returned to these places year after year.
The American Indian Archaic culture eventually evolved into two

major prehistoric archaeological culture areas in the American
Southwest and northern Mexico. These cultures, sometimes referred
to as Oasisamerica, are characterized by dependence on
agriculture, formal social stratification, population clusters, and major
architecture. One of the major cultures that developed during this
time was the Pueblo peoples, formerly referred to as the Anasazi.
Their distinctive pottery and dwelling construction styles emerged in
the area around 750 CE. Ancestral Pueblo peoples are renowned for
the construction of and cultural achievement present at Pueblo
Bonito and other sites in Chaco Canyon, as well as Mesa V erde,
Aztec Ruins, and Salmon Ruins. Other cultural traditions that
developed during this time include the Hohokam and Mogollon
traditions.
Hohokam House
Photo of the Great House at the Casa Grande Ruins National
Monument.
Family and Religion

Paleolithic peoples in the Southwest initially structured their families
and communities into highly mobile traveling groups of
approximately 20 to 50 members, moving place to place as
resources were depleted and additional supplies were needed. As
cultural traditions began to evolve throughout the Southwest
between 7,500 BCE to 1,550 CE, many cultures developed similar
social and religious traditions. For the Pueblos and other Southwest
American Indian communities, the transition from a hunting-
gathering, nomadic experience to more permanent agricultural
settlements meant more firmly established families and communities.
Climate change that occurred about 3,500 years ago during the
Archaic period, however, changed patterns in water sources,
dramatically decreasing the population of indigenous peoples. Many
family-based groups took shelter in caves and rock overhangs within
canyon walls, many of which faced south to capitalize on warmth
from the sun during the winter. Occasionally, these peoples lived in
small, semi-sedentary hamlets in open areas.
Many Southwest tribes during the Post-Archaic period lived in a

range of structures that included small family pit houses, larger
structures to house clans, grand pueblos, and cliff-sited dwellings for
defense. These communities developed complex networks that
stretched across the Colorado Plateau, linking hundreds of
neighborhoods and population centers.
While southwestern tribes developed more permanent family

structures and established complex communities, they also
developed and shared a similar understanding of the spiritual and
natural world. Many of the tribes that made up the Southwest Culture
practiced animism and shamanism. Shamanism encompasses the
premise that shamans are intermediaries or messengers between
the human world and the spirit worlds. At the same time, animism
encompasses the beliefs that there is no separation between the
spiritual and physical (or material) world, and that souls or
spirits exist not only in humans, but also in some other animals,
plants, rocks, and geographic features such as mountains or rivers,
or other entities of the natural environment, including thunder, wind,
and shadows.
Conclusion
Although at present there are a variety of contemporary cultural
traditions that exist in the greater Southwest, many of these
traditions still incorporate similar religious aspects that are found in
animism and shamanism. Some of these cultural traditions include
the Yuman-speaking peoples inhabiting the Colorado River valley,
the uplands, and Baja California; O'odham peoples of southern
Arizona and northern Sonora; and the Pueblo peoples of Arizona
and New Mexico.
16.6.5 : Mississippian Culture
Mississippian cultures lived in the modern-day United States in the
Mississippi valley from 800 to 1540.
Learning Objective
Describe the economies of Mississippian cultures
Key Points
Mississippian cultures lived in the Mississippi valley, Ohio,
Oklahoma, and surrounding areas.
The "three sisters"- corn, squash, and beans- were the three
most important crops.
Spanish explorer Hernando de Soto brought diseases and
cultural changes that eventually contributed to the decline of
many Mississippian cultures.
Key Terms
three sisters
Corn, squash, and beans. The three most important crops for
Mississippian cultures.
mounds
Formations made of earth that were used as foundations for

Mississippian culture structures.
The Mississippian Period lasted from approximately 800 to 1540 CE.

It's called "Mississippian" because it began in the middle Mississippi
River valley, between St. Louis and V icksburg. However, there were
other Mississippians as the culture spread across modern-day US.
There were large Mississippian centers in Missouri, Ohio, and
Oklahoma.
A number of cultural traits are recognized as being characteristic of

the Mississippians. Although not all Mississippian peoples practiced
all of the following activities, they were distinct from their ancestors in
adoption of some or all of the following traits:
The construction of large, truncated earthwork pyramid mounds,

or platform mounds. Such mounds were usually square,
rectangular, or occasionally circular. Structures (domestic
houses, temples, burial buildings, or other) were usually
constructed atop such mounds.
Maize-based agriculture. In most places, the development of
Mississippian culture coincided with adoption of comparatively
large-scale, intensive maize agriculture, which supported larger
populations and craft specialization.
The adoption and use of riverine (or more rarely marine) shells
as tempering agents in their shell tempered pottery.
Widespread trade networks extending as far west as the
Rockies, north to the Great Lakes, south to the Gulf of Mexico,
and east to the Atlantic Ocean.
The development of the chiefdom or complex chiefdom level of
social complexity.
A centralization of control of combined political and religious
power in the hands of few or one.
The beginnings of a settlement hierarchy, in which one major
center (with mounds) has clear influence or control over a
number of lesser communities, which may or may not possess a
smaller number of mounds.
The adoption of the paraphernalia of the Southeastern
Ceremonial Complex (SECC), also called the Southern Cult.
This is the belief system of the Mississippians as we know it.
SECC items are found in Mississippian-culture sites from
Wisconsin to the Gulf Coast, and from Florida to Arkansas and
Oklahoma. The SECC was frequently tied in to ritual game-
playing.
Mississippian Cultures
There were a number of Mississippian cultures, with most spreading
from the Middle Mississippian area.
Although hunting and gathering plants for food was still important,
the Mississippians were mainly farmers. They grew corn, beans, and
squash, called the "three sisters" by historic Southeastern Indians.
The "sisters" provided a stable and balanced diet, making a larger
population possible. Thousands of people lived in some larger towns
and cities.
A typical Mississipian town was built near a river or creek. It covered

about ten acres of ground, and was surrounded by a palisade, a
fence made of wooden poles placed upright in the ground. A typical
Mississippian house was rectangular, about 12 feet long and 10 feet
wide. The walls of a house were built by placing wooden poles
upright in a trench in the ground. The poles were then covered with a
woven cane matting. The cane matting was then covered with
plaster made from mud. This plastered cane matting is called "wattle
and daub". The roof of the house was made from a steep "A" shaped
framework of wooden poles covered with grass woven into a tight
thatch.
Platform Mounds
Mississippian cultures often built structures on top of their mounds
such as homes and burial buildings.
Mississippian cultures, like many before them, built mounds. Though

other cultures may have used mounds for different purposes,
Mississippian cultures typically built structures on top of them. The
type of structures constructed ran the gamut: temples, houses, and
burial buildings.
Mississippian artists produced unique art works. They engraved shell

pendants with animal and human figures, and carved ceremonial
objects out of flint. They sculpted human figures and other objects in
stone. Potters molded their clay into many shapes, sometimes
decorating them with painted designs.
Mississippian Underwater Panther
The Nashville area was a major population center during this period.
Thousands of Mississippian-era graves have been found in the city,
and thousands more may exist in the surrounding area. There were
once many temple and burial mounds in Nashville, especially along
the Cumberland River.
Decline of the Mississippians

Hernando de Soto was a Spanish explorer who, from 1539-43, lived
with and spoke to many Mississippian cultures. After his contact,
their cultures were relatively unaffected directly by Europeans,
though they were indirectly. Since the natives lacked immunity to
new infectious diseases, such as measles and smallpox, epidemics
caused so many fatalities that they undermined the social order of
many chiefdoms. Some groups adopted European horses and
changed to nomadism. Political structures collapsed in many
places.By the time more documentary accounts were being written,
the Mississippian way of life had changed irrevocably. Some groups
maintained an oral tradition link to their mound-building past, such as
the late 19th-century Cherokee. Other Native American groups,
having migrated many hundreds of miles and lost their elders to
diseases, did not know their ancestors had built the mounds dotting
the landscape. This contributed to the myth of the Mound Builders as
a people distinct from Native Americans.
Hernando de Soto
Engraving by Lambert A. Wilmer (1858)
Mississippian peoples were almost certainly ancestral to the majority

of the American Indian nations living in this region in the historic era.
The historic and modern day American Indian nations believed to
have descended from the overarching Mississippian Culture include:
the Alabama, Apalachee, Caddo, Cherokee, Chickasaw, Choctaw,
Muscogee Creek, Guale, Hitchiti, Houma, Kansa, Missouria,
Mobilian, Natchez, Osage, Quapaw, Seminole, Tunica-Biloxi,
Yamasee, and Yuchi.
Attributions
Great Basin Culture
"Boundless." http://www.boundless.com/. Boundless
Learning CC BY-SA 3.0.
"Cultural Region."
http://en.wikipedia.org/wiki/Cultural%20Region. Wikipedia
CC BY-SA 3.0.
"Indigenous peoples of the Great Basin."
http://en.wikipedia.org/wiki/Indigenous_peoples_of_the_Gre
at_Basin. Wikipedia CC BY-SA 3.0.
"metates." http://en.wikipedia.org/wiki/metates. Wikipedia
CC BY-SA 3.0.
"Paleo-Indians." http://en.wikipedia.org/wiki/Paleo-Indians.
"Numic languages."
http://en.wikipedia.org/wiki/Numic%20languages. Wikipedia
CC BY-SA 3.0.
"Ute people." https://en.wikipedia.org/wiki/Ute_people.
"Greatbasinmap."
http://en.wikipedia.org/wiki/File:Greatbasinmap.png.
Wikipedia CC BY.
Pacific Coast Culture
"Indigenous peoples of the Pacific Northwest Coast."
http://en.wikipedia.org/wiki/Indigenous_peoples_of_the_Pac
ific_Northwest_Coast. Wikipedia CC BY-SA 3.0.
"Animism." https://en.wikipedia.org/wiki/Animism. wikipedia
CC BY-SA 3.0.
"potlatch." http://en.wiktionary.org/wiki/potlatch. Wiktionary
CC BY-SA 3.0.
"Wawadit'la(Mungo Martin House) a Kwakwaka'wakw big
house."
http://commons.wikimedia.org/wiki/File:Wawadit'la(Mungo_
Martin_House)_a_Kwakwaka'wakw_big_house.jpg.
Wikimedia CC BY-SA.
Eastern Woodland Culture
"Adena culture."
https://en.wikipedia.org/wiki/Adena_culture. Wikipedia CC
BY-SA 3.0.
"Woodland period."
http://en.wikipedia.org/wiki/Woodland_period. Wikipedia CC
BY-SA 3.0.
"Hopewell tradition."
https://en.wikipedia.org/wiki/Hopewell_tradition. Wikipedia
CC BY-SA 3.0.
"atlatl." http://en.wiktionary.org/wiki/atlatl. Wiktionary CC BY-
SA 3.0.
"maize." http://en.wikipedia.org/wiki/maize. Wikipedia CC
BY-SA 3.0.
"Hopewell Exchange Network HRoe 2010."
http://en.wikipedia.org/wiki/File:Hopewell_Exchange_Netwo
rk_HRoe_2010.jpg. Wikipedia GNU FDL.
"Mound City Chillicothe Ohio HRoe 2008."
http://en.wikipedia.org/wiki/File:Mound_City_Chillicothe_Ohi
o_HRoe_2008.jpg. Wikipedia GNU FDL.
Southwestern Culture
"Southwestern archaeology."
https://en.wikipedia.org/wiki/Southwestern_archaeology.
"irrigation." http://en.wiktionary.org/wiki/irrigation. Wiktionary
CC BY-SA 3.0.
"sandstone." http://en.wiktionary.org/wiki/sandstone.
"adobe." http://en.wiktionary.org/wiki/adobe. Wiktionary CC
BY-SA 3.0.
"US History/Pre-Columbian."
http://en.wikibooks.org/wiki/US_History/Pre-
Columbian%23Early_Empires_of_the_Southwest.
Wikibooks CC BY-SA 3.0.
"Shamanism and animisim."
https://mrparkswikis.wikispaces.com/Shamanism+ & + Animis
m. wikispaces CC BY-SA 3.0.
"Casagrande2."
http://en.wikipedia.org/wiki/File:Casagrande2.jpg. Wikipedia
GNU FDL.
Mississippian Culture
"Middle Tennessee's Native American History The
Mississippian Period."
http://www.nativehistoryassociation.org/mississippian.php.
Native History Association CC BY 3.0.
"Platform Mound."
http://en.wikipedia.org/wiki/Platform_mound. Wikipedia CC
BY-SA 3.0.
"Mississippian Culture."
http://en.wikipedia.org/wiki/Mississippian_Culture.
"Mississippian Cultures."
http://en.wikipedia.org/wiki/Mississippian_Culture%23media
viewer/File:Mississippian_cultures_HRoe_2010.jpg.
"Mississippi Underwater Panther."
http://upload.wikimedia.org/wikipedia/commons/f/fa/Mississi
ppian_Underwater_Panther_ceramic.JPG. Wikipedia CC
BY-SA 3.0.
"Hernando de Soto."
http://en.wikipedia.org/wiki/Hernando_De_Soto%23mediavi
ewer/File:De_Soto_by_Telfer_& _Sartain.jpg. Wikipedia CC
BY-SA 3.0.
"Chromesun kincaid site 01."
http://en.wikipedia.org/wiki/Platform_mound%23mediaview
er/File:Chromesun_kincaid_site_01.jpg. Wikipedia CC BY-
SA 3.0.
17 : The Renaissance
17 .1: The Renaissance
17 .1.1: Introduction to the
Renaissance
The Renaissance was a cultural movement that began in Italy in the
14th century, and spread to the rest of Europe during the 15th and
16th centuries.
Learning Objective
Describe the influences of the Renaissance and historical
perspectives by modern-day writers
Key Points
There is a consensus that the Renaissance began in Florence,
Italy, in the 14th century, most likely due to the political structure
and the civil and social nature of the city. The Renaissance
encompassed the flowering of Latin languages, a change in
artistic style, and gradual, widespread educational reform.
The development of conventions of diplomacy and an increased
reliance on observation in science were also markers of the
Renaissance.
The Renaissance is probably best known for its artistic
developments and for the development of "Humanism," a
movement that emphasized the importance of creating citizens
who were able to engage in the civil life of their community.
Some historians debate the 19th-century glorification of the
Renaissance and individual culture heroes as "Renaissance
men."
Some have called into question whether the Renaissance was a
cultural "advance" from the Middle Ages, instead seeing it as a
period of pessimism and nostalgia for classical antiquity.
Key Terms
studia humanitatis
Specifically, a cultural and intellectual movement in 14th–16th

century Europe characterized by attention to classical culture
and a promotion of vernacular texts, notably during the
Renaissance.
Medici
The last name of a powerful and influential aristocratic

Florentine family from the 13th to the 17th century.
Petrarch
An Italian scholar and poet in Renaissance Italy, and one of the

earliest humanists.
Renaissance
A cultural movement from the 14th to the 17th century,

beginning in Italy and later spreading to the rest of Europe.
Overview
The Renaissance was a period in Europe, from the 14th to the 17th
century, regarded as the cultural bridge between the Middle Ages
and modern history. It started as a cultural movement in Italy,
specifically in Florence, in the late medieval period and later spread
to the rest of Europe, marking the beginning of the early modern
age.
The intellectual basis of the Renaissance was its own invented
version of humanism, derived from the rediscovery of classical
Greek philosophy, such as that of Protagoras, who said that "Man is
the measure of all things." This new thinking became manifest in art,
architecture, politics, science, and literature. Early examples were
the development of perspective in oil painting and the recycled
knowledge of how to make concrete. Though availability of paper
and the invention of metal movable type sped the dissemination of
ideas from the later 15th century, the changes of the Renaissance
were not uniformly experienced across Europe.
Cultural, Political, and

Intellectual Influences
As a cultural movement, the Renaissance encompassed the
innovative flowering of Latin and vernacular literatures, beginning
with the 14th-century resurgence of learning based on classical
sources, which contemporaries credited to Petrarch; the
development of linear perspective and other techniques of rendering
a more natural reality in painting; and gradual but widespread
educational reform.
In politics, the Renaissance contributed the development of the

conventions of diplomacy, and in science an increased reliance on
observation. Although the Renaissance saw revolutions in many
intellectual pursuits, as well as social and political upheaval, it is
perhaps best known for its artistic developments and the
contributions of such polymaths as Leonardo da V inci and
Michelangelo, who inspired the term "Renaissance man."
Leonardo da V inci's Vitruvian Man
Leonardo da V inci's V itruvian Man shows clearly the effect writers of
Antiquity had on Renaissance thinkers. Based on the specifications
in V itruvius' De architectura (1st century BCE), Leonardo tried to
draw the perfectly proportioned man.
The drawing, which is in pen and ink on paper, depicts a man in two
superimposed positions with his arms and legs apart and inscribed in
a circle and square.
Beginnings
V arious theories have been proposed to account for the origins and
characteristics of the Renaissance, focusing on a variety of factors,
including the social and civic peculiarities of Florence at the time; its
political structure; the patronage of its dominant family, the Medici;
and the migration of Greek scholars and texts to Italy following the
Fall of Constantinople at the hands of the Ottoman Turks.
Many argue that the ideas characterizing the Renaissance had their
origin in late 13th-century Florence, in particular in the writings of
Dante Alighieri (1265–1321) and Petrarch (1304–1374), as well as
the paintings of Giotto di Bondone (1267–1337). Some writers date
the Renaissance quite precisely; one proposed starting point is
1401, when the rival geniuses Lorenzo Ghiberti and Filippo
Brunelleschi competed for the contract to build the bronze doors for
the Baptistery of the Florence Cathedral (Ghiberti won). Others see
more general competition between artists and polymaths such as
Brunelleschi, Ghiberti, Donatello, and Masaccio for artistic
commissions as sparking the creativity of the Renaissance. Yet it
remains much debated why the Renaissance began in Italy, and why
it began when it did. Accordingly, several theories have been put
forward to explain its origins.
Historical Perspectives on the

Renaissance
The Renaissance has a long and complex historiography, and in line
with general skepticism of discrete periodizations there has been
much debate among historians reacting to the 19th-century
glorification of the Renaissance and individual culture heroes as
"Renaissance men," questioning the usefulness of "Renaissance" as
a term and as a historical delineation.
Some observers have called into question whether the Renaissance

was a cultural advance from the Middle Ages, seeing it instead as a
period of pessimism and nostalgia for classical antiquity, while social
and economic historians, especially of the longue duré e (long-term)
have focused on the continuity between the two eras, which are
linked, as Panofsky observed, "by a thousand ties."
The word "Renaissance," whose literal translation from French into

English is "Rebirth," appears in English writing from the 1830s. The
word occurs in Jules Michelet's 1855 work, Histoire de France. The
word "Renaissance" has also been extended to other historical and
cultural movements, such as the Carolingian Renaissance and the
Renaissance of the 12th century.
Attributions
Introduction to the Renaissance
"V itruvian Man." https://en.wikipedia.org/wiki/V itruvian_Man.
"Renaissance." http://en.wikipedia.org/wiki/Renaissance.
"Petrarch." http://en.wikipedia.org/wiki/Petrarch. Wikipedia
CC BY-SA 3.0.
"Humanism." http://en.wiktionary.org/wiki/humanism.
"Medici." http://en.wiktionary.org/wiki/Medici. Wiktionary CC
BY-SA 3.0.
"Renaissance." http://en.wiktionary.org/wiki/Renaissance.
"Da V inci V itruve Luc V iatour."
https://commons.wikimedia.org/wiki/File:Da_V inci_V itruve_
Luc_V iatour.jpg. Wikimedia Public domain.
17 .2: Italy During the
Renaissance
17 .2.1: Italian Trade Cities
Italian city-states trading during the late Middle Ages set the stage
for the Renaissance by moving resources, culture, and knowledge
from the East.
Learning Objective
Show how Northern Italy and the wealthy city-states within it became
such huge European powers
Key Points
While Northern Italy was not richer in resources than many other
parts of Europe, the level of development, stimulated by trade,
allowed it to prosper. In particular, Florence became one of the
wealthiest cities in Northern Italy.
Florence became the center of this financial industry, and the
gold florin became the main currency of international trade.
Luxury goods bought in the Levant, such as spices, dyes, and
silks, were imported to Italy and then resold throughout Europe.
The Italian trade routes that covered the Mediterranean and
beyond were also major conduits of culture and knowledge.
Key Terms
Levant
The countries bordering the eastern Mediterranean Sea.
Tacitus
A senator and a historian of the Roman Empire (c. 56–after 117

CE).
Hanseatic League
A commercial and defensive confederation of merchant guilds

and their market towns that dominated trade along the coast of
Northern Europe.
V itruvius
A Roman author, architect, and civil engineer (born c. 80–70

BC, died after c. 15 BCE), perhaps best known for his multi-
volume work entitled De Architectura.
city-state
A political phenomenon of small independent states mostly in

the central and northern Italian peninsula between the 9th and
15th centuries.
Prosperous City-States
During the late Middle Ages, Northern and Central Italy became far
more prosperous than the south of Italy, with the city-states, such as
V enice and Genoa, among the wealthiest in Europe. The Crusades
had built lasting trade links to the Levant, and the Fourth Crusade
had done much to destroy the Byzantine Roman Empire as a
commercial rival to the V enetians and Genoese.
The main trade routes from the east passed through the Byzantine
Empire or the Arab lands and onwards to the ports of Genoa, Pisa,
and V enice. Luxury goods bought in the Levant, such as spices,
dyes, and silks, were imported to Italy and then resold throughout
Europe. Moreover, the inland city-states profited from the rich
agricultural land of the Po valley.
From France, Germany, and the Low Countries, through the medium
of the Champagne fairs, land and river trade routes brought goods
such as wool, wheat, and precious metals into the region. The
extensive trade that stretched from Egypt to the Baltic generated
substantial surpluses that allowed significant investment in mining
and agriculture.
Thus, while Northern Italy was not richer in resources than many
other parts of Europe, the level of development, stimulated by trade,
allowed it to prosper. In particular, Florence became one of the
wealthiest cities in Northern Italy, due mainly to its woolen textile
production, developed under the supervision of its dominant trade
guild, the Arte della Lana. Wool was imported from Northern Europe
(and in the 16th century from Spain), and together with dyes from the
east was used to make high quality textiles.
Revitaliz ing Trade Routes

In the 13th century, much of Europe experienced strong economic
growth. The trade routes of the Italian states linked with those of
established Mediterranean ports, and eventually the Hanseatic
League of the Baltic and northern regions of Europe, to create a
network economy in Europe for the first time since the 4th century.
The city-states of Italy expanded greatly during this period, and grew
in power to become de facto fully independent of the Holy Roman
Empire; apart from the Kingdom of Naples, outside powers kept their
armies out of Italy. During this period, the modern commercial
infrastructure developed, with double-entry bookkeeping, joint stock
companies, an international banking system, a systematized foreign
exchange market, insurance, and government debt. Florence
became the center of this financial industry, and the gold florin
became the main currency of international trade.
While Roman urban republican sensibilities persisted, there were
many movements and changes afoot. Italy first felt the changes in
Europe from the 11th to the 13th centuries. Typically there was:
A rise in population― the population doubled in this period (the

demographic explosion)
An emergence of huge cities (V enice, Florence, and Milan had
over 100,000 inhabitants by the 13th century, and many others,
such as Genoa, Bologna, and V erona, had over 50,000)
Rebuilding of the great cathedrals
Substantial migration from country to city (in Italy the rate of
urbanization reached 20%, making it the most urbanized society
in the world at that time)
An agrarian revolution
Development of commerce
The decline of feudalism and the rise of cities influenced each other;
for example, the demand for luxury goods led to an increase in trade,
which led to greater numbers of tradesmen becoming wealthy, who,
in turn, demanded more luxury goods.
Palaz z o della Signoria e Uffiz z i,
Florence
Florence was one of the most important city-states in Italy.
The Transfer of Culture and

Knowledge
The Italian trade routes that covered the Mediterranean and beyond
were also major conduits of culture and knowledge. The recovery of
lost Greek texts, which had been preserved by Arab scholars,
following the Crusader conquest of the Byzantine heartlands
revitalized medieval philosophy in the Renaissance of the 12th
century. Additionally, Byzantine scholars migrated to Italy during and
following the Ottoman conquest of the Byzantines between the 12th
and 15th centuries, and were important in sparking the new linguistic
studies of the Renaissance, in newly created academies in Florence
and V enice. Humanist scholars searched monastic libraries for
ancient manuscripts and recovered Tacitus and other Latin authors.
The rediscovery of V itruvius meant that the architectural principles of
Antiquity could be observed once more, and Renaissance artists
were encouraged, in the atmosphere of humanist optimism, to excel
the achievements of the Ancients, like Apelles, of whom they read.
17 .2.2: Italian Politics

Italian politics during the time of the Renaissance was dominated by
the rising merchant class, especially one family, the House of Medici,
whose power in Florence was nearly absolute.
Learning Objective
Describe the intricacies of Italian politics during this time
Key Points
Northern and Central Italy became prosperous in the late Middle
Ages through the growth of international trade and the rise of
the merchant class, who eventually gained almost complete
control of the governments of the Italian city-states.
A popular explanation for the Italian Renaissance is the thesis
that the primary impetus of the early Renaissance was the long-
running series of wars between Florence and Milan, whereby
the leading figures of Florence rallied the people by presenting
the war as one between the free republic and a despotic
monarchy.
The House of Medici was an Italian banking family, political
dynasty, and later royal house in Florence who were the major
sponsors of art and architecture in the early and High
Renaissance.
Key Terms
House of Medici
An Italian banking family, political dynasty, and later royal house
in the Republic of Florence during the first half of the 15th
century that had a major impact on the rise of the Italian
Renaissance.
Hundred Years' War
A series of conflicts waged from 1337 to 1453 by the House of

Plantagenet, rulers of the Kingdom of England, against the
House of V alois, rulers of the Kingdom of France, for control of
the Kingdom of France.
Italy in the Late Middle Ages

By the Late Middle Ages (circa 1300 onward), Latium, the former
heartland of the Roman Empire, and southern Italy were generally
poorer than the north. Rome was a city of ancient ruins, and the
Papal States were loosely administered and vulnerable to external
interference such as that of France, and later Spain. The papacy
was affronted when the Avignon Papacy was created in southern
France as a consequence of pressure from King Philip the Fair of
France. In the south, Sicily had for some time been under foreign
domination, by the Arabs and then the Normans. Sicily had
prospered for 150 years during the Emirate of Sicily, and later for two
centuries during the Norman Kingdom and the Hohenstaufen
Kingdom, but had declined by the late Middle Ages.
The Rise of the Merchant Class

In contrast, Northern and Central Italy had become far more
prosperous, and it has been calculated that the region was among
the richest in Europe. The new mercantile governing class, who
gained their position through financial skill, adapted to their purposes
the feudal aristocratic model that had dominated Europe in the
Middle Ages. A feature of the High Middle Ages in Northern Italy was
the rise of the urban communes, which had broken from the control
of bishops and local counts. In much of the region, the landed
nobility was poorer than the urban patriarchs in the high medieval
money economy, whose inflationary rise left land-holding aristocrats
impoverished. The increase in trade during the early Renaissance
enhanced these characteristics.
This change also gave the merchants almost complete control of the
governments of the Italian city-states, again enhancing trade. One of
the most important effects of this political control was security. Those
that grew extremely wealthy in a feudal state ran constant risk of
running afoul of the monarchy and having their lands confiscated, as
famously occurred to Jacques Coeur in France. The northern states
also kept many medieval laws that severely hampered commerce,
such as those against usury and prohibitions on trading with non-
Christians. In the city-states of Italy, these laws were repealed or
rewritten.
The 14th century saw a series of catastrophes that caused the

European economy to go into recession, including the Hundred
Years' War, the Black Death, and numerous famines. It was during
this period of instability that the Renaissance authors such as Dante
and Petrarch lived, and the first stirrings of Renaissance art were to
be seen, notably in the realism of Giotto. Paradoxically, some of
these disasters would help establish the Renaissance. The Black
Death wiped out a third of Europe's population. The resulting labor
shortage increased wages, and the reduced population was
therefore much wealthier and better fed, and, significantly, had more
surplus money to spend on luxury goods. As incidences of the
plague began to decline in the early 15th century, Europe's
devastated population once again began to grow. The new demand
for products and services also helped create a growing class of
bankers, merchants, and skilled artisans.
W arring Italians
Northern Italy and upper Central Italy were divided into a number of
warring city-states, the most powerful being Milan, Florence, Pisa,
Siena, Genoa, Ferrara, Mantua, V erona, and V enice. High medieval
Northern Italy was further divided by the long-running battle for
supremacy between the forces of the papacy and of the Holy Roman
Empire; each city aligned itself with one faction or the other, yet was
divided internally between the two warring parties, Guelfs and
Ghibellines. Warfare between the states was common, but invasion
from outside Italy was confined to intermittent sorties of Holy Roman
emperors. Renaissance politics developed from this background.
Since the 13th century, as armies became primarily composed of
mercenaries, prosperous city-states could field considerable forces,
despite their low populations. In the course of the 15th century, the
most powerful city-states annexed their smaller neighbors. Florence
took Pisa in 1406, V enice captured Padua and V erona, and the
Duchy of Milan annexed a number of nearby areas, including Pavia
and Parma.
A popular explanation for the Italian Renaissance is the thesis, first

advanced by historian Hans Baron, that the primary impetus of the
early Renaissance was the long-running series of wars between
Florence and Milan. By the late 14th century, Milan had become a
centralized monarchy under the control of the V isconti family.
Giangaleazzo V isconti, who ruled the city from 1378 to 1402, was
renowned both for his cruelty and for his abilities, and set about
building an empire in Northern Italy. He launched a long series of
wars, with Milan steadily conquering neighboring states and
defeating the various coalitions led by Florence that sought in vain to
halt the advance. This culminated in the 1402 siege of Florence,
when it looked as though the city was doomed to fall, before
Giangaleazzo suddenly died and his empire collapsed.
Baron's thesis suggests that during these long wars, the leading
figures of Florence rallied the people by presenting the war as one
between the free republic and a despotic monarchy, between the
ideals of the Greek and Roman Republics and those of the Roman
Empire and medieval kingdoms. For Baron, the most important
figure in crafting this ideology was Leonardo Bruni. This time of crisis
in Florence was the period when the most influential figures of the
early Renaissance were coming of age, such as Ghiberti, Donatello,
Masolino, and Brunelleschi. Inculcated with this republican ideology,
they later went on to advocate republican ideas that were to have an
enormous impact on the Renaissance.
The Medici Family

The House of Medici was an Italian banking family, political dynasty,
and later royal house that first began to gather prominence under
Cosimo de' Medici in the Republic of Florence during the first half of
the 15th century. The family originated in the Mugello region of the
Tuscan countryside, gradually rising until they were able to fund the
Medici Bank. The bank was the largest in Europe during the 15th
century, which helped the Medici gain political power in Florence—
though officially they remained citizens rather than monarchs. The
biggest accomplishments of the Medici were in the sponsorship of
art and architecture, mainly early and High Renaissance art and
architecture. The Medici were responsible for the majority of
Florentine art during their reign.
Their wealth and influence initially derived from the textile trade
guided by the guild of the Arte della Lana. Like other signore
families, they dominated their city's government, they were able to
bring Florence under their family's power, and they created an
environment where art and Humanism could flourish. They, along
with other families of Italy, such as the V isconti and Sforza of Milan,
the Este of Ferrara, and the Gonzaga of Mantua, fostered and
inspired the birth of the Italian Renaissance. The Medici family was
connected to most other elite families of the time through marriages
of convenience, partnerships, or employment, so the family had a
central position in the social network. Several families had
systematic access to the rest of the elite families only through the
Medici, perhaps similar to banking relationships.
The Medici Bank was one of the most prosperous and most
respected institutions in Europe. There are some estimates that the
Medici family were the wealthiest family in Europe for a time. From
this base, they acquired political power initially in Florence and later
in wider Italy and Europe. A notable contribution to the profession of
accounting was the improvement of the general ledger system
through the development of the double-entry bookkeeping system for
tracking credits and debits. The Medici family were among the
earliest businesses to use the system.
Cosimo di Giovanni de' Medici was the first of the Medici political
dynasty, and had tremendous political power in Florence. Despite his
influence, his power was not absolute; Florence's legislative councils
at times resisted his proposals, something that would not have been
tolerated by the V isconti of Milan, for instance. Throughout his life he
was always primus inter pares, or first among equals. His power over
Florence stemmed from his wealth, which he used to control votes.
As Florence was proud of its "democracy," Medici pretended to have
little political ambition, and did not often hold public office. Aeneas
Sylvius, Bishop of Siena and later Pope Pius II, said of him, "Political
questions are settled in [ Cosimo's] house. The man he chooses
holds office... He it is who decides peace and war... He is king in all
but name."
Cosimo di Giovanni de' Medici
Portrait of Cosimo de' Medici, the found of the House of Medici, by
Jacopo Pontormo; the laurel branch (il Broncone) was a symbol
used also by his heirs.
A painting of Cosimo Medici, clothed in red, to his left is a laurel

branch and leaves.
17 .2.3: The Church During the Italian

Renaissance
The new Humanist ideals of the Renaissance, although more secular
in many aspects, developed against a Christian backdrop, and the
church patronized many works of Renaissance art.
Learning Objective
Analyze the church's role in Italy at the time of the Renaissance
Key Points
The Renaissance began in times of religious turmoil, especially
surrounding the papacy, which culminated in the Western
Schism, in which three men simultaneously claimed to be the
true pope.
The new engagement with Greek Christian works during the
Renaissance, and particularly the return to the original Greek of
the New Testament promoted by Humanists Lorenzo V alla and
Erasmus, helped pave the way for the Protestant Reformation.
In addition to being the head of the church, the pope became
one of Italy's most important secular rulers, and pontiffs such as
Julius II often waged campaigns to protect and expand their
temporal domains.
The Counter-Reformation was a period of Catholic resurgence
initiated in response to the Protestant Reformation.
Key Terms
Western Schism
A split within the Roman Catholic Church that lasted from 1378
to 1417, when three men simultaneously claimed to be the true
pope.
neo-Platonism
A tradition of philosophy that arose in the 3rd century CE, based
on the philosophy of Plato, which involved describing the
derivation of the whole of reality from a single principle, "the
One." Plotinus is traditionally identified as the founder of this
school.
Counter-Reformation
A period of Catholic resurgence initiated in response to the

Protestant Reformation.
The Church in the Late Middle

Ages
The Renaissance began in times of religious turmoil. The late Middle
Ages was a period of political intrigue surrounding the papacy,
culminating in the Western Schism, in which three men
simultaneously claimed to be the true pope. While the schism was
resolved by the Council of Constance (1414), a resulting reform
movement known as Conciliarism sought to limit the power of the
pope. Although the papacy eventually emerged supreme in
ecclesiastical matters by the Fifth Council of the Lateran (1511), it
was dogged by continued accusations of corruption, most famously
in the person of Pope Alexander V I, who was accused variously of
simony, nepotism, and fathering four children.
Pope Alex ander V I
Alexander V I, a Borgia pope infamous for his corruption.
A painting of a pope in adorned robes kneeling at an open casket in

an open field.
Churchmen such as Erasmus and Luther proposed reform to the

church, often based on Humanist textual criticism of the New
Testament. In October 1517 Luther published the Ninety- five Theses,
challenging papal authority and criticizing its perceived corruption,
particularly with regard to instances of sold indulgences. The Ninety-
five Theses led to the Reformation, a break with the Roman Catholic
Church that previously claimed hegemony in Western Europe.
Humanism and the Renaissance therefore played a direct role in
sparking the Reformation, as well as in many other
contemporaneous religious debates and conflicts.
Pope Paul III came to the papal throne (1534–1549) after the sack of
Rome in 1527, with uncertainties prevalent in the Catholic Church
following the Protestant Reformation. Nicolaus Copernicus dedicated
De revolutionibus orbium coelestium (On the Revolutions of the
Celestial Spheres) to Paul III, who became the grandfather of
Alessandro Farnese (cardinal), who had paintings by Titian,
Michelangelo, and Raphael, as well as an important collection of
drawings, and who commissioned the masterpiece of Giulio Clovio,
arguably the last major illuminated manuscript, the Farnese Hours.
The Church and the

Renaissance
The city of Rome, the papacy, and the Papal States were all affected
by the Renaissance. On the one hand, it was a time of great artistic
patronage and architectural magnificence, when the church
pardoned and even sponsored such artists as Michelangelo,
Brunelleschi, Bramante, Raphael, Fra Angelico, Donatello, and da
V inci. On the other hand, wealthy Italian families often secured
episcopal offices, including the papacy, for their own members, some
of whom were known for immorality.
In the revival of neo-Platonism and other ancient philosophies,

Renaissance Humanists did not reject Christianity; quite to the
contrary, many of the Renaissance's greatest works were devoted to
it, and the church patronized many works of Renaissance art. The
new ideals of Humanism, although more secular in some aspects,
developed against a Christian backdrop, especially in the Northern
Renaissance. In turn, the Renaissance had a profound effect on
contemporary theology, particularly in the way people perceived the
relationship between man and God.
Michelangelo's Pietà in St. Peter's
Basilica, V atican City
Michelangelo's Pietà exemplifies the character of Renaissance art,
combining the classical aesthetic of Greek art with religious imagery,
in this case Mother Mary holding the body of Jesus after the
crucifixion.
A photo of Michelangelo's Pieta, a statue depicting Mary holding the

dead body of Jesus.
In addition to being the head of the church, the pope became one of
Italy's most important secular rulers, and pontiffs such as Julius II
often waged campaigns to protect and expand their temporal
domains. Furthermore, the popes, in a spirit of refined competition
with other Italian lords, spent lavishly both on private luxuries and
public works, repairing or building churches, bridges, and a
magnificent system of aqueducts in Rome that still function today.
From 1505 to 1626, St. Peter's Basilica, perhaps the most
recognized Christian church, was built on the site of the old
Constantinian basilica in Rome. This was a time of increased contact
with Greek culture, opening up new avenues of learning, especially
in the fields of philosophy, poetry, classics, rhetoric, and political
science, fostering a spirit of Humanism–all of which would influence
the church.
Counter-Reformation
The Counter-Reformation, also called the Catholic Reformation or
the Catholic Revival, was the period of Catholic resurgence initiated
in response to the Protestant Reformation, beginning with the
Council of Trent (1545–1563) and ending at the close of the Thirty
Years' War (1648). The Counter-Reformation was a comprehensive
effort composed of four major elements—ecclesiastical or structural
reconfigurations, new religious orders (such as the Jesuits), spiritual
movements, and political reform.
Such reforms included the foundation of seminaries for the proper

training of priests in the spiritual life and the theological traditions of
the church, the reform of religious life by returning orders to their
spiritual foundations, and new spiritual movements focusing on the
devotional life and a personal relationship with Christ, including the
Spanish mystics and the French school of spirituality. It also involved
political activities that included the Roman Inquisition. One primary
emphasis of the Counter-Reformation was a mission to reach parts
of the world that had been colonized as predominantly Catholic, and
also try to reconvert areas, such as Sweden and England, that were
at one time Catholic but had been Protestantized during the
Reformation.
Attributions
Italian Trade Cities
"Piazza della Signoria."
https://en.wikipedia.org/wiki/Piazza_della_Signoria.
"Tacitus." http://en.wikipedia.org/wiki/Tacitus. Wikipedia CC
BY-SA 3.0.
"Hanseatic League."
http://en.wikipedia.org/wiki/Hanseatic_League. Wikipedia
CC BY-SA 3.0.
"Italian Renaissance."
http://en.wikipedia.org/wiki/Italian_Renaissance. Wikipedia
CC BY-SA 3.0.
"V itruvius." http://en.wikipedia.org/wiki/V itruvius. Wikipedia
CC BY-SA 3.0.
"Humanist." http://en.wiktionary.org/wiki/humanism.
"Italian city-states." http://en.wikipedia.org/wiki/Italian_city-
states. Wikipedia CC BY-SA 3.0.
"Levant." http://en.wiktionary.org/wiki/Levant. Wiktionary CC
BY-SA 3.0.
"FirenzeIMG0281 bordercropped."
https://commons.wikimedia.org/wiki/File:FirenzeIMG0281_b
ordercropped.jpg. Wikimedia CC BY-SA 3.0.
Italian Politics
"Italy in the Middle Ages."
https://en.wikipedia.org/wiki/Italy_in_the_Middle_Ages.
"House of Medici."
https://en.wikipedia.org/wiki/House_of_Medici. Wikipedia
CC BY-SA 3.0.
"Cosimo de' Medici."
https://en.wikipedia.org/wiki/Cosimo_de%27_Medici.
https://en.wikipedia.org/wiki/Italian_Renaissance. Wikipedia
CC BY-SA 3.0.
"1024px-Pontormo_-_Ritratto_di_Cosimo_il_V ecchio_-
_Google_Art_Project.jpg."
https://en.wikipedia.org/wiki/Cosimo_de%27_Medici# /media
/File:Pontormo_-_Ritratto_di_Cosimo_il_V ecchio_-
_Google_Art_Project.jpg. Wikipedia CC BY-SA 3.0.
The Church During the Italian Renaissance
"Renaissance." https://en.wikipedia.org/wiki/Renaissance.
"Counter-Reformation."
https://en.wikipedia.org/wiki/Counter-Reformation.
"History of the Catholic Church."
https://en.wikipedia.org/wiki/History_of_the_Catholic_Churc
h# Renaissance_and_reforms. Wikipedia CC BY-SA 3.0.
"400px-Michelangelo's_Pieta_5450_cut_out_black.jpg."
https://en.wikipedia.org/wiki/History_of_Christianity# /media/
File:Michelangelo%27s_Pieta_5450_cut_out_black.jpg.
"440px-Alexander_V I_-_Pinturicchio_detail.jpg."
https://en.wikipedia.org/wiki/Renaissance# /media/File:Alexa
nder_V I_-_Pinturicchio_detail.jpg. Wikipedia CC BY-SA 3.0.
17 .3: Humanist Thought
17 .3.1: Petrarch
Petrarch is often called the "Father of Humanism," both for his
discovery of important classical texts and his personal commitment
to the way of life found in ancient literature and philosophy.
Learning Objective
Explain Petrarch's contributions to the Renaissance
Key Points
Petrarch is traditionally called the "Father of Humanism," both
for his influential philosophical attitudes, found in his numerous
personal letters, and his discovery and compilation of classical
texts.
Petrarch was born in the Tuscan city of Arezzo in 1304, and
spent his early childhood near Florence, but his family moved to
Avignon to follow Pope Clement V , who moved there in 1309 to
begin the Avignon Papacy.
He traveled widely in Europe and, during his travels, collected
crumbling Latin manuscripts, whose discovery, especially
Cicero's letters, helped spark the Renaissance.
A highly introspective man, he shaped the nascent Humanist
movement a great deal because many of the internal conflicts
and musings expressed in his writings were seized upon by
Renaissance Humanist philosophers and argued continually for
the next 200 years.
Key Terms
Humanism
The study of classical antiquity, at first in Italy and then

spreading across Western Europe in the 14th, 15th, and 16th
centuries.
Dark Ages
An imprecise term of historical periodization that was once used

to refer to the Middle Ages but is latterly most commonly used in
relation to the early medieval period, i.e., the centuries following
the collapse of the Western Roman Empire; the term was
coined by Petrarch.
Avignon Papacy
The period from 1309 to 1377, during which seven successive

popes resided in Avignon, France.
Overview
Francesco Petrarca (July 20, 1304–July 19, 1374), commonly
anglicized as Petrarch, was an Italian scholar and poet in
Renaissance Italy, and one of the earliest Humanists. Petrarch's
rediscovery of Cicero's letters is often credited for initiating the 14th-
century Renaissance. Petrarch is often considered the founder of
Humanism. Petrarch's sonnets were admired and imitated
throughout Europe during the Renaissance and became a model for
lyrical poetry. In the 16th century, Pietro Bembo created the model
for the modern Italian language based on Petrarch's works.
Petrarch was born in the Tuscan city of Arezzo in 1304. Petrarch

spent his early childhood in the village of Incisa, near Florence. He
spent much of his early life at Avignon and nearby Carpentras,
where his family moved to follow Pope Clement V , who moved there
in 1309 to begin the Avignon Papacy. Petrarch studied law at the
University of Montpellier (1316–1320) and the University of Bologna
(1320–23); because his father was in the profession of law he
insisted that Petrarch and his brother study law also. Petrarch,
however, was primarily interested in writing and Latin literature, and
considered these seven years wasted.
He traveled widely in Europe, served as an ambassador, and has

been called "the first tourist" because he traveled just for pleasure.
During his travels, he collected crumbling Latin manuscripts and was
a prime mover in the recovery of knowledge from writers of Rome
and Greece. He encouraged and advised Leontius Pilatus's
translation of Homer from a manuscript purchased by Boccaccio,
although he was severely critical of the result. In 1345 he personally
discovered a collection of Cicero's letters not previously known to
have existed, the collection ad Atticum.
Disdaining what he believed to be the ignorance of the centuries

preceding the era in which he lived, Petrarch is credited or charged
with creating the concept of a historical "Dark Ages."
Francesco Petrarca
Statue of Petrarch on the Uffizi Palace, in Florence.
A photo of a full-body statue of Petrarch.
Father of Humanism
Petrarch is traditionally called the "Father of Humanism," and
considered by many to more generally be the "Father of the
Renaissance." This honorific is so given both for his influential
philosophical attitudes, found in his numerous personal letters, and
his discovery and compilation of classical texts.
In his work Secretum meum he points out that secular achievements

did not necessarily preclude an authentic relationship with God.
Petrarch argued instead that God had given humans their vast
intellectual and creative potential to be used to their fullest. He
inspired Humanist philosophy, which led to the intellectual flowering
of the Renaissance. He believed in the immense moral and practical
value of the study of ancient history and literature—that is, the study
of human thought and action. Petrarch was a devout Catholic and
did not see a conflict between realizing humanity's potential and
having religious faith.
A highly introspective man, he shaped the nascent Humanist

movement a great deal, because many of the internal conflicts and
musings expressed in his writings were seized upon by Renaissance
Humanist philosophers and argued continually for the next 200
years. For example, Petrarch struggled with the proper relation
between the active and contemplative life, and tended to emphasize
the importance of solitude and study. In a clear disagreement with
Dante, in 1346 Petrarch argued in his De vita solitaria that Pope
Celestine V 's refusal of the papacy in 1294 was a virtuous example
of solitary life. Later, the politician and thinker Leonardo Bruni argued
for the active life, or "civic humanism." As a result, a number of
political, military, and religious leaders during the Renaissance were
inculcated with the notion that their pursuit of personal fulfillment
should be grounded in classical example and philosophical
contemplation.
17 .3.2: Humanism
Humanism was an intellectual movement embraced by scholars,
writers, and civic leaders in 14th century Italy.
Learning Objective
Assess how Humanism gave rise to the art of the Renasissance
Key Points
Humanists reacted against the utilitarian approach to education,
seeking to create a citizenry who were able to speak and write
with eloquence and thus able to engage the civic life of their
communities.
The movement was largely founded on the ideals of Italian
scholar and poet Francesco Petrarca, which were often
centered around humanity's potential for achievement.
While Humanism initially began as a predominantly literary
movement, its influence quickly pervaded the general culture of
the time, reintroducing classical Greek and Roman art forms
and leading to the Renaissance.
Donatello became renowned as the greatest sculptor of the
Early Renaissance, known especially for his Humanist, and
unusually erotic, statue of David.
While medieval society viewed artists as servants and
craftspeople, Renaissance artists were trained intellectuals, and
their art reflected this newfound point of view.
In humanist painting, the treatment of the elements of
perspective and depiction of light became of particular concern.
Key Term
High Renaissance
The period in art history denoting the apogee of the visual arts in
the Italian Renaissance. The High Renaissance period is
traditionally thought to have begun in the 1490s—with
Leonardo's fresco of The Last Supper in Milan and the death of
Lorenzo de' Medici in Florence—and to have ended in 1527,
with the Sack of Rome by the troops of Charles V .
Overview
Humanism, also known as Renaissance Humanism, was an
intellectual movement embraced by scholars, writers, and civic
leaders in 14th- and early-15th-century Italy. The movement
developed in response to the medieval scholastic conventions in
education at the time, which emphasized practical, pre-professional,
and scientific studies engaged in solely for job preparation, and
typically by men alone. Humanists reacted against this utilitarian
approach, seeking to create a citizenry who were able to speak and
write with eloquence and thus able to engage the civic life of their
communities. This was to be accomplished through the study of the
"studia humanitatis," known today as the humanities: grammar,
rhetoric, history, poetry, and moral philosophy. Humanism introduced
a program to revive the cultural—and particularly the literary—legacy
and moral philosophy of classical antiquity. The movement was
largely founded on the ideals of Italian scholar and poet Francesco
Petrarca, which were often centered around humanity's potential for
achievement.
While Humanism initially began as a predominantly literary

movement, its influence quickly pervaded the general culture of the
time, re-introducing classical Greek and Roman art forms and
contributing to the development of the Renaissance. Humanists
considered the ancient world to be the pinnacle of human
achievement, and thought its accomplishments should serve as the
model for contemporary Europe. There were important centers of
Humanism in Florence, Naples, Rome, V enice, Genoa, Mantua,
Ferrara, and Urbino.
Humanism was an optimistic philosophy that saw man as a rational

and sentient being, with the ability to decide and think for himself. It
saw man as inherently good by nature, which was in tension with the
Christian view of man as the original sinner needing redemption. It
provoked fresh insight into the nature of reality, questioning beyond
God and spirituality, and provided knowledge about history beyond
Christian history.
Humanist Art
Renaissance Humanists saw no conflict between their study of the
Ancients and Christianity. The lack of perceived conflict allowed
Early Renaissance artists to combine classical forms, classical
themes, and Christian theology freely. Early Renaissance sculpture
is a great vehicle to explore the emerging Renaissance style. The
leading artists of this medium were Donatello, Filippo Brunelleschi,
and Lorenzo Ghiberti. Donatello became renowned as the greatest
sculptor of the Early Renaissance, known especially for his classical,
and unusually erotic, statue of David, which became one of the icons
of the Florentine republic.
Donatello's D avid
Donatello's David is regarded as an iconic Humanist work of art.
Humanism affected the artistic community and how artists were

perceived. While medieval society viewed artists as servants and
craftspeople, Renaissance artists were trained intellectuals, and their
art reflected this newfound point of view. Patronage of the arts
became an important activity, and commissions included secular
subject matter as well as religious. Important patrons, such as
Cosimo de' Medici, emerged and contributed largely to the
expanding artistic production of the time.
In painting, the treatment of the elements of perspective and light

became of particular concern. Paolo Uccello, for example, who is
best known for "The Battle of San Romano," was obsessed by his
interest in perspective, and would stay up all night in his study trying
to grasp the exact vanishing point. He used perspective in order to
create a feeling of depth in his paintings. In addition, the use of oil
paint had its beginnings in the early part of the 16th century, and its
use continued to be explored extensively throughout the High
Renaissance.
" The Battle of San Romano" by Paolo

Uccello
Italian Humanist paintings were largely concerned with the depiction
of perspective and light.
Origins
Some of the first Humanists were great collectors of antique
manuscripts, including Petrarch, Giovanni Boccaccio, Coluccio
Salutati, and Poggio Bracciolini. Of the three, Petrarch was dubbed
the "Father of Humanism" because of his devotion to Greek and
Roman scrolls. Many worked for the organized church and were in
holy orders (like Petrarch), while others were lawyers and
chancellors of Italian cities (such as Petrarch's disciple Salutati, the
Chancellor of Florence) and thus had access to book-copying
workshops.
In Italy, the Humanist educational program won rapid acceptance

and, by the mid-15th century, many of the upper classes had
received Humanist educations, possibly in addition to traditional
scholastic ones. Some of the highest officials of the church were
Humanists with the resources to amass important libraries. Such
was Cardinal Basilios Bessarion, a convert to the Latin church from
Greek Orthodoxy, who was considered for the papacy and was one
of the most learned scholars of his time.
Following the Crusader sacking of Constantinople and the end of the

Byzantine Empire in 1453, the migration of Byzantine Greek scholars
and é migré s, who had greater familiarity with ancient languages and
works, furthered the revival of Greek and Roman literature and
science.
17 .3.3: Education and Humanism

Humanism played a major role in education during the Renaissance,
with the goal of cultivating the moral and intellectual character of
citizens.
Learning Objective
Define Humanism and its goals as a movement in education
Key Points
The Humanists of the Renaissance created schools to teach
their ideas and wrote books all about education.
One of the most profound and important schools was
established and created by V ittorino da Feltre in 1423 in Mantua
to provide the children of the ruler of Mantua with a Humanist
education.
Humanists sought to create a citizenry able to speak and write
with eloquence and clarity, thus capable of engaging in the civic
life of their communities and persuading others to virtuous and
prudent actions.
Humanist schools combined Christianity and classical texts to
produce a model of education for all of Europe.
Key Terms
Humanism
A cultural and intellectual movement in 14th–16th century

Europe characterized by attention to Classical culture and a
promotion of vernacular texts, notably during the Renaissance.
V ittorino da Feltre
An Italian humanist and teacher who started an important

humanist school in Mantua.
Liberal arts
Those areas of learning that require and cultivate general

intellectual ability rather than technical skills; the humanities.
Cicero
A Roman philosopher, politician, lawyer, orator, political theorist,

consul, and constitutionalist who lived from 106–43 BCE.
Overview
During the Renaissance, Humanism played a major role in
education. Humanists —proponents or practitioners of Humanism
during the Renaissance—believed that human beings could be
dramatically changed by education. The Humanists of the
Renaissance created schools to teach their ideas and wrote books
all about education. Humanists sought to create a citizenry able to
speak and write with eloquence and clarity, thus capable of engaging
in the civic life of their communities and persuading others to
virtuous and prudent actions. This was to be accomplished through
the study of the humanities: grammar, rhetoric, history, poetry, and
moral philosophy.
The Humanists believed that it was important to transcend to the

afterlife with a perfect mind and body, which could be attained with
education. The purpose of Humanism was to create a universal man
whose person combined intellectual and physical excellence and
who was capable of functioning honorably in virtually any situation.
This ideology was referred to as the uomo universale, an ancient
Greco-Roman ideal. Education during the Renaissance was mainly
composed of ancient literature and history, as it was thought that the
classics provided moral instruction and an intensive understanding of
human behavior.
The educational curriculum of Humanism spread throughout Europe

during the 16th century and became the educational foundation for
the schooling of European elites, the functionaries of political
administration, the clergy of the various legally recognized churches,
and the learned professionals of law and medicine.
Philosop hia et sep tem artes liberales
A painting symbolizing the liberal arts, depicting individuals
representing the seven areas of liberal arts study, all circling around
Plato and Socrates.
A painting symbolizing the liberal arts, depicting seven individuals

representing the seven areas of liberal arts study, all circling around
Plato and Aristotle.
Humanist Schools
One of the most important Humanist schools was established by
V ittorino da Feltre in 1423. The school was in Mantua, which is a
small Italian state. The ruler of Mantua had always wanted to provide
a Humanist education for his children, and the school was a way to
help him.
Most of Feltre's ideas were based on those of previous classical

authors, such as Cicero and Quintilian. The main foundation of the
school was liberal studies. Liberal arts were viewed as the key to
freedom, which allowed humans to achieve their goals and reach
their full potential. Liberal studies included philosophy, history,
rhetoric, letters, mathematics, poetry, music, and astronomy. Based
on the Greek idea of a "sound mind," the school in Mantua offered
physical education as well. This included archery, dance, hunting,
and swimming.
The children that attended the schools were generally from upper-
class families, though some seats were reserved for poor but
talented students. Females were not usually allowed to attend, but
were encouraged to know history, learn dance, and appreciate
poetry. Some important females that were educated during the
Renaissance were Isotta Nogarola, Cassandra Fedele of V enice,
and Laura Cereta.
Overall, Humanist education was thought at the time to be an

important factor in the preparation of life. Its main goal was to
improve the lives of citizens and help their communities. Humanist
schools combined Christianity and the classics to produce a model
of education for all of Europe.
Laura Cereta
Laura Cereta (1469–1499) was a Renaissance Humanist and
feminist. Most of her writing was in the form of letters to other
intellectuals.
Portrait of Laura Cereta
Attributions
Petrarch
"Petrarch." https://en.wikipedia.org/wiki/Petrarch. Wikipedia
CC BY-SA 3.0.
"Renaissance."
https://en.wikipedia.org/wiki/Renaissance# Humanism.
"340px-Francesco_Petrarca2.jpg."
https://en.wikipedia.org/wiki/Petrarch# /media/File:Francesc
o_Petrarca2.jpg. Wikipedia CC BY-SA 3.0.
Humanism
"David (Donatello)."
https://en.wikipedia.org/wiki/David_(Donatello). Wikipedia
CC BY-SA 3.0.
"Paolo Uccello." https://en.wikipedia.org/wiki/Paolo_Uccello.
"The Battle of San Romano."
https://en.wikipedia.org/wiki/The_Battle_of_San_Romano.
"Humanism." http://en.wikipedia.org/wiki/Humanism.
"High Renaissance."
http://en.wikipedia.org/wiki/High%20Renaissance.
"Uccello Battle of San Romano Uffizi."
http://en.wikipedia.org/wiki/File:Uccello_Battle_of_San_Ro
mano_Uffizi.jpg. Wikipedia CC BY-SA.
"Donatello - David - Floren& # 231;a."
https://commons.wikimedia.org/wiki/File:Donatello_-
_David_-_Floren%C3%A7a.jpg. Wikimedia CC BY-SA.
Education and Humanism
"Education and humanism."
http://en.wikipedia.org/wiki/Education_and_Humanism.
"Cicero." http://en.wikipedia.org/wiki/Cicero. Wikipedia CC
BY-SA 3.0.
"Humanism." http://en.wikipedia.org/wiki/Humanism.
"V ittorino da Feltre."
http://en.wikipedia.org/wiki/V ittorino_da_Feltre. Wikipedia
CC BY-SA 3.0.
"liberal arts." http://en.wiktionary.org/wiki/liberal_arts.
"Hortus_Deliciarum,_Die_Philosophie_mit_den_sieben_frei
en_Kü nsten.JPG."
https://en.wikipedia.org/wiki/Liberal_arts_education# /media/
File:Hortus_Deliciarum,_Die_Philosophie_mit_den_sieben_
freien_Kunsten.JPG. Wikipedia CC BY-SA 3.0.
"Laura Cereta."
http://en.wikipedia.org/wiki/Laura_Cereta%23mediaviewer/
File:LauraCereta.jpg. Wikipedia Public domain.
17 .4: Art in the Renaissance
17 .4.1: The Italian Renaissance
The art of the Italian Renaissance was influential throughout Europe
for centuries.
Learning Objective
Describe the art and periodization of the Italian Renaissance
Key Points
The Florence school of painting became the dominant style
during the Renaissance. Renaissance artworks depicted more
secular subject matter than previous artistic movements.
Michelangelo, da V inci, and Rafael are among the best known
painters of the High Renaissance.
The High Renaissance was followed by the Mannerist
movement, known for elongated figures.
Key Terms
Mannerism
A style of art developed at the end of the High Renaissance,

characterized by the deliberate distortion and exaggeration of
perspective, especially the elongation of figures.
fresco
A type of wall painting in which color pigments are mixed with
water and applied to wet plaster. As the plaster and pigments
dry, they fuse together and the painting becomes a part of the
wall itself.
The Renaissance began during the 14th century and remained the
dominate style in Italy, and in much of Europe, until the 16th century.
The term "renaissance" was developed during the 19th century in
order to describe this period of time and its accompanying artistic
style. However, people who were living during the Renaissance did
see themselves as different from their Medieval predecessors.
Through a variety of texts that survive, we know that people living
during the Renaissance saw themselves as different largely because
they were deliberately trying to imitate the Ancients in art and
architecture.
Florence and the Renaissance

When you hear the term "Renaissance" and picture a style of art,
you are probably picturing the Renaissance style that was developed
in Florence, which became the dominate style of art during the
Renaissance. During the Middle Ages and the Renaissance, Italy
was divided into a number of different city states. Each city state had
its own government, culture, economy, and artistic style. There were
many different styles of art and architecture that were developed in
Italy during the Renaissance. Siena, which was a political ally of
France, for example, retained a Gothic element to its art for much of
the Renaissance.
Certain conditions aided the development of the Renaissance style

in Florence during this time period. In the 15th century, Florence
became a major mercantile center. The production of cloth drove
their economy and a merchant class emerged. Humanism, which
had developed during the 14th century, remained an important
intellectual movement that impacted art production as well.
Early Renaissance
During the Early Renaissance, artists began to reject the Byzantine
style of religious painting and strove to create realism in their
depiction of the human form and space. This aim toward realism
began with Cimabue and Giotto, and reached its peak in the art of
the "Perfect" artists, such as Andrea Mantegna and Paolo Uccello,
who created works that employed one point perspective and played
with perspective for their educated, art knowledgeable viewer.
During the Early Renaissance we also see important developments

in subject matter, in addition to style. While religion was an important
element in the daily life of people living during the Renaissance, and
remained a driving factor behind artistic production, we also see a
new avenue open to panting—mythological subject matter. Many
scholars point to Botticelli's Birth of V enus as the very first panel
painting of a mythological scene. While the tradition itself likely arose
from cassone painting, which typically featured scenes from
mythology and romantic texts, the development of mythological
panel painting would open a world for artistic patronage, production,
and themes.
Birth of V enus
Botticelli's Birth of V enus was among the most important works of
the early Renaissance.
The goddess V enus is depicted as a naked woman standing on a

shell. On the left are two figures blowing on her, and on the right is a
woman reaching out to her.
High Renaissance
The period known as the High Renaissance represents the
culmination of the goals of the Early Renaissance, namely the
realistic representation of figures in space rendered with credible
motion and in an appropriately decorous style. The most well known
artists from this phase are Leonardo da V inci, Raphael, Titian, and
Michelangelo. Their paintings and frescoes are among the most
widely known works of art in the world. Da V inci's Last Supper,
Raphael's The School of Athens and Michelangelo's Sistine Chapel
Ceiling paintings are the masterpieces of this period and embody the
elements of the High Renaissance.
Marriage of the V irgin, by Raphael
The painting depicts a marriage ceremony between Mary and
Joseph.
Mannerism
High Renaissance painting evolved into Mannerism in Florence.
Mannerist artists, who consciously rebelled against the principles of
High Renaissance, tended to represent elongated figures in illogical
spaces. Modern scholarship has recognized the capacity of
Mannerist art to convey strong, often religious, emotion where the
High Renaissance failed to do so. Some of the main artists of this
period are Pontormo, Bronzino, Rosso Fiorentino, Parmigianino and
Raphael's pupil, Giulio Romano.
17 .4.2: Art and Patronage

The Medici family used their vast fortune to control the Florentine
political system and sponsor a series of artistic accomplishments.
Learning Objective
Discuss the relationship between art, patronage, and politics during
the Renaissance
Key Points
Although the Renaissance was underway before the Medici
family came to power in Florence, their patronage and political
support of the arts helped catalyze the Renaissance into a fully
fledged cultural movement.
The Medici wealth and influence initially derived from the textile
trade guided by the guild of the Arte della Lana; through
financial superiority, the Medici dominated their city's
government.
Medici patronage was responsible for the majority of Florentine
art during their reign, as artists generally only made their works
when they received commissions in advance.
Although none of the Medici themselves were scientists, the
family is well known to have been the patrons of the famous
Galileo Galilei, who tutored multiple generations of Medici
children.
Key Terms
patronage
The support, encouragement, privilege, or financial aid that an

organization or individual bestows on another, especially in the
arts.
Lorenzo de' Medici
An Italian statesman and de facto ruler of the Florentine

Republic, who was one of the most powerful and enthusiastic
patrons of the Renaissance.
Overview
It has long been a matter of debate why the Renaissance began in
Florence, and not elsewhere in Italy. Scholars have noted several
features unique to Florentine cultural life that may have caused such
a cultural movement. Many have emphasized the role played by the
Medici, a banking family and later ducal ruling house, in patronizing
and stimulating the arts. Lorenzo de' Medici (1449–1492) was the
catalyst for an enormous amount of arts patronage, encouraging his
countrymen to commission works from the leading artists of
Florence, including Leonardo da V inci, Sandro Botticelli, and
Michelangelo Buonarroti. Works by Neri di Bicci, Botticelli, da V inci,
and Filippino Lippi had been commissioned additionally by the
convent di San Donato agli Scopeti of the Augustinians order in
Florence.
The Medici House Patronage

The House of Medici was an Italian banking family, political dynasty,
and later royal house that first began to gather prominence under
Cosimo de' Medici in the Republic of Florence during the first half of
the 15th century. Their wealth and influence initially derived from the
textile trade guided by the guild of the Arte della Lana. Like other
signore families, they dominated their city's government, they were
able to bring Florence under their family's power, and they created
an environment where art and Humanism could flourish. They, along
with other families of Italy, such as the V isconti and Sforza of Milan,
the Este of Ferrara, and the Gonzaga of Mantua, fostered and
inspired the birth of the Italian Renaissance.
The biggest accomplishments of the Medici were in the sponsorship

of art and architecture, mainly early and High Renaissance art and
architecture. The Medici were responsible for the majority of
Florentine art during their reign. Their money was significant
because during this period, artists generally only made their works
when they received commissions in advance. Giovanni di Bicci de'
Medici, the first patron of the arts in the family, aided Masaccio and
commissioned Brunelleschi for the reconstruction of the Basilica of
San Lorenzo, Florence, in 1419. Cosimo the Elder's notable artistic
associates were Donatello and Fra Angelico. The most significant
addition to the list over the years was Michelangelo Buonarroti
(1475–1564), who produced work for a number of Medici, beginning
with Lorenzo the Magnificent, who was said to be extremely fond of
the young Michelangelo, inviting him to study the family collection of
antique sculpture. Lorenzo also served as patron of Leonardo da
V inci (1452–1519) for seven years. Indeed, Lorenzo was an artist in
his own right, and an author of poetry and song; his support of the
arts and letters is seen as a high point in Medici patronage.
The Medici House
Medici family members placed allegorically in the entourage of a king
from the Three Wise Men in the Tuscan countryside in a Benozzo
Gozzoli fresco, c. 1459.
A painting showing an entourage of people in the foreground, a

rocky countryside with people and animals in the middle ground, and
a castle in the background.
In architecture, the Medici are responsible for some notable features

of Florence, including the Uffizi Gallery, the Boboli Gardens, the
Belvedere, the Medici Chapel, and the Palazzo Medici. Later, in
Rome, the Medici Popes continued in the family tradition by
patronizing artists in Rome. Pope Leo X would chiefly commission
works from Raphael. Pope Clement V II commissioned Michelangelo
to paint the altar wall of the Sistine Chapel just before the pontiff's
death in 1534. Eleanor of Toledo, princess of Spain and wife of
Cosimo I the Great, purchased the Pitti Palace from Buonaccorso
Pitti in 1550. Cosimo in turn patronized V asari, who erected the Uffizi
Gallery in 1560 and founded the Accademia delle Arti del Disegno
("Academy of the Arts of Drawing") in 1563. Marie de' Medici, widow
of Henry IV of France and mother of Louis X III, is the subject of a
commissioned cycle of paintings known as the Marie de' Medici
cycle, painted for the Luxembourg Palace by court painter Peter Paul
Rubens in 1622–1623.
Although none of the Medici themselves were scientists, the family is

well known to have been the patrons of the famous Galileo Galilei,
who tutored multiple generations of Medici children and was an
important figurehead for his patron's quest for power. Galileo's
patronage was eventually abandoned by Ferdinando II when the
Inquisition accused Galileo of heresy. However, the Medici family did
afford the scientist a safe haven for many years. Galileo named the
four largest moons of Jupiter after four Medici children he tutored,
although the names Galileo used are not the names currently used.
17 .4.3: Leonardo da V inci

While Leonardo da V inci is admired as a scientist, an academic, and
an inventor, he is most famous for his achievements as the painter of
several Renaissance masterpieces.
Learning Objective
Describe the works of Leonardo da V inci that demonstrate his most
innovative techniques as an artist
Key Points
Among the qualities that make da V inci's work unique are the
innovative techniques that he used in laying on the paint, his
detailed knowledge of anatomy, his innovative use of the human
form in figurative composition, and his use of sfumato.
Among the most famous works created by da V inci is the small
portrait titled the Mona Lisa, known for the elusive smile on the
woman's face, brought about by the fact that da V inci subtly
shadowed the corners of the mouth and eyes so that the exact
nature of the smile cannot be determined.
Despite his famous paintings, da V inci was not a prolific painter;
he was a prolific draftsman, keeping journals full of small
sketches and detailed drawings recording all manner of things
that interested him.
Key Term
sfumato
In painting, the application of subtle layers of translucent paint

so that there is no visible transition between colors, tones, and
often objects.
While Leonardo da V inci is greatly admired as a scientist, an

academic, and an inventor, he is most famous for his achievements
as the painter of several Renaissance masterpieces. His paintings
were groundbreaking for a variety of reasons and his works have
been imitated by students and discussed at great length by
connoisseurs and critics.
Among the qualities that make da V inci's work unique are the
innovative techniques that he used in laying on the paint, his detailed
knowledge of anatomy, his use of the human form in figurative
composition, and his use of sfumato. All of these qualities are
present in his most celebrated works, the Mona Lisa, The Last
Supper, and the V irgin of the Rocks.
The V irgin of the Rocks, Leonardo da
V inci, 148 3– 148 6
This painting shows the Madonna and Child Jesus with the
infant John the Baptist and an angel, in a rocky setting.
The Last Supper

Da V inci's most celebrated painting of the 1490s is The Last Supper,
which was painted for the refectory of the Convent of Santa Maria
della Grazie in Milan. The painting depicts the last meal shared by
Jesus and the 12 Apostles where he announces that one of the them
will betray him. When finished, the painting was acclaimed as a
masterpiece of design. This work demonstrates something that da
V inci did very well: taking a very traditional subject matter, such as
the Last Supper, and completely re-inventing it.
Prior to this moment in art history, every representation of the Last

Supper followed the same visual tradition: Jesus and the Apostles
seated at a table. Judas is placed on the opposite side of the table of
everyone else and is effortlessly identified by the viewer. When da
V inci painted The Last Supper he placed Judas on the same side of
the table as Christ and the Apostles, who are shown reacting to
Jesus as he announces that one of them will betray him. They are
depicted as alarmed, upset, and trying to determine who will commit
the act. The viewer also has to determine which figure is Judas, who
will betray Christ. By depicting the scene in this manner, da V inci has
infused psychology into the work.
Unfortunately, this masterpiece of the Renaissance began to

deteriorate immediately after da V inci finished painting, due largely
to the painting technique that he had chosen. Instead of using the
technique of fresco, da V inci had used tempera over a ground that
was mainly gesso in an attempt to bring the subtle effects of oil paint
to fresco. His new technique was not successful, and resulted in a
surface that was subject to mold and flaking.
The Last Supper
Leonardo da V inci's Last Supper, although much deteriorated,
demonstrates the painter's mastery of the human form in figurative
composition.
Mona Lisa
Among the works created by da V inci in the 16th century is the small
portrait known as the Mona Lisa, or La G ioconda, "the laughing one."
In the present era it is arguably the most famous painting in the
world. Its fame rests, in particular, on the elusive smile on the
woman's face—its mysterious quality brought about perhaps by the
fact that the artist has subtly shadowed the corners of the mouth and
eyes so that the exact nature of the smile cannot be determined.
The shadowy quality for which the work is renowned came to be

called sfumato, the application of subtle layers of translucent paint so
that there is no visible transition between colors, tones, and often
objects. Other characteristics found in this work are the unadorned
dress, in which the eyes and hands have no competition from other
details; the dramatic landscape background, in which the world
seems to be in a state of flux; the subdued coloring; and the
extremely smooth nature of the painterly technique, employing oils,
but applied much like tempera and blended on the surface so that
the brushstrokes are indistinguishable. And again, da V inci is
innovating upon a type of painting here. Portraits were very common
in the Renaissance. However, portraits of women were always in
profile, which was seen as proper and modest. Here, da V inci
present a portrait of a woman who not only faces the viewer but
follows them with her eyes.
Mona Lisa
In the Mona Lisa, da V inci incorporates his sfumato technique to
create a shadowy quality.
V irgin and Child with St. Anne

In the painting V irgin and Child with St. Anne, da V inci's composition
again picks up the theme of figures in a landscape. What makes this
painting unusual is that there are two obliquely set figures
superimposed. Mary is seated on the knee of her mother, St. Anne.
She leans forward to restrain the Christ Child as he plays roughly
with a lamb, the sign of his own impending sacrifice. This painting
influenced many contemporaries, including Michelangelo, Raphael,
and Andrea del Sarto. The trends in its composition were adopted in
particular by the V enetian painters Tintoretto and V eronese.
V irgin and Child with Saint Anne
V irgin and Child with St. Anne (c. 1510) by Leonardo da V inci,
Louvre Museum.
17 .4.4: Michelangelo
Michelangelo was a 16th century Florentine artist renowned for his
masterpieces in sculpture, painting, and architectural design.
Learning Objective
Discuss Michelangelo's achievements in sculpture, painting, and
architecture
Key Points
Michelangelo created his colossal marble statue, the David, out
of a single block of marble, which established his prominence as
a sculptor of extraordinary technical skill and strength of
symbolic imagination.
In painting, Michelangelo is renowned for the ceiling and The
Last J udgement of the Sistine Chapel, where he depicted a
complex scheme representing Creation, the Downfall of Man,
the Salvation of Man, and the Genealogy of Christ.
Michelangelo's chief contribution to Saint Peter's Basilica was
the use of a Greek Cross form and an external masonry of
massive proportions, with every corner filled in by a stairwell or
small vestry. The effect is a continuous wall-surface that
appears fractured or folded at different angles.
Key Terms
contrapposto
The standing position of a human figure where most of the

weight is placed on one foot, and the other leg is relaxed. The
effect of contrapposto in art makes figures look very naturalistic.
Sistine Chapel
The best-known chapel in the Apostolic Palace.
Michelangelo was a 16th century Florentine artist renowned for his

masterpieces in sculpture, painting, and architectural design. His
most well known works are the David, the Last J udgment, and the
Basilica of Saint Peter's in the V atican.
Sculpture: D avid
In 1504, Michelangelo was commissioned to create a colossal
marble statue portraying David as a symbol of Florentine freedom.
The subsequent masterpiece, David, established the artist's
prominence as a sculptor of extraordinary technical skill and strength
of symbolic imagination. David was created out of a single marble
block, and stands larger than life, as it was originally intended to
adorn the Florence Cathedral. The work differs from previous
representations in that the Biblical hero is not depicted with the head
of the slain Goliath, as he is in Donatello's and V errocchio's statues;
both had represented the hero standing victorious over the head of
Goliath. No earlier Florentine artist had omitted the giant altogether.
Instead of appearing victorious over a foe, David's face looks tense
and ready for combat. The tendons in his neck stand out tautly, his
brow is furrowed, and his eyes seem to focus intently on something
in the distance. V eins bulge out of his lowered right hand, but his
body is in a relaxed contrapposto pose, and he carries his sling
casually thrown over his left shoulder. In the Renaissance,
contrapposto poses were thought of as a distinctive feature of
antique sculpture.
The David by Michelangelo, 15 04
Michelangelo's David stands in contrapposto pose.
The sculpture was intended to be placed on the exterior of the

Duomo, and has become one of the most recognized works of
Renaissance sculpture.
Painting: The Last J udgem ent
In painting, Michelangelo is renowned for his work in the Sistine
Chapel. He was originally commissioned to paint tromp-l'oeil coffers
after the original ceiling developed a crack. Michelangelo lobbied for
a different and more complex scheme, representing Creation, the
Downfall of Man, the Promise of Salvation through the prophets, and
the Genealogy of Christ. The work is part of a larger scheme of
decoration within the chapel that represents much of the doctrine of
the Catholic Church.
The composition eventually contained over 300 figures, and had at

its center nine episodes from the Book of Genesis, divided into three
groups: God's Creation of the Earth, God's Creation of Humankind,
and their fall from God's grace, and lastly, the state of Humanity as
represented by Noah and his family. Twelve men and women who
prophesied the coming of the Jesus are painted on the pendentives
supporting the ceiling. Among the most famous paintings on the
ceiling are The Creation of Adam, Adam and Eve in the Garden of
Eden, the Great Flood, the Prophet Isaiah and the Cumaean Sibyl.
The ancestors of Christ are painted around the windows.
The fresco of The Last J udgment on the altar wall of the Sistine
Chapel was commissioned by Pope Clement V II, and Michelangelo
labored on the project from 1536–1541. The work is located on the
altar wall of the Sistine Chapel, which is not a traditional placement
for the subject. Typically, last judgement scenes were placed on the
exit wall of churches as a way to remind the viewer of eternal
punishments as they left worship. The Last J udgment is a depiction
of the second coming of Christ and the apocalypse; where the souls
of humanity rise and are assigned to their various fates, as judged by
Christ, surrounded by the Saints. In contrast to the earlier figures
Michelangelo painted on the ceiling, the figures in The Last
J udgement are heavily muscled and are in much more artificial
poses, demonstrating how this work is in the Mannerist style.
In this work Michelangelo has rejected the orderly depiction of the
last judgement as established by Medieval tradition in favor of a
swirling scene of chaos as each soul is judged. When the painting
was revealed it was heavily criticized for its inclusion of classical
imagery as well as for the amount of nude figures in somewhat
suggestive poses. The ill reception that the work received may be
tied to the Counter Reformation and the Council of Trent, which lead
to a preference for more conservative religious art devoid of classical
references. Although a number of figures were made more modest
with the addition of drapery, the changes were not made until after
the death of Michelangelo, demonstrating the respect and admiration
that was afforded to him during his lifetime.
The Last J udgement
The fresco of The Last J udgment on the altar wall of the Sistine
Chapel was commissioned by Pope Clement V II. Michelangelo
worked on the project from 1534–1541.
Architecture: St. Peter's

Basilica
Finally, although other architects were involved, Michelangelo is
given credit for designing St. Peter's Basilica. Michelangelo's chief
contribution was the use of a symmetrical plan of a Greek Cross
form and an external masonry of massive proportions, with every
corner filled in by a stairwell or small vestry. The effect is of a
continuous wall surface that is folded or fractured at different angles,
lacking the right angles that usually define change of direction at the
corners of a building. This exterior is surrounded by a giant order of
Corinthian pilasters all set at slightly different angles to each other, in
keeping with the ever-changing angles of the wall's surface. Above
them the huge cornice ripples in a continuous band, giving the
appearance of keeping the whole building in a state of compression.
St. Peter's Basillica

Michelangelo designed the dome of St. Peter's Basilica on or before
1564, although it was unfinished when he died.
17 .4.5 : Mannerism
Mannerist artists began to reject the harmony and ideal proportions
of the Renaissance in favor of irrational settings, artificial colors,
unclear subject matters, and elongated forms.
Learning Objective
Describe the Mannerist style, how it differs from the Renaissance,
and reasons why it emerged.
Key Points
Mannerism came after the High Renaissance and before the
Baroque.
The artists who came a generation after Raphael and
Michelangelo had a dilemma. They could not surpass the great
works that had already been created by Leonardo da V inci,
Raphael, and Michelangelo. This is when we start to see
Mannerism emerge.
Jacopo da Pontormo (1494–1557) represents the shift from the
Renaissance to the Mannerist style.
Key Term
Mannerism
Style of art in Europe from c. 1520–1600. Mannerism came after

the High Renaissance and before the Baroque. Not every artist
painting during this period is considered a Mannerist artist.
Mannerism is the name given to a style of art in Europe from c.

1520–1600. Mannerism came after the High Renaissance and
before the Baroque. Not every artist painting during this period is
considered a Mannerist artist, however, and there is much debate
among scholars over whether Mannerism should be considered a
separate movement from the High Renaissance, or a stylistic phase
of the High Renaissance. Mannerism will be treated as a separate
art movement here as there are many differences between the High
Renaissance and the Mannerist styles.
Style
What makes a work of art Mannerist? First we must understand the
ideals and goals of the Renaissance. During the Renaissance artists
were engaging with classical antiquity in a new way. In addition, they
developed theories on perspective, and in all ways strived to create
works of art that were perfect, harmonious, and showed ideal
depictions of the natural world. Leonardo da V inci, Raphael, and
Michelangelo are considered the artists who reached the greatest
achievements in art during the Renaissance.
The Renaissance stressed harmony and beauty and no one could

create more beautiful works than the great three artists listed above.
The artists who came a generation after had a dilemma; they could
not surpass the great works that had already been created by da
V inci, Raphael, and Michelangelo. This is when we start to see
Mannerism emerge. Younger artists trying to do something new and
different began to reject harmony and ideal proportions in favor of
irrational settings, artificial colors, unclear subject matters, and
elongated forms.
J acopo da Pontormo
Jacopo da Pontormo (1494–1557) represents the shift from the
Renaissance to the Mannerist style. Take for example his Deposition
from the Cross, an altarpiece that was painted for a chapel in the
Church of Santa Felicita, Florence. The figures of Mary and Jesus
appear to be a direct reference to Michelangelo's Pieta. Although the
work is called a "Deposition," there is no cross. Scholars also refer to
this work as the "Entombment" but there is no tomb. This lack of
clarity on subject matter is a hallmark of Mannerist painting. In
addition, the setting is irrational, almost as if it is not in this world,
and the colors are far from naturalistic. This work could not have
been produced by a Renaissance artist. The Mannerist movement
stresses different goals and this work of art by Pontormo
demonstrates this new, and different style.
Pontormo, D ep osition from the C ross,
15 25 -15 28 , Church of Santa Felicita,
Florence
This work of art by Pontormo demonstrates the hallmarks of the
Mannerist style: unclear subject matter, irrational setting, and
artificial colors.
Attributions
The Italian Renaissance
"Mannerism." http://en.wiktionary.org/wiki/Mannerism.
"The Marriage of the V irgin (Raphael)."
https://en.wikipedia.org/wiki/The_Marriage_of_the_V irgin_(
Raphael). Wikipedia CC BY-SA 3.0.
"The Birth of V enus (Botticelli)."
http://en.wikipedia.org/wiki/The_Birth_of_V enus_(Botticelli).
http://en.wikipedia.org/wiki/Italian_Renaissance. Wikipedia
CC BY-SA 3.0.
"sfumato." http://en.wiktionary.org/wiki/sfumato. Wiktionary
CC BY-SA 3.0.
"fresco." http://en.wiktionary.org/wiki/fresco. Wiktionary CC
BY-SA 3.0.
"Italian Renaissance painting."
http://en.wikipedia.org/wiki/Italian_Renaissance_painting.
"Sandro Botticelli - La nascita di V enere - Google Art
Project - edited."
http://en.wikipedia.org/wiki/File:Sandro_Botticelli_-
_La_nascita_di_V enere_-_Google_Art_Project_-
_edited.jpg. Wikipedia Public domain.
Art and Patronage
"Renaissance."
https://en.wikipedia.org/wiki/Renaissance# Cultural_conditio
ns_in_Florence. Wikipedia CC BY-SA 3.0.
"House of Medici."
https://en.wikipedia.org/wiki/House_of_Medici. Wikipedia
CC BY-SA 3.0.
"Gozzoli_magi.jpg."
https://en.wikipedia.org/wiki/House_of_Medici# /media/File:
Gozzoli_magi.jpg. Wikipedia CC BY-SA 3.0.
Leonardo da V inci
"Leonardo da V inci."
http://en.wikipedia.org/wiki/Leonardo_da_V inci%23Painting.
"Leonardo Da V inci."
http://en.wikipedia.org/wiki/Leonardo%20Da%20V inci.
"sfumato." http://en.wiktionary.org/wiki/sfumato. Wiktionary
CC BY-SA 3.0.
"Leonardo_Da_V inci_-
_V ergine_delle_Rocce_28Louvre29.jpg."
https://en.wikipedia.org/wiki/V irgin_of_the_Rocks.
"Mona Lisa, by Leonardo da V inci, from C2RMF
retouched."
http://en.wikipedia.org/wiki/File:Mona_Lisa,_by_Leonardo_d
a_V inci,_from_C2RMF_retouched.jpg. Wikipedia Public
domain.
"& # 218;ltima Cena - Da V inci 5."
http://en.wikipedia.org/wiki/File:%C3%9Altima_Cena_-
_Da_V inci_5.jpg. Wikipedia Public domain.
"Leonardo da vinci, The V irgin and Child with Saint Anne
01."
http://en.wikipedia.org/wiki/File:Leonardo_da_vinci,_The_V i
rgin_and_Child_with_Saint_Anne_01.jpg. Wikipedia Public
domain.
Michelangelo
"Sistine Chapel."
http://en.wikipedia.org/wiki/Sistine%20Chapel. Wikipedia
CC BY-SA 3.0.
"Michelangelo."
http://en.wikipedia.org/wiki/Michelangelo%23Life_and_work
s. Wikipedia CC BY-SA 3.0.
"St Peter's Basilica."
http://en.wikipedia.org/wiki/St_Peter's_Basilica%23Michela
ngelo.27s_contribution. Wikipedia CC BY-SA 3.0.
"David (Michelangelo)."
http://en.wikipedia.org/wiki/David_(Michelangelo)%23Interpr
etation. Wikipedia CC BY-SA 3.0.
"contrapposto." http://en.wiktionary.org/wiki/contrapposto.
"David von Michelangelo."
http://en.wikipedia.org/wiki/File:David_von_Michelangelo.jp
g. Wikipedia CC BY-SA.
"Petersdom von Engelsburg gesehen."
http://en.wikipedia.org/wiki/File:Petersdom_von_Engelsburg
_gesehen.jpg. Wikipedia Public domain.
"Michelangelo, Giudizio Universale 02."
http://en.wikipedia.org/wiki/File:Michelangelo,_Giudizio_Uni
versale_02.jpg. Wikipedia Public domain.
Mannerism
"The Deposition from the Cross (Pontormo)."
https://en.wikipedia.org/wiki/The_Deposition_from_the_Cro
ss_(Pontormo). Wikipedia CC BY-SA 3.0.
"Pontormo." https://en.wikipedia.org/wiki/Pontormo.
"Pontormo." https://en.wikipedia.org/wiki/Pontormo.
"Mannerism." https://en.wikipedia.org/wiki/Mannerism.
wikipedia CC BY-SA 3.0.
"Deposition_from_the_Cross__artble.com."
http://www.artble.com/artists/rosso_fiorentino/paintings/dep
osition_from_the_cross. artble Public domain.
17 .5 : Literature in the
Renaissance
17 .5 .1: The Rise of the V ernacular
Renaissance literature refers to European literature that was
influenced by the intellectual and cultural tendencies of the
Renaissance.
Learning Objective
Evaluate the influence of the different people, styles, and ideas that
influenced Renaissance literature
Key Points
In the 13th century, Italian authors began writing in their native
vernacular language rather than in Latin, French, or Provenç al.
The earliest Renaissance literature appeared in 14th century
Italy; Dante, Petrarch, and Machiavelli are notable examples of
Italian Renaissance writers.
From Italy the influence of the Renaissance spread across
Europe; the scholarly writings of Erasmus and the plays of
Shakespeare can be considered Renaissance in character.
Renaissance literature is characterized by the adoption of a
Humanist philosophy and the recovery of the classical literature
of Antiquity, and benefited from the spread of printing in the
latter part of the 15th century.
Key Terms
Spenserian stanza
Fixed verse form invented by Edmund Spenser for his epic

poem "The Faerie Queene." Each stanza contains nine lines in
total; the rhyme scheme of these lines is "ababbcbcc. "
anthropocentric
Believing human beings to be the central or most significant

species on the planet, or the assessing reality through an
exclusively human perspective.
vernacular

variety of the language.
Overview
The 13th century Italian literary revolution helped set the stage for
the Renaissance. Prior to the Renaissance, the Italian language was
not the literary language in Italy. It was only in the 13th century that
Italian authors began writing in their native vernacular language
rather than in Latin, French, or Provenç al. The 1250s saw a major
change in Italian poetry as the Dolce Stil Novo (Sweet New Style,
which emphasized Platonic rather than courtly love) came into its
own, pioneered by poets like Guittone d'Arezzo and Guido Guinizelli.
Especially in poetry, major changes in Italian literature had been
taking place decades before the Renaissance truly began.
With the printing of books initiated in V enice by Aldus Manutius, an

increasing number of works began to be published in the Italian
language, in addition to the flood of Latin and Greek texts that
constituted the mainstream of the Italian Renaissance. The source
for these works expanded beyond works of theology and towards the
pre-Christian eras of Imperial Rome and Ancient Greece. This is not
to say that no religious works were published in this period; Dante
Alighieri's The Divine Comedy reflects a distinctly medieval world
view. Christianity remained a major influence for artists and authors,
with the classics coming into their own as a second primary
influence.
At Florence the most celebrated Humanists wrote also in the vulgar

tongue, and commented on Dante and Petrarch and defended them
from their enemies. Leone Battista Alberti, the learned Greek and
Latin scholar, wrote in the vernacular, and V espasiano da Bisticci,
while he was constantly absorbed in Greek and Latin manuscripts,
wrote the V ite di uomini illustri, valuable for their historical contents
and rivaling the best works of the 14th century in their candor and
simplicity.
Renaissance Literature
The earliest Renaissance literature appeared in 14th century Italy;
Dante, Petrarch, and Machiavelli are notable examples of Italian
Renaissance writers. From Italy the influence of the Renaissance
spread at different rates to other countries, and continued to spread
throughout Europe through the 17th century. The English
Renaissance and the Renaissance in Scotland date from the late
15th century to the early 17th century. In northern Europe the
scholarly writings of Erasmus, the plays of Shakespeare, the poems
of Edmund Spenser, and the writings of Sir Philip Sidney may be
considered Renaissance in character.
The literature of the Renaissance was written within the general

movement of the Renaissance that arose in 13th century Italy and
continued until the 16th century while being diffused into the western
world. It is characterized by the adoption of a Humanist philosophy
and the recovery of the classical literature of Antiquity and benefited
from the spread of printing in the latter part of the 15th century. For
the writers of the Renaissance, Greco-Roman inspiration was shown
both in the themes of their writing and in the literary forms they used.
The world was considered from an anthropocentric perspective.
Platonic ideas were revived and put to the service of Christianity.
The search for pleasures of the senses and a critical and rational
spirit completed the ideological panorama of the period. New literary
genres such as the essay and new metrical forms such as the
sonnet and Spenserian stanza made their appearance.
The creation of the printing press (using movable type) by Johannes

Gutenberg in the 1450s encouraged authors to write in their local
vernacular rather than in Greek or Latin classical languages,
widening the reading audience and promoting the spread of
Renaissance ideas.
The impact of the Renaissance varied across the continent;

countries that were predominantly Catholic or predominantly
Protestant experienced the Renaissance differently. Areas where the
Orthodox Church was culturally dominant, as well as those areas of
Europe under Islamic rule, were more or less outside its influence.
The period focused on self-actualization and one's ability to accept
what is going on in one's life.
17 .5 .2: Renaissance W riters

The 13th and 14th century Italian literary revolution helped set the
stage for the Renaissance.
Learning Objective
Identify the key contributions made by Dante, Boccaccio, and Bruni
Key Points
The ideas characterizing the Renaissance had their origin in late
13th century Florence, in particular in the writings of Dante
Alighieri (1265–1321) and Petrarch (1304–1374).
The literature and poetry of the Renaissance was largely
influenced by the developing science and philosophy.
The Humanist Francesco Petrarch, a key figure in the renewed
sense of scholarship, was also an accomplished poet,
publishing several important works of poetry in Italian as well as
Latin.
Petrarch's disciple, Giovanni Boccaccio, became a major author
in his own right, whose major work, The Decameron, was a
source of inspiration and plots for many English authors in the
Renaissance.
A generation before Petrarch and Boccaccio, Dante Alighieri set
the stage for Renaissance literature with his Divine Comedy,
widely considered the greatest literary work composed in the
Italian language and a masterpiece of world literature.
Leonardo Bruni was an Italian humanist, historian, and
statesman, often recognized as the first modern historian.
Key Terms
humanist
One who studies classical antiquity and the intellectual adoption

of its philosophies, centered on the important role of humans in
the universe.
metaphysics
A branch of philosophy concerned with explaining the

fundamental nature of being and the world that encompasses it.
Overview
Many argue that the ideas characterizing the Renaissance had their
origin in late 13th century Florence, in particular in the writings of
Dante Alighieri (1265–1321) and Petrarch (1304–1374). Italian prose
of the 13th century was as abundant and varied as its poetry. In the
year 1282 a period of new literature began. With the school of Lapo
Gianni, Guido Cavalcanti, Cino da Pistoia, and Dante Alighieri, lyric
poetry became exclusively Tuscan. The whole novelty and poetic
power of this school consisted in, according to Dante, Q uando
Amore spira, noto, ed a q uel niodo Ch'ei detta dentro, vo
significando— that is, in a power of expressing the feelings of the
soul in the way in which love inspires them, in an appropriate and
graceful manner, fitting form to matter, and by art fusing one with the
other. Love is a divine gift that redeems man in the eyes of God, and
the poet's mistress is the angel sent from heaven to show the way to
salvation.
The literature and poetry of the Renaissance was largely influenced

by the developing science and philosophy. The Humanist Francesco
Petrarch, a key figure in the renewed sense of scholarship, was also
an accomplished poet, publishing several important works of poetry.
He wrote poetry in Latin, notably the Punic War epic Africa, but is
today remembered for his works in the Italian vernacular, especially
the Canz oniere, a collection of love sonnets dedicated to his
unrequited love, Laura. He was the foremost writer of sonnets in
Italian, and translations of his work into English by Thomas Wyatt
established the sonnet form in England, where it was employed by
William Shakespeare and countless other poets.
Giovanni Boccaccio
Petrarch's disciple, Giovanni Boccaccio, became a major author in
his own right. His major work was The Decameron, a collection of
100 stories told by ten storytellers who have fled to the outskirts of
Florence to escape the black plague over ten nights. The
Decameron in particular and Boccaccio's work in general were a
major source of inspiration and plots for many English authors in the
Renaissance, including Geoffrey Chaucer and William Shakespeare.
The various tales of love in The Decameron range from the erotic to
the tragic. Tales of wit, practical jokes, and life lessons contribute to
the mosaic. In addition to its literary value and widespread influence,
it provides a document of life at the time. Written in the vernacular of
the Florentine language, it is considered a masterpiece of classical
early Italian prose.
Boccaccio wrote his imaginative literature mostly in the Italian

vernacular, as well as other works in Latin, and is particularly noted
for his realistic dialogue that differed from that of his contemporaries,
medieval writers who usually followed formulaic models for character
and plot.
Discussions between Boccaccio and Petrarch were instrumental in

Boccaccio writing the G enealogia deorum gentilium; the first edition
was completed in 1360 and it remained one of the key reference
works on classical mythology for over 400 years. It served as an
extended defense for the studies of ancient literature and thought.
Despite the Pagan beliefs at the core of the G enealogia deorum
gentilium, Boccaccio believed that much could be learned from
antiquity. Thus, he challenged the arguments of clerical intellectuals
who wanted to limit access to classical sources to prevent any moral
harm to Christian readers. The revival of classical antiquity became
a foundation of the Renaissance, and his defense of the importance
of ancient literature was an essential requirement for its
development.
The D ecam eron
A depiction of Giovanni Boccaccio and Florentines who have fled
from the plague, the frame story for The Decameron.
A painting of an Italian countryside with men and women in the

foreground conversing.
Dante Alighieri
A generation before Petrarch and Boccaccio, Dante Alighieri set the
stage for Renaissance literature. His Divine Comedy, originally
called Comedì a and later christened Divina by Boccaccio, is widely
considered the greatest literary work composed in the Italian
language and a masterpiece of world literature.
In the late Middle Ages, the overwhelming majority of poetry was

written in Latin, and therefore was accessible only to affluent and
educated audiences. In De vulgari eloq uentia (On Eloquence in the
V ernacular), however, Dante defended use of the vernacular in
literature. He himself would even write in the Tuscan dialect for
works such as The New Life (1295) and the aforementioned Divine
Comedy; this choice, though highly unorthodox, set a hugely
important precedent that later Italian writers such as Petrarch and
Boccaccio would follow. As a result, Dante played an instrumental
role in establishing the national language of Italy. Dante's
significance also extends past his home country; his depictions of
Hell, Purgatory, and Heaven have provided inspiration for a large
body of Western art, and are cited as an influence on the works of
John Milton, Geoffrey Chaucer, and Lord Alfred Tennyson, among
many others.
Dante, like most Florentines of his day, was embroiled in the Guelph-
Ghibelline conflict. He fought in the Battle of Campaldino (June 11,
1289) with the Florentine Guelphs against the Arezzo Ghibellines.
After defeating the Ghibellines, the Guelphs divided into two factions:
the White Guelphs—Dante's party, led by V ieri dei Cerchi—and the
Black Guelphs, led by Corso Donati. Although the split was along
family lines at first, ideological differences arose based on opposing
views of the papal role in Florentine affairs, with the Blacks
supporting the pope and the Whites wanting more freedom from
Rome. Dante was accused of corruption and financial wrongdoing by
the Black Guelphs for the time that he was serving as city prior
(Florence's highest position) for two months in 1300. He was
condemned to perpetual exile; if he returned to Florence without
paying a fine, he could be burned at the stake.
At some point during his exile he conceived of the Divine Comedy,

but the date is uncertain. The work is much more assured and on a
larger scale than anything he had produced in Florence; it is likely he
would have undertaken such a work only after he realized his
political ambitions, which had been central to him up to his
banishment, had been halted for some time, possibly forever. Mixing
religion and private concerns in his writings, he invoked the worst
anger of God against his city and suggested several particular
targets that were also his personal enemies.
Portrait of Dante
Dante Alighieri was a major Italian poet of the Late Middle Ages who
influenced and set the precedent for Renaissance literature.
Head-and-chest side portrait of Dante in red and white coat and

cowl.
Leonardo Bruni
Leonardo Bruni (c. 1370–March 9, 1444) was an Italian Humanist,
historian, and statesman, often recognized as the most important
Humanist historian of the early Renaissance. He has been called the
first modern historian. He was the earliest person to write using the
three-period view of history: Antiquity, Middle Ages, and Modern.
The dates Bruni used to define the periods are not exactly what
modern historians use today, but he laid the conceptual groundwork
for a tripartite division of history.
Bruni's most notable work is Historiarum Florentini populi libri X I I

(History of the Florentine People, 12 Books), which has been called
the first modern history book. While it probably was not Bruni's
intention to secularize history, the three period view of history is
unquestionably secular, and for that Bruni has been called the first
modern historian. The foundation of Bruni's conception can be found
with Petrarch, who distinguished the classical period from later
cultural decline, or tenebrae (literally "darkness"). Bruni argued that
Italy had revived in recent centuries and could therefore be
described as entering a new age.
One of Bruni's most famous works is New Cicero, a biography of the

Roman statesman Cicero. He was also the author of biographies in
Italian of Dante and Petrarch. It was Bruni who used the phrase
"studia humanitatis," meaning the study of human endeavors, as
distinct from those of theology and metaphysics, which is where the
term "humanists" comes from.
As a Humanist Bruni was essential in translating into Latin many

works of Greek philosophy and history, such as those by Aristotle
and Procopius. Bruni's translations of Aristotle's Politics and
Nicomachean Ethics, as well as the pseudo-Aristotelean Economics,
were widely distributed in manuscript and in print.
17 .5 .3: Christine de Piz an
Christine de Pizan was an Italian-French late medieval author who
wrote about the positive contributions of women to European history
and court life.
Learning Objective
Discuss the significance of Christine de Pizan's work
Key Points
Christine de Pizan was an Italian-French late medieval author,
primarily a court writer, who wrote commissioned works for
aristocratic families and addressed literary debates of the era.
Her work is characterized by a prominent and positive depiction
of women who encouraged ethical and judicious conduct in
courtly life.
Much of the impetus for her writing came from her need to earn
a living to support her mother, a niece, and her two surviving
children after being widowed at the age of 25.
Christine's participation in a literary debate about Jean de
Meun's Romance of the Rose allowed her to move beyond the
courtly circles, and ultimately to establish her status as a writer
concerned with the position of women in society.
Key Terms
feminism
A range of political movements, ideologies, and social

movements that share a common goal: to define, establish, and
achieve political, economic, personal, and social rights for
women that are equal to those of men.
alchemist
A person who practices the philosophical and proto-scientific

tradition aimed to purify, mature, and perfect certain objects,
such as the transmutation of "base metals" (e.g., lead) into
"noble" ones (particularly gold) and the creation of an elixir of
immortality.
chivalry
A code of conduct associated with the medieval institution of

knighthood, which later developed into social and moral virtues
more generally.
Overview
Christine de Pizan (1364–1430) was an Italian-French late medieval
author. She served as a court writer for several dukes (Louis of
Orleans, Philip the Bold of Burgundy, and John the Fearless of
Burgundy) and the French royal court during the reign of Charles V I.
She wrote both poetry and prose works such as biographies and
books containing practical advice for women. She completed forty-
one works during her thirty-year career from 1399 to 1429. She
married in 1380 at the age of fifteen, and was widowed ten years
later. Much of the impetus for her writing came from her need to earn
a living to support her mother, a niece, and her two surviving
children. She spent most of her childhood and all of her adult life in
Paris and then the abbey at Poissy, and wrote entirely in her adopted
language, Middle French.
In recent decades, Christine de Pizan's work has been returned to

prominence by the efforts of scholars such as Charity Cannon
Willard, Earl Jeffrey Richards, and Simone de Beauvoir. Certain
scholars have argued that she should be seen as an early feminist
who efficiently used language to convey that women could play an
important role within society.
Christine de Piz an
A painting of Christine de Pizan, considered by some scholars to be
a proto-feminist, lecturing four men.
A painting of Christine de Pizan seated before an open book

lecturing four men below her.
Life
Christine de Pizan was born in 1364 in V enice, Italy. Following her
birth, her father, Thomas de Pizan, accepted an appointment to the
court of Charles V of France, as the king's astrologer, alchemist, and
physician. In this atmosphere, Christine was able to pursue her
intellectual interests. She successfully educated herself by
immersing herself in languages, in the rediscovered classics and
Humanism of the early Renaissance, and in Charles V 's royal
archive, which housed a vast number of manuscripts. But she did not
assert her intellectual abilities, or establish her authority as a writer,
until she was widowed at the age of 25.
In order to support herself and her family, Christine turned to writing.

By 1393, she was writing love ballads, which caught the attention of
wealthy patrons within the court. These patrons were intrigued by the
novelty of a female writer and had her compose texts about their
romantic exploits. Her output during this period was prolific. Between
1393 and 1412 she composed over 300 ballads, and many more
shorter poems.
Christine's participation in a literary debate, in 1401–1402, allowed

her to move beyond the courtly circles, and ultimately to establish
her status as a writer concerned with the position of women in
society. During these years, she involved herself in a renowned
literary controversy, the "Querelle du Roman de la Rose." She
helped to instigate this debate by beginning to question the literary
merits of Jean de Meun's The The Romance of the Rose. Written in
the 13th century, The Romance of the Rose satirizes the
conventions of courtly love while critically depicting women as
nothing more than seducers. Christine specifically objected to the
use of vulgar terms in Jean de Meun's allegorical poem. She argued
that these terms denigrated the proper and natural function of
sexuality, and that such language was inappropriate for female
characters such as Madam Reason. According to her, noble women
did not use such language. Her critique primarily stemmed from her
belief that Jean de Meun was purposely slandering women through
the debated text.
The debate itself was extensive, and at its end the principal issue
was no longer Jean de Meun’s literary capabilities; it had shifted to
the unjust slander of women within literary texts. This dispute helped
to establish Christine's reputation as a female intellectual who could
assert herself effectively and defend her claims in the male-
dominated literary realm. She continued to counter abusive literary
treatments of women.
W riting
Christine produced a large amount of vernacular works in both prose
and verse. Her works include political treatises, mirrors for princes,
epistles, and poetry.
Her early courtly poetry is marked by her knowledge of aristocratic

custom and fashion of the day, particularly involving women and the
practice of chivalry. Her early and later allegorical and didactic
treatises reflect both autobiographical information about her life and
views and also her own individualized and Humanist approach to the
scholastic learned tradition of mythology, legend, and history she
inherited from clerical scholars, and to the genres and courtly or
scholastic subjects of contemporary French and Italian poets she
admired. Supported and encouraged by important royal French and
English patrons, she influenced 15th century English poetry.
By 1405, Christine had completed her most famous literary works,

The Book of the City of Ladies and The Treasure of the City of
Ladies. The first of these shows the importance of women's past
contributions to society, and the second strives to teach women of all
estates how to cultivate useful qualities. In The Treasure of the City
of Ladies, she highlights the persuasive effect of women’s speech
and actions in everyday life. In this particular text, Christine argues
that women must recognize and promote their ability to make peace
between people. This ability will allow women to mediate between
husband and subjects. She also argues that slanderous speech
erodes one’s honor and threatens the sisterly bond among women.
Christine then argues that "skill in discourse should be a part of
every woman’s moral repertoire." She believed that a woman’s
influence is realized when her speech accords value to chastity,
virtue, and restraint. She argued that rhetoric is a powerful tool that
women could employ to settle differences and to assert themselves.
Additionally, The Treasure of the City of Ladies provides glimpses
into women's lives in 1400, from the great lady in the castle down to
the merchant's wife, the servant, and the peasant. She offers advice
to governesses, widows, and even prostitutes.
Picture from The B ook of the C ity of
Ladies
The Treasure of the City of Ladies is a manual of education by
medieval Italian-French author Christine de Pizan.
A painting depicting, on the right, two women building a wall and, on

the left, four women playing music from a book.
17 .5 .4: Machiavelli
Renaissance philosopher Niccolò Machiavelli sought to describe
political life as it really was rather than its philosophical ideal, as
infamously portrayed in his text The Prince.
Learning Objective
Analyze Machiavelli's impact during his own lifetime and in the
modern day
Key Points
Niccolò Machiavelli was an Italian Renaissance historian,
politician, diplomat, philosopher, Humanist, and writer, often
called the founder of modern political science.
His writings were innovative because of his emphasis on
practical and pragmatic strategies over philosophical ideals,
exemplified by such phrases as "He who neglects what is done
for what ought to be done, sooner effects his ruin than his
preservation."
His most famous text, The Prince, has been profoundly
influential, from the time of his life up to the present day, both on
politicians and philosophers.
The Prince describes strategies to be an effective statesman
and infamously includes justifications for treachery and violence
to retain power.
Key Terms
Machiavellian
Cunning and scheming in statecraft or in general conduct.
republicanism
An ideology of being a citizen in a state in which power resides

in elected individuals representing the citizen body.
realpolitik
Politics or diplomacy based primarily on considerations of given

circumstances and factors, rather than explicit ideological
notions or moral and ethical premises.
Overview
Niccolò Machiavelli (May 3, 1469–June 21, 1527) was an Italian
Renaissance historian, politician, diplomat, philosopher, Humanist,
and writer. He has often been called the founder of modern political
science. He was for many years a senior official in the Florentine
Republic, with responsibilities in diplomatic and military affairs. He
also wrote comedies, carnival songs, and poetry. His personal
correspondence is renowned in the Italian language. He was
secretary to the Second Chancery of the Republic of Florence from
1498 to 1512, when the Medici were out of power. He wrote his most
renowned work, The Prince (I l Principe) in 1513.
"Machiavellianism" is a widely used negative term to characterize

unscrupulous politicians of the sort Machiavelli described most
famously in The Prince. Machiavelli described immoral behavior,
such as dishonesty and killing innocents, as being normal and
effective in politics. He even seemed to endorse it in some
situations. The book itself gained notoriety when some readers
claimed that the author was teaching evil, and providing "evil
recommendations to tyrants to help them maintain their power." The
term "Machiavellian" is often associated with political deceit,
deviousness, and realpolitik. On the other hand, many
commentators, such as Baruch Spinoza, Jean-Jacques Rousseau,
and Denis Diderot, have argued that Machiavelli was actually a
republican, even when writing The Prince, and his writings were an
inspiration to Enlightenment proponents of modern democratic
political philosophy.
Portrait of Niccolò Machiavelli
Machiavelli is a political philosopher infamous for his justification of
violence in his treatise The Prince.
Portrait of Machiavelli showing his holding a book in his right hand

and leather gloves in his left.
The Prince
Machiavelli's best-known book, The Prince, contains several maxims
concerning politics. Instead of the more traditional target audience of
a hereditary prince, it concentrates on the possibility of a "new
prince." To retain power, the hereditary prince must carefully balance
the interests of a variety of institutions to which the people are
accustomed. By contrast, a new prince has the more difficult task in
ruling: he must first stabilize his newfound power in order to build an
enduring political structure. Machiavelli suggests that the social
benefits of stability and security can be achieved in the face of moral
corruption. Machiavelli believed that a leader had to understand
public and private morality as two different things in order to rule
well. As a result, a ruler must be concerned not only with reputation,
but also must be positively willing to act immorally at the right times.
As a political theorist, Machiavelli emphasized the occasional need

for the methodical exercise of brute force or deceit, including
extermination of entire noble families to head off any chance of a
challenge to the prince's authority. He asserted that violence may be
necessary for the successful stabilization of power and introduction
of new legal institutions. Further, he believed that force may be used
to eliminate political rivals, to coerce resistant populations, and to
purge the community of other men of strong enough character to
rule, who will inevitably attempt to replace the ruler. Machiavelli has
become infamous for such political advice, ensuring that he would be
remembered in history through the adjective "Machiavellian."
The Prince is sometimes claimed to be one of the first works of

modern philosophy, especially modern political philosophy, in which
the effective truth is taken to be more important than any abstract
ideal. It was also in direct conflict with the dominant Catholic and
scholastic doctrines of the time concerning politics and ethics. In
contrast to Plato and Aristotle, Machiavelli insisted that an imaginary
ideal society is not a model by which a prince should orient himself.
Influence
Machiavelli's ideas had a profound impact on political leaders
throughout the modern west, helped by the new technology of the
printing press. During the first generations after Machiavelli, his main
influence was in non-Republican governments. One historian noted
that The Prince was spoken of highly by Thomas Cromwell in
England and had influenced Henry V III in his turn towards
Protestantism and in his tactics, for example during the Pilgrimage of
Grace. A copy was also possessed by the Catholic king and emperor
Charles V . In France, after an initially mixed reaction, Machiavelli
came to be associated with Catherine de' Medici and the St.
Bartholomew's Day massacre. As one historian reports, in the 16th
century, Catholic writers "associated Machiavelli with the
Protestants, whereas Protestant authors saw him as Italian and
Catholic." In fact, he was apparently influencing both Catholic and
Protestant kings.
Modern materialist philosophy developed in the 16th, 17th, and 18th

centuries, starting in the generations after Machiavelli. This
philosophy tended to be republican, more in the original spirit of
Machiavellianism, but as with the Catholic authors, Machiavelli's
realism and encouragement of using innovation to try to control
one's own fortune were more accepted than his emphasis upon war
and politics. Not only were innovative economics and politics results,
but also modern science, leading some commentators to say that the
18th century Enlightenment involved a "humanitarian" moderating of
Machiavellianism.
Although Jean-Jacques Rousseau is associated with very different

political ideas, it is important to view Machiavelli's work from different
points of view rather than just the traditional notion. For example,
Rousseau viewed Machiavelli's work as a satirical piece in which
Machiavelli exposes the faults of one-man rule rather than exalting
amorality.
Scholars have argued that Machiavelli was a major indirect and

direct influence upon the political thinking of the Founding Fathers of
the United States due to his overwhelming favoritism of
republicanism and the republic type of government. Benjamin
Franklin, James Madison, and Thomas Jefferson followed
Machiavelli's republicanism when they opposed what they saw as
the emerging aristocracy that they feared Alexander Hamilton was
creating with the Federalist Party. Hamilton learned from Machiavelli
about the importance of foreign policy for domestic policy, but may
have broken from him regarding how rapacious a republic needed to
be in order to survive.
Attributions
The Rise of the V ernacular
"Niccol& # 242; Machiavelli."
http://en.wikipedia.org/wiki/Machiavelli. Wikipedia CC BY-
SA 3.0.
"Renaissance literature."
http://en.wikipedia.org/wiki/Renaissance_literature.
"Spenserian stanza."
http://en.wikipedia.org/wiki/Spenserian_stanza. Wikipedia
CC BY-SA 3.0.
"Anthropocentric."
http://en.wikipedia.org/wiki/Anthropocentric. Wikipedia CC
BY-SA 3.0.
"Dante." http://en.wikipedia.org/wiki/Dante. Wikipedia CC
BY-SA 3.0.
Renaissance Writers
"Giovanni Boccaccio."
https://en.wikipedia.org/wiki/Giovanni_Boccaccio. Wikipedia
CC BY-SA 3.0.
"Dante Alighieri."
https://en.wikipedia.org/wiki/Dante_Alighieri. Wikipedia CC
BY-SA 3.0.
"Leonardo Bruni."
https://en.wikipedia.org/wiki/Leonardo_Bruni. Wikipedia CC
BY-SA 3.0.
"Italian literature."
https://en.wikipedia.org/wiki/Italian_literature# The_14th_cen
tury:_the_roots_of_Renaissance. Wikipedia CC BY-SA 3.0.
"Giovanni_Boccaccio_and_Florentines_who_have_fled_fro
m_the_plague.jpg."
https://en.wikipedia.org/wiki/Giovanni_Boccaccio# /media/Fil
e:Giovanni_Boccaccio_and_Florentines_who_have_fled_fr
om_the_plague.jpg. Wikipedia CC BY-SA 3.0.
"Portrait_de_Dante.jpg."
https://en.wikipedia.org/wiki/Dante_Alighieri# /media/File:Por
trait_de_Dante.jpg. Wikipedia CC BY-SA 3.0.
Christine de Pizan
"Christine de Pizan."
https://en.wikipedia.org/wiki/Christine_de_Pizan. Wikipedia
CC BY-SA 3.0.
"540px-Meister_der_'Cité _des_Dames'_002.jpg."
https://en.wikipedia.org/wiki/Christine_de_Pizan# /media/Fil
e:Meister_der_%27Cite_des_Dames%27_002.jpg.
"Christine_de_Pisan_-_cathedra.jpg."
https://en.wikipedia.org/wiki/Christine_de_Pizan# /media/Fil
e:Christine_de_Pisan_-_cathedra.jpg. Wikipedia CC BY-SA
3.0.
Machiavelli
"The Prince." https://en.wikipedia.org/wiki/The_Prince.
"Niccolò Machiavelli."
https://en.wikipedia.org/wiki/Niccolo_Machiavelli. Wikipedia
CC BY-SA 3.0.
"440px-
Portrait_of_Niccolò _Machiavelli_by_Santi_di_Tito.jpg."
https://en.wikipedia.org/wiki/Niccolo_Machiavelli# /media/Fil
e:Portrait_of_Niccolo_Machiavelli_by_Santi_di_Tito.jpg.
17 .6: The Northern Renaissance
17 .6.1: Erasmus
Erasmus of Rotterdam was a renowned Humanist scholar and
theologian who wrote several important texts criticizing the
superstition and formalism of the church while upholding its core
spiritual values.
Learning Objective
Describe Erasmus and his connection to the Renaissance
Key Points
Erasmus was a Dutch Renaissance Humanist, Catholic priest,
social critic, teacher, and theologian known as the "Prince of the
Humanists" for his influential scholarship and writings.
Erasmus lived against the backdrop of the growing European
religious Reformation, but while he was critical of the abuses
within the Catholic church and called for reform, he kept his
distance from Luther and continued to recognize the authority of
the pope.
In The Handbook of the Christian Soldier, Erasmus outlines the
views of the normal Christian life and critiques formalism—going
through the motions of tradition without understanding their
basis in the teachings of Christ.
One of Erasmus's best-known works is I n Praise of Folly, a
satirical attack on superstitions and other traditions of European
society in general and the western church in particular.
Key Terms
satirical
Characteristic of a genre of literature in which vices, follies,

abuses, and shortcomings are held up to ridicule, ideally with
the intent of shaming individuals, groups, or society itself into
improvement.
ecclesiastic
The theological study of the Christian church.
Overview
Erasmus of Rotterdam, or simply Erasmus, was a Dutch
Renaissance Humanist, Catholic priest, social critic, teacher, and
theologian.
Erasmus was a classical scholar and wrote in a pure Latin style.

Among Humanists he enjoyed the name "Prince of the Humanists,"
and has been called "the crowning glory of the Christian Humanists."
Using Humanist techniques for working on texts, he prepared
important new Latin and Greek editions of the New Testament, which
raised questions that would be influential in the Protestant
Reformation and Catholic Counter-Reformation. He also wrote On
Free W ill, The Praise of Folly, Handbook of a Christian K night, On
Civility in Children, Copia: Foundations of the Abundant Style, J ulius
Ex clusus, and many other works.
Erasmus lived against the backdrop of the growing European

religious Reformation, but while he was critical of the abuses within
the Catholic church and called for reform, he kept his distance from
Luther and Melanchthon and continued to recognize the authority of
the pope, emphasizing a middle path with a deep respect for
traditional faith, piety, and grace, rejecting Luther's emphasis on faith
alone. Erasmus remained a member of the Roman Catholic church
all his life, staying committed to reforming the church and its clerics'
abuses from within. He also held to the Catholic doctrine of free will,
which some Reformers rejected in favor of the doctrine of
predestination. His middle road ("V ia Media") approach disappointed
and even angered scholars in both camps.
Approach to Scholarship
Erasmus preferred to live the life of an independent scholar and
made a conscious effort to avoid any actions or formal ties that might
inhibit his freedom of intellect and literary expression. Throughout his
life, he was offered many positions of honor and profit throughout the
academic world but declined them all, preferring the uncertain but
sufficient rewards of independent literary activity.
His residence at Leuven, where he lectured at the university,

exposed Erasmus to much criticism from those ascetics, academics,
and clerics hostile to the principles of literary and religious reform
and the loose norms of the Renaissance adherents to which he was
devoting his life.
He tried to free the methods of scholarship from the rigidity and

formalism of medieval traditions, but he was not satisfied with this.
His revolt against certain forms of Christian monasticism and
scholasticism was not based on doubts about the truth of doctrine,
nor from hostility to the organization of the church itself, nor from
rejection of celibacy or monastic lifestyles. He saw himself as a
preacher of righteousness by an appeal to reason, applied frankly
and without fear of the magisterium. He always intended to remain
faithful to Catholic doctrine, and therefore was convinced he could
frankly criticize virtually everyone and everything. Aloof from
entangling obligations, Erasmus was the center of the literary
movement of his time, corresponding with more than 500 men in the
worlds of politics and thought.
W ritings
Erasmus wrote both on ecclesiastic subjects and those of general
human interest. By the 1530s, the writings of Erasmus accounted for
ten to twenty percent of all book sales in Europe.
His serious writings begin early, with the Enchiridion militis Christiani
— the Handbook of the Christian Soldier (1503). In this short work,
Erasmus outlines the views of the normal Christian life, which he
was to spend the rest of his days elaborating. The chief evil of the
day, he says, is formalism—going through the motions of tradition
without understanding their basis in the teachings of Christ. Forms
can teach the soul how to worship God, or they may hide or quench
the spirit. In his examination of the dangers of formalism, Erasmus
discusses monasticism, saint worship, war, the spirit of class, and
the foibles of "society."
One of Erasmus's best-known works is I n Praise of Folly, a satirical

attack on superstitions and other traditions of European society in
general and the western church in particular, written in 1509. I n
Praise of Folly starts off with Folly praising herself, after the manner
of the Greek satirist Lucian, whose work Erasmus and Sir Thomas
More had recently translated into Latin, a piece of virtuoso foolery; it
then takes a darker tone in a series of orations, as Folly praises self-
deception and madness and moves to a satirical examination of
pious but superstitious abuses of Catholic doctrine and corrupt
practices in parts of the Roman Catholic church—to which Erasmus
was ever faithful—and the folly of pedants. Erasmus had recently
returned disappointed from Rome, where he had turned down offers
of advancement in the curia, and Folly increasingly takes on
Erasmus's own chastising voice. The essay ends with a
straightforward statement of Christian ideals.
Erasmus
Erasmus in 1523 as depicted by Hans Holbein the Younger. The
Greek and Latin words on the book translate to "The Herculean
Labours of Erasmus of Rotterdam."
A portrait of Erasmus indoors, placing his hands on a red book.
17 .6.2: The Printing Revolution

The invention of the printing press by Gutenberg led to the spread of
mass communication across Europe in only a few decades.
Learning Objective
Synthesize the impacts of the printing press on distribution of ideas
and mass communication
Key Points
In 1436 Johannes Gutenberg began work on the invention of a
new printing press that allowed precise molding of new type
blocks from a uniform template and allowed for the creation of
high-quality printed books.
Gutenberg is also credited with the introduction of an oil-based
ink that was more durable than the previously used water-based
inks. He tested colored inks in his Gutenberg Bible.
The printing press was a factor in the establishment of a
community of scientists who could easily communicate their
discoveries through widely disseminated scholarly journals,
helping to bring on the scientific revolution.
Because the printing process ensured that the same information
fell on the same pages, page numbering, tables of contents, and
indices became common.
The arrival of mechanical movable type printing introduced the
era of mass communication, which permanently altered the
structure of society. The relatively unrestricted circulation of
information and revolutionary ideas transcended borders.
Key Terms
Gutenberg Bible
The first major book printed in the West using movable type. It
marked the start of the age of the printed book in the West and
is widely praised for its high aesthetic and artistic qualities.
Johannes Gutenberg
(c. 1395–1468) A German blacksmith, goldsmith, printer, and
publisher who introduced printing to Europe. His invention of
mechanical movable type printing started the Printing Revolution
and is widely regarded as the most important event of the
modern period.
Overview
The printing press was invented in the Holy Roman Empire by the
German Johannes Gutenberg around 1440, based on existing screw
presses. Gutenberg, a goldsmith by profession, developed a
complete printing system that perfected the printing process through
all of its stages by adapting existing technologies to printing
purposes, as well as making groundbreaking inventions of his own.
His newly devised hand mould made possible for the first time the
precise and rapid creation of metal movable type in large quantities,
a key element in the profitability of the whole printing enterprise.
The printing press spread within several decades to over 200 cities
in a dozen European countries. By 1500, printing presses in
operation throughout Western Europe had already produced more
than 20 million volumes. In the 16th century, with presses spreading
further afield, their output rose tenfold to an estimated 150 to 200
million copies. The operation of a press became so synonymous with
the enterprise of printing that it lent its name to an entire new branch
of media, the press.
J ohannes Gutenberg
Johannes Gutenberg's work on the printing press began in
approximately 1436 when he partnered with Andreas Dritzehn—a
man he had previously instructed in gem-cutting—and Andreas
Heilmann, owner of a paper mill. However, it was not until a 1439
lawsuit against Gutenberg that an official record exists; witnesses'
testimony discussed Gutenberg's types, an inventory of metals
(including lead), and his type molds.
Early wooden printing press, depicted

in 15 68
Such presses could produce up to 240 impressions per hour. At the
left in the foreground, a "puller" removes a printed sheet from the
press. The "beater" to his right is inking the form. In the background,
compositors are setting type.
Having previously worked as a professional goldsmith, Gutenberg

made skillful use of the knowledge of metals he had learned as a
craftsman. He was the first to make type from an alloy of lead, tin,
and antimony, which was critical for yielding durable type that
produced high-quality printed books and proved to be much better-
suited for printing than all other known materials. To create these
lead types, Gutenberg used what is considered one of his most
ingenious inventions, a special matrix enabling the quick and precise
molding of new type blocks from a uniform template. His type case is
estimated to have contained around 290 separate letter boxes, most
of which were required for special characters, ligatures, punctuation
marks, etc.
Mass Communication
In Renaissance Europe, the arrival of mechanical movable type
printing introduced the era of mass communication, which
permanently altered the structure of society. The relatively
unrestricted circulation of information and (revolutionary) ideas
transcended borders, captured the masses in the Reformation, and
threatened the power of political and religious authorities; the sharp
increase in literacy broke the monopoly of the literate elite on
education and learning and bolstered the emerging middle class.
Across Europe, the increasing cultural self-awareness of its peoples
led to the rise of proto-nationalism, accelerated by the flowering of
the European vernacular languages to the detriment of Latin's status
as lingua franca.
As early as 1480 there were printers active in 110 different places in

Germany, Italy, France, Spain, the Netherlands, Belgium,
Switzerland, England, Bohemia, and Poland. From that time on, it is
assumed that "the printed book was in universal use in Europe." By
1500, the printing presses in operation throughout Western Europe
had already produced more than 20 million copies. In the following
century, their output rose tenfold to an estimated 150 to 200 million
copies.
The vast printing capacities meant that individual authors could now
become true bestsellers; at least 750,000 copies of Erasmus's works
were sold during his lifetime alone (1469–1536). In the period from
1518 to 1524, the publication of books in Germany alone
skyrocketed sevenfold; between 1518 and 1520, Luther's tracts were
distributed in 300,000 printed copies.
Spread of printing in the 15 th century

from Mainz , Germany
Printing places showing the spread of incunabula printing in the 15th
century. Two hundred seventy-one locations are known; the largest
of them are designated by name. The term "incunabula" referred to
printed materials and came to denote the printed books themselves
in the late 17th century.
Effect on Scholarship and

Literacy
The printing press was also a factor in the establishment of a
community of scientists who could easily communicate their
discoveries through widely disseminated scholarly journals, helping
to bring on the scientific revolution. Because of the printing press,
authorship became more meaningful and profitable. It was suddenly
important who had said or written what, and what the precise
formulation and time of composition was. This allowed the exact
citing of references, producing the rule, "one author, one work (title),
one piece of information." Before, the author was less important,
since a copy of Aristotle made in Paris would not be exactly identical
to one made in Bologna. For many works prior to the printing press,
the name of the author has been entirely lost.
Because the printing process ensured that the same information fell
on the same pages, page numbering, tables of contents, and indices
became common, though they previously had not been unknown.
The process of reading also changed, gradually moving over several
centuries from oral readings to silent, private reading. The wider
availability of printed materials also led to a drastic rise in the adult
literacy rate throughout Europe.
17 .6.3: Flemish Painting in the

Northern Renaissance
The Flemish School refers to artists who were active in Flanders
during the 15th and 16th centuries.
Learning Objective
Compare the artistic advances seen in the works of Robern Campin,
Jan van Eyck, and Rogier van der Weyden
Key Points
The three most prominent painters during this period, Jan van
Eyck, Robert Campin, and Rogier van der Weyden, were known
for making significant advances in illusionism, or the realistic
and precise representation of people, space, and objects.
The preferred subject matter of the Flemish School was typically
religious in nature, and the majority of the work was presented
as panels, usually in the form of diptychs or polyptychs.
While the Italian Renaissance was based on rediscoveries of
classical Greece and Rome, the Flemish school drew influence
from the region's Gothic past.
V an Eyck is known for signing and dating his work "ALS IK
KAN" ("AS I CAN").
Robert Campin has been identified with the signature "Master of
Flemalle."
Because the Flemish masters used a workshop system, they
were able to mass produce high-end panels for sale and export
throughout Europe.
Key Terms
illusionism
The realistic and precise representation of people, space, and

objects.
tempera
A type of painting where color pigments are mixed with a binder,

usually egg. Tempera can also refers to the finished work of art
itself.
triptych
A picture or series of pictures painted on three tablets

connected by hinges.
polyptych
A work consisting of multiple painted or carved panels joined
together, often with hinges.
The Flemish School

The Flemish School, which has also been called the Northern
Renaissance, the Flemish Primitive School, and Early Netherlandish,
refers to artists who were active in Flanders during the 15th and 16th
centuries, especially in the cities of Bruges and Ghent. The three
most prominent painters during this period—Jan van Eyck, Robert
Campin, and Rogier van der Weyden—were known for making
significant advances in illusionism, or the realistic and precise
representation of people, space, and objects. The preferred subject
matter of the Flemish School was typically religious in nature, but
small portraits were common as well. The majority of this work was
presented as either panels, single altarpieces, or more complex
altarpieces, which were usually in the form of diptychs or polyptychs.
During the 15th and 16th centuries, the Low Countries became a
political and artistic center focused around the cities of Bruges and
Ghent. Because Flemish masters employed a workshop system,
wherein craftsmen helped to complete their art, they were able to
mass produce high-end panels for sale throughout Europe. The
Flemish School emerged almost concurrently with the Italian
Renaissance. However, while the Italian Renaissance was based on
the rediscoveries of classical Greek and Roman culture, the Flemish
school drew influence from the area's Gothic past. These artists also
experimented with oil paint earlier than their Italian Renaissance
peers.
Robert Campin
Robert Campin, considered the first master of the Flemish School,
has been identified with the signature "Master of Flemalle," which
appears on numerous works of art. Campin is known for producing
highly realistic works, for making great use of perspective and
shading, and for being one of the first artists to work with oil paint
instead of tempera. One of his best known works, the Merode
Altarpiece, is a triptych that depicts an Annunciation Scene. The
Archangel Gabriel approaches Mary as she is reading in a room that
is recognized as a typical middle class Flanders home. The work is
highly realistic, and the objects throughout the painting conveyed
recognizable, religious meaning to viewers at the time.
The Merode A ltarp iece attributed to

Robert Campin
The Merode Altarpiece is a triptych that features the Archangel
Gabriel approaching Mary, who is reading in a well-decorated, typical
middle class Flanders home.
J an V an Eyck
Jan van Eyck, a contemporary of Campin, is widely considered to be
one of the most significant Northern European painters of the 15th
century. He is known for signing and dating his work "ALS IK KAN"
("AS I CAN"). Signatures were not particularly customary during this
time, but helped to secure his lasting reputation. Active in Bruges,
and very popular within his own lifetime, van Eyck's work was highly
innovative and technical. It exhibited a masterful manipulation of oil
paint and a high degree of realism. While van Eyck completed many
famous paintings, perhaps his most famous is the G hent Altarpiece,
a commissioned polyptych from around 1432.
The Ghent A ltarp iece by J an van Eyck

The G hent Altarpiece, a commissioned polyptych from around 1432,
is perhaps van Eyck's most famous work.
Rogier van der W eyden

Rogier van der Weyden is the last of the three most renowned Early
Flemish painters. An apprentice under Robert Campin, van der
Weyden exhibited many stylistic similarities, including the use of
realism. Highly successful in his lifetime, his surviving works are
mainly religious triptychs, altarpieces, and commissioned portraits.
By the end of the 15th century, van der Weyden surpassed even van
Eyck in popularity. V an der Weyden's most well-known painting is
The Descent From the Cross, circa 1435.
The D escent from the C ross by Rogier
van der W eyden
V an der Weyden's most well-known painting is The Descent From
the Cross, circa 1435.
Attributions
Erasmus
"Desiderius Erasmus."
https://en.wikipedia.org/wiki/Desiderius_Erasmus.
"Holbein-erasmus.jpg."
https://en.wikipedia.org/wiki/Desiderius_Erasmus# /media/Fi
le:Holbein-erasmus.jpg. Wikipedia CC BY-SA 3.0.
The Printing Revolution
"Johannes Gutenberg."
http://en.wikipedia.org/wiki/Johannes_Gutenberg. Wikipedia
CC BY-SA 3.0.
"Gutenberg Bible."
http://en.wikipedia.org/wiki/Gutenberg_Bible. Wikipedia CC
BY-SA 3.0.
"Printing Press." http://en.wikipedia.org/wiki/Printing_press.
"Incunable." http://en.wikipedia.org/wiki/Incunable.
"Printing towns incunabula."
http://en.wikipedia.org/wiki/Global_spread_of_the_printing_
press%23mediaviewer/File:Printing_towns_incunabula.svg.
"Printer in 1568."
http://en.wikipedia.org/wiki/File:Printer_in_1568-ce.png.
Flemish Painting in the Northern Renaissance
"The Descent from the Cross (van der Weyden)."
https://en.wikipedia.org/wiki/The_Descent_from_the_Cross
_(van_der_Weyden). Wikipedia CC BY-SA 3.0.
"ARTH111: Introduction to Western Art History - Proto-
Renaissance to Contemporary Art."
https://legacy.saylor.org/arth111/Intro/. Saylor CC BY 3.0.
"Early Netherlandish painting."
http://en.wikipedia.org/wiki/Early_Netherlandish_painting.
"Jan van Eyck." http://en.wikipedia.org/wiki/Jan_van_Eyck.
"Northern Renaissance."
http://en.wikipedia.org/wiki/Northern_Renaissance.
"Robert Campin."
http://en.wikipedia.org/wiki/Robert_Campin. Wikipedia CC
BY-SA 3.0.
"tempera." http://en.wiktionary.org/wiki/tempera. Wiktionary
CC BY-SA 3.0.
"Dutch and Flemish Renaissance painting."
http://en.wikipedia.org/wiki/Dutch_and_Flemish_Renaissan
ce_painting. Wikipedia CC BY-SA 3.0.
"Rogier van der Weyden."
http://en.wikipedia.org/wiki/Rogier_van_der_Weyden.
"The Northern Renaissance." http://www.saylor.org/site/wp-
content/uploads/2012/08/HIST302-8.3.1-Northern-
Renaissance-FINAL.pdf. Saylor CC BY 3.0.
"triptych." http://en.wiktionary.org/wiki/triptych. Wiktionary
CC BY-SA 3.0.
"polyptych." http://en.wiktionary.org/wiki/polyptych.
"El Descendimiento, by Rogier van der Weyden, from
Prado in Google Earth."
http://en.wikipedia.org/wiki/File:El_Descendimiento,_by_Ro
gier_van_der_Weyden,_from_Prado_in_Google_Earth.jpg.
"Merodealtarpiece."
http://en.wikipedia.org/wiki/File:Merodealtarpiece.jpg.
"Lamgods open."
http://en.wikipedia.org/wiki/File:Lamgods_open.jpg.
Wikipedia CC BY-SA.
18 : The Rise of Nation-States
18 .1: Nation-States and
Sovereignty
18 .1.1: Introduction to Nation-States
Although the definition, origins, and early history of nation-states are
disputed, "nation-state" remains one of the central categories of the
modern world.
Learning Objective
Define a nation-state
Key Points
The concept of a nation-state is notoriously difficult to define. A
working and imprecise definition is: a type of state that conjoins
the political entity of a state to the cultural entity of a nation, from
which it aims to derive its political legitimacy to rule and
potentially its status as a sovereign state.
The origins and early history of nation-states are disputed. Two
major theoretical questions have been debated. First, "Which
came first, the nation or the nation-state? " Second, "Is nation-
state a modern or an ancient idea? " Scholars continue to debate
a number of possible hypotheses.
Most commonly, the idea of a nation-state was and is
associated with the rise of the modern system of states, often
called the "Westphalian system" in reference to the Treaty of
Westphalia (1648).
Nation-states have their own characteristics that today may be
taken-for-granted factors shaping a modern state, but that all
developed in contrast to pre-national states.
The most obvious impact of the nation-state is the creation of a
uniform national culture through state policy. Its most
demonstrative examples are national systems of compulsory
primary education that usually popularize a common language
and historical narratives.
Key Terms
declarative theory of statehood
A theory that defines a state as a person in international law if it

meets the following criteria: 1) a defined territory; 2) a
permanent population; 3) a government; and 4) a capacity to
enter into relations with other states. According to it, an entity's
statehood is independent of its recognition by other states.
constitutive theory of statehood
A theory that defines a state as a person in international law if,

and only if, it is recognized as sovereign by other states. This
theory of recognition was developed in the 19th century. Under
it, a state was sovereign if another sovereign state recognized it
as such.
Westphalian system
A global system based on the principle of international law that

each state has sovereignty over its territory and domestic
affairs, to the exclusion of all external powers, on the principle of
non-interference in another country's domestic affairs, and that
each state (no matter how large or small) is equal in
international law. The doctrine is named after the Peace of
Westphalia, signed in 1648, which ended the Thirty Years' War.
Nation-Station: Challenges of
Definition
The concept of a nation-state is notoriously difficult to define.
Anthony Smith, one of the most influential scholars of nation-states
and nationalism, argued that a state is a nation-state only if and
when a single ethnic and cultural population inhabits the boundaries
of a state, and the boundaries of that state are coextensive with the
boundaries of that ethnic and cultural population. This is a very
narrow definition that presumes the existence of the "one nation, one
state" model. Consequently, less than 10% of states in the world
meet its criteria. The most obvious deviation from this largely ideal
model is the presence of minorities, especially ethnic minorities,
which ethnic and cultural nationalists exclude from the majority
nation. The most illustrative historical examples of groups that have
been specifically singled out as outsiders are the Roma and Jews in
Europe. In legal terms, many nation-states today accept specific
minorities as being part of the nation, which generally implies that
members of minorities are citizens of a given nation-state and enjoy
the same rights and liberties as members of the majority nation.
However, nationalists and, consequently, symbolic narratives of the
origins and history of nation-states often continue to exclude
minorities from the nation-state and the nation.
According to a wider working definition, a nation-state is a type of

state that conjoins the political entity of a state to the cultural entity of
a nation, from which it aims to derive its political legitimacy to rule
and potentially its status as a sovereign state if one accepts the
declarative theory of statehood as opposed to the constitutive theory.
A state is specifically a political and geopolitical entity, while a nation
is a cultural and ethnic one. The term "nation-state" implies that the
two coincide, in that a state has chosen to adopt and endorse a
specific cultural group as associated with it. The concept of a nation-
state can be compared and contrasted with that of the multinational
state, city-state, empire, confederation, and other state formations
with which it may overlap. The key distinction is the identification of a
people with a polity in the nation-state.
Origins
The origins and early history of nation-states are disputed. Two
major theoretical questions have been debated. First, "Which came
first, the nation or the nation-state? " Second, "Is nation-state a
modern or an ancient idea? " Some scholars have advanced the
hypothesis that the nation-state was an inadvertent byproduct of
15th century intellectual discoveries in political economy, capitalism,
mercantilism, political geography, and geography combined together
with cartography and advances in map-making technologies. For
others, the nation existed first, then nationalist movements arose for
sovereignty, and the nation-state was created to meet that demand.
Some "modernization theories" of nationalism see it as a product of
government policies to unify and modernize an already existing
state. Most theories see the nation-state as a modern European
phenomenon, facilitated by developments such as state-mandated
education, mass literacy, and mass media (including print). However,
others look for the roots of nation-states in ancient times.
Most commonly, the idea of a nation-state was and is associated

with the rise of the modern system of states, often called the
"Westphalian system" in reference to the Treaty of Westphalia
(1648). The balance of power that characterized that system
depended on its effectiveness upon clearly defined, centrally
controlled, independent entities, whether empires or nation-states,
that recognized each other's sovereignty and territory. The
Westphalian system did not create the nation-state, but the nation-
state meets the criteria for its component states.
European boundaries set by the
Congress of V ienna, 18 15
This map of Europe, outlining borders in 1815, demonstrates that still
at the beginning of the 19th century, Europe was divided mostly into
empires, kingdoms, and confederations. Hardly any of the entities on
the map would meet the criteria of the nation-state.
Characteristics
Nation-states have their own characteristics that today may be
taken-for-granted factors shaping a modern state, but that all
developed in contrast to pre-national states. Their territory is
considered semi-sacred and nontransferable. Nation-states use the
state as an instrument of national unity, in economic, social, and
cultural life. Nation-states typically have a more centralized and
uniform public administration than their imperial predecessors
because they are smaller and less diverse. After the 19th-century
triumph of the nation-state in Europe, regional identity was usually
subordinate to national identity. In many cases, the regional
administration was also subordinate to central (national)
government. This process has been partially reversed from the
1970s onward, with the introduction of various forms of regional
autonomy in formerly centralized states (e.g., France).
The most obvious impact of the nation-state, as compared to its non-

national predecessors, is the creation of a uniform national culture
through state policy. The model of the nation-state implies that its
population constitutes a nation, united by a common descent, a
common language, and many forms of shared culture. When the
implied unity was absent, the nation-state often tried to create it. The
creation of national systems of compulsory primary education is
usually linked with the popularization of nationalist narratives. Even
today, primary and secondary schools around the world often teach
a mythologized version of national history.
Bacon's standard map of Europe,
1923
While some European nation-states emerged throughout the 19th
century, the end of World War I meant the end of empires on the
continent. They all broke down into a number of smaller states.
However, not until the tragedy of World War II and the post-war shifts
of borders and population resettlement did many European states
become more ethnically and culturally homogeneous and thus closer
to the ideal nation-state.
18 .1.2: The Peace of W estphalia and

Sovereignty
Although the Peace of Westphalia did not end war in Europe, it
established the precedent of peace reached by diplomatic congress
and a new system of political order in Europe based upon the
concept of co-existing sovereign states.
Learning Objective
Explain the significance of the Peace of Westphalia on European
politics and diplomacy.
Key Points
The Peace of Westphalia was a series of peace treaties signed
between May and October 1648 in the Westphalian cities of
Osnabrü ck and Mü nster. The treaties ended the Thirty Years'
War and the Eighty Years' War.
The Thirty Years' War was a series of wars in Central Europe
between 1618 and 1648. Initially a war between various
Protestant and Catholic states in the fragmented Holy Roman
Empire, it developed into a conflict involving most of the great
powers.
The Eighty Years' War, or Dutch War of Independence (1568–
1648), was a revolt of the Seventeen Provinces against the
political and religious hegemony of Philip II of Spain, the
sovereign of the Habsburg Netherlands.
According to the Peace of Westphalia, all parties would
recognize the Peace of Augsburg of 1555; Christians of non-
dominant denominations were guaranteed the right to practice
their faith; and the exclusive sovereignty of each party over its
lands, people, and agents abroad was recognized. Multiple
territorial adjustments were also decided.
The Peace of Westphalia established the precedent of peace
reached by diplomatic congress and a new system of political
order in Europe based upon the concept of co-existing
sovereign states. The Westphalian principle of the recognition of
another state's sovereignty and right to decide its own fate rests
at the foundations of international law today.
The European colonization of Asia and Africa in the 19th century
and two global wars in the 20th century dramatically undermined
the principles established in Westphalia.
Key Terms
cuius regio, eius religio
A Latin phrase that literally means "Whose realm, his religion,"

meaning that the religion of the ruler was to dictate the religion
of those ruled. At the Peace of Augsburg of 1555 the rulers of
the German-speaking states and Charles V , the emperor,
agreed to accept this principle.
The Eighty Years' War
A revolt, known also as the Dutch War of Independence (1568–

1648), of the Seventeen Provinces against the political and
religious hegemony of Philip II of Spain, the sovereign of the
Habsburg Netherlands.
The Thirty Years' War
A series of wars in Central Europe between 1618 and 1648.

Initially a war between various Protestant and Catholic states in
the fragmented Holy Roman Empire, it gradually developed into
a more general conflict involving most of the great powers.
The Peace of Westphalia

1648 in the Westphalian cities of Osnabrü ck and Mü nster. The
treaties ended the Thirty Years' War (1618–1648) in the Holy
Roman Empire and the Eighty Years' War (1568–1648) between
Spain and the Dutch Republic, with Spain formally recognizing
the independence of the Dutch Republic.
Westphalian sovereignty
The principle of international law that each nation-state has

sovereignty over its territory and domestic affairs, to the
exclusion of all external powers, on the principle of non-
interference in another country's domestic affairs, and that each
state (no matter how large or small) is equal in international law.
The doctrine is named after the Peace of Westphalia, signed in
1648.
Peace of Augsburg of 1555
A treaty between Charles V and the forces of the Schmalkaldic

League, an alliance of Lutheran princes, on September 25,
1555, at the imperial city of Augsburg, in present-day Bavaria,
Germany. It officially ended the religious struggle between the
two groups and made the legal division of
Christendom permanent within the Holy Roman Empire.
Introduction
Osnabrü ck and Mü nster. The treaties ended the Thirty Years' War
(1618–1648) in the Holy Roman Empire and the Eighty Years' War
(1568–1648) between Spain and the Dutch Republic, with Spain
formally recognizing the independence of the Dutch Republic. The
peace negotiations involved a total of 109 delegations representing
European powers. The treaties did not restore peace throughout
Europe, but they did create a basis for national self-determination.
Background: W ars in Europe

Two destructive wars were the major triggers behind signing the
eventual Peace of Westphalia: the Thirty Years' War in the Holy
Roman Empire and the Eighty Years' War between Spain and the
Dutch Republic.

between 1618 and 1648. Initially a war between various Protestant
and Catholic states in the fragmented Holy Roman Empire, it
gradually developed into a more general conflict involving most of
the great powers. The war began when the newly elected Holy
Roman Emperor, Ferdinand II, tried to impose religious uniformity on
his domains, forcing Roman Catholicism on its peoples. The
northern Protestant states, angered by the violation of their rights to
choose granted in the Peace of Augsburg, banded together to form
the Protestant Union. These events caused widespread fears
throughout northern and Central Europe, and triggered the
Protestant Bohemians living in the dominion of Habsburg Austria to
revolt against their nominal ruler, Ferdinand II. They ousted the
Habsburgs and instead elected Frederick V , Elector of Palatinate, as
their monarch. Frederick took the offer without the support of the
union. The southern states, mainly Roman Catholic, were angered
by this. Led by Bavaria, these states formed the Catholic League to
expel Frederick in support of the emperor.
The war became less about religion and more of a continuation of

the France–Habsburg rivalry for European political preeminence.
Sweden, a major military power in the day, intervened in 1630 under
the great general Gustavus Adolphus and started the full-scale great
war on the continent. Spain, wishing to finally crush the Dutch rebels
in the Netherlands and the Dutch Republic, intervened under the
pretext of helping their dynastic Habsburg ally, Austria. No longer
able to tolerate the encirclement of two major Habsburg powers on
its borders, Catholic France entered the coalition on the side of the
Protestants to counter the Habsburgs.
The Thirty Years' War devastated entire regions, with famine and
disease significantly decreasing the populations of the German and
Italian states, the Crown of Bohemia, and the Southern Netherlands.
The war altered the previous political order of European powers. The
rise of Bourbon France, the curtailing of Habsburg ambition, and the
ascendancy of Sweden as a great power created a new balance of
power on the continent, with France emerging from the war
strengthened and increasingly dominant in the latter part of the 17th
century.
The Eighty Years' War or Dutch War of Independence (1568–
1648) was a revolt of the Seventeen Provinces against the political
and religious hegemony of Philip II of Spain, the sovereign of the
Habsburg Netherlands. After the initial stages, Philip II deployed his
armies and regained control over most of the rebelling provinces.
However, under the leadership of the exiled William the Silent, the
northern provinces continued their resistance. They were eventually
able to oust the Habsburg armies, and in 1581 they established the
Republic of the Seven United Netherlands. The war continued in
other areas, although the heartland of the republic was no longer
threatened. After a twelve-year truce, hostilities broke out again
around 1619, which coincided with the Thirty Years' War.
The Peace of W estphalia

Since Lutheran Sweden preferred Osnabrü ck as a conference
venue, its peace negotiations with the Holy Roman Empire, including
the allies of both sides, took place in Osnabrü ck. The empire and its
opponent France, including the allies of each, as well as the
Republic of the Seven United Netherlands and its opponent Spain
(and their respective allies), negotiated in Mü nster. The peace
negotiations had no exact beginning and ending, because the
participating total of 109 delegations never met in a plenary session,
but arrived between 1643 and 1646 and left between 1647 and
1649.
According to the Peace of Westphalia, all parties would recognize

the Peace of Augsburg of 1555, in which each prince would have the
right to determine the religion of his own state (the principle of cuius
regio, eius religio). Christians living in principalities where their
denomination was not the established church were guaranteed the
right to practice their faith in public during allotted hours and in
private at their will. The delegates also recognized the exclusive
sovereignty of each party over its lands, people, and agents abroad,
and responsibility for the warlike acts of any of its citizens or agents.
Multiple territorial adjustments were also decided. Among the most
important ones was the recognition of the independence of
Switzerland from the Holy Roman Empire and the expansion of the
territories of France, Sweden, and Brandenburg-Prussia (later
Prussia). The independence of the city of Bremen was clarified. Also,
barriers to trade and commerce erected during the war were
abolished, and "a degree" of free navigation was guaranteed on the
Rhine.
Historical map of Europe after the
Peace of W estphalia. From " An
Historical Atlas Containing a
Chronological Series of One Hundred
and Four Maps, at Successive
Periods, from the Dawn of History to
the Present Day" by Robert H.
Labberton, 18 8 4.
The map shows the possessions of the two branches of the house of
Habsburg [ purple] ; the possessions of the house of Hohenzollern
(union of Prussia with Brandenburg) [ blue] ; the Swedish empire on
both shores of the Baltic and in northern Germany; the Danish
monarchy, Denmark, Norway, and Scania; the British isles, with the
battlefields of the civil wars; France, with the battlefields of the civil
wars [ red] ; Germany with the battlefields of the Thirty Years’ War; the
republic of Poland at its greatest extent; the western boundary of
Russia.
Legacy
The Peace of Westphalia established the precedent of peace
reached by diplomatic congress and a new system of political order
in Europe based upon the concept of co-existing sovereign states.
Inter-state aggression was to be held in check by a balance of
power. A norm was established against interference in another
state's domestic affairs, known as the principle of Westphalian
sovereignty. This principle of international law presumes that each
state has sovereignty over its territory and domestic affairs, to the
exclusion of all external powers, on the principle of non-interference
in another country's domestic affairs, and that each state (no matter
how large or small) is equal in international law. As European
influence spread across the globe, these Westphalian principles,
especially the concept of sovereign states, became central to
international law and to the prevailing world order. However, the
European colonization of Asia and Africa in the 19th century and two
global wars in the 20th century dramatically undermined the
principles established in Westphalia.
After the fall of the Soviet Union, power was seen as unipolar with
the United States in absolute control, though nuclear proliferation
and the rise of Japan, the European Union, the Middle East, China,
and a resurgent Russia have begun to recreate a multipolar political
environment. Instead of a traditional balance of power, inter-state
aggression may now be checked by the preponderance of power, a
sharp contrast to the Westphalian principle.
The Ratification of the Treaty of
Mü nster, 15 May 1648 ( 1648 ) by
Gerard ter Borch.
Two cities, Osnabrü ck and Mü nster, were chosen to host the peace
talks based on religious divisions between the participating
delegations.
Attributions
Introduction to Nation-States
"Westphalian sovereignty."
https://en.wikipedia.org/wiki/Westphalian_sovereignty.
"Anthony D. Smith."
https://en.wikipedia.org/wiki/Anthony_D._Smith. Wikipedia
CC BY-SA 3.0.
"Nation state." https://en.wikipedia.org/wiki/Nation_state.
"Sovereign state."
https://en.wikipedia.org/wiki/Sovereign_state. Wikipedia CC
BY-SA 3.0.
"Europe_in_1923.jpg."
https://commons.wikimedia.org/wiki/File:Europe_in_1923.jp
"Map_congress_of_vienna.jpg."
https://en.wikipedia.org/wiki/History_of_Europe# /media/File:
Map_congress_of_vienna.jpg. Wikipedia Public domain.
The Peace of Westphalia and Sovereignty
"Peace of Westphalia."
https://en.wikipedia.org/wiki/Peace_of_Westphalia.
"Westphalian sovereignty."
https://en.wikipedia.org/wiki/Westphalian_sovereignty.
"Eighty Years' War."
https://en.wikipedia.org/wiki/Eighty_Years%27_War.
"Thirty Years' War."
https://en.wikipedia.org/wiki/Thirty_Years%27_War.
"Cuius regio, eius religio."
https://en.wikipedia.org/wiki/Cuius_regio,_eius_religio.
"Peace of Augsburg."
https://en.wikipedia.org/wiki/Peace_of_Augsburg. Wikipedia
CC BY-SA 3.0.
"1024px-
Westfaelischer_Friede_in_Muenster_Gerard_Terborch_164
8.jpg."
https://en.wikipedia.org/wiki/Peace_of_Westphalia# /media/
File:Westfaelischer_Friede_in_Muenster_(Gerard_Terborch
_1648).jpg. Wikipedia Public domain.
"1024px-Europe_1648_westphal_1884.jpg."
File:Europe_1648_westphal_1884.jpg. Wikipedia Public
domain.
18 .2: Spain and Catholicism
18 .2.1: The Reconquista
The Reconquista is a period in the history of the Iberian Peninsula
dominated by almost constant warfare between Muslims and
Christians and followed by the Spanish Inquisition.
Learning Objective
Explain how the Reconquista led to Spain's increasing commitment
to Catholicism
Key Points
The Reconquista is a period in the history of the Iberian
Peninsula, spanning approximately 770 years, between the
initial Umayyad conquest of Hispania in the 710s and the fall of
the Emirate of Granada, the last Islamic state on the peninsula,
to expanding Christian kingdoms in 1492.
By 718 the Muslims were in control of nearly the whole Iberian
Peninsula. The advance into Western Europe was only stopped
in what is now north-central France by the West Germanic
Franks at the Battle of Tours in 732.
The Kingdom of Asturias became the main base for Christian
resistance to Islamic rule in the Iberian Peninsula for several
centuries. Medieval Spain was the scene of almost constant
warfare between Muslims and Christians.
By 1250, nearly all of Iberia was back under Christian rule, with
the exception of the Muslim kingdom of Granada—the only
independent Muslim realm in Spain that would last until 1492.
Around 1480, Catholic Monarchs Ferdinand II of Aragon and
Isabella I of Castile (known as the Catholic Monarchs)
established what would be known as the Spanish Inquisition. It
was intended to maintain Catholic orthodoxy in their kingdoms.
In the aftermath of the Reconquista and the Inquisition,
Catholicism dominated the politics, social relations, and culture
of Spain, shaping Spain as a state and the Spanish as a nation.
Key Terms
Alhambra Decree
An edict issued on March 31, 1492, by the joint Catholic

Monarchs of Spain (Isabella I of Castile and Ferdinand II of
Aragon) ordering the expulsion of practicing Jews from the
Kingdoms of Castile and Aragon and its territories and
possessions by July 31 of that year.
Battle of Covadonga
The first victory by a Christian military force in Iberia following

the Islamic conquest of V isigothic Hispania in 711–718. It was
fought most likely in 722. The battle was followed by the
creation of an independent Christian principality in the
mountains of Asturias that became a bastion of Christian
resistance to the expansion of Muslim rule. It was from there
that the return of Christian rule to the entire Iberian peninsula
began.
V isigothic Kingdom
A kingdom that occupied what is now southwestern France and

the Iberian Peninsula from the 5th century to the 8th century.
One of the Germanic successor states to the Western Roman
Empire, the kingdom maintained independence from the
Eastern Roman, or Byzantine, Empire. During its existence,
Catholicism coalesced in Spain.
Kingdom of Asturias
A kingdom in the Iberian Peninsula founded in 718 by the
nobleman Pelagius of Asturias. In 718 or 722, Pelagius defeated
an Umayyad patrol at the Battle of Covadonga, in what is
usually regarded as the beginning of the Reconquista. It
transitioned to the Kingdom of Leó n in 924 and became the
main base for Christian resistance to Islamic rule in the Iberian
Peninsula for several centuries.
the Catholic Monarchs
The joint title used in history for Queen Isabella I of Castile and
King Ferdinand II of Aragon. They were both from the House of
Trastámara and were second cousins, both descended from
John I of Castile; on marriage they were given a papal
dispensation to deal with consanguinity by Sixtus IV . They
established the Spanish Inquisition around 1480.
Arianism
A Christian belief that asserts that Jesus Christ is the Son of

God who was created by God the Father at a point in time, is
distinct from the Father, and is therefore subordinate to the
Father. Arian teachings were first attributed to Arius (c. 250–336
CE), a Christian presbyter in Alexandria, Egypt. They gained
popularity in the Iberian Peninsula before Catholicism became
the predominant religion of the region.
Background
The Reconquista ("reconquest") is a period in the history of the
Iberian Peninsula, spanning approximately 770 years, between the
initial Umayyad conquest of Hispania in the 710s and the fall of the
Emirate of Granada, the last Islamic state on the peninsula, to
expanding Christian kingdoms in 1492. Historians traditionally mark
the beginning of the Reconquista with the Battle of Covadonga (most
likely in 722), and its end is associated with Portuguese and Spanish
colonization of the Americas.
The Arab Islamic conquest had dominated most of North Africa by

710 CE. In 711 an Islamic Berber raiding party, led by Tariq ibn
Ziyad, was sent to Iberia to intervene in a civil war in the V isigothic
Kingdom. Tariq's army crossed the Strait of Gibraltar and won a
decisive victory in the summer of 711 when the V isigothic King
Roderic was defeated and killed at the Battle of Guadalete. Tariq's
commander, Musa, quickly crossed with Arab reinforcements, and by
718 the Muslims were in control of nearly the whole Iberian
Peninsula. The advance into Western Europe was only stopped in
what is now north-central France by the West Germanic Franks at
the Battle of Tours in 732.
A decisive victory for the Christians took place at Covadonga, in the

north of the Iberian Peninsula, in the summer of 722. In a minor
battle known as the Battle of Covadonga, a Muslim force sent to put
down the Christian rebels in the northern mountains was defeated by
Pelagius of Asturias, who established the monarchy of the Christian
Kingdom of Asturias. In 739, a rebellion in Galicia, assisted by the
Asturians, drove out Muslim forces, and it joined the Asturian
kingdom. The Kingdom of Asturias became the main base for
Christian resistance to Islamic rule in the Iberian Peninsula for
several centuries.
W arfare between Muslims and

Christians
Muslim interest in the peninsula returned in force around when Al-
Mansur sacked Barcelona in 985. Under his son, other Christian
cities were subjected to numerous raids. After his son's death, the
caliphate plunged into a civil war and splintered into the so-called
"Taifa Kingdoms." Medieval Spain was the scene of almost constant
warfare between Muslims and Christians. The Almohads, who had
taken control of the Almoravids' Maghribi and al-Andalus territories
by 1147, surpassed the Almoravides in fundamentalist Islamic
outlook, and they treated the non-believer dhimmis harshly. Faced
with the choice of death, conversion, or emigration, many Jews and
Christians left.
The Taifa kingdoms lost ground to the Christian realms in the north.
After the loss of Toledo in 1085, the Muslim rulers reluctantly invited
the Almoravides, who invaded Al-Andalus from North Africa and
established an empire. In the 12th century the Almoravid empire
broke up again, only to be taken over by the invasion of the
Almohads, who were defeated by an alliance of the Christian
kingdoms in the decisive battle of Las Navas de Tolosa in 1212. By
1250, nearly all of Iberia was back under Christian rule, with the
exception of the Muslim kingdom of Granada—the only independent
Muslim realm in Spain that would last until 1492.
Francisco Pradilla Ortiz , The

C ap itulation of Granada ( 18 8 2)
The Capitulation of G ranada shows Muhammad X II confronting
Ferdinand and Isabella.
Despite the decline in Muslim-controlled kingdoms, it is important to

note the lasting effects exerted on the peninsula by Muslims in
technology, culture, and society.
Spanish Inquisition
Around 1480, Ferdinand II of Aragon and Isabella I of Castile, known
as the Catholic Monarchs, established what would be known as the
Spanish Inquisition. It was intended to maintain Catholic orthodoxy in
their kingdoms and to replace the Medieval Inquisition, which was
under Papal control. It covered Spain and all the Spanish colonies
and territories, which included the Canary Islands, the Spanish
Netherlands, the Kingdom of Naples, and all Spanish possessions in
North, Central, and South America.
People who converted to Catholicism were not subject to expulsion,

but between 1480 and 1492 hundreds of those who had converted
(conversos and moriscos) were accused of secretly practicing their
original religion (crypto-Judaism or crypto-Islam) and arrested,
imprisoned, interrogated under torture, and in some cases burned to
death, in both Castile and Aragon. In 1492 Ferdinand and Isabella
ordered segregation of communities to create closed quarters that
became what were later called "ghettos." They also furthered
economic pressures upon Jews and other non-Christians by
increasing taxes and social restrictions. In 1492 the monarchs issued
a decree of expulsion of Jews, known formally as the Alhambra
Decree, which gave Jews in Spain four months to either convert to
Catholicism or leave Spain. Tens of thousands of Jews emigrated to
other lands such as Portugal, North Africa, the Low Countries, Italy,
and the Ottoman Empire. Later in 1492, Ferdinand issued a letter
addressed to the Jews who had left Castile and Aragon, inviting
them back to Spain if they had become Christians. The Inquisition
was not definitively abolished until 1834, during the reign of Isabella
II, after a period of declining influence in the preceding century.
Most of the descendants of the Muslims who submitted to

conversion to Christianity rather than exile during the early periods of
the Spanish and Portuguese Inquisition, the Moriscos, were later
expelled from Spain after serious social upheaval, when the
Inquisition was at its height. The expulsions were carried out more
severely in eastern Spain (V alencia and Aragon) due to local
animosity towards Muslims and Moriscos perceived as economic
rivals; local workers saw them as cheap labor undermining their
bargaining position with the landlords. Those that the Spanish
Inquisition found to be secretly practicing Islam or Judaism were
executed, imprisoned, or expelled. Nevertheless, all those deemed
to be "New Christians" were perpetually suspected of various crimes
against the Spanish state, including continued practice of Islam or
Judaism.
The Inquisition Tribunal as illustrated

by Francisco de Goya ( 18 08 / 18 12)
Catholicism
Although the period of rule by the V isigothic Kingdom (c. 5th–8th
centuries) saw the brief spread of Arianism, Catholic religion
coalesced in Spain at the time. The Councils of Toledo debated
creed and liturgy in orthodox Catholicism, and the Council of Lerida
in 546 constrained the clergy and extended the power of law over
them under the blessings of Rome. In 587, the V isigothic king at
Toledo, Reccared, converted to Catholicism and launched a
movement in Spain to unify the various religious doctrines that
existed in the land. This put an end to dissension on the question of
Arianism. The period of Reconquista and the Spanish Inquisition that
followed turned Catholicism into the dominant religion of Spain,
which has shaped the development of the Spanish state and national
identity.
18 .2.2: The Spanish Habsburgs

Under the rule of the Habsburg dynasty, Spain became the first
modern global empire and the most influential state in Europe, only
to be reduced to a second-rank power by the time the last Spanish
Habsburg died in 1700.
Learning Objective
Explain why the Spanish Habsburgs grew increasingly feeble as a
family
Key Points
Spain was ruled by the major branch of the Habsburg dynasty
over the 16th and 17th centuries. In this period, it dominated
Europe politically and militarily, but experienced a gradual
decline of influence in the second half of the 17th century under
the later Habsburg kings.
When Spain's first Habsburg ruler, Charles I, became king of
Spain in 1516, Spain became central to the dynastic struggles of
Europe. Under Charles I, Spain colonized big parts of the
Americas and established itself as the first modern global
empire.
Under Philip II, the Spanish empire included territories on every
continent then known to Europeans. During his reign, Spain
reached the height of its influence and power.
Under Philip III, a ten-year truce with the Dutch was
overshadowed in 1618 by Spain's involvement in the European-
wide Thirty Years' War. Additionally, paying for the budget
deficits by the mass minting of currency caused an enormous
economic crisis.
Under Philip IV , much of the policy was conducted by the
minister Gaspar de Guzmán. Portugal was lost to the crown for
good; in Italy and most of Catalonia, French forces were
expelled and Catalonia's independence was suppressed.
Charles' II mental and physical disabilities, caused most likely
by the generations of inbreeding among the Spanish
Habsburgs, enabled power games on the court and meant that
Spain was essentially left leaderless and gradually reduced to a
second-rank power.
Key Terms
Spanish Armada
A Spanish fleet of 130 ships that sailed from A Coruñ a in August

1588 with the purpose of escorting an army from Flanders to
invade England. The strategic aim was to overthrow Queen
Elizabeth I of England and the Tudor establishment of
Protestantism in England.
consanguinity
The property of being from the same kinship as another person.

In that aspect, consanguinity is the quality of being descended
from the same ancestor as another person. The laws of many
jurisdictions set out degrees of consanguinity in relation to
prohibited sexual relations and marriage parties.
Spanish Golden Age
A period of flourishing in arts and literature in Spain, coinciding

with the political rise and decline of the Spanish
Habsburg dynasty. It does not imply precise dates and is usually
considered to have lasted longer than an actual century.
Spain under the Habsburgs

Spain was ruled by the major branch of the Habsburg dynasty over
the 16th and 17th centuries. In this period, "Spain" or "the Spains"
covered the entire peninsula, politically a confederacy comprising
several nominally independent kingdoms in personal union: Aragon,
Castile, Leó n, Navarre and, from 1580, Portugal. At the time, the
term "Monarchia Catholica" (Catholic Monarchy) remained in use for
the monarchy under the Spanish Habsburgs. However, Spain as a
unified state came into being by right only after the death of Charles
II in 1700, the last ruler of Spain of the Habsburg dynasty.
Under the Habsburgs, Spain dominated Europe politically and

militarily, but experienced a gradual decline of influence in the
second half of the 17th century under the later Habsburg kings. The
Habsburg years were also a Spanish Golden Age of cultural
efflorescence.
The Global Power

When Spain's first Habsburg ruler, Charles I, became king of Spain
in 1516, Spain became central to the dynastic struggles of Europe.
After becoming king of Spain, Charles also became Charles V , Holy
Roman Emperor, and because of his widely scattered domains was
not often in Spain. As he approached the end of his life he made
provision for the division of the Habsburg inheritance into two parts.
On the one hand was Spain, its possessions in Europe, North Africa,
the Americas, and the Netherlands. On the other hand there was the
Holy Roman Empire. This was to create enormous difficulties for his
son Philip II of Spain.
The Aztec and Inca Empires were conquered during Charles's reign,
from 1519 to 1521 and 1540 to 1558, respectively. Spanish
settlements were established in the New World: Mexico City, the
most important colonial city established in 1524 to be the primary
center of administration in the New World; Florida, colonized in the
1560s; Buenos Aires, established in 1536; and New Granada
(modern Colombia), colonized in the 1530s. The Spanish
Empire abroad became the source of Spanish wealth and power in
Europe. But as precious metal shipments rapidly expanded late in
the century this contributed to the general inflation that was affecting
the whole of Europe. Instead of fueling the Spanish economy,
American silver made the country increasingly dependent on foreign
sources of raw materials and manufactured goods.
Philip II became king on Charles I's abdication in 1556. During his

reign, there were several separate state bankruptcies, which were
partly the cause for the declaration of independence that created the
Dutch Republic in 1581. A devout Catholic, Philip organized a huge
naval expedition against Protestant England in 1588, known usually
as the Spanish Armada, which was unsuccessful, mostly due to
storms and grave logistical problems. Despite these problems, the
growing inflow of New World silver from the mid-16th century, the
justified military reputation of the Spanish infantry, and even the
quick recovery of the navy from its Armada disaster made Spain the
leading European power, a novel situation of which its citizens were
only just becoming aware. The Iberian Union with Portugal in 1580
not only unified the peninsula, but added that country's worldwide
resources to the Spanish crown.
E urop a R egina, associated with a
Habsburg-dominated Europe under
Holy Roman Emperor Charles V of
Habsburg ( Charles I of Spain)
Map of Europe as a queen, printed by Sebastian Munster in Basel in
1570. Europe is shown standing upright with the Iberian
Peninsula forming her crowned head.
The Gradual Decline
However, economic and administrative problems multiplied in
Castile, and the weakness of the native economy became evident in
the following century. Rising inflation, financially draining wars in
Europe, the ongoing aftermath of the expulsion of the Jews and
Moors from Spain, and Spain's growing dependency on the gold and
silver imports combined to cause several bankruptcies that caused
an economic crisis in the country, especially in heavily burdened
Castile.
Faced with wars against England, France, and the Netherlands, the
Spanish government found that neither the New World silver nor
steadily increasing taxes were enough to cover their expenses, and
went bankrupt again in 1596. Furthermore, the great plague of
1596–1602 killed 600,000 to 700,000 people, or about 10% of the
population. Altogether more than 1,250,000 deaths resulted from the
extreme incidence of plague in 17th century Spain. Economically, the
plague destroyed the labor force, and created a psychological blow
to an already problematic Spain.
Philip II died in 1598, and was succeeded by his son Philip III. In his
reign (1598–1621) a ten-year truce with the Dutch was
overshadowed in 1618 by Spain's involvement in the European-wide
Thirty Years' War. Philip III had no interest in politics or government,
preferring to engage in lavish court festivities, religious indulgences,
and the theater. His government resorted to a tactic that had been
resolutely resisted by Philip II, paying for the budget deficits by the
mass minting of increasingly worthless vellones (the currency),
causing inflation. In 1607, the government faced another bankruptcy.
Philip III was succeeded in 1621 by his son Philip IV of Spain

(reigned 1621–1665). Much of the policy was conducted by the
minister Gaspar de Guzmán, Count-Duke of Olivares. In 1640, with
the war in Central Europe having no clear winner except the French,
both Portugal and Catalonia rebelled. Portugal was lost to the crown
for good; in Italy and most of Catalonia, French forces were expelled
and Catalonia's independence was suppressed.
Charles II (1665–1700), the last of the Habsburgs in Spain, was

three years old when his father, Philip IV , died in 1665. The Council
of Castile appointed Philip's second wife and Charles's mother,
Mariana of Austria, regent for the minor king. As regent, Mariana
managed the country's affairs through a series of
favorites ("validos"), whose merits usually amounted to no more than
meeting her fancy. Spain was essentially left leaderless and was
gradually being reduced to a second-rank power.
Inbreeding
The Spanish branch of the Habsburg royal family was noted for
extreme consanguinity. Well aware that they owed their power to
fortunate marriages, they married between themselves to protect
their gains. Charles's father and his mother, Mariana, were actually
uncle and niece. Charles was physically and mentally disabled and
infertile, possibly in consequence of this massive inbreeding. Due to
the deaths of his half brothers, he was the last member of the male
Spanish Habsburg line. He did not learn to speak until the age of
four nor to walk until the age of eight, and was treated as virtually an
infant until he was ten years old. His jaw was so badly deformed (an
extreme example of the so-called Habsburg jaw) that he could barely
speak or chew. Fearing the frail child would be overtaxed, his
caretakers did not force Charles to attend school.
The Habsburg dynasty became extinct in Spain with Charles II's

death in 1700, and the War of the Spanish Succession ensued, in
which the other European powers tried to assume power over the
Spanish monarchy. The control of Spain was allowed to pass to the
Bourbon dynasty.
18 .2.3: Philip II and the Spanish
Armada
Extreme commitment to championing Catholicism against both
Protestantism and Islam shaped both the domestic and foreign
policies of Philip II, who was the most powerful European monarch in
an era of religious conflict.
Learning Objective
Describe Philip II's convictions and how he attempted to carry them
out
Key Points
During the reign of Philip II, Spain reached the height of its
influence and power, and remained firmly Roman Catholic.
Philip saw himself as a champion of Catholicism, both against
the Muslim Ottoman Empire and the Protestants.
As the Spanish Empire was not a single monarchy with one
legal system but a federation of separate realms, Philip often
found his authority overruled by local assemblies, and his word
less effective than that of local lords.
When Philip's health began failing, he worked from his quarters
in the Palace-Monastery-Pantheon of El Escorial, which he built
with Juan Batista de Toledo and which was another expression
of Philip's commitments to protect Catholics against the raising
influence of Protestantism across Europe.
Philip's foreign policies were determined by a combination of
Catholic fervor and dynastic objectives. He considered himself
the chief defender of Catholic Europe, both against the Ottoman
Turks and against the forces of the Protestant Reformation.
Wars with Dutch Provinces, England, France, and the Ottoman
Empire all had the undermining religious aspects of protecting
Catholicism in increasingly Protestant Europe or protecting
Christianity against Islam.
Because Philip II was the most powerful European monarch in
an era of war and religious conflict, evaluating both his reign and
the man himself has become a controversial historical subject.
Key Terms
Morisco
A term used to refer to former Muslims who converted, or were

coerced into converting, to Christianity after Spain outlawed the
open practice of Islam by its Mudejar population in the early
16th century. The group was subject to systematic expulsions
from Spain's various kingdoms between 1609 and 1614, the
most severe of which occurred in the eastern Kingdom of
V alencia.
Eighty Years' War
A revolt, known also as the Dutch War of Independence (1568–

1648), of the Seventeen Provinces against the political and
religious hegemony of Philip II of Spain, the sovereign of the
Habsburg Netherlands.
Spanish Armada

Catholic League
A major participant in the French Wars of Religion, formed by

Henry I, Duke of Guise, in 1576. It intended the eradication of
Protestants—also known as Calvinists or Huguenots—out of
Catholic France during the Protestant Reformation, as well as
the replacement of King Henry III. Pope Sixtus V , Philip II of
Spain, and the Jesuits were all supporters of this Catholic party.
jure uxoris
A Latin term that means "by right of (his) wife." It is most

commonly used to refer to a title of nobility held by a man
because his wife holds it suo j ure ("in her own right"). Similarly,
the husband of an heiress could become the legal possessor of
her lands j ure ux oris, "by right of [ his] wife." J ure
ux oris monarchs are not to be confused with kings consort, who
were merely consorts of their wives, not co-rulers.
Philip II of Spain
The son of Charles V of the Holy Roman Empire and his wife,
Infanta Isabella of Portugal, Philip II of Spain was born in 1527.
Known in Spain as "Philip the Prudent," his empire included
territories on every continent then known to Europeans, including his
namesake the Philippine Islands. During his reign, Spain reached
the height of its influence and power, and remained firmly Roman
Catholic. Philip saw himself as a champion of Catholicism, both
against the Muslim Ottoman Empire and the Protestants. He was the
king of Spain from 1556 to 1598.
Philip was married four times and had children with three of his
wives. All the marriages had important political implications, as they
connected Philip, and thus Spain, with powerful European courts.
Philip's first wife was his first cousin Maria Manuela, Princess of
Portugal. She was a daughter of Philip's maternal uncle, John III of
Portugal, and paternal aunt, Catherine of Austria. Philip's second
wife was his first cousin once removed Queen Mary I of England. By
this marriage, Philip became jure uxoris king of England and Ireland,
although the couple was apart more than together as they ruled their
respective countries. The marriage produced no children and Mary
died in 1558, ending Philip's reign in England and Ireland. Philip's
third wife was Elisabeth of V alois, the eldest daughter of Henry II of
France and Catherine de' Medici. Philip's fourth and final wife was
his niece Anna of Austria.
Domestic Affairs
The Spanish Empire was not a single monarchy with one legal
system but a federation of separate realms, each jealously guarding
its own rights against those of the House of Habsburg. In practice,
Philip often found his authority overruled by local assemblies and his
word less effective than that of local lords. He also grappled with the
problem of the large Morisco population in Spain, who were forcibly
converted to Christianity by his predecessors. In 1569, the Morisco
Revolt broke out in the southern province of Granada in defiance of
attempts to suppress Moorish customs, and Philip ordered the
expulsion of the Moriscos from Granada and their dispersal to other
provinces.
Despite its immense dominions, Spain was a country with a sparse

population that yielded a limited income to the crown (in contrast to
France, for example, which was much more heavily populated).
Philip faced major difficulties in raising taxes, the collection of which
was largely farmed out to local lords. He was able to finance his
military campaigns only by taxing and exploiting the local resources
of his empire. The flow of income from the New World proved vital to
his militant foreign policy, but nonetheless his exchequer faced
bankruptcy several times. During Philip's reign there were five
separate state bankruptcies.
Whereas his father had been forced to an itinerant rule as a

medieval king, Philip ruled at a critical turning point toward modernity
in European history. He mainly directed state affairs, even when not
at court. Indeed, when his health began failing he worked from his
quarters in the Palace-Monastery-Pantheon of El Escorial he had
built. El Escariol was another expression of Philip's commitment to
protect Catholics against the raising influence of Protestantism
across Europe. He engaged the Spanish architect Juan Bautista de
Toledo to be his collaborator. Together they designed El Escorial as
a monument to Spain's role as a center of the Christian world.
Turismo Madrid Consorcio Turí stico,

Madrid, Spain
A distant view of the Royal Seat of San Lorenzo de El Escorial. In
1984, UNESCO declared The Royal Seat of San Lorenzo of El
Escorial a World Heritage Site. It is a popular tourist attraction—
more than 500,000 visitors come to El Escorial every year.
Foreign Affairs
Philip's foreign policies were determined by a combination of
Catholic fervor and dynastic objectives. He considered himself the
chief defender of Catholic Europe, both against the Ottoman Turks
and against the forces of the Protestant Reformation. He never
relented from his fight against what he saw as heresy, defending the
Catholic faith and limiting freedom of worship within his territories.
These territories included his patrimony in the Netherlands, where
Protestantism had taken deep root. Following the Revolt of the
Netherlands in 1568, Philip waged a campaign against Dutch
secession. The plans to consolidate control of the Netherlands led to
unrest, which gradually led to the Calvinist leadership of the revolt
and the Eighty Years' War. This conflict consumed much Spanish
expenditure during the later 16th century.
Philip's commitment to restoring Catholicism in the Protestant

regions of Europe resulted also in the Anglo-Spanish War (1585–
1604). This was an intermittent conflict between the kingdoms of
Spain and England that was never formally declared. The war was
punctuated by widely separated battles. In 1588, the English
defeated Philip's Spanish Armada, thwarting his planned invasion of
the country to reinstate Catholicism. But the war continued for the
next sixteen years, in a complex series of struggles that included
France, Ireland, and the main battle zone, the Low Countries. Two
further Spanish armadas were sent in 1596 and 1597, but were
frustrated in their objectives mainly because of adverse weather and
poor planning. The war would not end until all the leading
protagonists, including Philip, had died.
Philip financed the Catholic League during the French Wars of

Religion (primarily fought between French Catholics and French
Protestants, known as Huguenots). He directly intervened in the final
phases of the wars (1589–1598). His interventions in the fighting—
sending the Duke of Parma to end Henry IV 's siege of Paris in 1590
—and the siege of Rouen in 1592 contributed to saving the French
Catholic Leagues's cause against a Protestant monarchy. In 1593,
Henry agreed to convert to Catholicism. Weary of war, most French
Catholics switched to his side against the hardline core of the
Catholic League, who were portrayed by Henry's propagandists as
puppets of a foreign monarch, Philip. By the end of 1594 certain
league members were still working against Henry across the country,
but all relied on the support of Spain. In 1595, therefore, Henry
officially declared war on Spain, to show Catholics that Philip was
using religion as a cover for an attack on the French state and
Protestants that he had not become a puppet of Spain through his
conversion, while hoping to take the war to Spain and make
territorial gain.
The war was only drawn to an official close with the Peace of V ervins
in May 1598; Spanish forces and subsidies were withdrawn.
Meanwhile, Henry issued the Edict of Nantes, which offered a high
degree of religious toleration for French Protestants. The military
interventions in France thus ended in an ironic fashion for Philip:
they had failed to oust Henry from the throne or suppress
Protestantism in France and yet they had played a decisive part in
helping the French Catholic cause gain the conversion of Henry,
ensuring that Catholicism would remain France's official and majority
faith—matters of paramount importance for the devoutly Catholic
Spanish king.
Earlier, after several setbacks in his reign and especially that of his
father, Philip had achieved a decisive victory against the Turks at the
Lepanto in 1571, with the allied fleet of the Holy League, which he
had put under the command of his illegitimate brother, John of
Austria. He also successfully secured his succession to the throne of
Portugal.
Portrait of King Philip II of Spain, in
Gold-Embroidered Costume with
Order of the Golden Fleece, by Titian
( around 15 5 4)
Philip was described by the V enetian ambassador Paolo Fagolo in
1563 as "slight of stature and round-faced, with pale blue eyes,
somewhat prominent lip, and pink skin, but his overall appearance is
very attractive."
Legacy
Because Philip II was the most powerful European monarch in an
era of war and religious conflict, evaluating both his reign and the
man himself has become a controversial historical subject. Even in
countries that remained Catholic, primarily France and the Italian
states, fear and envy of Spanish success and domination created a
wide receptiveness for the worst possible descriptions of Philip II.
Although some efforts have been made to separate legend from
reality, that task has been proven extremely difficult, since many
prejudices are rooted in the cultural heritage of European countries.
Spanish-speaking historians tend to assess his political and military
achievements, sometimes deliberately avoiding issues such as the
king's lukewarm attitude (or even support) toward Catholic
fanaticism. English-speaking historians tend to show Philip II as a
fanatical, despotic, criminal, imperialist monster, minimizing his
military victories.
18 .2.4: The Siglo de Oro

The Spanish Golden Age (Spanish: Siglo de Oro) was a period of
flourishing in arts and literature in Spain, coinciding with the political
rise and decline of the Spanish Habsburg dynasty.
Learning Objective
Identify some works of art from the Spanish Siglo de Oro
Key Points
The Spanish Golden Age (Spanish: Siglo de Oro, "Golden
Century") was a period of flourishing in arts and literature in
Spain, coinciding with the political rise and decline of the
Spanish Habsburg dynasty. El Siglo de Oro does not imply
precise dates and is usually considered to have lasted longer
than an actual century.
Spanish art of the era contained a strong mark of mysticism and
religion that was encouraged by the counter-reformation and the
patronage of Spain's strongly Catholic monarchs and
aristocracy. Spanish rule of Naples was important for making
connections between Italian and Spanish art.
The most influential Spanish painters of the era include El
Greco, Diego V elázquez, Francisco de Zurbarán, and Bartolomé
Esteban Murillo.
The same period produced some of the most important works of
Spanish architecture. These include the Palace of Charles V , El
Escorial, the Plaza Mayor in Madrid, Granada Cathedral, and
the Cathedral of V alladolid.
Spanish literature of the period flourished, producing the first
European novel, Don Q uix ote, and revolutionizing Spanish
drama and thus theater.
Music of the era revolved largely around religious forms and
themes.
Key Terms
The Spanish Golden Age
(Spanish: Siglo de Oro, "Golden Century") A period of

flourishing in arts and literature in Spain, coinciding with the
political rise and decline of the Spanish Habsburg dynasty.
It does not imply precise dates and is usually considered to
have lasted longer than an actual century.
Herrerian
An architectural style developed in Spain during the last third of

the 16th century, under the reign of Philip II (1556–1598), and
continued in force in the 17th century, but transformed by the
Baroque current of the time. It corresponds to the third and final
stage of Spanish Renaissance architecture.
Mannerism
A style in European art that emerged in the later years of the

Italian High Renaissance, around 1520, lasting until about 1580
in Italy, when the Baroque style began to replace it. Northern
Mannerism continued into the early 17th century. Where High
Renaissance art emphasized proportion, balance, and ideal
beauty, it exaggerated such qualities, often resulting in
compositions that are asymmetrical or unnaturally elegant.
Siglo de Oro
The Spanish Golden Age (Spanish: Siglo de Oro, "Golden Century")
was a period of flourishing in arts and literature in Spain, coinciding
with the political rise and decline of the Spanish Habsburg dynasty.
El Siglo de Oro does not imply precise dates and is usually
considered to have lasted longer than an actual century. It began no
earlier than 1492, with the end of the Reconquista, the sea voyages
of Christopher Columbus to the New World, and the publication of
Antonio de Nebrija's G rammar of the Castilian Language. Politically,
it ended no later than 1659, with the Treaty of the Pyrenees, ratified
between France and Habsburg Spain. The last great writer of the
period, Pedro Calderó n de la Barca, died in 1681, and his death is
usually considered the end of El Siglo de Oro in the arts and
literature.
Painting
The Italian holdings and relationships made by Queen Isabella's
husband, and later Spain's sole monarch, Ferdinand of Aragon,
launched a steady traffic of intellectuals across the Mediterranean
between V alencia, Seville, and Florence. Luis de Morales, one of the
leading exponents of Spanish mannerist painting, retained a
distinctly Spanish style in his work, reminiscent of medieval art.
Spanish art, particularly that of Morales, contained a strong mark of
mysticism and religion that was encouraged by the counter-
reformation and the patronage of Spain's strongly Catholic monarchs
and aristocracy. Spanish rule of Naples was important for making
connections between Italian and Spanish art, with many Spanish
administrators bringing Italian works back to Spain.
Some of the greatest artists of the era:
Known for his great impact in bringing the Italian Renaissance to

Spain, El Greco ("The Greek") was influential in creating a style
based on impressions and emotion, featuring elongated fingers
and vibrant color and brushwork. His paintings of the city of
Toledo became models for a new European tradition in
landscapes, and influenced the work of later Dutch masters.
Diego V elázquez is widely regarded as one of Spain's most
important and influential artists. His portraits of the king and
other prominent figures demonstrated a belief in artistic realism
and a style comparable to many of the Dutch masters.
V elázquez's most famous painting is the celebrated Las
Meninas, in which the artist included himself as one of the
subjects.
The religious element in Spanish art grew in importance with the
counter-reformation. The austere, ascetic, and severe work of
Francisco de Zurbarán exemplified this thread. The mysticism of
Zurbarán's work—influenced by Saint Theresa of Avila—
became a hallmark of Spanish art in later generations.
Bartolomé Esteban Murillo's works were influenced by realism.
His more important works evolved towards the polished style
that suited the bourgeois and aristocratic tastes of the time,
demonstrated especially in his Roman Catholic religious works.
Las Meninas by Diego V elá z quez
( 165 6) , Galerí a online, Museo del
Prado.
The painting's complex and enigmatic composition raises questions
about reality and illusion and creates an uncertain relationship
between the viewer and the figures depicted. Because of these
complexities, Las Meninas has been one of the most widely
analyzed works in Western painting.
Architecture
The same period produced some of the most important works of
Spanish architecture. These include:
The Palace of Charles V located on the top of the hill of the
Assabica, inside the Nasrid fortification of the Alhambra. The
project was given to Pedro Machuca, who built a palace
corresponding stylistically to Mannerism, a mode still in its
infancy in Italy.
El Escorial: a historical residence of the king of Spain. It is one
of the Spanish royal sites and functions as a monastery, royal
palace, museum, and school. Located in the town of San
Lorenzo de El Escorial, it comprises two architectural complexes
of great historical and cultural significance: El Real Monasterio
de El Escorial itself and La Granjilla de La Fresneda, a royal
hunting lodge and monastic retreat. During the 16th and 17th
centuries, they were places in which the temporal power of the
Spanish monarchy and the ecclesiastical predominance of the
Roman Catholic religion in Spain found a common architectural
manifestation. Philip II engaged the Spanish architect Juan
Bautista de Toledo to be his collaborator in the design of El
Escorial.
The Plaza Mayor in Madrid: A central plaza in Madrid, Spain.
Juan de Herrera was the architect who designed the first project
in 1581 to remodel the old Plaza del Arrabal, but construction
didn't start until 1617, during Philip III's reign. Nevertheless, the
Plaza Mayor as we know it today is the work of the architect
Juan de V illanueva, who was entrusted with its reconstruction in
1790 after a spate of big fires.
Granada Cathedral: Foundations for the church were laid by the
architect Egas starting from 1518 to 1523 atop the site of the
city's main mosque. By 1529, Egas was replaced by Diego de
Siloé , who labored for nearly four decades on the structure.
The Cathedral of V alladolid: Like all the buildings of the late
Spanish Renaissance built by Herrera and his followers, it is
known for its purist and sober decoration, its style being the
typical Spanish clasicismo, also called "Herrerian."
Literature
The Spanish Golden Age was also a time of great flourishing in
poetry, prose, and drama. Regarded by many as one of the finest
literary works in any language, Don Q uix ote by Miguel de Cervantes
was the first novel published in Europe. It gave Cervantes a stature
in the Spanish-speaking world comparable to his contemporary
William Shakespeare in English. Don Q uix ote resembled both the
medieval, chivalric romances of an earlier time and the novels of the
early modern world. It has endured to the present day as a landmark
in world literary history, and it was an immediate international hit in
its own time.
Cervantes's D on Q uixote ( 1605 ) ,
original title page
Don Q uix ote, the first European novel, has endured to the present
day as a landmark in world literary history, and it was an immediate
international hit in its own time.
A contemporary of Cervantes, Lope de V ega consolidated the

essential genres and structures that would characterize the Spanish
commercial drama, also known as the "Comedia," throughout the
17th century. While Lope de V ega wrote prose and poetry as well, he
is best remembered for his plays, particularly those grounded in
Spanish history. In bringing morality, comedy, drama, and popular wit
together, Lope de V ega is also often compared to his English
contemporary Shakespeare. Some have argued that as a social
critic, Lope de V ega, like Cervantes, attacked many of the ancient
institutions of his country—aristocracy, chivalry, and rigid morality,
among others. The other great dramatist of the 17th century was
Pedro Calderó n de la Barca (1600–1681). His most famous work is
Life I s a Dream (1635). Born when the Spanish Golden Age
theater was being defined by Lope de V ega, Pedro Calderó n de la
Barca developed it further, and his work is regarded as the
culmination of the Spanish Baroque theater. As such, he remains
one of Spain's foremost dramatists and one of the finest playwrights
of world literature. Other well-known playwrights of the period include
Tirso de Molina, Agustín Moreto, Juan Pé rez de Montalbán, Juan
Ruiz de Alarcó n, Guillé n de Castro, and Antonio Mira de Amescua.
This period also produced some of the most important Spanish

works of poetry. The introduction and influence of Italian
Renaissance verse is apparent perhaps most vividly in the works of
Garcilaso de la V ega, and illustrate a profound influence on later
poets. Mystical literature in Spanish reached its summit with the
works of San Juan de la Cruz and Teresa of Á vila. Baroque poetry
was dominated by the contrasting styles of Francisco de Quevedo
and Luis de Gó ngora; both had a lasting influence on subsequent
writers, and even on the Spanish language itself.
Music
Tomás Luis de V ictoria, a Spanish composer of the 16th century,
mainly of choral music, is widely regarded as one of the greatest
Spanish classical composers. Like Zurbarán, V ictoria mixed the
technical qualities of Italian art with the religion and culture of his
native Spain. Francisco Guerrero's music was both sacred and
secular, unlike that of de V ictoria and Morales, the two other Spanish
16th-century composers of the first rank. He wrote numerous secular
songs and instrumental pieces, in addition to masses, motets, and
Passions. De V ictoria's work was also complemented by Alonso
Lobo, whose work stressed the austere, minimalist nature of
religious music.
Attributions
The Reconquista
"Spanish Inquisition."
https://en.wikipedia.org/wiki/Spanish_Inquisition. Wikipedia
CC BY-SA 3.0.
"Battle of Covadonga."
https://en.wikipedia.org/wiki/Battle_of_Covadonga.
"V isigothic Kingdom."
https://en.wikipedia.org/wiki/V isigothic_Kingdom. Wikipedia
CC BY-SA 3.0.
"Catholic Monarchs."
https://en.wikipedia.org/wiki/Catholic_Monarchs. Wikipedia
CC BY-SA 3.0.
"Kingdom of Asturias."
https://en.wikipedia.org/wiki/Kingdom_of_Asturias.
"Reconquista." https://en.wikipedia.org/wiki/Reconquista.
"Arianism." https://en.wikipedia.org/wiki/Arianism. Wikipedia
CC BY-SA 3.0.
"Alhambra Decree."
https://en.wikipedia.org/wiki/Alhambra_Decree. Wikipedia
CC BY-SA 3.0.
"History of Spain."
https://en.wikipedia.org/wiki/History_of_Spain. Wikipedia
CC BY-SA 3.0.
"La_Rendició n_de_Granada_-_Pradilla.jpg."
https://en.wikipedia.org/wiki/Reconquista# /media/File:La_R
endici%C3%B3n_de_Granada_-_Pradilla.jpg. Wikipedia
Public domain.
"Francisco_de_Goya_-_Escena_de_Inquisició n_-
https://en.wikipedia.org/wiki/Spanish_Inquisition# /media/Fil
e:Francisco_de_Goya_-_Escena_de_Inquisici%C3%B3n_-
_Google_Art_Project.jpg. Wikipedia Public domain.
The Spanish Habsburgs
"Habsburg Spain."
https://en.wikipedia.org/wiki/Habsburg_Spain. Wikipedia CC
BY-SA 3.0.
"Charles II of Spain."
https://en.wikipedia.org/wiki/Charles_II_of_Spain. Wikipedia
CC BY-SA 3.0.
"Philip II of Spain."
https://en.wikipedia.org/wiki/Philip_II_of_Spain. Wikipedia
CC BY-SA 3.0.
"Spanish Golden Age."
https://en.wikipedia.org/wiki/Spanish_Golden_Age.
"Spanish Armada."
https://en.wikipedia.org/wiki/Spanish_Armada. Wikipedia
CC BY-SA 3.0.
"Europe regina."
https://en.wikipedia.org/wiki/Europa_regina. Wikipedia CC
BY-SA 3.0.
"History of Spain."
CC BY-SA 3.0.
"Consanguinity."
https://en.wikipedia.org/wiki/Consanguinity. Wikipedia CC
BY-SA 3.0.
"800px-
Europe_As_A_Queen_Sebastian_Munster_1570.jpg."
https://en.wikipedia.org/wiki/Habsburg_Spain# /media/File:E
urope_As_A_Queen_Sebastian_Munster_1570.jpg.
Philip II and the Spanish Armada
"Morisco." https://en.wikipedia.org/wiki/Morisco. Wikipedia
CC BY-SA 3.0.
"Habsburg Spain."
https://en.wikipedia.org/wiki/Habsburg_Spain. Wikipedia CC
BY-SA 3.0.
CC BY-SA 3.0.
"Anglo-Spanish War (1585–1604)."
Spanish_War_(1585%E2%80%931604). Wikipedia CC BY-
SA 3.0.
"El Escorial." https://en.wikipedia.org/wiki/El_Escorial.
"Catholic League (French)."
https://en.wikipedia.org/wiki/Catholic_League_(French).
"Jure uxoris." https://en.wikipedia.org/wiki/Jure_uxoris.
"History of Spain."
CC BY-SA 3.0.
"Portrait_of_King_Philip_II_of_Spain_in_Gold-
Embroidered_Costume_with_Order_of_the_Golden_Fleece
.jpg."
https://en.wikipedia.org/wiki/Philip_II_of_Spain# /media/File:
Portrait_of_King_Philip_II_of_Spain,_in_Gold-
Embroidered_Costume_with_Order_of_the_Golden_Fleece
.jpg. Wikipedia Public domain.
"V ista_aerea_del_Monasterio_de_El_Escorial.jpg."
https://en.wikipedia.org/wiki/El_Escorial# /media/File:V ista_a
erea_del_Monasterio_de_El_Escorial.jpg. Wikipedia CC
BY-SA 2.0.
The Siglo de Oro
"Pedro Calderó n de la Barca."
https://en.wikipedia.org/wiki/Pedro_Calder%C3%B3n_de_la
_Barca. Wikipedia CC BY-SA 3.0.
"Las Meninas." https://en.wikipedia.org/wiki/Las_Meninas.
"Spanish Baroque literature."
https://en.wikipedia.org/wiki/Spanish_Baroque_literature.
"Herrerian." https://en.wikipedia.org/wiki/Herrerian.
"Spanish Golden Age."
https://en.wikipedia.org/wiki/Spanish_Golden_Age.
"El_ingenioso_hidalgo_don_Quijote_de_la_Mancha.jpg."
https://en.wikipedia.org/wiki/Spanish_Golden_Age# /media/
File:El_ingenioso_hidalgo_don_Quijote_de_la_Mancha.jpg.
"Las_Meninas_01.jpg."
https://commons.wikimedia.org/wiki/File:Las_Meninas_01.jp
18 .3: England and
Parliamentary Monarchy
18 .3.1: Eliz abeth I and English
Patriotism
The reign of Elizabeth I was marked by the restoration of the
Protestant Church of England and competition with a powerful Spain,
both of which fueled a sense of modern English national identity.
Learning Objective
Identify some of the highlights from Queen Elizabeth I's reign
Key Points
Elizabeth I (1533–1603) was Queen of England and Ireland
from 1558 until her death in 1603. She succeeded her Roman
Catholic half-sister, Mary to the throne. Elizabeth never married
nor had children and thus was the last monarch of the Tudor
dynasty.
Mary's marriage to Philip II of Spain contributed to the complex
relations between England and Spain that after Mary's death
dominated Elizabeth's reign in the realm of
international relations.
Elizabeth's efforts led to the Religious Settlement, a legal
process by which the Protestant Church of England was
restored and the queen took the title of Supreme Governor of
the Church of England.
Elizabeth's foreign policy was largely defensive. While she
managed to establish diplomatic relations with some of the most
powerful contemporary empires and supported Protestant
struggles across Europe, her greatest foreign policy challenge
was Catholic Spain and its Armada, over which England
eventually triumphed.
Establishing the Roanoke Colony and chartering the East India
Company during Elizabeth's reign was an onset of what would
turn into the powerful British Empire.
The Elizabethan age inspired national pride through classical
ideals, international expansion, and naval triumph over the
Spanish.
Key Terms
Spanish Armada

Religious Settlement
A legal process by which the Protestant Church of England was

restored. It was made during the reign of Elizabeth I in response
to the religious divisions in England. Described as "The
Revolution of 1559," it was set out in two acts of the Parliament
of England. The Act of Supremacy of 1558 re-established the
Church of England's independence from Rome, while the Act of
Uniformity of 1559 outlined what form the English Church should
take.
French Catholic League
A major participant in the French Wars of Religion, formed by

Henry I, Duke of Guise, in 1576. It intended the eradication of
Protestants—also known as Calvinists or Huguenots—out of
Catholic France during the Protestant Reformation, as well as
the replacement of King Henry III. Pope Sixtus V , Philip II of
Spain, and the Jesuits were all supporters of this Catholic party.
Anglo-Spanish War
An intermittent conflict (1585–1604) between the kingdoms of

Spain and England that was never formally declared. The war
was punctuated by widely separated battles, and began with
England's military expedition in 1585 to the Netherlands in
support of the resistance of the States General to Spanish
Habsburg rule.
Roanoke Colony
A colony established on Roanoke Island, in what is today's Dare

County, North Carolina, United States. It was a late 16th-century
attempt by Queen Elizabeth I to establish a permanent English
settlement. The colony was founded by Sir Walter Raleigh. The
colonists disappeared during the Anglo-Spanish War, three
years after the last shipment of supplies from England.
Eliz abeth I of England

Elizabeth I (1533–1603) was Queen of England and Ireland from
1558 until her death in 1603. She was the daughter of Henry V III and
Anne Boleyn, his second wife, who was executed two and a half
years after Elizabeth's birth. Anne's marriage to Henry V III was
annulled and Elizabeth was declared illegitimate. In 1558, Elizabeth
succeeded her Roman Catholic half-sister, Mary. She never married
nor had children and thus was the last monarch of the Tudor
dynasty.
The " Darnley Portrait" of Eliz abeth I of
England, National Portrait Gallery ( c.
15 7 5 )
The portrait was named after a previous owner. Probably painted
from life, it is the source of the face pattern called "The Mask of
Youth," which would be used for authorized portraits of Elizabeth for
decades to come. Recent research has shown the colors have
faded. The oranges and browns would have been crimson red in
Elizabeth's time.
Mary I and Philip II of Spain
In 1554, Queen Mary of England married Philip, who only two years
later began to rule Spain as Philip II. Under the terms of the Act for
the Marriage, Philip was to enjoy Mary I's titles and honors for as
long as their marriage should last, and was to co-reign with his wife.
Although Elizabeth initially demonstrated solidarity with her sister,
the two were sharply divided along religious lines. Mary, a devout
Catholic, was determined to crush the Protestant faith, in which
Elizabeth had been educated. After Mary married Philip, who saw
the protection of Catholicism in Europe as his life's mission, Mary's
popularity ebbed away, and many looked to Elizabeth as a focus for
their opposition to Mary's religious policies. In 1555, Elizabeth was
recalled to court to attend the final stages of Mary's apparent
pregnancy. When it became clear that Mary was not pregnant, no
one believed any longer that she could have a child. Elizabeth's
succession seemed assured.
King Philip acknowledged the new political reality and cultivated his
sister-in-law. She was a better ally than the chief alternative, Mary,
Queen of Scots, who had grown up in France and was betrothed to
the Dauphin of France. When his wife fell ill in 1558, Philip consulted
with Elizabeth. By October 1558, Elizabeth was making plans for her
government. On November 6, Mary recognized Elizabeth as her heir.
On November 17, Mary died and Elizabeth succeeded to the throne.
Religious Settlement
In terms of religious matters, Elizabeth was pragmatic. She and her
advisers recognized the threat of a Catholic crusade against
England. Elizabeth therefore sought a Protestant solution that would
not offend Catholics too greatly while addressing the desires of
English Protestants, but she would not tolerate the more radical
Puritans, who were pushing for far-reaching reforms. As a result, the
parliament of 1559 started to legislate for a church based on the
Protestant settlement of Edward V I, with the monarch as its head,
but with many Catholic elements. Eventually, Elizabeth was forced to
accept the title of Supreme Governor of the Church of England
rather than the more contentious title of Supreme Head, which many
thought unacceptable for a woman to bear. The new Act of
Supremacy became law in 1559. All public officials were to swear an
oath of loyalty to the monarch as the supreme governor or risk
disqualification from office. The heresy laws were repealed to avoid
a repeat of the persecution of dissenters practiced by Mary. At the
same time, a new Act of Uniformity was passed, which made
attendance at church and the use of an adapted version of the 1552
Book of Common Prayer compulsory, though penalties for those who
failed to conform were not extreme.
Foreign Policy
Elizabeth's foreign policy was largely defensive. The exception was
the English occupation of Le Havre from October 1562 to June 1563,
which ended in failure when Elizabeth's Huguenot (Protestant) allies
joined with the Catholics to retake the port. After the occupation and
loss of Le Havre, Elizabeth avoided military expeditions on the
continent until 1585, when she sent an English army to aid the
Protestant Dutch rebels against Philip II. In December 1584, an
alliance between Philip II and the French Catholic League
undermined the ability of Henry III of France to counter Spanish
domination of the Netherlands. It also extended Spanish influence
along the channel coast of France, where the Catholic League was
strong, and exposed England to invasion. The siege of Antwerp in
the summer of 1585 by the Duke of Parma necessitated some
reaction on the part of the English and the Dutch. The outcome was
the Treaty of Nonsuch of August 1585, in which Elizabeth promised
military support to the Dutch. The treaty marked the beginning of the
Anglo-Spanish War, which lasted until the Treaty of London in 1604.
After Mary's death, Philip II of Spain had no wish to sever his ties
with England, and sent a proposal of marriage to Elizabeth, but was
denied. For many years, Philip maintained peace with England and
even defended Elizabeth from the pope's threat of excommunication.
This was a measure taken to preserve a European balance of power.
Ultimately, Elizabeth allied England with the Protestant rebels in the
Netherlands (which at the time fought for independence from Spain).
Further, English ships began a policy of piracy against Spanish trade
and threatened to plunder the great Spanish treasure ships coming
from the new world. However, the execution of Mary, Queen of
Scots, in 1587 ended Philip's hopes of placing a Catholic on the
English throne. He turned instead to more direct plans to invade
England, with vague plans to return the country to Catholicism. In
1588 he sent a fleet, the Spanish Armada, across the English
Channel. The Spanish were forced into a retreat, and the
overwhelming majority of the Armada was destroyed by the harsh
weather.
Elizabeth also continued to maintain the diplomatic relations with the

Tsardom of Russia originally established by her deceased brother.
During her rule, trade and diplomatic relations developed between
England and the Barbary states as well. England established a
trading relationship with Morocco in opposition to Spain, selling
armor, ammunition, timber, and metal in exchange for Moroccan
sugar, in spite of a papal ban. Diplomatic relations were also
established with the Ottoman Empire with the chartering of the
Levant Company and the dispatch of the first English ambassador to
the Porte, William Harborne, in 1578.
The Onset of the British Empire

After the travels of Christopher Columbus electrified all of western
Europe, England joined in the colonization of the New World. In
1562, Elizabeth sent privateers Hawkins and Drake to seize booty
from Spanish and Portuguese ships off the coast of West Africa.
Spain was well established in the Americas, while Portugal, in union
with Spain from 1580, had an ambitious global empire in Africa, Asia,
and South America; France was exploring North America. England
was stimulated to create its own colonies, with an emphasis on the
West Indies rather than in North America. From 1577 to 1580, Sir
Francis Drake circumnavigated the globe. Combined with his daring
raids against the Spanish and his great victory over them at Cadiz in
1587, he became a famous hero, but England did not follow up on
his claims. In 1583, Humphrey Gilbert sailed to Newfoundland,
taking possession of the harbor of St. John's together with all land
within two hundred leagues to the north and south of it. In 1584, the
queen granted Sir Walter Raleigh a charter for the colonization of
V irginia; it was named in her honor. Raleigh sent others to found the
Roanoke Colony (it remains a mystery why the settlers there all
disappeared). In 1600, the queen chartered the East India Company.
It established trading posts that in later centuries evolved into British
India, on the coasts of what is now India and Bangladesh. Larger-
scale colonization began shortly after Elizabeth's death.
Nationalism
Elizabeth established an English church that helped shape a national
identity and remains in place today. Though she followed a largely
defensive foreign policy, her reign raised England's status abroad.
Under Elizabeth, the nation gained a new self-confidence and sense
of sovereignty, as Christendom fragmented. She was the first Tudor
to recognize that a monarch ruled by popular consent. She therefore
always worked with parliament and advisers she could trust to tell
her the truth—a style of government that her Stuart successors failed
to follow. The symbol of Britannia was first used in 1572, and often
thereafter, to mark the Elizabethan age as a renaissance that
inspired national pride through classical ideals, international
expansion, and naval triumph over the Spanish.
Britannia depicted on a half penny of
1936
Britannia was the Greek and Roman term for the geographical
region of Great Britain that was inhabited by the Britons and is the
name given to the female personification of the island. It was during
the reign of Elizabeth I that "Britannia" came to be viewed as a
personification of Britain.
18 .3.2: The First Stuarts and

Catholicism
Believing that their power was God-given right, James I and his son
and successor, Charles I of England, reigned England in the
atmosphere of repeated escalating conflicts with the English
Parliament.
Learning Objective
Describe the tensions between the Stuart kings and Parliament over
religion
Key Points
James I and his son and successor, Charles I of England,
reigned England in the atmosphere of repeated escalating
conflicts with the English Parliament.
James I believed that he owed his superior authority to God-
given right, while Parliament believed the king ruled by contract
(an unwritten one, yet fully binding) and that its own rights were
equal to those of the king.
A failed assassination attempt in 1605 against King James I of
England and V I of Scotland by a group of provincial English
Catholics led by Robert Catesby fueled anti-Catholic sentiments
in England. By the 1620s, events on the continent had stirred up
anti-Catholic feeling to a new pitch, and James was forced to
declare war on Catholic Spain.
Charles I, married to a Catholic and reluctant to collaborate with
or listen to Parliament, reigned in the atmosphere of constant,
escalating conflicts with a consistently anti-Catholic Parliament.
After an eleven-year period of ruling without Parliament, the

Long Parliament assembled in 1640 and quickly began
proceedings to impeach the king's leading counselors for high
treason.
The escalating conflict between the king and the Parliament
resulted in what is known as the English Civil War (1642–1651).
A series of armed conflicts and political machinations between
Parliamentarians ("Roundheads") and Royalists ("Cavaliers")
ended in, among other things, the prosecution of Charles I.
Key Terms
Thirty Years' War

Gunpowder Plot
A failed assassination attempt in 1605 against King James I of

England and V I of Scotland by a group of provincial English
Catholics led by Robert Catesby. The plan was to blow up the
House of Lords during the State Opening of England's
Parliament on November 5, 1605, as the prelude to a popular
revolt in the Midlands during which James's nine-year-old
daughter, Princess Elizabeth, was to be installed as the Catholic
head of state.
eleven years' tyranny
The period from 1629 to 1640, when King Charles I of England,

Scotland, and Ireland ruled without recourse to Parliament. The
king was entitled to do this under the Royal Prerogative. His
actions caused discontent among the ruling classes, but the
effects were more popular with the common people.
English Civil War

English Parliamentarians ("Roundheads") and Royalists
("Cavaliers") over, principally, the manner of its government. The
first (1642–1646) and second (1648–1649) wars pitted the
supporters of Charles I against the supporters of the Long
Parliament, while the third (1649–1651) saw fighting between
supporters of King Charles II and supporters of the Rump
Parliament.
Long Parliament
An English Parliament that lasted from 1640 until 1660. It

followed the fiasco of the Short Parliament, which had been held
for three weeks during the spring of 1640, and which in its turn
had followed a parliamentary absence of eleven years.
Background: Reformation in
England in Scotland
The separation of the Church of England (or Anglican Church) from
Rome under Henry V III brought England alongside a broad
Reformation movement, but the English Reformation differed from its
European counterparts. Based on Henry V III's desire for an
annulment of his marriage, it was at the outset more of a political
affair than a theological dispute. The break with Rome was effected
by a series of acts of Parliament, but Catholic Mary I restored papal
jurisdiction in 1553. However, Mary's successor, Elizabeth I, restored
the Church of England and reasserted the royal supremacy in 1559.
After she died without an heir, James V I, her cousin and King of
Scots, succeeded to the throne of England as James I in 1603, thus
uniting Scotland and England under one monarch (the Union of the
Crowns). He was the first of the Stuart dynasty to rule Scotland and
England. He and his son and successor, Charles I of England,
reigned England in the atmosphere of repeated escalating conflicts
with the English Parliament.
J ames I and the English
Parliament
James developed his political philosophy of the relationship between
monarch and parliament in Scotland, and never reconciled himself to
the independent stance of the English Parliament and its
unwillingness to bow readily to his policies. The crucial source of
concern was that the king and Parliament adhered to two mutually
exclusive views about the nature of their relationship. James I
believed that he owed his superior authority to God-given right, while
Parliament believed the king ruled by contract (an unwritten one, yet
fully binding) and that its own rights were equal to those of the king.
On the eve of the state opening of the parliamentary session on

November 5, 1605, a soldier called Guy Fawkes was discovered in
the cellars of the parliament buildings guarding about twenty barrels
of gunpowder with which he intended to blow up Parliament House
the following day. A Catholic conspiracy led by a disaffected
gentleman called Robert Catesby, the Gunpowder Plot, as it quickly
became known, had in fact been discovered in advance of Fawkes's
arrest and deliberately allowed to mature in order to catch the
culprits red-handed and the plotters unawares.
By the 1620s, events on the continent had stirred up anti-Catholic

feeling to a new pitch. A conflict had broken out between the
Catholic Holy Roman Empire and the Protestant Bohemians, who
had deposed the emperor as their king and elected James's son-in-
law, Frederick V , Elector Palatine, in his place, triggering the Thirty
Years' War. James reluctantly summoned Parliament as the only
means to raise the funds necessary to assist his daughter Elizabeth
and Frederick, who had been ousted from Prague by Emperor
Ferdinand II in 1620. The Commons on the one hand granted
subsidies inadequate to finance serious military operations in aid of
Frederick, and on the other called for a war directly against Spain. In
November 1621, led by Sir Edward Coke, they framed a petition
asking not only for a war with Spain but also for Prince Charles to
marry a Protestant, and for enforcement of the anti-Catholic laws.
James flatly told them not to interfere in matters of royal prerogative
and dissolved Parliament.
The failed attempt to marry Prince Charles with the Catholic Spanish
Infanta Maria (known as the Spanish match), which both the
Parliament and the public strongly opposed, was followed by even
stronger anti-Catholic sentiment in the Commons that was finally
echoed in court. The outcome of the Parliament of 1624 was
ambiguous; James still refused to declare war, but Charles believed
the Commons had committed themselves to financing a war against
Spain, a stance which was to contribute to his problems with
Parliament in his own reign.
J ames I of England, Portrait attributed
to J ohn de Critz , c. 1605
King of Scotland as James V I from 1567 and King of England and
Ireland as James I from the union of the Scottish and English
crowns in 1603 until his death.
Charles I and the English
Parliament
With the failure of the Spanish match, Charles married French
princess Henrietta Maria. Many members of the Commons were
opposed to the king's marriage to a Roman Catholic. Although he
told Parliament that he would not relax religious restrictions, Charles
promised to do exactly that in a secret marriage treaty with Louis X III
of France. Moreover, the treaty placed under French command an
English naval force that would be used to suppress the Protestant
Huguenots at La Rochelle. Charles was crowned in 1626 at
Westminster Abbey without his wife at his side because she refused
to participate in a Protestant religious ceremony.
Domestic quarrels between Charles and Henrietta Maria were

souring the early years of their marriage. Despite Charles's
agreement to provide the French with English ships, in 1627 he
launched an attack on the French coast to defend the Huguenots at
La Rochelle. The action, led by Buckingham (James and Charles'
close collaborator; hated by Parliament), was ultimately
unsuccessful. After Buckingham was assassinated in 1628,
Charles's relationship with his Catholic wife dramatically improved.
Although the death of Buckingham effectively ended the war with

Spain and eliminated his leadership as an issue, it did not end the
conflicts between Charles and Parliament. In January 1629, Charles
opened the second session of the English Parliament. Members of
the House of Commons began to voice opposition to Charles's
policies. Many MPs viewed the imposition of taxes as a breach of the
Petition of Right. When Charles ordered a parliamentary
adjournment on March 2, members held the Speaker down in his
chair so that the ending of the session could be delayed long enough
for various resolutions, including Anti-Catholic and tax-regulating
laws. The provocation was too much for Charles, who dissolved
Parliament. Shortly after the prorogation, without the means in the
foreseeable future to raise funds from Parliament for a European
war, Charles made peace with France and Spain. The following
eleven years, during which Charles ruled England without a
Parliament, are referred to as the "personal rule" or the "eleven
years' tyranny."
The Long Parliament, which assembled in the aftermath of the

personal rule, started in 1640 and quickly began proceedings to
impeach the king's leading counselors for high treason. To prevent
the king from dissolving it at will, Parliament passed the Triennial
Act, which required Parliament to be summoned at least once every
three years, and permitted the Lord Keeper of the Great Seal and
twelve peers to summon Parliament if the king failed to do so.
Charles I of England, portrait from the
studio of Anthony van Dyck, 1636.
Studio version of much copied
original in the Royal Collection,
W indsor Castle.
After his succession, Charles quarreled with the Parliament of
England, which sought to curb his royal prerogative. Charles
believed in the divine right of kings and thought he could govern
according to his own conscience. Many of his subjects opposed his
policies, in particular the levying of taxes without parliamentary
consent, and perceived his actions as those of a tyrannical absolute
monarch.
The English Civil W ar

The escalating conflict between the king and Parliament resulted in
what is known as the English Civil War (1642–1651). It was a series
of armed conflicts and political machinations between
Parliamentarians ("Roundheads") and Royalists ("Cavaliers") over,
principally, the manner of its government. The first (1642–1646) and
second (1648–1649) wars pitted the supporters of Charles against
the supporters of the Long Parliament, while the third (1649–1651)
saw fighting between supporters of King Charles II and supporters of
the Rump Parliament. The war ended with the Parliamentarian
victory at the Battle of Worcester on September 3, 1651.
The overall outcome of the war was threefold: the trial and execution
of Charles I; the exile of his son, Charles II; and the replacement of
English monarchy with, at first, the Commonwealth of England
(1649–1653), and then the Protectorate (1653–1659) under Oliver
Cromwell's personal rule. The monopoly of the Church of England
on Christian worship in England ended with the victors consolidating
the established Protestant Ascendancy in Ireland. Constitutionally,
the wars established the precedent that an English monarch cannot
govern without Parliament's consent, although the idea of Parliament
as the ruling power of England was legally established as part of the
Glorious Revolution in 1688.
18 .3.3: Charles I and the Power to Tax
Charles I's attempt to impose taxes not authorized by Parliament
contributed to the ongoing conflict between the king and Parliament
and eventually resulted in the passing of the 1628 Petition of Right.
Learning Objective
Analyze why the power to determine taxation was so important
Key Points
Charles I of England continued his father's policy and decided to
support Christian IV of Denmark and Frederick V , Elector
Palatine, during the Thirty Years' War, which caused major
tensions with a Parliament that refused to finance the war.
After the Commons continued to refuse to provide money and
began investigating the Duke of Buckingham, Charles I
dissolved Parliament. By 1627, with England still at war, Charles
decided to raise "forced loans," or taxes not authorized by
Parliament.
To cope with the ongoing war situation, Charles had introduced
martial law, which, as then understood, was not a form of
substantive law, but instead a suspension of the rule of law.
Charles decided that the only way to prosecute the war was to
again ask Parliament for money, and Parliament assembled in
1628. As a result, a series of parliamentary declarations
establishing a series of personal liberties known as the
Resolutions were prepared after tense debates.
In the end, a suggestion to pass the Resolutions as a petition of
right won. A committee produced a petition covering
discretionary imprisonment, non-Parliamentary taxation, martial
law, and forced billeting.
The 1628 Petition of Right marks the founding of the United
Kingdom's modern constitutional monarchy.
Key Terms
Petition of Right
A major English constitutional document that sets out specific

liberties of the subjects that the king is prohibited from infringing.
Passed in 1628, it contains restrictions on non-Parliamentary
taxation, forced billeting of soldiers, imprisonment without
cause, and the use of martial law.
habeas corpus
In medieval Latin it means literally "You may have the body," a

recourse in law whereby a person can report an unlawful
detention or imprisonment before a court, usually through a
prison official.
Thirty Years' War

Tonnage and Poundage
Certain duties and taxes first levied in Edward II's reign on every
tun (cask) of imported wine, which came mostly from Spain and
Portugal, and on every pound weight of merchandise exported
or imported. Traditionally it was granted by Parliament to the
king for life until the reign of Charles I.
Charles I of England and the

English Parliament
In 1625, King James I of England died and was succeeded by his
son, who became Charles I. Along with the throne, Charles inherited
the Thirty Years' War, in which Christian IV of Denmark and
Frederick V , Elector Palatine, who was married to Charles's sister
Elizabeth, were attempting to take back their hereditary lands and
titles from the Habsburg Monarchy. James had caused significant
financial problems with his attempts to support Christian and
Frederick, and it was expected that Charles would be more
amenable to prosecuting the war responsibly. After he summoned a
new Parliament to meet in April 1625, it became clear that he was
not. He demanded over £ 700,000 to assist in prosecuting the war.
The House of Commons refused and instead passed two bills
granting him only £ 112,000. In addition, rather than renewing the
customs due from Tonnage and Poundage for the entire life of the
monarch, which was traditional, the Commons only voted them in for
one year. Because of this, the House of Lords rejected the bill,
leaving Charles without any money to provide to the war effort.
After the Commons continued to refuse to provide money and began

investigating the Duke of Buckingham, Charles's favorite, Charles
dissolved Parliament. By 1627, with England still at war, Charles
decided to raise "forced loans," or taxes not authorized by
Parliament. Anyone who refused to pay would be imprisoned without
trial, and if they resisted, would be sent before the Privy Council.
Although the judiciary initially refused to endorse these loans, they
succumbed to pressure. While Charles continued to demand the
loans, more and more wealthy landowners refused to pay, reducing
the income from the loans and necessitating a new Parliament being
called in 1627.
Martial Law
To cope with the ongoing war situation, Charles had introduced
martial law to large swathes of the country, and in 1627 to the entire
nation. Crucially, martial law as then understood was not a form of
substantive law, but instead a suspension of the rule of law. It was
the replacement of normal statutes with a law based on the whims of
the local military commander. However, Charles decided that the
only way to prosecute the war was to again ask Parliament for
money, and Parliament assembled in 1628. As a result, a series of
Parliamentary declarations known as the Resolutions were prepared
after tense debates. They held that imprisonment was illegal, except
under law; habeas corpus should be granted to anyone, whether
they are imprisoned by the king or the Privy Council; defendants
could not be remanded in custody until the crime they were charged
with was shown; and non-Parliamentary taxation such as the forced
loans was illegal (the first three later became the foundations of the
Habeas Corpus Act 1679). The Resolutions were unanimously
accepted by the Commons in April, but they met a mixed reception
at the House of Lords, and Charles refused to accept them.
The Petition of Right

The conflict between the king and Parliament escalated. A number of
possible alternatives to the Resolutions were debated, but finally Sir
Edward Coke made a speech suggesting that the Commons join
with the House of Lords and pass their four resolutions as a petition
of right (although he was not the first to do so). The idea of a petition
of right was an established element of Parliamentary procedure, and
in addition, had not been expressly prohibited by Charles.
A committee produced a petition containing the same elements as
the Resolutions, covering discretionary imprisonment, non-
Parliamentary taxation, martial law, and forced billeting.
The Commons accepted the recommendations on May 8, and after a

long debate that attempted to accommodate the hostile king, the
House of Lords unanimously voted to join with the Commons on the
Petition of Right, while passing their own resolution, assuring the
king of their loyalty. Following the acceptance of the Petition by the
House of Lords, Charles sent a message to the Commons
"forbidding them to meddle with affairs of state," which produced a
furious debate. On June 7, Charles capitulated and accepted the
Petition. After setting out a list of individual grievances and statutes
that had been broken, the 1628 Petition of Right declares that
Englishmen have various "rights and liberties," and provides that no
person should be forced to provide a gift, loan, or tax without an Act
of Parliament, that no free individual should be imprisoned or
detained unless a cause has been shown, and that soldiers or
members of the Royal Navy should not be billeted in private houses
without the free consent of the owner. It also restricts the use of
martial law except in war or direct rebellion and prohibited the
formation of commissions.
The Petition of Right, 1628 , Parliament

of England
The Petition of Right, a major English constitutional document that
sets out specific liberties of the subject that the king is prohibited
from infringing. Drafted by a committee headed by Sir Edward Coke,
it was passed and ratified in 1628.
Significance
Some historians have argued that the passage of the Petition of
Right marks the founding of the United Kingdom's modern
constitutional monarchy. The Petition of Right also marked a
substantial cooperative work between individual parliamentarians
and between the Commons and Lords, something that had
previously been lacking and that in the end led to the formation of
political parties. Within what is now the Commonwealth of Nations,
the Petition was also heavily influential. It remains in force in both
New Zealand and Australia, as well as the United Kingdom itself.
The Petition also profoundly influenced the rights contained by the
Constitution of the United States.
18 .3.4: Cromwell and the Roundheads

The escalating conflict between Charles I of England and the English
Parliament resulted in the English Civil War, in the aftermath of which
monarchy disappeared for over a decade and Oliver Cromwell ruled
as Lord Protector of the Commonwealth of England, Scotland, and
Ireland.
Learning Objective
Explain how Cromwell rose to power.
Key Points
Charles I's belief, inherited from his father, that the power of the
crown is God-given and that the king does not have to respect
the position of the English Parliament, shaped his reign and led
to a political crisis that in the end would cost him his own life.
After the 1628 Parliament drew up the Petition of Right, Charles
I avoided calling a Parliament for the next decade, a period
known as the "personal rule" or the "eleven years' tyranny."
During this period, Charles's lack of money determined policies.
Charles finally bowed to pressure and summoned another
English Parliament in November 1640. Known as the Long
Parliament, it passed laws that strengthened the position of and
protected Parliament.
Charles and his supporters continued to resent Parliament's
demands, while Parliamentarians continued to suspect Charles
of wanting to impose episcopalianism and unfettered royal rule
by military force. After Ireland first descended into chaos, cities
and towns declared their sympathies for one faction or the other.
The English Civil War (1642–1651) pitted the supporters of King
Charles I and later his son and successor, Charles II, against
the supporters of Parliament. Its outcome was threefold: the trial
and execution of Charles I, the exile of Charles II, and the
replacement of English monarchy with, at first, the
Commonwealth of England (1649–53), and then the
Protectorate (1653–59) under Oliver Cromwell's personal rule.
In 1653, Cromwell was invited by his fellow leaders to rule as
Lord Protector of England (which included Wales at the time),
Scotland, and Ireland. As a ruler, he executed an aggressive
and effective foreign policy.
Key Terms
New Model Army
An army formed in 1645 by the Parliamentarians in the English

Civil War and disbanded in 1660 after the Restoration. It differed
from other armies in the series of civil wars referred to as the
Wars of the Three Kingdoms in that it was intended as an army
liable for service anywhere in the country (including in
Scotland and Ireland) rather than being tied to a single area or
garrison. Its soldiers became full-time professionals rather than
part-time militia.
Roundheads
The name given to the supporters of the Parliament of
England during the English Civil War. Also known as
Parliamentarians, they fought against Charles I of England and
his supporters, the Cavaliers or Royalists, who claimed rule by
absolute monarchy and the divine right of kings. Their goal was
to give the Parliament supreme control over executive
administration.
Long Parliament

had followed eleven years of parliamentary absence.
eleven years' tyranny
The period from 1629 to 1640, when King Charles I of England,

Scotland, and Ireland ruled without recourse to Parliament. The
King was entitled to do this under the Royal Prerogative. His
actions caused discontent among the ruling classes, but the
effects were more popular with the common people.
Cavaliers
A name first used by Roundheads as a term of abuse for the

wealthier male Royalist supporters of King Charles I and his son
Charles II of England during the English Civil War, the
Interregnum, and the Restoration (1642–c. 1679). It was later
adopted by the Royalists themselves.
Rump Parliament
The English Parliament after Colonel Thomas Pride purged the

Long Parliament on December 6, 1648, of those
members hostile to the Grandees' intention to try King Charles
I for high treason.
Thirty Years' War

tonnage and poundage
Certain duties and taxes first levied in Edward II's reign on every
tun (cask) of imported wine, which came mostly from Spain and
Portugal, and on every pound weight of merchandise exported
or imported. Traditionally it was granted by Parliament to the
king for life until the reign of Charles I.
Petition of Right
A major English constitutional document that sets out specific

liberties of the subjects that the king is prohibited from infringing.
Passed in 1628, it contains restrictions on non-Parliamentary
taxation, forced billeting of soldiers, imprisonment without
cause, and the use of martial law.
Background: The Stuarts and

the English Parliament
Elizabeth I's death in 1603 resulted in the accession of her first
cousin twice-removed King James V I of Scotland to the English
throne as James I of England, creating the first personal union of the
Scottish and English kingdoms. As King of Scots, James had
become accustomed to Scotland's weak parliamentary tradition, and
the new King of England was genuinely affronted by the constraints
the English Parliament attempted to place on him. Despite tensions
between the King and Parliament, James's peaceful disposition
contributed to relative peace in both England and Scotland.
However, his son and successor, Charles I of England, did not share
his father's personality, and engaged in even more tense conflicts
with Parliament. Charles's belief, inherited from his father, that the
power of the crown is God-given and that the king does not have to
respect the position of the English Parliament, shaped his reign and
led to a political crisis that in the end would cost him his own life.
Having dissolved Parliament in 1627 after it did not meet the king's
requirements and threatened his political allies, but unable to raise
money without it, Charles assembled a new one in 1628. The new
Parliament drew up the Petition of Right, and Charles accepted it as
a concession in order to obtain his subsidy. The Petition did not grant
him the right of tonnage and poundage, which Charles had been
collecting without parliamentary authorization since 1625. Charles I
avoided calling a Parliament for the next decade, a period known as
the "personal rule" or the "eleven years' tyranny." During this period,
Charles's lack of money determined policies. First and foremost, to
avoid Parliament, the king needed to avoid war. Charles made peace
with France and Spain, effectively ending England's involvement in
the Thirty Years' War.
Charles finally bowed to pressure and summoned another English

Parliament in November 1640. Known as the Long Parliament, it
proved even more hostile to Charles than its predecessor,
and passed a law that stated that a new Parliament should convene
at least once every three years—without the king's summons, if
necessary. Other laws passed by the Parliament made it illegal for
the king to impose taxes without parliamentary consent and later
gave Parliament control over the king's ministers. Finally, the
Parliament passed a law forbidding the king to dissolve it without its
consent, even if the three years were up.
Charles and his supporters continued to resent Parliament's

demands, while Parliamentarians continued to suspect Charles of
wanting to impose episcopalianism and unfettered royal rule by
military force. Within months, the Irish Catholics, fearing a
resurgence of Protestant power, struck first, and all of Ireland soon
descended into chaos. In early January 1642, accompanied by 400
soldiers, Charles attempted to arrest five members of the House of
Commons on a charge of treason, but failed to do so. A few days
after this failure, fearing for the safety of his family and retinue,
Charles left the London area for the north of the country. Further
negotiations by frequent correspondence between the king and the
Long Parliament proved fruitless. As the summer progressed, cities
and towns declared their sympathies for one faction or the other.
The English Civil W ar

What followed is know as the English Civil War (1642–1651), which
developed into a series of armed conflicts and political machinations
between Parliamentarians ("Roundheads") and Royalists
("Cavaliers"). The first (1642–1646) and second (1648–1649) wars
pitted the supporters of King Charles I against the supporters of the
Long Parliament, while the third (1649–1651) saw fighting between
supporters of King Charles II (Charles I's son) and supporters of the
Rump Parliament. The war ended with the Parliamentarian victory at
the Battle of Worcester on September 3, 1651.
The overall outcome of the war was threefold: the trial and execution
of Charles I, the exile of Charles II, and the replacement of English
monarchy with, at first, the Commonwealth of England (1649–1653),
and then the Protectorate (1653–1659) under Oliver Cromwell's
personal rule. The monopoly of the Church of England on Christian
worship in England ended with the victors consolidating the
established Protestant Ascendancy in Ireland. Constitutionally, the
wars established the precedent that an English monarch cannot
govern without Parliament's consent, although the idea of Parliament
as the ruling power of England was legally established as part of the
Glorious Revolution in 1688.
Battle of Naseby, artist unknown
The victory of the Parliamentarian New Model Army over the
Royalist Army at the Battle of Naseby on June 14, 1645, marked the
decisive turning point in the English Civil War.
Oliver Cromwell's Rise

Oliver Cromwell was relatively obscure for the first forty years of his
life. He was an intensely religious man (an Independent Puritan) who
entered the English Civil War on the side of the "Roundheads," or
Parliamentarians. Nicknamed "Old Ironsides," he was quickly
promoted from leading a single cavalry troop to being one of the
principal commanders of the New Model Army, playing an important
role in the defeat of the royalist forces. Cromwell was one of the
signatories of King Charles I's death warrant in 1649, and he
dominated the short-lived Commonwealth of England as a member
of the Rump Parliament (1649–1653). He was selected to take
command of the English campaign in Ireland in 1649–1650. His
forces defeated the Confederate and Royalist coalition in Ireland and
occupied the country, bringing an end to the Irish Confederate Wars.
During this period, a series of Penal Laws were passed against
Roman Catholics (a significant minority in England and Scotland but
the vast majority in Ireland), and a substantial amount of their land
was confiscated. Cromwell also led a campaign against the Scottish
army between 1650 and 1651.
In April 1653, he dismissed the Rump Parliament by force, setting up

a short-lived nominated assembly known as Barebone's Parliament,
before being invited by his fellow leaders to rule as Lord Protector of
England (which included Wales at the time), Scotland, and Ireland
from December 1653. As a ruler, he executed an aggressive and
effective foreign policy. He died from natural causes in 1658 and the
Royalists returned to power in 1660, and they had his corpse dug up,
hung in chains, and beheaded.
O liver C rom well by Samuel Cooper
( died 167 2) , the National Portrait
Gallery, London
Cromwell is one of the most controversial figures in the history of the
British Isles, considered a regicidal dictator, a military dictator, and a
hero of liberty. However, his measures against Catholics in Scotland
and Ireland have been characterized as genocidal or near-genocidal,
and in Ireland his record is harshly criticized.
18 .3.5 : The English Protectorate

Despite the revolutionary nature of the government during the
Protectorate, Cromwell's regime was marked by an aggressive
foreign policy, no drastic reforms at home, and difficult relations with
Parliament, which in the end made it increasingly similar to
monarchy.
Learning Objective
Describe the English Protectorate, along with its successes and
failures
Key Points
In 1653 Oliver Cromwell was declared Lord Protector of a united
Commonwealth of England, Scotland, and Ireland under the
terms of the Instrument of Government, inaugurating the period
now usually known as the Protectorate.
Cromwell had two key objectives as Lord Protector: "healing
and settling" the nation after the chaos of the civil wars and the
regicide, and spiritual and moral reform. While his domestic
policies presumed no radical reforms and many focused on
protecting public morality through religion, Cromwell followed an
aggressive foreign policy.
Cromwell's over-reliance on the military reopened the wounds of
the 1640s and deepened antipathies to the regime.
Being aware of the contribution the Jewish community made to
the economic success of Holland, then England's leading
commercial rival, Cromwell encouraged Jews to return to
England, 350 years after their banishment by Edward I.
After Cromwell's death in 1658, his son Richard succeeded as
Lord Protector but was unable to manage the Parliament and
control the army. In 1660, monarchy was restored.
Cromwell is one of the most controversial figures in the history
of the British Isles, considered a regicidal dictator or a military
dictator by some and a hero of liberty by others. His measures
against Catholics in Scotland and Ireland, however, have been
characterized as genocidal or near-genocidal.
Key Terms
Rump Parliament

I for high treason.
Interregnum
The period between the execution of Charles I on January 30,

1649, and the arrival of his son Charles II in London on May 29,
1660, which marked the start of the Restoration. During the
Interregnum England was under various forms of republican
government as the Commonwealth of England.
Barebone's Parliament
Also known as the Little Parliament, the Nominated Assembly,

and the Parliament of Saints, was the last attempt of the English
Commonwealth (1653) to find a stable political form before the
installation of Oliver Cromwell as Lord Protector. It was an
assembly nominated entirely by Oliver Cromwell and the Army's
Council of Officers.
Third English Civil War
The last of the English Civil Wars (1649–1651), which were a

series of armed conflicts and political machinations between
Parliamentarians and Royalists. As the Royal army was mostly
Scottish, and as the invasion was not accompanied by any
major rising or support in England, the war can also be viewed
as primarily an Anglo-Scottish War rather than a continuation of
the English Civil War.
Instrument of Government
A constitution of the Commonwealth of England, Scotland, and

Ireland. Drafted by Major-General John Lambert in 1653, it was
the first sovereign codified and written constitution in England.
The Commonwealth of England

The Commonwealth was the period when England, later along with
Ireland and Scotland, was ruled as a republic following the end of the
Second English Civil War and the trial and execution of Charles I
(1649). The republic's existence was declared by the Rump
Parliament on May 19, 1649. Power in the early Commonwealth was
vested primarily in the Parliament and a Council of State. During this
period, fighting continued, particularly in Ireland and Scotland,
between the parliamentary forces and those opposed to them, as
part of what is now referred to as the Third English Civil War.
In 1653, after the forcible dissolution of the Rump Parliament, Oliver

Cromwell was declared Lord Protector of a united Commonwealth of
England, Scotland, and Ireland under the terms of the Instrument of
Government, inaugurating the period now usually known as the
Protectorate. The term "Commonwealth" is sometimes used for the
whole of 1649 to 1660—a period referred to by monarchists as the
Interregnum—although for other historians, the use of the term is
limited to the years prior to Cromwell’s formal assumption of power
in 1653.
Coat of arms of the Commonwealth of
England from 165 3 to 165 9 during the
Protectorate of Oliver Cromwell
The Protectorate
The Protectorate was the period during the Commonwealth when
England (which at that time included Wales), Ireland, and Scotland
were governed by a Lord Protector. The Protectorate began in 1653
when, following the dissolution of the Rump Parliament and then
Barebone's Parliament, Oliver Cromwell was appointed Lord
Protector of the Commonwealth under the terms of the Instrument of
Government.
Cromwell had two key objectives as Lord Protector. The first was
"healing and settling" the nation after the chaos of the civil wars and
the regicide. The social priorities did not, despite the revolutionary
nature of the government, include any meaningful attempt to reform
the social order. He was also careful in the way he approached
overseas colonies. England's American colonies in this period
consisted of the New England Confederation, the Providence
Plantation, the V irginia Colony, and the Maryland Colony. Cromwell
soon secured the submission of these, but largely left them to their
own affairs. His second objective was spiritual and moral reform. As
a very religious man (Independent Puritan), he aimed to restore
liberty of conscience and promote both outward and inward
godliness throughout England. The latter translated into rigid
religious laws (e.g., compulsory church attendance).
The first Protectorate parliament met in September 1654, and after

some initial gestures approving appointments previously made by
Cromwell, began to work on a moderate program of constitutional
reform. Rather than opposing Parliament’s bill, Cromwell dissolved
them in January 1655. After a royalist uprising led by Sir John
Penruddock, Cromwell divided England into military districts ruled by
Army Major-Generals who answered only to him. The fifteen major
generals and deputy major generals—called "godly governors"—
were central not only to national security, but also to Cromwell's
moral crusade. However, the major-generals lasted less than a year.
Cromwell's failure to support his men, by sacrificing them to his
opponents, caused their demise. Their activities between November
1655 and September 1656 had, nonetheless, reopened the wounds
of the 1640s and deepened antipathies to the regime.
During this period Cromwell also faced challenges in foreign policy.

The First Anglo-Dutch War, which had broken out in 1652, against
the Dutch Republic, was eventually won in 1654. Having negotiated
peace with the Dutch, Cromwell proceeded to engage the Spanish in
warfare. This involved secret preparations for an attack on the
Spanish colonies in the Caribbean and resulted in the invasion of
Jamaica, which then became an English colony. The Lord Protector
also became aware of the contribution the Jewish community made
to the economic success of Holland, then England's leading
commercial rival. This led to his encouraging Jews to return to
England, 350 years after their banishment by Edward I, in the hope
that they would help speed up the recovery of the country after the
disruption of the English Civil War.
In 1657, Oliver Cromwell rejected the offer of the Crown presented to

him by Parliament and was ceremonially re-installed as Lord
Protector, this time with greater powers than had previously been
granted him under this title. Most notably, however, the office of Lord
Protector was still not to become hereditary, though Cromwell was
now able to nominate his own successor. Cromwell's new rights and
powers were laid out in the Humble Petition and Advice, a legislative
instrument that replaced the Instrument of Government. Despite
failing to restore the Crown, this new constitution did set up many of
the vestiges of the ancient constitution, including a house of life
peers (in place of the House of Lords). In the Humble Petition it was
called the "Other House," as the Commons could not agree on a
suitable name. Furthermore, Oliver Cromwell increasingly took on
more of the trappings of monarchy.
Cromwell's signature
Cromwell's signature before becoming Lord Protector in 1653, and
afterwards. "Oliver P," stands for Oliver Protector, similar in style to
English monarchs who signed their names as, for example,
"Elizabeth R," standing for Elizabeth Regina.
After Cromwell's Death

Cromwell died of natural causes in 1658, and his son Richard
succeeded as Lord Protector. Richard sought to expand the basis for
the Protectorate beyond the army to civilians. He summoned a
Parliament in 1659. However, the republicans assessed his father's
rule as "a period of tyranny and economic depression" and attacked
the increasingly monarchy-like character of the Protectorate. Richard
was unable to manage the Parliament and control the army. In May,
a Committee of Safety was formed on the authority of the Rump
Parliament, displacing the Protector's Council of State, and was in
turn replaced by a new Council of State. A year later monarchy was
restored.
Cromwell is one of the most controversial figures in the history of the
British Isles, considered a regicidal dictator or a military dictator by
some and a hero of liberty by others. His measures against Catholics
in Scotland and Ireland have been characterized as genocidal or
near-genocidal, and in Ireland his record is harshly criticized.
Following the Irish Rebellion of 1641, most of Ireland came under the
control of the Irish Catholic Confederation. In early 1649, the
Confederates allied with the English Royalists, who had been
defeated by the Parliamentarians in the English Civil War. By May
1652, Cromwell's Parliamentarian army had defeated the
Confederate and Royalist coalition in Ireland and occupied the
country—bringing an end to the Irish Confederate Wars (or Eleven
Years' War). However, guerrilla warfare continued for another year.
Cromwell passed a series of Penal Laws against Roman
Catholics (the vast majority of the population) and confiscated large
amounts of their land. The extent to which Cromwell, who was in
direct command for the first year of the campaign, was responsible
for brutal atrocities in Ireland is debated to this day.
18 .3.6: Restoration of the Stuarts

Over a decade after Charles I's 1649 execution and Charles II's
1651 escape to mainland Europe, the Stuarts were restored to the
English throne by Royalists in the aftermath of the slow fall of the
Protectorate.
Learning Objective
Evaluate why the Stuarts were brought back and restored to the
English throne
Key Points
Richard Cromwell was Lord Protector of England, Scotland, and
Ireland after Oliver Cromwell's death in 1658, but he lacked his
father's authority. He proved unable to manage the Parliament
and control the army and was removed from his office after
several months.
In the aftermath of Richard's removal, power struggles ensued,
with George Monck emerging as a key figure in the restoration
of monarchy and bringing Charles II back to England.
On April 4, 1660, Charles II issued the Declaration of Breda, in
which he made several promises in relation to the reclamation of
the crown of England. Charles entered London on May 29 and
was crowned in 1661.
The Cavalier Parliament convened for the first time in May 1661,
and it would endure for over seventeen years. Like its
predecessor, it was overwhelmingly Royalist. It is also known as
the Pensionary Parliament for the many pensions it granted to
adherents of the king.
Many Royalist exiles returned and were rewarded. The
Indemnity and Oblivion Act, which became law in August 1660,
pardoned all past treason against the Crown, but specifically
excluded those involved in the trial and execution of Charles I.
Key Terms
Pride's Purge of 1648
An event that took place in December 1648, during the Second

English Civil War, when troops of the New Model Army under
the command of Colonel Thomas Pride forcibly removed from
the Long Parliament all those who were not supporters of the
Grandees in the New Model Army and the Independents. It is
arguably the only military coup d'é tat in English history.
Convention Parliament
A parliament in English history which, owing to an abeyance of

the Crown, assembled without formal summons by the
sovereign. Its 1660 assembly followed the Long Parliament that
had finally voted for its own dissolution in March of that
year. Elected as a "free parliament," i.e., with no oath of
allegiance to the Commonwealth or to the monarchy, it was
predominantly Royalist in its membership.
Indemnity and Oblivion Act
A 1660 act of the Parliament of England that was a general

pardon for everyone who had committed crimes during the
English Civil War and Interregnum, with the exception of certain
crimes such as murder, piracy, buggery, rape, and witchcraft,
and people named in the act, such as those involved in the
regicide of Charles I.
Declaration of Breda
A proclamation by Charles II of England in which he promised a

general pardon for crimes committed during the English Civil
War and the Interregnum for all those who recognized Charles
as the lawful king; the retention by the current owners of
property purchased during the same period; religious toleration;
and the payment of pay arrears to members of the army and the
recommission of the army into service under the crown. The first
three pledges were all subject to amendment by acts of
parliament.
Rump Parliament

I for high treason.
Long Parliament

had followed an eleven-year parliamentary absence.
Committee of Safety
A committee established by the Parliamentarians in July 1642. It

was the first of a number of successive committees set up to
oversee the English Civil War against King Charles I and the
Interregnum. Its last installment was set up in 1659, just before
the Restoration, in response to the Rump Parliament, which the
day before tried to place the commander of the army Charles
Fleetwood as chief of a military council under the authority of the
speaker.
Richard Cromwell and the

Protectorate
Richard Cromwell (1626–1712) was Lord Protector of England,
Scotland, and Ireland after Oliver Cromwell's death in 1658. Richard
lacked his father's authority. He attempted to mediate between the
army and civil society and allowed a Parliament that contained a
large number of disaffected Presbyterians and Royalists. His main
weakness was that he did not have the confidence of the army. He
summoned a Parliament in 1659, but the republicans assessed
Oliver's rule to be "a period of tyranny and economic depression"
and attacked the increasingly monarchy-like nature of the
Protectorate. Richard proved unable to manage the Parliament and
control the army. On May 7, a Committee of Safety was formed on
the authority of the Rump Parliament, displacing the Protector's
Council of State, and was in turn replaced by a new Council of State
on May 19.
Proclamation announcing the death of
Oliver Cromwell and the succession
of Richard Cromwell as Lord
Protector. Printed in Scotland, 165 8 .
Courtesy of the General Collection,
Beinecke Rare Book and Manuscript
Library, Y ale University, New Haven,
Connecticut.
In 1660, Richard Cromwell left for France and later traveled around
Europe, visiting various European courts. In 1680 or 1681, he
returned to England and lodged with the merchant Thomas
Pengelly in Cheshunt, Hertfordshire, living off the income from his
estate in Hursley. He died in 1712 at the age of 85.
Power Struggles
Charles Fleetwood was appointed a member of the Committee of
Safety and of the Council of State, and one of the seven
commissioners for the army. On June 9, 1659, he was nominated
lord-general (commander-in-chief) of the army. However, his
leadership was undermined in Parliament. A royalist uprising was
planned for August 1, 1659, and although it never happened, Sir
George Booth gained control of Cheshire. Booth held Cheshire until
the end of August, when he was defeated by General John Lambert.
On October 26, a Committee of Safety was appointed, of which
Fleetwood and Lambert were members. Lambert was appointed
major-general of all the forces in England and Scotland, with
Fleetwood being general. The Committee of Safety sent Lambert
with a large force to meet George Monck, who was in command of
the English forces in Scotland, and either negotiate with him or force
him to come to terms.
It was into this atmosphere that Monck, the governor of Scotland

under the Cromwells, marched south with his army from Scotland.
Lambert's army began to desert him, and he returned to London
almost alone, though he marched unopposed. The Presbyterian
members, excluded in Pride's Purge of 1648, were recalled, and on
December 24 the army restored the Long Parliament. Fleetwood
was deprived of his command and ordered to appear before
Parliament to answer for his conduct. In March 1660, Lambert was
sent to the Tower of London, from which he escaped a month later.
He tried to rekindle the civil war in favor of the Commonwealth, but
he was recaptured by Colonel Richard Ingoldsby, a participant in the
regicide of Charles I, who hoped to win a pardon by handing
Lambert over to the new regime. Lambert was incarcerated and died
in custody in 1684; Ingoldsby was, indeed, pardoned.
Restoration of Charles II
On April 4, 1660, Charles II issued the Declaration of Breda, in which
he made several promises in relation to the reclamation of the crown
of England. Monck organized the Convention Parliament; on May 8,
it proclaimed that King Charles II had been the lawful monarch since
the execution of Charles I on January 30, 1649. Charles entered
London on May 29, his birthday. To celebrate his Majesty's Return to
his Parliament, May 29 was made a public holiday, popularly known
as Oak Apple Day. He was crowned at Westminster Abbey on April
23, 1661. The Cavalier Parliament convened for the first time in May
1661, and it would endure for over seventeen years. Like its
predecessor, it was overwhelmingly Royalist. It is also known as the
Pensionary Parliament for the many pensions it granted to adherents
of the king.
Many Royalist exiles returned and were rewarded. The Indemnity

and Oblivion Act, which became law in August 1660, pardoned all
past treason against the crown, but specifically excluded those
involved in the trial and execution of Charles I. Thirty-one of the fifty-
nine commissioners (judges) who had signed the death warrant in
1649 were living. In the ensuing trials, twelve were condemned to
death. In October 1660, ten were publicly hanged, drawn, and
quartered. Oliver Cromwell, Henry Ireton, Judge Thomas Pride, and
Judge John Bradshaw were posthumously attained for high treason.
In January 1661, the corpses of Cromwell, Ireton, and Bradshaw
were exhumed and hanged in chains at Tyburn.
C harles II of E ngland by Peter Lely,
167 5 , Collection of Euston Hall,
Suffolk
King Charles II, the first monarch to rule after the English
Restoration.
18 .3.7 : The Glorious Revolution

The Glorious Revolution was the overthrow of King James II of
England by a union of English Parliamentarians with the Dutch
stadtholder William of Orange and his wife Mary that resulted in the
eventual regulation of the respective powers of Parliament and the
Crown in England.
Learning Objective
Analyze the significant changes the Glorious Revolution made to
English government
Key Points
James II ascended the throne upon the death of his brother,
Charles II, in 1685. During his short reign, he became directly
involved in the political battles between Catholicism and
Protestantism and between the Divine Right of Kings and the
political rights of the Parliament of England.
James's greatest political problem was his Catholicism, which
left him alienated from both parties in England. Amidst
continuous tensions between the king and Parliament, matters
came to a head in June 1688, when James had a son, James.
Until then, the throne would have passed to his daughter Mary,
a Protestant.
Mary and her husband, William Henry of Orange, both
Protestants, appeared as potential rulers who could lead an
anti-James revolution and replace the Catholic king. It is still a
matter of controversy whether the initiative for the conspiracy to
take over the throne was taken by the English or by William and
his wife.
On June 30, 1688, a group of seven Protestant nobles invited
the Prince of Orange to come to England with an army. By
September, it became clear that William would invade England.
William arrived on November 5.
In December, James fled the country, and in 1689 William and
Mary were appointed monarchs.
In order to regulate the relationship between the monarch and
Parliament, the Bill of Rights was passed in 1689. It lays down
limits on the powers of the monarch and sets out the rights of
Parliament, including the requirement for regular parliaments,
free elections, and freedom of speech in Parliament.
Key Terms
Divine Right of Kings
A political and religious doctrine of royal and political legitimacy.

It asserts that a monarch is subject to no earthly authority, and
derives the right to rule directly from the will of God. The king is
thus not subject to the will of his people, the aristocracy, or any
other estate of the realm, including the Catholic Church.
Penal Laws
A specific series of laws that sought to uphold the

establishment of the Church of England against Protestant
Nonconformists and Catholicism by imposing various forfeitures,
civil penalties, and civil disabilities upon these dissenters. They
were repealed in the 19th century during the process of Catholic
Emancipation.
Test Act
A series of English penal laws that served as a religious test for

public office and imposed various civil disabilities on Roman
Catholics and Nonconformists. The principle was that none but
people taking communion in the established Church of
England were eligible for public employment.
Declaration of Indulgence
A pair of proclamations made by James II of England and V II of

Scotland in 1687. It granted broad religious freedom in England
by suspending penal laws enforcing conformity to the Church of
England and allowing persons to worship in their homes or
chapels as they saw fit, and it ended the requirement of
affirming religious oaths before gaining employment in
government office.
stadtholder
In the Low Countries, a medieval function that during the 16th,

17th, and 18th centuries developed into a rare type of de
facto hereditary head of state of the thus crowned republic of the
Netherlands. Additionally, this position was tasked with
maintaining peace and provincial order in the early Dutch
Republic.
J ames II of England
James II of England (V II of Scotland) was the second surviving son
of Charles I; he ascended the throne upon the death of his brother,
Charles II, in 1685. During his short reign, James became directly
involved in the political battles between Catholicism and
Protestantism and between the Divine Right of Kings and the
political rights of the Parliament of England. James's greatest
political problem was his Catholicism, which left him alienated from
both parties in England. However, the facts that he had no son and
his daughters were Protestants were a "saving grace." James's
attempt to relax the Penal Laws alienated Tories, his natural
supporters, because they viewed this as tantamount to
disestablishment of the Church of England. Abandoning the Tories,
James looked to form a "King's party" as a counterweight to the
Anglican Tories, so in 1687 he supported the policy of religious
toleration and issued the Declaration of Indulgence. By allying
himself with the Catholics, Dissenters, and Nonconformists, James
hoped to build a coalition that would advance Catholic emancipation.
Matters came to a head in June 1688, when the king had a son,
James. Until then, the throne would have passed to his daughter
Mary, a Protestant. The prospect of a Catholic dynasty in the
kingdoms of England, Scotland, and Ireland was now likely.
J ames II King of England and V II King

of Scots, King of Ireland and Duke of
Normandy, painting by Sir Godfrey
Kneller, 168 3
Conspiracy: W illiam and Mary

Mary and her husband, her cousin William Henry of Orange, were
both Protestants and grandchildren of Charles I of England. William
was also stadtholder of the main provinces of the Dutch Republic.
He had already acquired the reputation of being the main champion
of the Protestant cause against Catholicism and French absolutism.
In the developing English crisis, he saw an opportunity to prevent an
Anglo-French alliance and bring England to the anti-French side by
carrying out a military intervention directed against James. This
suited the desires of several English politicians who intended to
depose James. It is still a matter of controversy whether the initiative
for the conspiracy was taken by the English or by the stadtholder
and his wife.
Invasion
On June 30, 1688, a group of seven Protestant nobles invited the
Prince of Orange to come to England with an army. By September, it
became clear that William would invade England. William arrived on
November 5. James refused a French offer to send an expeditionary
force, fearing that it would cost him domestic support. He tried to
bring the Tories to his side by making concessions, but failed
because he still refused to endorse the Test Act. His forward forces
had gathered at Salisbury, and James went to join them on
November 19 with his main force, having a total strength of about
19,000. Amid anti-Catholic rioting in London, it rapidly became
apparent that the troops were not eager to fight, and the loyalty of
many of James's commanders was doubtful.
Meanwhile, on November 18, Plymouth had surrendered to William,

and on November 21, William began to advance. In December,
William's forces met with the king's commissioners to negotiate.
James offered free elections and a general amnesty for the rebels. In
reality, by that point he was simply playing for time, having already
decided to flee the country. James was received in France by his
cousin and ally, Louis X IV , who offered him a palace and a pension.
The Bill of Rights

The status of William and Mary in England was unclear while James,
though now in France, still had many supporters in the country. In
order to avoid James's return to the throne, and facing opposition in
Parliament, William let it be known that he was happy for Mary to be
queen in name and for preference in the succession given to
Princess Anne's (Mary's sister) children over any of William's. Anne
declared that she would temporarily waive her right to the crown
should Mary die before William, and Mary refused to be made queen
without William as king. The Lords accepted the words "abdication"
and "vacancy" and Lord Winchester's motion to appoint William and
Mary monarchs. The decision was made in light of a great fear that
the situation might deteriorate into a civil war. Although their
succession to the English throne was relatively peaceful, much blood
would be shed before William's authority was accepted in Ireland
and Scotland.
Detail of W illiam and Mary as
portrayed on the ceiling of the Painted
Hall of the Greenwich Hospital.
Painting: Sir J ames Thornhill; Photo:
J ames Brittain.
William and Mary were co-regents over the Kingdoms of England,
Scotland, and Ireland. Parliament offered William and Mary a co-
regency, at the couple's behest. After Mary died in 1694, William
ruled alone until his death in 1702. William and Mary were childless
and were ultimately succeeded by Mary's younger sister, Anne.
The proposal to draw up a statement of rights and liberties and
James's invasion of them was first made in January in the
Commons, but what would become the Bill of Rights did not pass
until December 1689. The Bill was a restatement in statutory form of
The Declaration of Rights presented by the Convention Parliament to
William and Mary in February 1689, inviting them to become joint
sovereigns of England. The Bill of Rights lay down limits on the
powers of the monarch and set out the rights of Parliament, including
the requirement for regular parliaments, free elections, and freedom
of speech in Parliament. It set out certain rights of individuals,
including the prohibition of cruel and unusual punishment, and
reestablished the liberty of Protestants to have arms for their
defense within the rule of law. Furthermore, the Bill of Rights
described and condemned several misdeeds of James II of England.
These ideas reflected those of the political thinker John Locke, and
they quickly became popular in England. It also set out—or, in the
view of its drafters, restated—certain constitutional requirements of
the Crown to seek the consent of the people, as represented in
Parliament.
Significance
The Glorious Revolution of 1688 is considered by some as one of
the most important events in the long evolution of the respective
powers of Parliament and the Crown in England. The passage of the
Bill of Rights stamped out once and for all any possibility of a
Catholic monarchy and ended moves towards absolute monarchy in
the British kingdoms by circumscribing the monarch's powers. These
powers were greatly restricted. He or she could no longer suspend
laws, levy taxes, make royal appointments, or maintain a standing
army during peacetime without Parliament's permission. Since 1689,
government under a system of constitutional monarchy in England,
and later the United Kingdom, has been uninterrupted. Also since
then, Parliament's power has steadily increased while the Crown's
has steadily declined.
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18 .4: France and
Authoritarianism
18 .4.1: France and Cardinal Richelieu
Richelieu's successful policies leading to the consolidation of royal
power, centralization of the state, and strengthening of the
international position of France paved the way for the authoritarian
rule of Louis X IV .
Learning Objective
Identify Cardinal Richelieu's main goals and his successes and
failures in achieving them
Key Points
Cardinal Richelieu was a French clergyman, nobleman, and
statesman, serving as King Louis X III's Chief Minister
(sometimes also called First Minister) from 1624. He sought to
consolidate royal power and strengthen France's international
position.
Although initially Richelieu was closely affiliated with Marie de
Mé dicis, Louis X III's mother, and did not enjoy the king's trust,
his role as a successful mediator in the power struggle between
Louis and Marie helped him reach the position of the king's
principal minister.
Cardinal Richelieu's policy involved two primary goals:
centralization of power in France and opposition to the
Habsburg dynasty.
Richelieu's decisions to suppress the influence of the feudal
nobility and levy taxes targeted mostly at the commoners made
him a hated figure among both the nobility and the peasantry.
Richelieu was instrumental in redirecting the Thirty Years' War
from the conflict of Protestantism versus Catholicism to that of
nationalism versus Habsburg hegemony, which allowed France
to emerge from it as the most powerful state in continental
Europe.
Richelieu's tenure was a crucial period of reform for France. At
home, local and even religious interests were subordinated to
those of the whole nation and the king. Internationally, France
triumphed over declining Spain and the Holy Roman Empire.
Richelieu's successes were extremely important to King Louis
X IV 's absolute monarchy.
Key Terms
Thirty Years' War

Battle of Lens
A 1648 French victory against the Spanish army in the Thirty

Years' War (1618–1648). It was the last major battle of the war
and was critical to the eventual triumph of the French over the
Spanish Habsburgs.
Council of Trent
Council held between 1545 and 1563 in Trent and Bologna,

northern Italy. It was one of the Roman Catholic Church's most
important ecumenical councils. Prompted by the Protestant
Reformation, it has been described as the embodiment of the
Counter-Reformation. It issued condemnations of what it defined
to be heresies committed by Protestantism and, in response to
them, key statements and clarifications of the church's doctrine
and teachings.
Peace of Alais
A treaty negotiated by Cardinal Richelieu with Huguenot leaders

and signed by King Louis X III of France in 1629. It confirmed the
basic principles of the Edict of Nantes, but differed in that it
contained additional clauses, stating that the Huguenots no
longer had political rights and further demanding that they
relinquish all cities and fortresses immediately. It ended the
religious warring while granting the Huguenots amnesty and
guaranteeing them tolerance.
Huguenots
Members of a French Protestant denomination with origins in

the 16th or 17th centuries. Historically, they were French
Protestants inspired by the writings of John Calvin in the 1530s.
The majority endorsed the Reformed tradition of Protestantism.
Cardinal Richelieu
Cardinal Richelieu (1585–1642), was a French clergyman,
nobleman, and statesman, serving as King Louis X III's Chief Minister
(sometimes also called First Minister) from 1624. He sought to
consolidate royal power and crush domestic factions. By restraining
the power of the nobility, he transformed France into a strong,
centralized state. His chief foreign policy objective was to check the
power of the Austro-Spanish Habsburg dynasty and ensure French
dominance in the Thirty Years' War that engulfed Europe. Although
he was a cardinal, he did not hesitate to make alliances with
Protestant rulers in attempting to achieve his goals.
Engraved portrait of Cardinal
Richelieu by Robert Nanteuil
( 165 7 ) , Bibliothè que nationale de
France
Richelieu was also famous for his patronage of the arts. Most
notably, he founded the Acadé mie Franç aise, the learned
society responsible for matters pertaining to the French language.
Rise to Power
Richelieu was consecrated bishop in April 1607. Soon after he
returned to his diocese in 1608, he was heralded as a reformer. He
became the first bishop in France to implement the institutional
reforms prescribed by the Council of Trent. Richelieu advanced
politically by faithfully serving the Queen-Mother's favorite, Concino
Concini, the most powerful minister in the kingdom. In 1616, he was
made Secretary of State responsible for foreign affairs. Like Concini,
the bishop was one of the closest advisers of Louis X III's mother,
Marie de Mé dicis. The queen had become Regent of France when
nine-year-old Louis ascended the throne. However, her policies, and
those of Concini, proved unpopular with many in France. In 1617, in
a plot arranged by Charles de Luynes, King Louis X III ordered that
Concini be arrested, and killed should he resist. Concini was
consequently assassinated and Marie de Mé dicis overthrown. With
the death of his patron, Richelieu also lost power. He was dismissed
as Secretary of State, removed from the court, and banished to
Avignon.
In 1619, Marie de Mé dicis escaped from her confinement. The king

and de Luynes recalled Richelieu, believing that he would be able to
reason with the queen. Richelieu succeeded in mediating between
the king and his mother, and after de Luynes' death in 1621, he
began to rise to power quickly. Crises in France, including a rebellion
of the Huguenots, rendered Richelieu a nearly indispensable adviser
to the king. In 1624, as a result of court intrigues, Cardinal Richelieu
took the place of the king's principal minister.
Goals and Policies

Cardinal Richelieu's policy involved two primary goals: centralization
of power in France and opposition to the Habsburg dynasty (which
ruled in both Austria and Spain). Shortly after he became Louis's
principal minister, he was faced with a crisis in V altellina, a valley in
northern Italy. To counter Spanish designs on the territory, Richelieu
supported the Protestant Swiss canton of Grisons. This early
decision to support a Protestant canton against the pope was a
foretaste of the purely diplomatic power politics he would espouse in
his foreign policy.
To further consolidate power in France, Richelieu sought to suppress
the influence of the feudal nobility. In 1626, he abolished the position
of Constable of France and ordered all fortified castles razed,
excepting only those needed to defend against invaders. Thus, he
stripped the princes, dukes, and lesser aristocrats of important
defenses that could have been used against the king's armies during
rebellions. As a result, most of the nobility hated Richelieu.
Another obstacle to the centralization of power was religious division

in France. The Huguenots, one of the largest political and religious
factions in the country, controlled a significant military force, and
were in rebellion. Moreover, the king of England, Charles I, declared
war on France in an attempt to aid the Huguenot faction. The conflict
ended with the 1629 Peace of Alais, which permitted religious
toleration for Protestants to continue, but the cardinal abolished their
political rights and protections.
Before Richelieu's ascent to power, most of Europe had become

enmeshed in the Thirty Years' War. France was not openly at war
with the Habsburgs, who ruled Spain and the Holy Roman Empire,
so subsidies and aid were provided secretly to their adversaries. In
1629, Emperor Ferdinand II subjugated many of his Protestant
opponents in Germany. Richelieu, alarmed by Ferdinand's growing
influence, incited Sweden to intervene, providing money. In the
meantime, France and Spain remained hostile due to Spain's
ambitions in northern Italy—a major strategic item in Europe's
balance of powers. Military expenses placed a considerable strain on
the King's revenues. In response, Richelieu raised the salt tax and
the land tax. The former was enforced to provide funds to raise
armies and wage war. The clergy, nobility, and high bourgeoisie were
either exempt or could easily avoid payment, so the burden fell on
the poorest segment of the nation. This resulted in several peasant
uprisings that Richelieu crushed violently.
Richelieu was instrumental in redirecting the Thirty Years' War from

the conflict of Protestantism versus Catholicism to that of nationalism
versus Habsburg hegemony. Through the war, France effectively
drained the already overstretched resources of the Habsburg empire
and drove it inexorably towards bankruptcy. The defeat of Habsburg
forces at the Battle of Lens, and their failure to prevent French
invasion of Catalonia, effectively spelled the end for Habsburg
domination of the continent. Indeed, in the subsequent years it would
be France, under the leadership of Louis X IV , who would attempt to
fill the vacuum left by the Habsburgs in the Spanish Netherlands and
supplant Spain as the dominant European power.
Legacy
Richelieu died of natural causes in 1642. His tenure was a crucial
period of reform for France. Earlier, the nation's political structure
was largely feudal, with powerful nobles and a wide variety of laws in
different regions. Local and even religious interests were
subordinated to those of the whole nation and of the embodiment of
the nation—the king. Equally critical for France was Richelieu's
foreign policy, which helped restrain Habsburg influence in Europe.
Richelieu did not survive to the end of the Thirty Years' War.
However, the conflict ended in 1648, with France emerging in a far
better position than any other power, and the Holy Roman Empire
entering a period of decline.
Richelieu's successes were extremely important to Louis X III's

successor, King Louis X IV . He continued Richelieu's work of creating
an absolute monarchy. In the same vein as the cardinal, he enacted
policies that further suppressed the once-mighty aristocracy and
utterly destroyed all remnants of Huguenot political power. Moreover,
Louis took advantage of his nation's success during the Thirty Years'
War to establish French hegemony in continental Europe. Thus,
Richelieu's policies were the requisite prelude to Louis X IV becoming
the most powerful monarch, and France the most powerful nation, in
all of Europe during the late 17th century.
18 .4.2: Cardinal Maz arin and the
Fronde
Cardinal Mazarin, for years de facto ruler of France, continued
earlier anti-Habsburg policies, was critical to establishing the
Westphalian order of sovereign states, and laid the foundation for
Louis X IV 's absolutism.
Learning Objective
Discuss Cardinal Mazarin's goals during his tenure as regent
Key Points
Cardinal Jules Mazarin was an Italian cardinal, diplomat, and
politician who served as the Chief Minister to the King of France
from 1642 until his death in 1661. He functioned essentially as
the co-ruler of France alongside the queen during the regency of
Anne, and until his death effectively directed French policy
alongside the monarch, Louis X IV .
Mazarin continued Richelieu's anti-Habsburg policy and laid the
foundation for Louis X IV 's expansionist policies. He was critical
to the negotiations of the Peace of Westphalia, which left France
the most powerful state in continental Europe.
Towards Protestantism at home, Mazarin pursued a policy of
promises and calculated delay to defuse armed insurrections
and keep the Huguenots disarmed. However, the Huguenots
never achieved any protection.
As the Crown needed to recover from its expenditures in the
recent wars, the increase of taxes contributed to
already growing social unrest. The attempt to curb existing
liberties resulted in a series of civil wars known as the Fronde.
Although Mazarin and the king confronted the combined
opposition of the princes, the nobility, the law courts
(parlements), and most of the French people, they won out in
the end. The Fronde was divided into two campaigns, that of the
parlements and that of the nobles, and its collapse only
strengthened the absolute monarchy.
Mazarin, as the de facto ruler of France, played a crucial role
establishing the Westphalian principles that would guide
European states’ foreign policy and the prevailing world order.
Key Terms
Edict of Nantes
An edict signed probably in 1598 by King Henry IV of France

that granted the Calvinist Protestants of France (also known as
Huguenots) substantial rights in the nation, which was, at the
time, still considered essentially Catholic. It separated civil from
religious unity, treated some Protestants for the first time as
more than mere schismatics and heretics, and opened a path
for secularism and tolerance. In offering general freedom of
conscience to individuals, the Edict offered many specific
concessions to the Protestants.
Jansenism
A Catholic theological movement, primarily in France, that

emphasized original sin, human depravity, the necessity of
divine grace, and predestination. The movement originated from
the posthumously published work of the Dutch theologian
Cornelius Jansen, who died in 1638. It was opposed by many in
the Catholic hierarchy, especially the Jesuits.
Thirty Years' War

Peace of Westphalia

1648 in the Westphalian cities of Osnabrü ck and Mü nster.
These treaties ended the Thirty Years' War (1618–1648) in the
Holy Roman Empire, and the Eighty Years' War (1568–1648)
between Spain and the Dutch Republic, with Spain formally
recognizing the independence of the Dutch Republic.
League of the Rhine
A defensive union of more than fifty German princes and their

cities along the River Rhine, formed in August 1658 by Louis
X IV of France and negotiated by Cardinal Mazarin (then de
facto prime minister of France), Hugues de Lionne, and Johann
Philipp von Schö nborn (Elector of Mainz and Chancellor of the
Empire).
The Fronde
A series of civil wars in France between 1648 and 1653,

occurring in the midst of the Franco-Spanish War, which had
begun in 1635. The king confronted the combined opposition of
the princes, the nobility, the law courts (parlements), and most
of the French people, yet won out in the end. It was divided into
two campaigns, that of the parlements and that of the nobles.
Cardinal Maz arin

Cardinal Jules Mazarin was an Italian cardinal, diplomat, and
politician who served as the Chief Minister to the King of France from
1642 until his death in 1661. After serving in the papal army and
diplomatic service and at the French court, he entered the service of
France and made himself valuable to King Louis X III's chief minister,
Cardinal Richelieu, who brought him into the council of state. After
Richelieu's death, Mazarin succeeded him as Chief Minister of
France. At the time of King Louis X III's death in 1643, his successor,
Louis X IV , was only five years old, and his mother, Anne of Austria,
ruled in his place until he came of age. Mazarin helped Anne expand
the limited power her husband had left her. He functioned essentially
as the co-ruler of France alongside the queen during the regency of
Anne, and until his death Mazarin effectively directed French policy
alongside the monarch.
Cardinal Maz arin by Pierre Mignard,

165 8 -1660
Mazarin succeeded his mentor, Cardinal Richelieu. He was a noted
collector of art and jewels, particularly diamonds, and he bequeathed
the "Mazarin diamonds" to Louis X IV in 1661, some of which remain
in the collection of the Louvre museum in Paris. His personal library
was the origin of the Bibliothè que Mazarine in Paris.
Policies
Mazarin continued Richelieu's anti-Habsburg policy and laid the
foundation for Louis X IV 's expansionist policies. During the
negotiations of the Peace of Westphalia, which concluded the Thirty
Years' War, Mazarin (together with the queen) represented France
with policies that were French rather than Catholic. The terms of the
peace treaties ensured Dutch independence from Spain, awarded
some autonomy to the various German princes of the Holy Roman
Empire, and granted Sweden seats on the Imperial Diet and
territories to control the mouths of the Oder, Elbe, and Weser rivers.
France, however, profited most from the settlement. Austria, ruled by
the Habsburg Emperor Ferdinand III, ceded all Habsburg lands and
claims in Alsace to France and acknowledged her de
facto sovereignty over the Three Bishoprics of Metz, V erdun, and
Toul. Moreover, eager to emancipate themselves from Habsburg
domination, petty German states sought French protection. This
anticipated the formation of the 1658 League of the Rhine, leading to
the further diminution of Imperial power. The League was designed
to check the House of Austria in central Germany. In 1659, Mazarin
made peace with Habsburg Spain in the Peace of the Pyrenees,
which added Roussillon and northern Cerdanya—as French
Cerdagne—in the far south, as well as part of the Low Countries, to
French territory.
Towards Protestantism at home, Mazarin pursued a policy of

promises and calculated delay to defuse armed insurrections and
keep the Huguenots disarmed. For six years they believed
themselves to be on the eve of recovering the protections of the
Edict of Nantes, but in the end they obtained nothing. Mazarin was
also more consistently an enemy of Jansenism, more for its political
implications than out of theology.
The Fronde
As the Crown needed to recover from its expenditures in the recent
wars, the increase of taxes contributed to already growing social
unrest. The nobility refused to be taxed, based on their old liberties
or privileges, and the brunt fell upon the bourgeoisie. The
Fronde began in January 1648, when the Paris mob used children's
slings (frondes) to hurl stones at the windows of Mazarin's
associates. The insurrection did not start with revolutionary goals but
aimed to protect the ancient liberties from royal encroachments and
to defend the established rights of the parlements— courts of appeal
rather than legislative bodies like the English parliaments. The
movement soon degenerated into factions, some of which attempted
to overthrow Mazarin and reverse the policies of his predecessor,
Cardinal Richelieu, who had taken power for the Crown from great
territorial nobles, some of whom became leaders of the Fronde.
In May 1648, a tax levied on judicial officers of the Parlement of

Paris provoked not merely a refusal to pay but also a condemnation
of earlier financial edicts and a demand for the acceptance of a
scheme of constitutional reforms framed by a united committee of
the parlement (the Chambre Saint-Louis), composed of members of
all the sovereign courts of Paris. The military record of what would
be known as the First Fronde (the Fronde Parlementaire) is almost
blank. In August 1648, Mazarin suddenly arrested the leaders of the
parlement, whereupon Paris broke into insurrection and barricaded
the streets. The royal faction, having no army at its immediate
disposal, had to release the prisoners and promise reforms, and on
the night of October 22 it fled from Paris. However, France's signing
of the Peace of Westphalia allowed the French army to return from
the frontiers and put Paris under siege. The two warring parties
signed the Peace of Rueil (1649) after little blood had been shed.
The peace lasted until the end of 1649. In January 1650, an armed
rebellion (the onset of what would know known known as the Second
Fronde or the Fronde des nobles) followed the arrests of several
nobles by Mazarin. By April 1651, after a series of battles, the
rebellion collapsed everywhere. A few months of hollow peace
followed and the court returned to Paris. Mazarin, an object of hatred
to all the princes, had already retired into exile. His absence left the
field free for mutual jealousies, and for the remainder of the year
anarchy reigned in France.
In December 1651, Mazarin returned to France with a small army.

The war began again, but this time some leaders of the rebellion
were pitted against one another. After this campaign the civil war
ceased, but in the several other campaigns of the Franco-Spanish
War that followed, two great soldiers leading the Fronde were
opposed to one another: Henri, V iscount of Turenne, as the defender
of France and Louis II, and Prince de Condé as a Spanish invader.
In 1652, an insurrectionist government appeared in Paris. Mazarin,
feeling that public opinion was solidly against him, left France again.
Although in exile, he was not idle, and reached an agreement with
Turenne. Turenne's forces pursued Condé 's, who in 1653 fled to the
Spanish Netherlands. Louis X IV , now of age to claim his throne, re-
entered Paris in October 1652 and recalled Mazarin in February
1653. The last vestiges of resistance in Bordeaux fizzled out in the
late summer of 1653.
" Louis X IV Crushes the Fronde"
by Gilles Gué rin, 165 4
The Fronde represented the final attempt of the French nobility to
battle the king, and they were humiliated. The Fronde facilitated the
emergence of absolute monarchy.
Legacy
Following the end of the Thirty Years’ War, Mazarin, as the de facto
ruler of France, played a crucial role establishing the Westphalian
principles that would guide European states’ foreign policy and the
prevailing world order. Some of these principles, such as nation-state
sovereignty over its territory and domestic affairs and the legal
equality among states, remain the basis of international law to this
day. The French people suffered terribly in the Fronde, but the wars
achieved no constitutional reform. The liberties under attack were
feudal, not of individuals, and the Fronde in the end provided an
incentive for the establishment of royalist absolutism, since the
disorders eventually discredited the feudal concept of liberty. Royal
absolutism was reinstalled without any effective limitation. On the
death of Mazarin in 1661, Louis X IV assumed personal control of the
reins of government and astonished his court by declaring that he
would rule without a chief minister.
18 .4.3: The Sun-King and

Authoritarianism
Throughout his reign, Louis X IV , known as the Sun King,
consolidated royal power and centralized the state by financial,
administrative, and legal reforms as well as by a sophisticated
system of controlling the French aristocracy.
Learning Objective
Describe Louis X IV 's views on royal power and how he expanded his
own authority
Key Points
At the time of King Louis X III's death in 1643, Louis X IV was
only five years old. His mother, Anne of Austria, was named
regent, but she entrusted the government to the chief minister,
Cardinal Mazarin. Mazarin's policies paved the way for the
authoritarian reign of Louis X IV .
Louis began his personal reign with administrative and fiscal
reforms. National debt was quickly reduced through more
efficient taxation, although reforms imposing taxes on the
aristocracy were late and of limited outcome.
Louis and his administration also bolstered French commerce
and trade by establishing new industries in France and instituted
reforms in military administration that curbed the independent
spirit of the nobility by imposing order at court and in the army.
Louis also attempted uniform regulation of civil procedure
throughout legally irregular France by issuing a comprehensive
legal code, the "Grande Ordonnance de Procé dure Civile" of
1667, also known as the Code Louis. One of his most infamous
decrees was the Code Noir, which sanctioned slavery in French
colonies.
Louis also attached nobles to his court at V ersailles and thus
achieved increased control over the French aristocracy. An
elaborate court ritual by which the king observed the aristocracy
and distributed his favors was created to ensure the aristocracy
remained under his scrutiny.
Following consistent efforts to limit religious tolerance, Louis X IV
issued the Edict of Fontainebleau, which revoked the Edict of
Nantes and repealed all the privileges that arose therefrom.
Key Terms

of those ruled. At the Peace of Augsburg of 1555, which ended
a period of armed conflict between Roman Catholic and
Protestant forces within the Holy Roman Empire, the rulers of
the German-speaking states and Charles V , the emperor,
agreed to accept this principle.
Declaration of the Clergy of France
A four-article document of the 1681 Assembly of the French

clergy promulgated in 1682, which codified the principles of
Gallicanism into a system for the first time in an official and
definitive formula.
Gallicanism
The belief that popular civil authority—often represented by the
monarchs' authority or the state's authority—over the
Catholic Church is comparable to the pope's.
Edict of Fontainebleau
A 1685 edict issued by Louis X IV of France, also known as the

Revocation of the Edict of Nantes. The Edict of Nantes (1598)
had granted the Huguenots the right to practice their religion
without persecution from the state.
Code Noir
A decree originally passed by France's King Louis X IV in 1685

that defined the conditions of slavery in the French colonial
empire, restricted the activities of free black persons, forbade
the exercise of any religion other than Roman Catholicism, and
ordered all Jews out of France's colonies.
The Sun King

At the time of King Louis X III's death in 1643, Louis X IV was only five
years old. His mother, Anne of Austria, was named regent in spite of
her late husband's wishes. Anne assumed the regency but entrusted
the government to the chief minister, Cardinal Mazarin, who helped
her expand the limited power her husband had left her. He
functioned essentially as the co-ruler of France alongside Queen
Anne during her regency, and until his death effectively directed
French policy alongside the monarch. In 1651, when Louis X IV
officially came of age, Anne's regency legally ended. However, she
kept much power and influence over her son until the death of
Mazarin. On the death of Mazarin in 1661, Louis assumed personal
control of the reins of government and astonished his court by
declaring that he would rule without a chief minister.
Louis X IV , King of France, in 1661 by
Charles Le Brun
After Mazarin's death in 1661, Louis assumed personal control of the
reins of government and astonished his court by declaring that he
would rule without a chief minister: "Up to this moment I have been
pleased to entrust the government of my affairs to the late Cardinal.
It is now time that I govern them myself. You [ he was talking to the
secretaries and ministers of state] will assist me with your counsels
when I ask for them. I request and order you to seal no orders
except by my command . . . I order you not to sign anything, not
even a passport . . . without my command; to render account to me
personally each day and to favor no one."
Reforms
Louis began his personal reign with administrative and fiscal
reforms. In 1661, the treasury verged on bankruptcy. To rectify the
situation, Louis chose Jean-Baptiste Colbert as Controller-General of
Finances in 1665. Colbert reduced the national debt through more
efficient taxation. Excellent results were achieved, and the deficit of
1661 turned into a surplus in 1666. However, to support the
reorganized and enlarged army, the panoply of V ersailles, and the
growing civil administration, the king needed a good deal of money,
but methods of collecting taxes were costly and inefficient. The main
weakness of the existing system arose from an old bargain between
the French crown and nobility: the king might raise without consent if
only he refrained from taxing the nobles. Only towards the close of
his reign, under extreme stress of war, was Louis able, for the first
time in French history, to impose direct taxes on the aristocracy. This
was a step toward equality before the law and toward sound public
finance, but so many concessions and exemptions were won by
nobles and bourgeois that the reform lost much of its value.
Louis and Colbert also had wide-ranging plans to bolster French

commerce and trade. Colbert's administration established new
industries, encouraged domestic manufacturers and inventors, and
invited manufacturers and artisans from all over Europe to France.
This aimed to decrease foreign imports while increasing French
exports, hence reducing the net outflow of precious metals from
France.
Louis also instituted reforms in military administration and, with the

help of his trusted experts, curbed the independent spirit of the
nobility by imposing order at court and in the army. Gone were the
days when generals protracted war at the frontiers while bickering
over precedence and ignoring orders from the capital and the larger
politico-diplomatic picture. The old military aristocracy ceased to
have a monopoly over senior military positions and rank.
Louis also attempted uniform regulation of civil procedure throughout

legally irregular France by issuing a comprehensive legal code, the
"Grande Ordonnance de Procé dure Civile" of 1667, also known as
the Code Louis. Among other things, it prescribed baptismal,
marriage, and death records in the state's registers, not the church's,
and also strictly regulated the right of the Parlements to remonstrate.
The Code Louis played an important part in French legal history as
the basis for the Napoleonic code, itself the origin of many modern
legal codes. One of Louis's most infamous decrees was the G rande
Ordonnance sur les Colonies of 1685, also known as the Code Noir
("black code"). It sanctioned slavery and limited the ownership of
slaves in the colonies to Roman Catholics only. It also required
slaves to be baptized.
Centraliz ation of Power

Louis initially supported traditional Gallicanism, which limited papal
authority in France, and convened an Assembly of the French clergy
in November 1681. Before its dissolution eight months later, the
assembly had accepted the Declaration of the Clergy of France,
which increased royal authority at the expense of papal power.
Without royal approval, bishops could not leave France and appeals
could not be made to the pope. Additionally, government officials
could not be excommunicated for acts committed in pursuance of
their duties. Although the king could not make ecclesiastical law, all
papal regulations without royal assent were invalid in France.
Unsurprisingly, the pope repudiated the declaration.
Louis also attached nobles to his court at V ersailles and thus

achieved increased control over the French aristocracy. Apartments
were built to house those willing to pay court to the king. However,
the pensions and privileges necessary to live in a style appropriate to
their rank were only possible by waiting constantly on Louis. For this
purpose, an elaborate court ritual was created where the king
became the center of attention and was observed throughout the day
by the public. With his excellent memory, Louis could see who
attended him at court and who was absent, facilitating the
subsequent distribution of favors and positions. Another tool Louis
used to control his nobility was censorship, which often involved
opening letters to discern their author's opinion of the government
and king. Moreover, by entertaining, impressing, and domesticating
nobles with extravagant luxury and other distractions, Louis not only
cultivated public opinion of himself, but also ensured the aristocracy
remained under his scrutiny.
This, along with the prohibition of private armies, prevented the

aristocracy from passing time on their own estates and in their
regional power-bases, from which they historically had waged local
wars and plotted resistance to royal authority. Louis thus compelled
and seduced the old military aristocracy (the "nobility of the sword")
into becoming his ceremonial courtiers, further weakening their
power. In their place, he raised commoners or the more recently
ennobled bureaucratic aristocracy as presumably easier to control.
Religion
Finally, Louis dramatically limited religious tolerance in France, as he
saw the persistence of Protestantism as a disgraceful reminder of
royal powerlessness. Responding to petitions, Louis initially
excluded Protestants from office, constrained the meeting of synods,
closed churches outside Edict of Nantes-stipulated areas, banned
Protestant outdoor preachers, and prohibited domestic Protestant
migration. He also disallowed Protestant-Catholic intermarriages
where third parties objected, encouraged missions to the
Protestants, and rewarded converts to Catholicism.
In 1681, Louis dramatically increased his persecution of Protestants.

The principle of cuius regio, eius religio generally had also meant
that subjects who refused to convert could emigrate, but Louis
banned emigration and effectively insisted that all Protestants must
be converted. In 1685, he issued the Edict of Fontainebleau, which
cited the redundancy of privileges for Protestants given their scarcity
after the extensive conversions. It revoked the Edict of Nantes and
repealed all the privileges that arose therefrom. By his edict, Louis
no longer tolerated Protestant groups, pastors, or churches to exist
in France. No further churches were to be constructed, and those
already existing were to be demolished. Pastors could choose either
exile or a secular life. Those Protestants who had resisted
conversion were now to be baptized forcibly into the established
church.
18 .4.4: Louis X IV and the Huguenots

The persecution of the Huguenots became one of the critical factors
in Louis X IV 's consolidation of royal power and resulted in
Catholicism being the only legally tolerated religion in France,
despite Louis's conflict with the pope.
Learning Objective
Analyze Louis X IV 's persecution of the Huguenots and the
consequences that had for France
Key Points
The Edict of Nantes was issued in 1598 by Henry IV of France.
It granted the Calvinist Protestants of France substantial
rights in a predominately Catholic nation. The Edict gained a
new significance when Louis X IV broke the post-Nantes tradition
of relative religious tolerance in France and, in his efforts to fully
centralize the royal power, began to persecute the Protestants.
Louis initially supported traditional Gallicanism, which limited
papal authority in France. However, his conflict with the pope did
not prevent him from making Catholicism the only legally
tolerated religion in France.
Louis saw the persistence of Protestantism as a disgraceful
reminder of royal powerlessness. Responding to petitions, he
initially excluded Protestants from office, constrained the
meeting of synods, closed churches outside Edict-stipulated
areas, banned Protestant outdoor preachers, and prohibited
domestic Protestant migration.
In 1681, Louis dramatically increased the persecution of
Protestants. He banned emigration and effectively insisted that
all Protestants must be converted. He also began quartering
dragoons in Protestant homes.
In 1685, Louis issued the Edict of Fontainebleau, which cited the
redundancy of privileges for Protestants given their scarcity after
the extensive conversions. The Edict of Fontainebleau revoked
the Edict of Nantes.
The revocation caused France to suffer a kind of early brain
drain, as it lost a large number of skilled craftsmen. Protestants
across Europe were horrified at the treatment of their fellow
believers, and Louis's public image in most of Europe,
especially in Protestant regions, suffered greatly.
Key Terms
Declaration of the Clergy of France
A four-article document of the 1681 Assembly of the French

clergy promulgated in 1682, which codified the principles of
Gallicanism into a system for the first time in an official and
definitive formula.
A 1685 edict, also known as the Revocation of the Edict of

Nantes, issued by Louis X IV of France. The Edict of
Nantes (1598) had granted the Huguenots the right to practice
their religion without persecution from the state.

of those ruled. At the Peace of Augsburg of 1555, which ended
a period of armed conflict between Roman Catholic and
Protestant forces within the Holy Roman Empire, the rulers of
the German-speaking states and Emperor Charles V agreed to
accept this principle.
Gallicanism
The belief that popular civil authority—often represented by the

monarchs' authority or the State's authority—over the
Catholic Church is comparable to the authority of the pope.
Edict of Nantes
An edict signed in 1598 by King Henry IV of France that granted

the Calvinist Protestants of France (also known as Huguenots)
substantial rights in the nation, which was, at the time, still
considered essentially Catholic. In the Edict, Henry aimed
primarily to promote civil unity. The document separated civil
from religious unity, treated some Protestants for the first time
as more than mere schismatics and heretics, and opened a path
for secularism and tolerance.
Background: Edict of Nantes

The Edict of Nantes was issued in 1598 by Henry IV of France. It
granted the Calvinist Protestants of France, known as Huguenots,
substantial rights in a predominately Catholic nation. Through the
Edict, Henry aimed to promote civil unity. The Edict treated some,
although not all, Protestants with tolerance and opened a path for
secularism. It offered general freedom of conscience to individuals
and many specific concessions to the Protestants, such as amnesty
and the reinstatement of their civil rights, including the right to work
in any field or for the state and to bring grievances directly to the
king. It marked the end of the religious wars that had afflicted France
during the second half of the 16th century. The Edict gained a new
significance when Louis X IV , known as the Sun King, broke the post-
Nantes tradition of relative religious tolerance in France and, in his
efforts to fully centralize the royal power, began to persecute the
Protestants.
Louis X IV by Hyacinthe Rigaud ( 17 01)

Louis X IV (1638–1715), known as Louis the Great or the Sun King,
was a monarch of the House of Bourbon who ruled as King of
France from 1643 until his death in 1715. His reign of seventy-two
years and 110 days is the longest of any monarch of a major country
in European history. In this age of absolutism in Europe, Louis X IV 's
France was a leader in the growing centralization of power.
Portrait of Louis X IV
Religious Persecution
Louis initially supported traditional Gallicanism, which limited
papal authority in France, and convened an Assembly of the French
clergy in November 1681. Before its dissolution eight months later,
the assembly had accepted the Declaration of the Clergy of France,
which increased royal authority at the expense of papal power.
Without royal approval, bishops could not leave France and appeals
could not be made to the pope. Additionally, government officials
could not be excommunicated for acts committed in pursuance of
their duties. Although the king could not make ecclesiastical law, all
papal regulations without royal assent were invalid in France.
Unsurprisingly, the pope repudiated the declaration.
Louis saw the persistence of Protestantism as a disgraceful reminder

of royal powerlessness. After all, the Edict of Nantes was the
pragmatic concession of his grandfather Henry IV to end the
longstanding French Wars of Religion. An additional factor in Louis's
thinking was the prevailing contemporary European principle to
assure socio-political stability, cuius regio, eius religio ("whose realm,
his religion"), the idea that the religion of the ruler should be the
religion of the realm (the principle originally confirmed in central
Europe in the Peace of Augsburg of 1555).
Responding to petitions, Louis initially excluded Protestants from

office, constrained the meeting of synods, closed churches outside
Edict-stipulated areas, banned Protestant outdoor preachers, and
prohibited domestic Protestant migration. He also disallowed
Protestant-Catholic intermarriages where third parties objected,
encouraged missions to the Protestants, and rewarded converts to
Catholicism. An enforced yet steady conversion of Protestants
followed, especially among the noble elites.
In 1681, Louis dramatically increased the persecution of Protestants.

The principle of cuius regio, eius religio had usually meant that
subjects who refused to convert could emigrate, but Louis banned
emigration and effectively insisted that all Protestants must be
converted. Secondly, following the proposal of René de Marillac and
the Marquis of Louvois, he began quartering dragoons (mounted
infantry) in Protestant homes. Although this was within his legal
rights, the policy (known as dragonnades) inflicted severe financial
strain and atrocious abuse on Protestants. Between 300,000 and
400,000 Huguenots converted, as this entailed financial rewards and
exemption from the dragonnades.
In 1685, Louis issued the Edict of Fontainebleau, which cited the
redundancy of privileges for Protestants given their scarcity after the
extensive conversions. The Edict of Fontainebleau revoked the Edict
of Nantes, and repealed all the privileges that arose therefrom. By
this edict, Louis no longer tolerated Protestant groups, pastors, or
churches to exist in France. No further Protestant churches were to
be constructed, and those already existing were to be demolished.
Pastors could choose either exile or a secular life. Those Protestants
who had resisted conversion were to be baptized forcibly into the
established church.
The Edict of Fontainebleau is compared by historians with the 1492

Alhambra Decree, ordering the Expulsion of the Jews from Spain,
and with Expulsion of the Moriscos during 1609–1614. The three are
similar both as outbursts of religious intolerance ending periods of
relative tolerance and in their social and economic effects. In
practice, the revocation caused France to suffer a kind of early brain
drain, as it lost a large number of skilled craftsmen. Some rulers,
such as Frederick Wilhelm, Duke of Prussia and Elector of
Brandenburg, encouraged the Protestants to seek refuge in their
nations. Historians cite the emigration of about 200,000 Huguenots
(roughly one-fourth of the Protestant population, or 1% of the French
population) who defied royal decrees. However, others view this as
an exaggeration. They argue that most of France's preeminent
Protestant businessmen and industrialists converted to Catholicism
and remained. Protestants across Europe were horrified at the
treatment of their fellow believers, and Louis's public image in most
of Europe, especially in Protestant regions, suffered greatly. Most
Catholics in France, however, applauded the move.
The revocation of the Edict of Nantes created a state of affairs in

France similar to that of nearly every other European country of the
period (with the brief exception of Great Britain and possibly the
Polish-Lithuanian Commonwealth), where only the majority state
religion was legally tolerated. The experiment of religious toleration
in Europe was effectively ended for the time being. However, French
society would sufficiently change by the time of Louis's descendant
Louis X V I to welcome toleration in the form of the 1787 Edict of
V ersailles, also known as the Edict of Tolerance. This restored to
non-Catholics their civil rights and the freedom to worship openly.
18 .4.5 : Louis X IV 's W ars

Louis X IV 's expansionist ambitions resulted in numerous wars that
positioned nearly all European powers against France and
bankrupted the French state, but turned France into the most
powerful state in Europe.
Learning Objective
Identify the consequences of Louis X IV 's wars
Key Points
In addition to sweeping domestic reforms, Louis X IV aspired to
make France the leading European power. His ambitions
pushed other leading European states to form alliances against
an increasingly aggressive France.
The War of Devolution (1667–1668) saw the French forces
overrun the Habsburg-controlled Spanish Netherlands and the
Franche-Comté . However, a Triple Alliance of England, Sweden,
and the Dutch Republic forced France to give most of it back in
the Treaty of Aix-la-Chapelle.
The Franco-Dutch War (1672–1678) pitted France, Sweden,
Mü nster, Cologne, and England against the Dutch Republic,
which was later joined by the Austrian Habsburg lands,
Brandenburg-Prussia, and Spain to form a Quadruple Alliance.
After years of fighting and a series of exhausting battles, the
1678-1679 Treaties of Nijmegen declared the Franche-Comté
and the Spanish Netherlands French territories, making France
Europe's strongest power.
The Nine Years' War (1688–1697) once again pitted Louis X IV
against a European-wide coalition, the Grand Alliance. By the
terms of the Treaty of Ryswick (1697) Louis X IV retained the
whole of Alsace but was forced to return Lorraine to its ruler and
give up any gains on the right bank of the Rhine. Louis also
accepted William III as the rightful King of England.
All these wars exhausted France financially but turned it into the
most powerful state in Europe.
Louis's expansionist ambitions culminated in the final decisive
war of his reign: the War of the Spanish Succession.
Key Terms
Treaties of Nijmegen
A series of treaties signed in the Dutch city of

Nijmegen between August 1678 and December 1679. The
treaties ended various interconnected wars among France, the
Dutch Republic, Spain, Brandenburg, Sweden, Denmark, the
Prince-Bishopric of Mü nster, and the Holy Roman Empire. The
most significant of the treaties was the first, which established
peace between France and the Dutch Republic and placed the
northern border of France in very nearly its modern position.
Grand Alliance
A European coalition, consisting (at various times) of Austria,
Bavaria, Brandenburg, the Dutch Republic, England, the Holy
Roman Empire, Ireland, the Palatinate of the Rhine, Portugal,
Savoy, Saxony, Scotland, Spain, and Sweden. The organization
was founded in 1686 as the League of Augsburg and was
originally formed in an attempt to halt Louis X IV of France's
expansionist policies.
revocation of the Edict of Nantes
A 1685 edict, also known as the Edict of Fontainebleau, issued

by Louis X IV of France, that revoked the right to practice the
tolerated forms of Protestantism without persecution from the
state granted by the Edict of Nantes (1598).
Truce of Ratisbon
A truce that concluded the War of the Reunions between Spain

and France. It was signed in 1684 at the Dominican convent at
Ratisbon in Bavaria between Louis X IV of France on the one
side and the Holy Roman Emperor, Leopold I, and the Spanish
King, Charles II, on the other. The final agreements allowed
King Louis to retain Strasbourg, Luxembourg, and other
Reunion gains, and returned Kortrijk and Diksmuide, both now
in Belgium, to Spain. It was not, however, a definitive peace but
only a truce for twenty years.
War of the Reunions
A short conflict (1683–1684) between France and Spain and its

allies. It was fueled by the long-running desire of Louis X IV to
conquer new lands, many of them comprising part of the
Spanish Netherlands, along France's northern and eastern
borders. The war was, in some sense, a continuation of the
territorial and dynastic aims of Louis X IV as manifested in the
War of Devolution and the Franco–Dutch War.
Triple Alliance
A 1668 alliance of England, Sweden, and the Dutch Republic
formed to halt the expansion of Louis X IV 's France in the War of
Devolution. The alliance never engaged in combat against
France, but it was enough of a threat to force Louis to halt his
offensive and sign the Treaty of Aix-la-Chapelle with Spain.
Introduction
In addition to making sweeping domestic reforms, which completed
the process of turning France into the absolute monarchy under the
sole authority of the king, Louis X IV aspired to make France the
leading European power. His ambitions pushed other leading
European states to form alliances against an increasingly aggressive
France. Three major wars, the Franco-Dutch War, the Nine Years'
War, and the War of the Spanish Succession, as well as two lesser
conflicts, the War of Devolution and the War of the Reunions,
enabled France to become the most powerful state in Europe.
However, this success, which came with the price of massive foreign
and military spending, kept France on the continuous verge of
bankruptcy. While Louis's detractors argued that the war-related
expenditure impoverished France to an extreme extent, his
supporters pointed out that while the state was impoverished,
France, with all its territorial and political gains, was not.
Louis X IV in 167 0, engraved portrait
by Robert Nanteuil, Y ale University Art
Gallery
During Louis's reign, France was the leading European power and
fought three major wars: the Franco-Dutch War, the War of the
League of Augsburg, and the War of the Spanish Succession. There
were also two lesser conflicts: the War of Devolution and the War of
the Reunions.
The W ar of Devolution
In 1665, Louis believed that he had a pretext to go to war with Spain
and allow him to claim the Spanish Netherlands (present-day
Belgium). However, his claims to the Spanish Netherlands were
tenuous; in 1659, France and Spain had concluded the Treaty of the
Pyrenees, which ended twenty-four years of war between the two
states. With the treaty, King Philip IV of Spain had to cede certain
territories and consent to the marriage of his daughter Maria Theresa
of Spain to young Louis X IV . With this marriage, Maria Theresa
explicitly renounced all rights to her father's inheritance. When Philip
IV died in 1665, the French king immediately laid claim to parts of
the Spanish Netherlands. He justified this with the fact that the dowry
promised at the time of his marriage to Maria Theresa had not been
paid and that the French queen's renunciation of her Spanish
inheritance was therefore invalid.
The conflict that followed is known as the War of Devolution (1667–

1668). It saw the French forces overrun the Habsburg-controlled
Spanish Netherlands and the Franche-Comté . However, a Triple
Alliance of England, Sweden, and the Dutch Republic forced France
to give most of it back in the Treaty of Aix-la-Chapelle. During the
negotiations, the Triple Alliance managed to enforce their demands:
France abandoned the Franche-Comté and French troops had to
withdraw from the Spanish Netherlands. A total of twelve conquered
cities remained in the hands of the French king. The most important
consequence of the war, however, was the changed attitude of Louis
X IV towards the Dutch Republic. The king blamed it, his former close
ally, for the creation of the Triple Alliance, whose pressure had put a
halt to his conquests. The French foreign policy of the following
years was therefore completely geared towards the Dutch Republic's
isolation.
The Franco-Dutch W ar
The Franco-Dutch War (1672–78), called also the Dutch War, was a
war that pitted France, Sweden, Mü nster, Cologne, and
England against the Dutch Republic, which was later joined by the
Austrian Habsburg lands, Brandenburg-Prussia, and Spain to form a
Quadruple Alliance. Continuing his mission to isolate and attack the
Dutch Republic, which Louis considered to be a trading rival
consisting of seditious republicans and Protestant heretics, the
French king made another move on the Spanish Netherlands. His
first and primary objective was to gain the support of England.
England felt threatened by the Dutch naval power and did not need
much encouragement to leave the Triple Alliance. Sweden agreed to
indirectly support the invasion of the Republic by threatening
Brandenburg-Prussia if that state should intervene.
After years of fighting and a series of exhausting battles, the 1678-

1679 Treaties of Nijmegen were signed between France, the Dutch
Republic, the Holy Roman Empire, the Spanish Empire, the Prince-
Bishopric of Mü nster, and the Swedish Empire, ending the Franco-
Dutch War with the Franche-Comté and the Spanish Netherlands
belonging to France, making France Europe's strongest power. The
war sparked the rivalry between William III, who later conquered
England as part of the Glorious Revolution, and Louis X IV . It also
resulted in the decline of the Dutch Republic's dominance in
overseas trade.
The Nine Y ears' W ar

The Nine Years' War (1688–1697), often called the War of the Grand
Alliance or the War of the League of Augsburg, once again pitted
Louis X IV against a European-wide coalition, the Grand Alliance, led
by the Anglo-Dutch King William III, Holy Roman Emperor Leopold I,
King Charles II of Spain, V ictor Amadeus II of Savoy, and several
princes of the Holy Roman Empire. It was fought primarily on
mainland Europe and its surrounding waters, but it also
encompassed a theater in Ireland and in Scotland, where William III
and James II struggled for control of Britain and Ireland, and a
campaign in colonial North America between French and English
settlers and their respective Indian allies (known as King William's
War).
Although Louis X IV had emerged from the Franco-Dutch War as the

most powerful monarch in Europe, he immediately set about
extending his gains to stabilize and strengthen France's frontiers,
culminating in the brief War of the Reunions (1683–1684). The
resulting Truce of Ratisbon guaranteed France's new borders for
twenty years, but Louis' subsequent actions—notably his revocation
of the Edict of Nantes in 1685—led to the deterioration of his military
and political dominance. His decision to cross the Rhine in
September 1688 aimed to extend his influence and pressure the
Holy Roman Empire into accepting his territorial and dynastic claims.
But when Leopold I and the German princes resolved to resist, and
when the States General and William III brought the Dutch and the
English into the war against France, the French king at last faced a
powerful coalition aimed at curtailing his ambitions.
The main fighting took place around France's borders: in the

Spanish Netherlands, the Rhineland, the Duchy of Savoy, and
Catalonia. The fighting generally favored Louis X IV 's armies, but by
1696 his country was in the grip of an economic crisis. The Maritime
Powers (England and the Dutch Republic) were also financially
exhausted, and when Savoy defected from the Alliance, all parties
were keen for a negotiated settlement. By the terms of the Treaty of
Ryswick (1697) Louis X IV retained the whole of Alsace but was
forced to return Lorraine to its ruler and give up any gains on the
right bank of the Rhine. Louis also accepted William III as the rightful
King of England, while the Dutch acquired their barrier fortress
system in the Spanish Netherlands to help secure their own borders.
However, with the ailing and childless Charles II of Spain
approaching his end, a new conflict over the inheritance of the
Spanish Empire would soon embroil Louis X IV and the Grand
Alliance in a final war—the War of the Spanish Succession.
Territorial ex pansion of France under
Louis X IV ( 1643– 17 15 ) is depicted in
orange.
While Louis's detractors argued that the war-related expenditure
impoverished France to an extreme extent, his supporters pointed
out that while the state was impoverished, France, with all its
territorial and political gains, was not.
The map shows that Louis X IV made territorial gains in northern,

western, and southern France. From north to south, those gains
were in Artois (1659), Dunkirk (1662), Lille (1668), Strasbourg
(1681), Alsace (1675), Franche-Comté (1678), Brianç on (1713), and
Roussillon (1659).
Attributions
France and Cardinal Richelieu
"Cardinal Richelieu."
https://en.wikipedia.org/wiki/Cardinal_Richelieu. Wikipedia
CC BY-SA 3.0.
"Council of Trent."
https://en.wikipedia.org/wiki/Council_of_Trent. Wikipedia
CC BY-SA 3.0.
"Huguenot." https://en.wikipedia.org/wiki/Huguenot.
"Battle of Lens."
https://en.wikipedia.org/wiki/Battle_of_Lens. Wikipedia CC
BY-SA 3.0.
"Peace of Alè s."
https://en.wikipedia.org/wiki/Peace_of_Al%C3%A8s.
"800px-
Cardinal_Richelieu_by_Robert_Nanteuil_1657.jpeg."
https://en.wikipedia.org/wiki/Cardinal_Richelieu# /media/File
:Cardinal_Richelieu_by_Robert_Nanteuil_1657.jpeg.
Cardinal Mazarin and the Fronde
"Edict of Nantes."
https://en.wikipedia.org/wiki/Edict_of_Nantes. Wikipedia CC
BY-SA 3.0.
"Louis X IV of France."
https://en.wikipedia.org/wiki/Louis_X IV _of_France.
"Fronde." https://en.wikipedia.org/wiki/Fronde. Wikipedia
CC BY-SA 3.0.
"League of the Rhine."
https://en.wikipedia.org/wiki/League_of_the_Rhine.
"Jansenism." https://en.wikipedia.org/wiki/Jansenism.
"Cardinal Mazarin."
https://en.wikipedia.org/wiki/Cardinal_Mazarin. Wikipedia
CC BY-SA 3.0.
"Fronde-LouisX IV .jpg."
https://en.wikipedia.org/wiki/Fronde# /media/File:Fronde-
LouisX IV .jpg. Wikipedia Public domain.
"Mazarin-mignard.jpg."
https://en.wikipedia.org/wiki/Cardinal_Mazarin# /media/File:
Mazarin-mignard.jpg. Wikipedia Public domain.
The Sun-King and Authoritarianism
"Declaration of the Clergy of France."
https://en.wikipedia.org/wiki/Declaration_of_the_Clergy_of_
France. Wikipedia CC BY-SA 3.0.
"Code Noir." https://en.wikipedia.org/wiki/Code_Noir.
"Gallicanism." https://en.wikipedia.org/wiki/Gallicanism.
"Anne of Austria."
https://en.wikipedia.org/wiki/Anne_of_Austria. Wikipedia CC
BY-SA 3.0.
"Edict of Fontainebleau."
https://en.wikipedia.org/wiki/Edict_of_Fontainebleau.
"Louis-xiv-lebrunl.jpg."
https://en.wikipedia.org/wiki/Louis_X IV _of_France# /media/F
ile:Louis-xiv-lebrunl.jpg. Wikipedia Public domain.
Louis X IV and the Huguenots
"Declaration of the Clergy of France."
https://en.wikipedia.org/wiki/Declaration_of_the_Clergy_of_
France. Wikipedia CC BY-SA 3.0.
"Edict of Nantes."
https://en.wikipedia.org/wiki/Edict_of_Nantes. Wikipedia CC
BY-SA 3.0.
"Gallicanism." https://en.wikipedia.org/wiki/Gallicanism.
"Edict of Fontainebleau."
https://en.wikipedia.org/wiki/Edict_of_Fontainebleau.
"Louis_X IV _of_France.jpg."
https://commons.wikimedia.org/wiki/File:Louis_X IV _of_Fran
ce.jpg. Wikimedia Public domain.
Louis X IV 's Wars
"War of the Reunions."
https://en.wikipedia.org/wiki/War_of_the_Reunions.
"Truce of Ratisbon."
https://en.wikipedia.org/wiki/Truce_of_Ratisbon. Wikipedia
CC BY-SA 3.0.
"France–Netherlands relations."
https://en.wikipedia.org/wiki/France%E2%80%93Netherlan
ds_relations# Franco-Dutch_War. Wikipedia CC BY-SA 3.0.
"Treaties of Nijmegen."
https://en.wikipedia.org/wiki/Treaties_of_Nijmegen.
"Grand Alliance (League of Augsburg)."
https://en.wikipedia.org/wiki/Grand_Alliance_(League_of_A
ugsburg). Wikipedia CC BY-SA 3.0.
"Treaty of Aix-la-Chapelle (1668)."
https://en.wikipedia.org/wiki/Treaty_of_Aix-la-
Chapelle_(1668). Wikipedia CC BY-SA 3.0.
"Franco-Dutch War." https://en.wikipedia.org/wiki/Franco-
Dutch_War. Wikipedia CC BY-SA 3.0.
"War of Devolution."
https://en.wikipedia.org/wiki/War_of_Devolution. Wikipedia
CC BY-SA 3.0.
"Nine Years' War."
https://en.wikipedia.org/wiki/Nine_Years%27_War.
"Triple Alliance (1668)."
https://en.wikipedia.org/wiki/Triple_Alliance_(1668).
"Louis_X IV _by_Robert_Nanteuil_1670.jpeg."
ile:Louis_X IV _by_Robert_Nanteuil_1670.jpeg. Wikipedia
Public domain.
"France_1552-1798.png."
https://commons.wikimedia.org/wiki/File:France_1552-
1798.png. Wikimedia CC BY-SA 3.0.
18 .5 : W ar of Spanish
Succession
18 .5 .1: The Question of Spanish
Succession
The question of Spanish succession at the turn of the 18th century
was linked directly to the question of balance of powers in Europe,
and led to a major European war that ended the European
hegemony of France.
Learning Objective
Describe the reasons why there was conflict over who should take
the Spanish throne
Key Points
In the late 1690s, the declining health of childless King Charles
II of Spain deepened the ongoing dispute over his succession.
The main rivals for the Spanish inheritance were the
descendants of Louis X IV of France and the Austrian Habsburg
Holy Roman Emperor, Leopold I, but the matter was of the
utmost importance to Europe as a whole.
In 1698 and 1700, Louis X IV and William III of England
attempted to partition Spain in the effort to avoid a war. Charles
II of Spain opposed partition and on his deathbed offered the
empire to Philip, Duke of Anjou and Louis's grandson, who
became King Philip V Spain.
Although most European rulers accepted Philip as king,
tensions mounted, mostly because of a series of Louis's
decisions. Britain, the Dutch Republic, the Holy Roman
Emperor, and the petty German states formed another Grand
Alliance and declared war on France in 1702.
With losses, victories, and significant financial costs on both
sides, as well as a fragile Grand Alliance, French and British
ministers prepared the groundwork for a peace conference, and
in 1712 Britain ceased combat operations.
By the terms of the Treaty of Utrecht (1713) and the Treaty of
Rastatt (1714), the Spanish empire was partitioned between the
major and minor powers. The Austrians received most of
Spain's former European realms, but the Duke of Anjou retained
peninsular Spain and Spanish America, where, after renouncing
his claim to the French succession, he reigned as King Philip V .
The partition of the Spanish Monarchy had secured the balance
of power and the conditions imposed at Utrecht helped to
regulate the relations between the major European powers over
the coming century.
Key Terms
Treaties of Rastatt and Baden
Two peace treaties that in 1714 ended ongoing European

conflicts following the War of the Spanish Succession. The first
treaty, signed between France and Austria in the city of Rastatt,
followed the earlier Treaty of Utrecht of 1713, which ended
hostilities between France and Spain on the one hand, and
Britain and the Dutch Republic on the other hand. The second
treaty, signed in Baden, was required to end the hostilities
between France and the Holy Roman Empire.
Treaty of the Hague
A 1698 treaty, known also as the First Partition Treaty, between

England and France. The accord attempted to resolve who
would inherit the Spanish throne, proposing that Duke Joseph
Ferdinand of Bavaria be the heir. Moreover, the agreement
proposed that Louis, le Grand Dauphin, would get Naples, Sicily,
and Tuscany, and Archduke Charles, the younger son of
Emperor Leopold I, would get the Spanish Netherlands.
Leopold, Duke of Lorraine, would take Milan, which in turn
ceded Lorraine and Bar to the Dauphin.
Treaty of Utrecht
A series of individual peace treaties, rather than a single

document, signed by the belligerents in the War of the Spanish
Succession in the Dutch city of Utrecht in 1713. The treaties
between several European states, including Spain, Great
Britain, France, Portugal, Savoy, and the Dutch Republic,
helped end the war.
Treaty of London
A 1700 treaty, known also as the Second Partition Treaty,

attempting to restore the Pragmatic Sanction following the death
of Duke Joseph Ferdinand of Bavaria. The Pragmatic Sanction
had undermined the First Partition Treaty (the Treaty of Hague).
Under the new treaty, Archduke Charles (later Charles V I), the
second son of Emperor Leopold I, was to become king of Spain
when Charles II died, and acquire her oversees colonies.
Grand Alliance
A European coalition consisting (at various times) of Austria,

was founded in 1686 as the League of Augsburg in an attempt
to halt Louis X IV of France's expansionist policies. After the
Treaty of Hague was signed in 1701, it went into a second
phase as the Alliance of the War of Spanish Succession.
Background
In the late 1690s, the declining health of childless King Charles II of
Spain deepened the ongoing dispute over his succession. Spain was
no longer a hegemonic power in Europe but the Spanish Empire—a
vast confederation that covered the globe and was still the largest of
the European overseas empires—remained resilient. Ultimately, the
main rivals for the Spanish inheritance were the heirs and
descendants of the Bourbon King Louis X IV of France and the
Austrian Habsburg Holy Roman Emperor Leopold I. However, the
inheritance was so vast that its transference would dramatically
increase either French or Austrian power which, due to the implied
threat of European hegemony, was of the utmost importance to
Europe as a whole.
Rival Claims and Partitions

The French claim derived from Louis X IV 's mother, Anne of Austria
(the older sister of Philip IV of Spain), and his wife, Maria Theresa
(Philip IV 's eldest daughter). France had the stronger claim, as it
originated from the eldest daughters in two generations. However,
their renunciation of succession rights complicated matters, although
in the case of Maria Theresa, the renunciation was considered null
and void owing to Spain's breach of her marriage contract with
Louis. In contrast, no renunciations tainted the claims of the Emperor
Leopold I's son Charles, Archduke of Austria, who was a grandson
of Philip III's youngest daughter, Maria Anna. The English and Dutch
feared that a French or Austrian-born Spanish king would threaten
the balance of power, and thus preferred the Bavarian Prince Joseph
Ferdinand, a grandson of Leopold I through his first wife, Margaret
Theresa of Spain (the younger daughter of Philip IV ).
In an attempt to avoid war, Louis signed the Treaty of the Hague with
William III of England in 1698. This agreement divided Spain's Italian
territories between Louis's son le Grand Dauphin and the Archduke
Charles, with the rest of the empire awarded to Joseph Ferdinand.
The signatories, however, omitted to consult Charles II, who was
passionately opposed to the dismemberment of his empire. In 1699,
he re-confirmed his 1693 will that named Joseph Ferdinand as his
sole successor, but the latter died six months later. In 1700, Louis
and William III concluded a fresh partitioning agreement, the Treaty
of London. It allocated Spain, the Low Countries, and the Spanish
colonies to Archduke Charles. The Dauphin would receive all of
Spain's Italian territories. On his deathbed in 1700, Charles II
unexpectedly offered the entire empire to the Dauphin's second son,
Philip, Duke of Anjou, provided it remained undivided. Anjou was not
in the direct line of French succession, thus his accession would not
cause a Franco-Spanish union. Louis eventually decided to accept
Charles II's will, and Philip, Duke of Anjou, became King Philip V of
Spain.
Although most European rulers accepted Philip as king, tensions

mounted, mostly because of a series of Louis's decisions. Louis's
actions enraged Britain and the Dutch Republic. With the Holy
Roman Emperor and the petty German states, they formed another
Grand Alliance. French diplomacy, however, secured Bavaria,
Portugal, and Savoy as Franco-Spanish allies. Around the same
time, Louis decided to acknowledge James Stuart, the son of James
II, as king of England on the latter's death, infuriating William III.
While William died in March 1702, the Austrians, the Dutch, and
English allies formally declared war in May 1702.
W ar of the Spanish Succession

By 1708, the Duke of Marlborough and Prince Eugene of Savoy had
secured victory in the Spanish Netherlands and in Italy and defeated
Louis X IV 's ally Bavaria. The Allies suffered a Pyrrhic victory at the
1709 Battle of Malplaquet, with 21,000 casualties, twice that of the
French. French forces elsewhere continued to fight despite their
defeats. The Allies were definitively expelled from central Spain by
the Franco-Spanish victories at the Battles of V illaviciosa and
Brihuega in 1710. France faced invasion, but the unity of the allies
broke first. With the Grand Alliance defeated in Spain and its
casualties and costs mounting and aims diverging, the Tories came
to power in Great Britain in 1710 and resolved to end the war.
Eventually, France recovered its military pride with the decisive
victory at Denain in 1712. Yet French and British ministers prepared
the groundwork for a peace conference, and in 1712 Britain ceased
combat operations. The Dutch, Austrians, and German states fought
on to strengthen their own negotiating position, but, defeated by
Marshal V illars, they were soon compelled to accept Anglo-French
mediation.
B attle of Villaviciosa by J ean Alaux ,

18 36
Philip V of Spain and the Duke of V endô me pictured after the victory
at the 1710.
Peace Treaties
The 1713 Treaty of Utrecht recognized Louis X IV 's grandson Philip,
Duke of Anjou, as King of Spain (as Philip V ), thus confirming the
succession stipulated in the will of Charles II. However, Philip was
compelled to renounce for himself and his descendants any right to
the French throne. The Spanish territories in Europe were
apportioned: Savoy received Sicily and parts of the Duchy of Milan,
while Charles V I (the Holy Roman Emperor and Archduke of Austria)
received the Spanish Netherlands, the Kingdom of Naples, Sardinia,
and the bulk of the Duchy of Milan. Portugal had its sovereignty
recognized over the lands between the Amazon and Oyapock rivers,
in Brazil. In addition, Spain ceded Gibraltar and Minorca to Great
Britain and agreed to give to the British the Asiento, a monopoly on
the oceanic slave trade to the Spanish colonies in America. In North
America, France ceded to Great Britain its claims to Newfoundland,
the Hudson's Bay Company, the Acadian colony of Nova Scotia, and
the formerly partitioned island of Saint Kitts.
After the signing of the Utrecht treaties, the French continued to be

at war with Emperor Charles V I and with the Holy Roman Empire
until 1714, when hostilities were ended with the Treaties of Rastatt
and Baden. Spain and Portugal remained formally at war with each
other until the Treaty of Madrid of February 1715, while peace
between Spain and Emperor Charles V I, unsuccessful claimant to
the Spanish crown, came only in 1720 with the signing of the Treaty
of The Hague.
The War of the Spanish Succession brought to an end a long period

of major conflict in Western Europe. The partition of the Spanish
Monarchy had secured the balance of power, and the conditions
imposed at Utrecht helped to regulate the relations between the
major European powers over the coming century.
18 .5 .2: W illiam of Orange and the

Grand Alliance
William III's main goals in the conflict over the Spanish succession
were to ensure the Protestant accession in England and curb the
power of France and Louis X IV .
Learning Objective
Explain William's stake in the War of the Spanish Succession and
the goals of the Grand Alliance
Key Points
As William III's life drew towards its conclusion, he, like many
other European rulers, was concerned with the question of
succession to the throne of Spain. He sought to prevent the
Spanish inheritance from going to the descendants of either
Louis X IV or Leopold I, as he feared this would upset the
European balance of power.
Fearing the growing strength of the Holy Roman Empire, Louis
X IV turned to William. The two signed two treaties partitioning
Spain, but Charles II of Spain's decision to choose Louis's
grandson as his successor made Louis ignore his treaty with
England.
While the Tory-dominated House of Commons was keen to
prevent further conflict, to William III, France's growing strength
made war inevitable. From his perspective, losing the hard-won
securities overturned the work of the last twenty years.
As tensions mounted, Britain and the Dutch Republic grew
enraged by Louis's actions and decisions. With the Holy Roman
Emperor and the petty German states, they formed another
Grand Alliance. Securing the Protestant succession and curbing
Louis's ambitions was recognized by the Grand Alliance as one
of England's main war aims.
Before the War of the Spanish Succession was even declared,
William died. His successor, Anne, continued William's policies
to assure the Protestant succession in England and curb the
French hegemony.
The War of the Spanish Succession resulted in the partition of
the Spanish Monarchy, which secured the balance of power and
helped to regulate the relations between the major European
powers over the coming century.
Key Terms
Treaty of Utrecht
A series of individual peace treaties, rather than a single

document, signed by the belligerents in the War of the Spanish
Succession in the Dutch city of Utrecht in 1713. The treaties
between several European states, including Spain, Great
Britain, France, Portugal, Savoy, and the Dutch Republic,
helped to end the war.
Treaty of Rastatt
A peace treaty between France and Austria, concluded in March

1714 in the Baden city of Rastatt, that put an end to the state of
war between them following the War of the Spanish Succession.
The treaty followed the earlier Treaty of Utrecht of April 1713,
which ended hostilities between France and Spain on the one
hand, and Britain and the Dutch Republic on the other hand. A
third treaty at Baden was required to end the hostilities between
France and the Holy Roman Empire.
Treaty of London
A 1700 treaty, known also as the Second Partition Treaty,

attempting to restore the Pragmatic Sanction following the death
of Duke Joseph Ferdinand of Bavaria. The Pragmatic Sanction
had undermined the First Partition Treaty (the Treaty of Hague).
Under the new Treaty, Archduke Charles (later Charles V I), the
second son of the Emperor Leopold I, was to become king of
Spain when Charles II died, and acquire her oversees colonies.
Grand Alliance
A European coalition, consisting (at various times) of Austria,

was founded in 1686 as the League of Augsburg in an attempt
to halt Louis X IV of France's expansionist policies. After the
Treaty of Hague was signed in 1701, it went into a second
phase as the Alliance of the War of Spanish Succession.
Treaty of Hague
A 1698 treaty, known also as the First Partition Treaty, between

England and France. The accord attempted to resolve who
would inherit the Spanish throne, proposing that Duke Joseph
Ferdinand of Bavaria be the heir. Moreover, the agreement
proposed that Louis, le Grand Dauphin, would get Naples, Sicily,
and Tuscany, and Archduke Charles, the younger son of
Emperor Leopold I, would get the Spanish Netherlands.
Leopold, Duke of Lorraine, would take Milan, which in turn
ceded Lorraine and Bar to the Dauphin.
W illiam III of England and the

Spanish Succession
William III (1650–1702) was sovereign Prince of Orange from birth,
Dutch Stadtholder (de facto hereditary head of state) from 1672, and
King of England, Ireland, and Scotland from 1689 until his death. As
his life drew towards its conclusion, William, like many other
European rulers, was concerned with the question of succession to
the throne of Spain, which brought with it vast territories in Italy, the
Low Countries, and the New World. The king of Spain, Charles II,
had no prospect of having children, and among his closest relatives
were Louis X IV and Leopold I, Holy Roman Emperor. William sought
to prevent the Spanish inheritance from going to either monarch, as
he feared it would upset the balance of power.
King W illiam III of England, portrait by
Sir Godfrey Kneller, 168 0s, National
Galleries, Scotland
A Protestant, William participated in several wars against the
powerful Catholic king of France, Louis X IV , in coalition with
Protestant and Catholic powers in Europe. Many Protestants
heralded him as a champion of their faith.
Partitions
Fearing the growing strength of the Holy Roman Empire, Louis X IV
turned to William, his long-standing Protestant rival. England and the
Dutch Republic had their own commercial, strategic, and political
interests within the Spanish empire, and they were eager to return to
peaceful commerce. Louis and William sought to solve the problem
of the Spanish inheritance through negotiation based on the principle
of partition (at first without prior reference to the Spanish or Austrian
courts), to take effect after the death of Charles II.
William and Louis agreed to the First Partition Treaty (Treaty of

Hague), which provided for the division of the Spanish Empire: Duke
Joseph Ferdinand of Bavaria would obtain Spain, while France and
the Holy Roman Emperor would divide the remaining territories
between them. However, when Joseph Ferdinand died of smallpox,
the issue re-opened. In 1700, the two rulers agreed to the Second
Partition Treaty (Treaty of London), under which the territories in Italy
would pass to a son of the king of France and the other Spanish
territories would be inherited by a son of the Holy Roman Emperor.
This arrangement infuriated both the Spanish, who still sought to
prevent the dissolution of their empire, and the Holy Roman
Emperor, to whom the Italian territories were much more useful than
the other lands. Unexpectedly, Charles II willed all Spanish territories
to Philip, a grandson of Louis X IV . The French conveniently ignored
the Second Partition Treaty and claimed the entire Spanish
inheritance.
W illiam III's Stand

The news that Louis X IV had accepted Charles II's will and that the
Second Partition Treaty was dead was a personal blow to William III.
However, after the exertions of the Nine Years' War, the Tory-
dominated House of Commons was keen to prevent further conflict
and restore normal commercial activity. Yet to William III, France's
growing strength made war inevitable. England also had its own
interests in the Spanish Netherlands, and ministers recognized the
potential danger posed by an enemy established to the east of the
Strait of Dover who, taking advantage of favorable wind and tide,
could threaten the British Isles. From William III's perspective, losing
the hard-won securities overturned the work of the last twenty years.
Although the French king's ambitions and motives were not fully
known, English ministers worked on the assumption that Louis X IV
would seek to expand his territory and direct and dominate Spanish
affairs. With the threat of a single power dominating Europe and
overseas trade, London now undertook to support William III's efforts
to reduce the power of France. As tensions mounted, Britain and the
Dutch Republic grew enraged by Louis's actions and decisions. With
the Holy Roman Emperor and the petty German states, they formed
another Grand Alliance. This European coalition, consisting at
various times of various European states, was originally founded in
1686 as the League of Augsburg. It was formed in an attempt to halt
Louis X IV 's expansionist policies. In 1701, it went into a second
phase.
Even after the formation of the Grand Alliance, the French king
continued to antagonize his European rivals. Around the same time
as the Alliance was formed, the Catholic James II of England (V II of
Scotland)—exiled in Saint-Germain since the Glorious Revolution—
died, and Louis X IV recognized James II's Catholic son, James, as
King James III of England. The French court insisted that granting
James the title of King was a mere formality, but William and English
ministers were indignant. Securing the Protestant succession was
soon recognized by the Grand Alliance as one of England's main
war aims.
The W ar of the Spanish

Succession
However, before the War of the Spanish Succession was even
declared, William died. Anne, Mary II's younger sister and William's
sister-in-law through his marriage to Mary, ascended to the British
throne and at once assured the Privy Council of her two main aims:
the maintenance of the Protestant succession and the reduction of
the power of France. By the same token, Anne continued William's
policies, and many leading statesmen of William's later years
remained in office, which turned out fundamental to the success of
the Grand Alliance in the early stages of the war.
The Austrians, the Dutch, and English allies formally declared war in
May 1702. By 1708 the Duke of Marlborough and Prince Eugene of
Savoy had secured victory in the Spanish Netherlands and in Italy,
and had defeated Louis X IV 's ally Bavaria. France faced invasion,
but the unity of the allies broke first. With the Grand Alliance
defeated in Spain and its casualties and costs mounting and aims
diverging, the Tories came to power in Great Britain in 1710 and
resolved to end the war. French and British ministers prepared the
groundwork for a peace conference, and in 1712 Britain ceased
combat operations. The Dutch, Austrians, and German states fought
on to strengthen their own negotiating position, but, defeated by
Marshal V illars, they were soon compelled to accept Anglo-French
mediation. By the terms of the Treaty of Utrecht (1713) and the
Treaty of Rastatt (1714), the Spanish empire was partitioned
between the major and minor powers. The Austrians received most
of Spain's former European realms, but the Duke of Anjou retained
peninsular Spain and Spanish America, where, after renouncing his
claim to the French succession, he reigned as King Philip V . The
European balance of power was assured.
18 .5 .3: The Peace of Utrecht

The Treaty of Utrecht, which initiated the end of the War of the
Spanish Succession, strengthened the balance of power in Europe
by securing two major goals: Louis X IV 's acknowledgement of the
Protestant succession in England, and safeguards to ensure that the
French and Spanish thrones remained separate.
Learning Objective
Describe the terms of the Peace of Utrecht and their significance
across Europe
Key Points
The War of the Spanish Succession (1701–1714) was a
European conflict triggered by the death of the last Habsburg
king of Spain, Charles II, in 1700. As he had reigned over a vast
global empire, the question of who would succeed him had long
troubled ministers in capitals throughout Europe.
The balance of victories and losses shifted regularly over the
course of the war, with both sides exhausted militarily and
financially. As early as 1710, the Tories initiated secret talks with
the French, seeking mutual ground whereon Great Britain and
France could dictate peace to the rest of Europe.
The Congress of Utrecht opened in 1712, but it was not
accompanied by an armistice. One of the first questions
discussed was the nature of the guarantees to be given by
France and Spain that their crowns would be kept separate.
The treaty, which was in fact a series of separate treaties,
secured Britain's main war aims: Louis X IV 's acknowledgement
of the Protestant succession in England, and safeguards to
ensure that the French and Spanish thrones remained
separate.
A series of separate treaties signed between 1714 and 1720
ended conflicts that continued in the aftermath of Utrecht
between states involved in the War of the Spanish Succession.
Utrecht marked the rise of Great Britain under Anne and later
the House of Hanover and the end of the hegemonic ambitions
of France. It also secured the balance of power and helped to
regulate the relations between the major European powers over
the coming century.
Key Terms
treaties of Rastatt and Baden
Two peace treaties that in 1714 ended ongoing European
conflicts following the War of the Spanish Succession. The first
treaty, signed between France and Austria in the city of Rastatt,
followed the earlier Treaty of Utrecht of 1713, which ended
hostilities between France and Spain on the one hand, and
Britain and the Dutch Republic on the other hand. The second
treaty, signed in Baden, was required to end the hostilities
between France and the Holy Roman Empire.
Grand Alliance
A European coalition consisting (at various times) of Austria,

Savoy, Saxony, Scotland, Spain, and Sweden. The coalition was
founded in 1686 as the League of Augsburg in an attempt to halt
Louis X IV of France's expansionist policies. After the Treaty of
Hague was signed in 1701, it went into a second phase as the
Alliance of the War of Spanish Succession.
War of the Spanish Succession
A major European conflict of the early 18th century (1701/2–

1714) triggered by the death in 1700 of the last Habsburg king
of Spain, Charles II. The Austrians, the Dutch, and English allies
formally declared war against France and its allies in May 1702.
Asiento
The permission given by the Spanish government to other

countries to sell people as slaves to the Spanish colonies,
between 1543 and 1834. In British history, it usually refers to the
contract between Spain and Great Britain created in 1713 that
dealt with the supply of African slaves for the Spanish territories
in the Americas.
Background: The W ar of the
Spanish Succession
The War of the Spanish Succession (1701–1714) was a European
conflict triggered by the death of the last Habsburg King of Spain,
Charles II, in 1700. He had reigned over a vast global empire and
the question of who would succeed him had long troubled ministers
in capitals throughout Europe. Attempts to solve the problem by
partitioning the empire between the eligible candidates from the royal
Houses of France (Bourbon), Austria (Habsburg), and Bavaria
(Wittelsbach) ultimately failed, and on his deathbed Charles II fixed
the entire Spanish inheritance on Philip, Duke of Anjou, the
grandson of King Louis X IV of France. With Philip ruling in Spain,
Louis X IV would secure great advantages for his dynasty, but some
statesmen regarded a dominant House of Bourbon as a threat to
European stability, jeopardizing the balance of power.
To counter Louis X IV 's growing dominance, England, the Dutch

Republic, and Austria—together with their allies in the Holy Roman
Empire—re-formed the Grand Alliance (1701) and supported
Emperor Leopold I's claim to the Spanish inheritance for his second
son, Archduke Charles. By backing the Habsburg candidate (known
to his supporters as King Charles III of Spain) each member of the
coalition sought to reduce the power of France, ensure their own
territorial and dynastic security, and restore and improve the trade
opportunities they had enjoyed under Charles II.
Peace Talks
The balance of victories and losses shifted regularly over the course
of the war, with both sides exhausted militarily and financially, also
as a result of a series of earlier wars waged in Europe. As early as
August 1710, the Tories initiated secret talks with the French,
seeking mutual ground whereon Great Britain and France could
dictate peace to the rest of Europe. France and Great Britain had
come to terms in October 1711, when the preliminaries of peace had
been signed in London. The preliminaries were based on a tacit
acceptance of the partition of Spain's European possessions.
The Congress of Utrecht, opened in January 1712, followed, but it

was not accompanied by an armistice (only in August did Britain,
Savoy, France, and Spain agree to a general suspension of arms).
One of the first questions discussed was the nature of the
guarantees to be given by France and Spain that their crowns would
be kept separate, but matters did not make much progress until July,
when Philip signed a renunciation. With Great Britain and France
having agreed upon a truce, the pace of negotiation quickened and
the main treaties were finally signed in April 1713.
Treaty of Utrecht
The treaty, which was in fact a series of separate treaties, secured
Britain's main war aims: Louis X IV 's acknowledgement of the
Protestant succession in England and safeguards to ensure that the
French and Spanish thrones remained separate. In North America,
where the War of the Spanish Succession turned into a war over
colonial gains, Louis X IV ceded to Britain the territories of Saint
Kitts and Acadia and recognized Britain's sovereignty over Rupert's
Land and Newfoundland. In return, Louis X IV kept the major city of
Lille on his northern border, but he ceded Furnes, Ypres, Menin, and
Tournai to the Spanish Netherlands. He also agreed to the
permanent demilitarization of the naval base at Dunkirk. The Dutch
received their restricted barrier in the Spanish Netherlands and a
share of the trade in the region with Britain. Prussia gained some
disputed lands and Portugal won minor concessions in Brazil against
encroachments on the Amazon from French Guiana. In addition,
Spain ceded Gibraltar and Minorca to Great Britain and agreed to
give to the British the Asiento, a monopoly on the oceanic slave
trade to the Spanish colonies in America. Above all, though, Louis
X IV had secured for the House of Bourbon the throne of Spain, with
his grandson, Philip V , recognized as the rightful king by all
signatories.
First edition of the the 17 13 Treaty of

Utrecht between Great Britain and
Spain in Spanish ( left) , and a later
edition in Latin and English
The treaties, signed in the Dutch city of Utrecht, were concluded
between the representatives of Louis X IV of France and his
grandson Philip V of Spain on one hand, and representatives of
Anne of Great Britain, V ictor Amadeus II of Sardinia, John V of
Portugal, and the United Provinces of the Netherlands on the other.
Aftermath
Utrecht marked the rise of Great Britain under Anne and later the
House of Hanover and the end of the hegemonic ambitions of
France. The lucrative trading opportunities afforded to the British
were gained at the expense of Anne's allies, with the Dutch forgoing
a share in the Asiento and the Holy Roman Empire ceding Spain to
Philip V and being forced to reinstate the Elector of Bavaria. After the
signing of the Utrecht treaties, the French continued to be at war with
the Holy Roman Empire until 1714, when hostilities ended with the
treaties of Rastatt and Baden. Spain and Portugal remained formally
at war with each other until the Treaty of Madrid of February 1715,
while peace between Spain and Emperor Charles V I, unsuccessful
claimant to the Spanish crown, came only in 1720 with the signing of
the Treaty of The Hague.
Weakened Spain eventually grew in strength under Philip V , and the

country would return to the forefront of European politics. With
neither Charles V I nor Philip V willing to accept the Spanish partition,
and with no treaty existing between Spain and Austria, the two
powers would soon clash in order to gain control of Italy, starting with
a brief war in 1718. However, the War of the Spanish Succession
brought to an end a long period of major conflict in western Europe;
the partition of the Spanish Monarchy had secured the balance of
power, and the conditions imposed at Utrecht helped to regulate the
relations between the major European powers over the coming
century.
Attributions
The Question of Spanish Succession
"Treaty of Rastatt."
https://en.wikipedia.org/wiki/Treaty_of_Rastatt. Wikipedia
CC BY-SA 3.0.
"Treaty of Utrecht."
https://en.wikipedia.org/wiki/Treaty_of_Utrecht. Wikipedia
CC BY-SA 3.0.
"Treaty of London (1700)."
https://en.wikipedia.org/wiki/Treaty_of_London_(1700).
"Treaty of The Hague (1698)."
https://en.wikipedia.org/wiki/Treaty_of_The_Hague_(1698).
"War of the Spanish Succession."
https://en.wikipedia.org/wiki/War_of_the_Spanish_Successi
on. Wikipedia CC BY-SA 3.0.
"V endome-and-PhilipV .jpg."
https://commons.wikimedia.org/wiki/File:V endome-and-
PhilipV .jpg. Wikimedia Public domain.
William of Orange and the Grand Alliance
CC BY-SA 3.0.
CC BY-SA 3.0.
"William III of England."
https://en.wikipedia.org/wiki/William_III_of_England.
"Treaty of London (1700)."
https://en.wikipedia.org/wiki/Treaty_of_London_(1700).
"Treaty of The Hague (1698)."
https://en.wikipedia.org/wiki/Treaty_of_The_Hague_(1698).
"King_William_III_of_England_1650-1702_lighter.jpg."
https://en.wikipedia.org/wiki/William_III_of_England# /media/
File:King_William_III_of_England,_(1650-
1702)_(lighter).jpg. Wikipedia Public domain.
The Peace of Utrecht
CC BY-SA 3.0.
CC BY-SA 3.0.
"Asiento." https://en.wikipedia.org/wiki/Asiento. Wikipedia
CC BY-SA 3.0.
"The_Treaty_of_Utrecht_clean.jpg."
https://en.wikipedia.org/wiki/Treaty_of_Utrecht# /media/File:
The_Treaty_of_Utrecht_(clean).jpg. Wikipedia Public
domain.
18 .6: The Moderniz ation of
Russia
18 .6.1: Peter the Great
The early years of Peter the Great were marked by power struggles
among multiple heirs to the Russian tsardom as well as Peter's
European travels, which greatly inspired his modernizing reforms.
Learning Objective
Describe Peter the Great's early life
Key Points
Peter the Great of the House of Romanov ruled the Tsardom of
Russia and later the Russian Empire from 1682 until his death.
The Romanovs took over Russia in 1613, and the first decades
of their reign were marked by attempts to restore peace, both
internally and with Russia's rivals.
After Alexis I's (Peter's father) death, a power struggle between
the Miloslavsky family (of Alexis's first wife) and the Naryshkin
family (of Alexis's second wife) ensued. Eventually, Peter's half-
brother, Ivan V , and ten-year-old Peter became co-tsars, with
Sophia Alekseyevna, one of Alexis's daughters from his first
marriage, acting as regent.
Sophia was eventually overthrown, with Peter I and Ivan V
continuing to act as co-tsars, yet power was exercised mostly by
Peter's mother. It was only when Nataliya died in 1694 that
Peter became an independent sovereign, and the sole ruler
after Ivan's death in 1696.
Peter implemented sweeping reforms aimed at modernizing
Russia. Heavily influenced by his advisers from Western
Europe, he reorganized the Russian army along modern lines
and dreamed of making Russia a maritime power.
Knowing that Russia could not face the Ottoman Empire alone,
in 1697 Peter traveled incognito to Europe with the so-called
Grand Embassy to seek the aid of the European monarchs. The
mission failed, as Europe was at the time preoccupied with the
question of the Spanish succession.
The European trip, although politically a failure, exposed Peter
to Western European artists, scientists, craftsmen, and noble
families. This broadened his intellectual horizons and convinced
him that Russia should follow Western Europe in certain
respects.
Key Terms
boyars
Members of the highest rank of the feudal Bulgarian,

Moscovian, Ruthenian (Ukraine and Belarus), Wallachian, and
Moldavian aristocracies, second only to the ruling princes (or
tsars), from the 10th century to the 17th century.
Grand Embassy
A Russian diplomatic mission sent to Western Europe in 1697–

1698 by Peter the Great. The goal of this mission was to
strengthen and broaden the Holy League, Russia's alliance with
a number of European countries against the Ottoman Empire in
its struggle for the northern coastline of the Black Sea.
serfdom
The status of many peasants under feudalism, specifically

relating to manorialism. It was a condition of bondage that
developed primarily during the High Middle Ages in Europe and
lasted in some countries until the mid-19th century.
Political Background
Peter the Great of the House of Romanov (1672–1725) ruled the
Tsardom of Russia and later the Russian Empire from 1682 until his
death, jointly ruling before 1696 with his elder half-brother, Ivan V .
The Romanovs took over Russia in 1613, and the first decades of
their reign were marked by attempts to restore peace, both internally
and with Russia's rivals, most notably Poland and Sweden. In order
to avoid more civil war, the great nobles, or boyars, cooperated with
the first Romanovs, enabling them to finish the work of bureaucratic
centralization. Thus, the state required service from both the old and
the new nobility, primarily in the military. In return, the tsars allowed
the boyars to complete the process of enserfing the peasants. With
the state now fully sanctioning serfdom, peasant rebellions were
endemic.
Peter the Great: Early Y ears

From an early age, Peter's education (commissioned by his father,
Tsar Alexis I) was put in the hands of several tutors. In 1676, Tsar
Alexis died, leaving the sovereignty to Peter's elder half-brother,
Feodor III. Throughout this period, the government was largely run
by Artamon Matveev, an enlightened friend of Alexis, the political
head of the Naryshkin family (Natalya Naryshkina was Alexis's
second wife and Peter's mother) and one of Peter's greatest
childhood benefactors. This changed when Feodor died in 1682. As
he did not leave any children, a dispute arose between the
Miloslavsky family (Maria Miloslavskaya was the first wife of Alexis I)
and the Naryshkin family over who should inherit the throne. Peter's
other half-brother, Ivan V , was next in line for the throne, but he was
chronically ill. Consequently, the Boyar Duma (a council of Russian
nobles) chose 10-year-old Peter to become tsar, with his mother as
regent. However, Sophia Alekseyevna, one of Alexis's daughters
from his first marriage, led a rebellion of the Streltsy (Russia's elite
military corps), which made it possible for her, the Miloslavskys (the
clan of Ivan), and their allies to insist that Peter and Ivan be
proclaimed joint tsars, with Ivan being acclaimed as the senior.
Sophia acted as regent during the minority of the sovereigns and
exercised all power. For seven years, she ruled as an autocrat.
Peter the Great as a child, artist

unknown
Peter's childhood was marked by power struggles between the
families of Alexis I's first and second wives. Although he was named
a co-tsar in 1682, at the age of ten, he did not become an
independent and sole ruler until 1696.
Taking Over the Power
While Peter was not particularly concerned that others ruled in his
name, his mother sought to force him to adopt a more conventional
approach. She arranged his marriage to Eudoxia Lopukhina in 1689,
but the marriage was a failure. Ten years later Peter forced his wife
to become a nun and thus freed himself from the union.
By the summer of 1689, Peter planned to take power from his half-
sister Sophia, whose position had been weakened by two
unsuccessful Crimean campaigns. After a power struggle, in which
the Streltsy was forced to shift its loyalty, Sophia was eventually
overthrown, with Peter I and Ivan V continuing to act as co-tsars. Yet
Peter could not acquire actual control over Russian affairs. Power
was instead exercised by his mother, Natalya Naryshkina. It was
only when Nataliya died in 1694 that Peter became an independent
sovereign, and the sole ruler after Ivan's death in 1696.
Early Reign
Peter implemented sweeping reforms aimed at modernizing Russia.
Heavily influenced by his advisers from Western Europe, he
reorganized the Russian army along modern lines and dreamed of
making Russia a maritime power. He also implemented social
modernization in an absolute manner by introducing French and
western dress to his court and requiring courtiers, state officials, and
the military to shave their beards and adopt modern clothing styles.
One means of achieving this end was the introduction of taxes for
long beards and robes in September 1698. The move provoked
opposition from the boyars.
To improve his nation's position on the seas, Peter sought to gain

more maritime outlets and attempted to acquire control of the Black
Sea, at the time controlled by the Ottoman Empire. To do so, he
would have to expel the Tatars from the surrounding areas, but the
initial attempts ended in failure. However, after the 1695 initiative to
build a large navy, he officially founded the first Russian Navy base,
Taganrog (Sea of Azov).
Peter knew that Russia could not face the Ottoman Empire alone. In
1697 he traveled incognito to Europe on an eighteen-month journey
with a large Russian delegatio—the so-called Grand Embassy—to
seek the aid of the European monarchs. The mission failed, as
Europe was at the time preoccupied with the question of the Spanish
succession. Peter's visit was cut short in 1698, when he was forced
to rush home by a rebellion of the Streltsy. The rebellion was easily
crushed, but Peter acted ruthlessly towards the mutineers. Over
1,200 of the rebels were tortured and executed, and Peter ordered
that their bodies be publicly exhibited as a warning to future
conspirators. The Streltsy were disbanded.
Peter's European Education

Although the Grand Embassy failed to complete its political mission
of creating an anti-Ottoman alliance, Peter continued the European
trip, learning about life in Western Europe. While visiting the
Netherlands, he studied shipbuilding and visited with families of art
and coin collectors. From Dutch experts, craftsmen, and artists,
Peter learned how to draw teeth, catch butterflies, and paint
seascapes. In England, he also engaged in painting and navy-
related activities, as well as visited Manchester in order to learn the
techniques of city building that he would later use to great effect at
Saint Petersburg. Furthermore, in 1698 Peter sent a delegation to
Malta to observe the training and abilities of the Knights of Malta and
their fleet.
Peter's visits to the West impressed upon him the notion that
European customs were in several respects superior to Russian
traditions. Unlike most of his predecessors and successors, he
attempted to follow Western European traditions, fashions, and
tastes. He also sought to end arranged marriages, which were the
norm among the Russian nobility, because he thought such a
practice was barbaric and led to domestic violence, since the
partners usually resented each other.
A statue of Peter I working incognito

at a Dutch wharf, St. Petersburg
Peter the Great learned the shipbuilding craft in Holland in 1697. It
was one of many skills that he acquired during his Western
European trip.
18 .6.2: The W esterniz ation of Russia
In order to modernize a socially and economically lagging Russia,
Peter the Great introduced sweeping social, administrative, and
economic reforms that westernized Russia to a certain extent, yet
did not alter deeply feudal divisions in the increasingly authoritarian
state.
Learning Objective
Discuss the reasons why Peter worked so hard to forcibly westernize
Russia
Key Points
In his effort to modernize Russia, the largest state in the world,
but one that was economically and socially lagging, Peter
introduced autocracy and played a major role in introducing his
country to the European state system. His visits to the West
impressed upon him the notion that European customs were in
several respects superior to Russian traditions.
reorganized the Russian army along modern lines and dreamed
of making Russia a maritime power.
His social reforms included the requirement of Western fashion
in his court (including facial hair for men), attempts to end
arranged marriages, and the introduction of the Julian Calendar
in 1700.
One of Peter's most audacious goals was reducing the influence
of the boyars, or the feudal elite class. He did this by imposing
taxes and services on them as well as introducing
comprehensive administrative reforms that opened civil service
to commoners. However, sharp class divisions, including the
already tragic fate of serfs, only deepened.
Tax and trade reforms enabled the Russian state to expand its
treasury almost sixfold between 1680 and 1724.
Legislation under Peter's rule covered every aspect of life in
Russia, and his reform contributed greatly to Russia's military
successes and the increase in revenue and productivity. Overall,
Peter created a state that further legitimized and strengthened
authoritarian rule in Russia.
Key Terms
boyars

Moscovian, Ruthenian, (Ukraine and Belarus), Wallachian, and
Collegia
Government departments in Imperial Russia established in 1717

by Peter the Great. The departments were housed in Saint
Petersburg.
serfdom

kholops
Feudally dependent persons in Russia between the 10th and

early 18th centuries. Their legal status was close to that of serfs
but in reality closest to that of slaves.
Table of Ranks
A formal list of positions and ranks in the military, government,
and court of Imperial Russia. Peter the Great introduced the
system in 1722 while engaged in a struggle with the existing
hereditary nobility, or boyars. It was formally abolished in 1917
by the newly established Bolshevik government.
Russia at the Turn of the 18 th

Century
By the time Peter the Great became tsar, Russia was the largest
country in the world, stretching from the Baltic Sea to the Pacific
Ocean. Much of Russia's expansion had taken place in the 17th
century, culminating in the first Russian settlement of the Pacific in
the mid-17th century, the reconquest of Kiev, and the pacification of
the Siberian tribes. However, the vast majority of the land was
unoccupied, travel was slow, and the majority of the population of 14
million depended on farming. While only a small percentage lived in
towns, Russian agriculture, with its short growing season, was
ineffective and lagged behind that of Western Europe. The class of
kholops, or feudally dependent persons similar to serfs, but whose
status was closest to slavery, remained a major institution in Russia
until 1723, when Peter converted household kholops into house
serfs, thus including them in poll taxation (Russian agricultural
kholops were formally converted into serfs in 1679). Russia also
remained isolated from the sea trade and its internal trade
communications and many manufactures were dependent on the
seasonal changes.
Peter and W estern Europe

Peter I the Great introduced autocracy in Russia and played a major
role in introducing his country to the European state system. His
visits to the West impressed upon him the notion that European
customs were in several respects superior to Russian traditions.
making Russia a maritime power. He also commanded all of his
courtiers and officials to wear European clothing and cut off their
long beards, causing great upset among boyars, or the feudal
elites. Those who sought to retain their beards were required to pay
an annual beard tax of one hundred rubles.
Peter also introduced critical social reform. He sought to end

arranged marriages, which were the norm among the Russian
nobility, seeing the practice as barbaric and leading to domestic
violence. In 1699, he changed the date of the celebration of the new
year from September 1 to January 1. Traditionally, the years were
reckoned from the purported creation of the world, but after Peter's
reforms, they were to be counted from the birth of Christ. Thus, in
the year 7207 of the old Russian calendar, Peter proclaimed that the
Julian Calendar was in effect and the year was 1700.
Peter the Great by J ean-Marc Nattier,
17 17
Administrative Reforms
One of Peter's major goals was reducing the influence of the boyars,
who stressed Slavic supremacy and opposed European influence.
While their clout had declined since the reign of Ivan the Terrible, the
Boyar Duma, an advisory council to the tsar, still wielded
considerable political power. Peter saw them as backwards and as
obstacles standing in the way of Europeanization and reform. He
specifically targeted boyars with numerous taxes and obligatory
services.
Prior to Peter's rule, Russia's administrative system was relatively

antiquated compared to that of many Western European nations.
The state was divided into uyezds, which mostly consisted of cities
and their immediate surrounding areas. In 1708, Peter abolished
these old national subdivisions and established in their place eight
governorates. In 1711, a new state body was established: the
Governing Senate. All its members were appointed by the tsar from
among his own associates, and it originally consisted of ten people.
All appointments and resignations of senators occurred by personal
imperial decrees. The senate did not interrupt the activity and was
the permanent operating state body. Another decree in 1713
established Landrats (from the German word for "national council")
in each of the governorates, staffed by between eight and twelve
professional civil servants, who assisted a royally-appointed
governor. In 1719, after the establishment of government
departments known as the Collegia, Peter remade Russia's
administrative divisions once more. The new provinces were
modeled on the Swedish system, in which larger, more politically
important areas received more political autonomy, while smaller,
more rural areas were controlled more directly by the state.
Peter's distrust of the elitist and anti-reformist boyars culminated in

1722 with the creation of the Table of Ranks—a formal list of ranks in
the Russian military, government, and royal court. The Table of
Ranks established a complex system of titles and honorifics, each
classed with a number denoting a specific level of service or loyalty
to the tsar; this was among the most audacious of Peter's reforms.
Previously, high-ranking state positions were hereditary, but with the
establishment of the Table of Ranks, anyone, including a commoner,
could work their way up the bureaucratic hierarchy with sufficient
hard work and skill. A new generation of technocrats soon
supplanted the old boyar class and dominated the civil service in
Russia. With minimal modifications, the Table of Ranks remained in
effect until the Russian Revolution of 1917.
A manuscript copy of the 17 22 Table
of R ank s
Finance
Peter's government was constantly in dire need of money, and at first
it responded by monopolizing certain strategic industries, such as
salt, vodka, oak, and tar. Peter also taxed many Russian cultural
customs (such as bathing, fishing, beekeeping, or wearing beards)
and issued tax stamps for paper goods. However, with each new tax
came new loopholes and new ways to avoid them, and so it became
clear that tax reform was simply not enough.
The solution was a sweeping new poll tax, which replaced a

household tax on cultivated land. Previously, peasants had skirted
the tax by combining several households into one estate. Now, each
peasant was assessed individually for a tax paid in cash. This new
tax was significantly heavier than the taxes it replaced, and it
enabled the Russian state to expand its treasury almost sixfold
between 1680 and 1724. Peter also pursued proto-protectionist trade
policies, placing heavy tariffs on imports and trade to maintain a
favorable environment for Russian-made goods.
Subjugation of the W orking
Masses
Peter's reign deepened the subjugation of serfs to the will of
landowners. He firmly enforced class divisions and his tax code
significantly expanded the number of taxable workers, shifting an
even heavier burden onto the shoulders of the working class. A
handful of Peter's reforms reflected a limited understanding of
certain Enlightenment ideals. For example, he created a new class
of serfs, known as state peasants, who had broader rights than
ordinary serfs but still paid dues to the state. He also created state-
sanctioned handicraft shops in large cities, inspired by similar shops
he had observed in the Netherlands, to provide products for the
army. Evidence suggests that Peter's advisers recommended the
abolition of serfdom and the creation of a form of "limited freedom,"
but the gap between slaves and serfs shrank considerably under
Peter. By the end of his reign the two were basically
indistinguishable.
Outcomes
Peter's reforms set him apart from the tsars that preceded him. In
Muscovite Russia, the state's functions were limited mostly to military
defense, collection of taxes, and enforcement of class divisions. In
contrast, legislation under Peter's rule covered every aspect of life in
Russia with exhaustive detail, and it significantly affected the
everyday lives of nearly every Russian citizen. The success of
reform contributed greatly to Russia's military successes and the
increase in revenue and productivity. More importantly, Peter created
a state that further legitimized and strengthened authoritarian rule in
Russia. Testaments to this lasting influence are the many public
institutions in the Soviet Union and the Russian Federation, which
trace their origins back to Peter's rule.
18 .6.3: Peter's Foreign Policy
The foreign policy of Peter the Great focused on the goal of making
Russia a maritime power and turned Russia into one of the most
powerful states in Europe, shifting the European balance of power.
Learning Objective
Analyze Peter's foreign policy goals and the extent to which he
achieved them
Key Points
To improve his nation's position on the seas, Peter the Great
sought to gain more maritime outlets. The goal of making
Russia a maritime power shaped Peter's foreign policy.
Peter's first military efforts were directed against the Ottoman
Turks. While his efforts to gain access to the Azov Sea
eventually failed, his alliance with the Ottoman Empire against
Persia allowed him to access the Caspian Sea.
Peter's rule was dominated by the Great Northern War, in which
he and his allies successfully challenged the dominance of
Sweden in the Baltic region. As a result of this war, Russia
gained vast Baltic territories and became one of the greatest
powers in Europe.
While during Peter's reign Russia did not formally wage wars
with Poland-Lithuania, Peter made the most of the internal
chaos and power struggles in the Polish-Lithuanian
Commonwealth. He secured formerly Polish-Lithuanian
territories in Ukraine and had an impact on internal politics in the
Commonwealth.
Peter's foreign policy turned the Tsardom into the Russian
Empire and left Russia one of the most powerful states in
Europe and a major player in global politics.
Key Terms
Treaty of Thorn
A treaty concluded in 1709 between Augustus the Strong of

Poland–Lithuania and Peter the Great of Russia during the
Great Northern War. The parties revived their alliance, which
Charles X II of Sweden had destroyed in the Treaty of Altranstä dt
(1706), and agreed on restoring the Polish crown to Augustus.
Great Northern War
A 1700–1721 conflict in which a coalition led by the Tsardom of

Russia successfully contested the supremacy of the Swedish
Empire in Central, Northern, and Eastern Europe. The initial
leaders of the anti-Swedish alliance were Peter the Great of
Russia, Frederick IV of Denmark–Norway, and Augustus II the
Strong of Saxony–Poland.
Treaty of Nystad
The last peace treaty of the Great Northern War of 1700–1721.

It was concluded between the Tsardom of Russia and the
Swedish Empire in 1721 in the then-Swedish town of Nystad. It
shifted the balance of power in the Baltic region from Sweden to
Russia.
Eternal Peace Treaty of 1686
A treaty between the Tsardom of Russia and the Polish-

Lithuanian Commonwealth signed in 1686 in Moscow. The
treaty secured Russia's possession of left-bank Ukraine plus the
right-bank city of Kiev. The region of Zaporizhian Sich, Siverian
lands, cities of Chernihiv, Starodub, Smolensk, and its outskirts
were also ceded to Russia, while Poland retained right-bank
Ukraine.
Introduction
Peter the Great became tsar in 1682 upon the death of his elder
brother Feodor, but did not become the actual ruler until 1689. He
commenced reforming the country, attempting to turn the Russian
Tsardom into a modernized empire relying on trade and on a strong,
professional army and navy. Heavily influenced by his advisers from
Western Europe, he reorganized the Russian army along modern
lines and dreamed of making Russia a maritime power. To improve
his nation's position on the seas, Peter sought to gain more maritime
outlets. His only outlet at the time was the White Sea at Arkhangelsk.
The Baltic Sea was controlled by Sweden in the north, while the
Black Sea and the Caspian Sea were controlled by the Ottoman
Empire and Safavid Empire respectively in the south.
Peter the Great and the

Ottoman Empire
Peter's first military efforts were directed against the Ottoman Turks.
After the Turkish failure to take V ienna in 1683, Russia joined
Austria, Poland, and V enice in the Holy League (1684) to drive the
Turks southward. Russia and Poland signed the Eternal Peace
Treaty of 1686, in which Poland–Lithuania agreed to recognize the
Russian incorporation of Kiev and the left-bank of the Ukraine. The
Russo–Turkish War of 1686–1700 followed as part of the joint
European effort to confront the Ottoman Empire (the larger
European conflict was known as the Great Turkish War). During the
war, the Russian army organized the Crimean campaigns of 1687
and 1689, which ended in Russian defeats. Despite these setbacks,
Russia launched the Azov campaigns in 1695 and 1696 and
successfully occupied Azov (northern extension of the Black Sea) in
1696. However, the gains did not last long. The Russo–Ottoman War
of 1710–1711, also known as the Pruth River Campaign, erupted as
a consequence of the defeat of Sweden by the Russian Empire in
the Battle of Poltava (1709) during the ongoing Great Northern War.
The conflict was ended by the 1711 Treaty of the Pruth, which
stipulated that Russia return Azov to the Ottomans, and the Russian
Azov fleet was destroyed.
Capture of Az ov by Russian emperor

Peter the Great ( on horseback) by
Adriaan van Schoonebeek, ( 1699)
While Peter successfully occupied Azov in 1696, the gains did not
last long. The Russo-Ottoman War of 1710–1711 was ended by the
1711 Treaty of the Pruth, which stipulated that Russia return Azov to
the Ottomans.
However, Peter managed to gain access to the Caspian Sea. In the

Russo–Persian War (1722–1723), Russia had managed to conquer
swaths of Safavid Irans territories in the North Caucasus,
Transcaucasia, and northern mainland Iran, while the Ottoman Turks
had invaded and conquered all Iranian territories in the west. The
two governments eventually signed a 1724 treaty in Constantinople,
dividing a large portion of Iran between them. The annexed Iranian
lands located on the east of the conjunction of the rivers
Kurosh (Kur) and Aras were given to the Russians, while the lands
on the west went to the Ottomans.
Great Northern W ar
Between the years of 1560 and 1658, Sweden created a
Baltic empire centered on the Gulf of Finland. Peter the Great
wanted to re-establish a Baltic presence by regaining access to the
territories that Russia had lost to Sweden in the first decades of the
17th century. In the late 1690s, the adventurer Johann Patkul
managed to ally Russia with Denmark and Saxony by the secret
Treaty of Preobrazhenskoye. As Augustus II the Strong, elector of
Saxony, gained the Polish crown in 1696, the Polish–Lithuanian
Commonwealth, at conflict with Sweden since the mid-17th century,
automatically became a member of the alliance.
In 1700, Peter, supported by his allies, declared war on Sweden,

which was at the time led by eighteen-year-old King Charles X II. A
threefold attack at Swedish Holstein-Gottorp, Swedish Livonia, and
Swedish Ingria did not overwhelm the inexperienced Charles X II.
Sweden parried the Danish and Russian attacks at Travendal and
Narva, and in a counter-offensive pushed Augustus II's forces
through the Polish–Lithuanian Commonwealth to Saxony, dethroning
Augustus on the way and forcing him to acknowledge defeat in the
Treaty of Altranstä dt (Augustus was restored in 1709). The treaty
also secured the extradition and execution of Patkul, the architect of
the anti-Swedish alliance. Peter I had meanwhile recovered and
gained ground in Sweden's Baltic provinces. Charles X II moved from
Saxony into Russia to confront Peter, but the campaign ended with
the destruction of the main Swedish army at the decisive 1709 Battle
of Poltava (in present-day Ukraine), and Charles's exile in Ottoman
Bender. After Poltava, the anti-Swedish coalition, which by that time
had fallen apart twice, was re-established and subsequently joined
by Hanover and Prussia. The remaining Swedish forces in plague-
stricken areas south and east of the Baltic Sea were evicted, with the
last city, Riga, falling in 1710. Sweden proper was invaded from the
west by Denmark–Norway and from the east by Russia, which had
occupied Finland by 1714. The Danish forces were defeated.
Charles X II opened up a Norwegian front, but was killed in
Fredriksten in 1718.
The war ended with Sweden's defeat, leaving Russia as the new
dominant power in the Baltic region and a major force in European
politics. The formal conclusion of the war was marked by the
Swedish–Hanoverian and Swedish–Prussian Treaties of
Stockholm (1719), the Dano-Swedish Treaty of
Frederiksborg (1720), and the Russo–Swedish Treaty of
Nystad (1721). In all of them, Sweden ceded some territories to its
opponents. In Nystad, King Frederick I of Sweden formally
recognized the transfer of Estonia, Livonia, Ingria, and Southeast
Finland to Russia, while Russia returned the bulk of Finland to
Sweden. As a result, Russia gained vast Baltic territories and
became one of the greatest powers in Europe.
Signing of the Treaty of Nystad ( 17 21)
by Pieter Schenk ( II)
Nystad manifested the decisive shift in the European balance of
power that the Great Northern War had brought about: the Swedish
imperial era ended and Sweden entered the Age of Liberty, while
Russia emerged as a new empire.
Polish/ Lithuanian– Russian

Relations
While during Peter's reign Russia did not formally wage wars with
Poland–Lithuania, Peter made the most of the internal chaos and
power struggles in the Polish–Lithuanian Commonwealth. After
Poltava, the rule of Augustus II was restored thanks to the support of
Peter (Treaty of Thorn) and largely against the will of the Polish–
Lithuanian nobility. Soon Augustus unsuccessfully wanted to
terminate his participation in the Great Northern War and free himself
from his dependence on Peter. Attempts at peace with Sweden,
which would strengthen Augustus's hand in dealing with Peter,
turned elusive. In the end, Saxony-Commonwealth ended up as the
only power in the victorious coalition with no territorial gains.
The Polish–Lithuania nobility resisted the Saxon rule and troops in

Poland, which led to military resistance. However, the spreading
movement, unable to fulfill its mission alone, requested mediation by
Peter I. Augustus agreed, and several months of negotiations
facilitated by the Russian ambassador followed, with the fighting still
intermittently taking place. Eventually Augustus asked for an
intervention by Russian forces, the Polish–Lithuanian nobles were
defeated by the Saxons in 1716, and a treaty between the king and
the Polish–Lithuanian nobility was signed in Warsaw. The Tsardom's
mediation and supervision marked a turning point in the
Polish/Lithuanian–Russian relations.
Augustus was still able to largely free himself from Peter's

protectorate, but in return was excluded from the Treaty of Nystad
negotiations. Russia took Livonia, a territory that had been
historically contested by Sweden, Russian, and Poland–Lithuania,
and the Commonwealth no longer shared a border with Sweden. In
real terms, Poland, besides Sweden, was the main victim of the war,
because of the damage inflicted on its population, economy, degree
of independence, ability to function politically, and potential for self-
defense.
18 .6.4: Peter's Domestic Reforms

Through his expansive domestic reforms, Peter the Great
modernized Russia, but he also centralized power in his hand,
significantly curbing the influence of the noble elites and the
Orthodox church.
Learning Objective
Explain Peter's domestic reforms and what he hoped to accomplish
with each of them
Key Points
Peter the Great recognized the weaknesses of the Russian
state and aspired to reform it following Western European
models. Seeing the class of boyars as obstacles standing in the
way of Europeanization and reform, he introduced
comprehensive changes into a relatively antiquated system of
Russian administration.
All the administrative reforms, and particularly the introduction of
the Table of Ranks, aimed to weaken the position of the old
boyar class, but they also moved Russia towards the
authoritarian rule, where power was largely concentrated in the
hand of the head of the state.
The Orthodox church did not accept Peter's reforms, and Peter
refused to accept the power of the patriarch. While the tsar did
not abandon Orthodoxy as the main ideological core of the
state, he started a process of westernization of the clergy and
secular control of the church.
Peter established Saint Petersburg in 1703. The city was built
on the presumption that it would be the most westernized city of
Russia. He moved the capital from Moscow to Saint Petersburg
in 1712, and the city became the political and cultural center of
Russia.
While Peter died without naming a successor, his manipulations
led to the death of his only male heir and the crowning of his
second wife, Catherine, the Empress. Catherine was the first
woman to rule Imperial Russia, opening the legal path for a
century almost entirely dominated by women.
Key Terms
boyars
Moscovian, Ruthenian (Ukraine and Belarus), Wallachian, and
Table of Ranks
A formal list of positions and ranks in the military, government,

and court of Imperial Russia. Peter the Great introduced the
system in 1722 while engaged in a struggle with the existing
hereditary nobility, or boyars. It was formally abolished in 1917
by the newly established Bolshevik government.
Collegia
Government departments in Imperial Russia established in 1717

by Peter the Great. The departments were housed in Saint
Petersburg.
Saint Petersburg
Russia's second-largest city after Moscow and an important

Russian port on the Baltic Sea. Established by Peter the Great,
between 1713–1728 and 1732–1918 it was the imperial capital
of Russia. It remains the most westernized city of Russia as well
as its cultural capital.
Holy Synod
A congregation of Orthodox church leaders in Russia. It was

established by Peter the Great, Stefan Yavorsky, and Feofan
Prokopovich in January 1721 to replace the Patriarchate of
Moscow. It was abolished following the February Revolution of
1917 and replaced with a restored patriarchate under Tikhon of
Moscow.
Peter's Reforms of the Russia
State
Unlike most of his predecessors, not only did Peter the Great
recognize the weaknesses of the Russian state, which at the time
was greatly influenced by the class of boyars (feudal elites), but also
aspired to reform it following Western European models. Seeing
boyars as obstacles standing in the way of Europeanization and
reform, Peter introduced changes into a relatively antiquated system
of Russian administration. In 1708, he established eight
governorates and in 1711 the Governing Senate. All its members,
originally ten individuals, were appointed by the tsar. The senate did
not interrupt the activity and was the permanent operating state
body. In 1713, Landrats (from the German word for "national
council") were created in each of the governorates. They were
staffed by professional civil servants, who assisted a royally-
appointed governor. In 1719, after the establishment of government
departments known as the Collegia, Peter remade Russia's
administrative divisions once more. The new provinces were
modeled on the Swedish system, in which larger, more politically
important areas received more political autonomy, while smaller,
more rural areas were controlled more directly by the state.
Peter's distrust of the elitist and anti-reformist boyars culminated in

1722 with the creation of the Table of Ranks, a formal list of ranks in
the Russian military, government, and royal court. The Table of
Ranks established a complex system of titles and honorifics, each
classed with a number denoting a specific level of service or loyalty
to the tsar. Previously, high-ranking state positions were hereditary,
but with the establishment of the Table of Ranks, anyone, including a
commoner, could work their way up the bureaucratic hierarchy with
sufficient hard work and skill. While all these administrative reforms
aimed to weaken the position of the old boyar class, they also moved
Russia towards authoritarian rule, where power was largely
concentrated in the hand of the head of the state.
Church Reforms
The Russian tsars traditionally exerted some influence on church
operations. However, until Peter's reforms, the church had been
relatively free in its internal governance. Peter lost the support of the
Russian clergy over his modernizing reforms as local hierarchs
became very suspicious of his friendship with foreigners and his
alleged Protestant propensities. The tsar did not abandon Orthodoxy
as the main ideological core of the state, but attempted to start a
process of westernization of the clergy, relying on those with a
Western theological education. Simultaneously, Peter remained
faithful to the canons of the Eastern Orthodox church. Inviting
Ukrainian and Belorussian clergymen, mostly graduates of the highly
acclaimed westernized Kiev-Mohyla Academy, unintentionally led to
the "Ukrainization" of the Russian church, and by the middle of the
18th century the majority of the Russian Orthodox church was
headed by people from Ukraine.
The traditional leader of the church was the Patriarch of Moscow. In

1700, when the office fell vacant, Peter refused to name a
replacement and created the position of the custodian of the
patriarchal throne, which he controlled by appointing his own
candidates. He could not tolerate the thought that a patriarch could
have power superior to the tsar, as indeed had happened in the case
of Philaret (1619–1633) and Nikon (1652–1666). In 1721, he
established the Holy Synod (originally the Ecclesiastical College),
which replaced patriarchy altogether. It was administered by a lay
director, or Ober-Procurator. The Synod changed in composition
over time, but basically it remained a committee of churchmen
headed by a lay appointee of the emperor. Furthermore, a new
ecclesiastic educational system was begun under Peter. It aimed to
improve the usually very poor education of local priests and monks.
However, the curriculum was so westernized (emphasis on Latin
language and subjects for the price of limited exposure to Greek, the
Eastern Church Fathers, and Russian and Slavonic church
languages) that monks and priests, while being formally educated,
received poor training in preparation for a ministry to a Russian-
speaking population steeped in the traditions of Eastern Orthodoxy.
Saint Petersburg
In 1703, during the Great Northern War, Peter the Great established
the Peter and Paul fortress on small Hare Island, by the north bank
of the Neva River. The fortress was the first brick and stone building
of the new projected capital city of Russia and the original citadel of
what would eventually be Saint Petersburg. The city was built by
conscripted peasants from all over Russia, and tens of thousands of
serfs died building it. Peter moved the capital from Moscow to Saint
Petersburg in 1712, but referred to Saint Petersburg as the capital
(or seat of government) as early as 1704. Western European
architects, most notably Swiss Italian Domenico Trezzini and French
Jean-Baptiste Alexandre Le Blond, shaped the city in the initial
stages of its construction. Such buildings as the Menshikov Palace,
Kunstkamera, Peter and Paul Cathedral, and Twelve Collegia
became prominent architectural landmarks. In 1724, Peter also
established the Academy of Sciences, the University, and the
Academic Gymnasium. Saint Petersburg is still the most
Westernized city in and the cultural capital of Russia.
Collage of pictures from Saint
Petersburg
Clockwise from top left: Peter and Paul Fortress on Zayachy Island,
Smolny Cathedral, Bronze Horseman on Senate Square, the Winter
Palace, Trinity Cathedral, and the Moyka river with the General Staff
Building.
Succession
Peter had two wives, with whom he had fourteen children, but only
three survived to adulthood. Upon his return from his European tour
in 1698, he sought to end his unhappy arranged marriage to Eudoxia
Lopukhina. He divorced the tsaritsa and forced her into joining a
convent. Only one child from the marriage, Tsarevich Alexei,
survived past his childhood. In 1712, Peter formally married his long-
time mistress, Martha Skavronskaya, who upon her conversion to
the Russian Orthodox church took the name Catherine.
Peter suspected his eldest child and heir, Alexei, of being involved in
a plot to overthrow the emperor. Alexei was tried and confessed
under torture during questioning conducted by a secular court. He
was convicted and sentenced to be executed. The sentence could
be carried out only with Peter's signed authorization, but Alexei died
in prison, as Peter hesitated before making the decision. In 1724,
Peter had his second wife, Catherine, crowned as empress, although
he remained Russia's actual ruler. He died a year later without
naming a successor. As Catherine represented the interests of the
"new men," commoners who had been brought to positions of great
power by Peter based on competence, a successful coup was
arranged by her supporters in order to prevent the old elites from
controlling the laws of succession. Catherine was the first woman to
rule Imperial Russia (as empress), opening the legal path for a
century almost entirely dominated by women, including her daughter
Elizabeth and granddaughter-in-law Catherine the Great, all of whom
continued Peter the Great's policies in modernizing Russia.
Catherine I of Russia by J ean-Marc
Nattier ( 17 16)
Catherine, Peter's second wife, was the first woman to rule Imperial
Russia (as empress), opening the legal path for a century almost
entirely dominated by women.
Attributions
Peter the Great
"Grand Embassy of Peter the Great."
https://en.wikipedia.org/wiki/Grand_Embassy_of_Peter_the
_Great. Wikipedia CC BY-SA 3.0.
BY-SA 3.0.
"Serfdom." https://en.wikipedia.org/wiki/Serfdom. Wikipedia
CC BY-SA 3.0.
"Peter the Great."
BY-SA 3.0.
"History of Russia."
https://en.wikipedia.org/wiki/History_of_Russia. Wikipedia
CC BY-SA 3.0.
"Young_Peter_the_Great_parsuna.jpg."
https://en.wikipedia.org/wiki/Peter_the_Great# /media/File:Y
oung_Peter_the_Great_parsuna.jpg. Wikipedia Public
domain.
"800px-Sankt_Petersburg_Peter_der_Grosse_2005_a.jpg."
https://en.wikipedia.org/wiki/Grand_Embassy_of_Peter_the
_Great# /media/File:Sankt_Petersburg_Peter_der_Grosse_
2005_a.jpg. Wikipedia Public domain.
The Westernization of Russia
"Government reform of Peter the Great."
https://en.wikipedia.org/wiki/Government_reform_of_Peter_
the_Great. Wikipedia CC BY-SA 3.0.
"History of Russia (1721–96)."
https://en.wikipedia.org/wiki/History_of_Russia_(1721%E2
%80%9396). Wikipedia CC BY-SA 3.0.
"Table of Ranks."
https://en.wikipedia.org/wiki/Table_of_Ranks. Wikipedia CC
BY-SA 3.0.
"Peter the Great."
BY-SA 3.0.
"Kholop." https://en.wikipedia.org/wiki/Kholop. Wikipedia
CC BY-SA 3.0.
"Russian Empire."
https://en.wikipedia.org/wiki/Russian_Empire. Wikipedia CC
BY-SA 3.0.
"Collegium (ministry)."
https://en.wikipedia.org/wiki/Collegium_(ministry). Wikipedia
CC BY-SA 3.0.
"History of Russia."
https://en.wikipedia.org/wiki/History_of_Russia. Wikipedia
CC BY-SA 3.0.
"Tabel_o_rangah.jpg."
https://en.wikipedia.org/wiki/Table_of_Ranks# /media/File:Ta
bel_o_rangah.jpg. Wikipedia Public domain.
"800px-Peter_de_Grote.jpg."
the_Great# /media/File:Peter_de_Grote.jpg. Wikipedia
Public domain.
Peter's Foreign Policy
"Great Northern War."
https://en.wikipedia.org/wiki/Great_Northern_War.
"Treaty of Nystad."
https://en.wikipedia.org/wiki/Treaty_of_Nystad. Wikipedia
CC BY-SA 3.0.
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https://en.wikipedia.org/wiki/Pruth_River_Campaign.
"Treaty of Thorn (1709)."
https://en.wikipedia.org/wiki/Treaty_of_Thorn_(1709).
"Treaty of Constantinople (1724)."
https://en.wikipedia.org/wiki/Treaty_of_Constantinople_(172
"History of the Polish–Lithuanian Commonwealth (1648–
1764)."
https://en.wikipedia.org/wiki/History_of_the_Polish%E2%80
%93Lithuanian_Commonwealth_(1648%E2%80%931764).
"Eternal Peace Treaty of 1686."
https://en.wikipedia.org/wiki/Eternal_Peace_Treaty_of_1686
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Turkish_War_(1686%E2%80%931700). Wikipedia CC BY-
SA 3.0.
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Persian_War_(1722%E2%80%9323). Wikipedia CC BY-SA
3.0.
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Turkish_War_(1686%E2%80%931700)# /media/File:Azov.jp
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"Treaty_of_Nystad.jpg."
https://en.wikipedia.org/wiki/Treaty_of_Nystad# /media/File:
Treaty_of_Nystad.jpg. Wikipedia Public domain.
Peter's Domestic Reforms
"Peter the Great."
BY-SA 3.0.
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the_Great. Wikipedia CC BY-SA 3.0.
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BY-SA 3.0.
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"Collegium (ministry)."
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Public domain.
19: The Age of Enlightenment
19.1: The Enlightenment
19.1.1: Introduction to the
Enlightenment
The Enlightenment, a philosophical movement that dominated in
Europe during the 18th century, was centered around the idea that
reason is the primary source of authority and legitimacy, and
advocated such ideals as liberty, progress, tolerance, fraternity,
constitutional government, and separation of church and state.
Learning Objective
Explain the main ideas of the Age of Enlightenment
Key Points
The Enlightenment was a philosophical movement that
dominated in Europe during the 18th century. It was centered
around the idea that reason is the primary source of authority
and legitimacy, and it advocated such ideals as liberty, progress,
tolerance, fraternity, constitutional government, and separation
of church and state. However, historians of race, gender, and
class note that Enlightenment ideals were not originally
envisioned as universal in today's sense of the word.
The Philosophic Movement advocated for a society based upon
reason rather than faith and Catholic doctrine, for a new civil
order based on natural law, and for science based on
experiments and observation.
There were two distinct lines of Enlightenment thought: the
radical enlightenment, advocating democracy, individual liberty,
freedom of expression, and eradication of religious authority. A
second, more moderate variety sought accommodation between
reform and the traditional systems of power and faith.
While the Enlightenment cannot be pigeonholed into a specific
doctrine or set of dogmas, science came to play a leading role in
Enlightenment discourse and thought.
The Enlightenment brought political modernization to the west,
in terms of focusing on democratic values and institutions and
the creation of modern, liberal democracies.
Enlightenment thinkers sought to curtail the political power of
organized religion, and thereby prevent another age of intolerant
religious war. The radical Enlightenment promoted the concept
of separating church and state.
Key Terms
reductionism
The term that refers to several related but distinct philosophical

positions regarding the connections between phenomena, or
theories, "reducing" one to another, usually considered "simpler"
or more "basic." The Ox ford Companion to Philosophy suggests
a three part division: ontological (a belief that the whole of reality
consists of a minimal number of parts); methodological (the
scientific attempt to provide explanation in terms of ever smaller
entities); and theory (the suggestion that a newer theory does
not replace or absorb the old, but reduces it to more basic
terms).
Newtonianism
A doctrine that involves following the principles and using the

methods of natural philosopher Isaac Newton. Newton's broad
conception of the universe as being governed by rational and
understandable laws laid the foundation for many strands of
Enlightenment thought.
Encyclopé die
A general encyclopedia published in France between 1751 and
1772, with later supplements, revised editions, and translations.
It had many writers and was edited by Denis Diderot, and, until
1759, co-edited by Jean le Rond d'Alembert. It is the most
famous for representing the thought of the Enlightenment.
empiricism
A theory that states that knowledge comes only or primarily from

sensory experience. One of several views of epistemology, the
study of human knowledge, along with rationalism and
skepticism, it emphasizes the role of experience and evidence
(especially sensory experience), in the formation of ideas, over
the notion of innate ideas or traditions.
scientific method
A body of techniques for investigating phenomena, acquiring

new knowledge, or correcting and integrating previous
knowledge based on empirical or measurable evidence subject
to specific principles of reasoning. The Oxford Dictionaries
Online define it as "a method or procedure that has
characterized natural science since the 17th century, consisting
in systematic observation, measurement, and experiment, and
the formulation, testing, and modification of hypotheses."
Introduction
The Enlightenment, also known as the Age of Enlightenment, was a
philosophical movement that dominated the world of ideas in Europe
in the 18th century. It was centered around the idea that reason is
the primary source of authority and legitimacy, and it advocated such
ideals as liberty, progress, tolerance, fraternity, constitutional
government, and separation of church and state. The Enlightenment
was marked by an emphasis on the scientific method and
reductionism, along with increased questioning of religious
orthodoxy. The ideas of the Enlightenment undermined the authority
of the monarchy and the church, and paved the way for the political
revolutions of the 18th and 19th centuries. French historians
traditionally place the Enlightenment between 1715, the year that
Louis X IV died, and 1789, the beginning of the French Revolution.
Some recent historians begin the period in the 1620s, with the start
of the scientific revolution. However, different national varieties of the
movement flourished between the first decades of the 18th century
and the first decades of the 19th century.
The ideas of the Enlightenment played a major role in inspiring the

French Revolution, which began in 1789 and emphasized the rights
of the common men, as opposed to the exclusive rights of the elites.
However, historians of race, gender, and class note that
Enlightenment ideals were not originally envisioned as universal in
the today's sense of the word. Although they did eventually inspire
the struggle for rights of people of color, women, or the working
masses, most Enlightenment thinkers did not advocate equality for
all, regardless of race, gender, or class, but rather insisted that rights
and freedoms were not hereditary. This perspective directly attacked
the traditionally exclusive position of the European aristocracy, but
was still largely limited to expanding the political and individual rights
of white males of particular social standing.
Philosophy
In the mid-18th century, Europe witnessed an explosion of
philosophic and scientific activity that challenged traditional doctrines
and dogmas. The philosophic movement was led by V oltaire and
Jean-Jacques Rousseau, who argued for a society based upon
reason rather than faith and Catholic doctrine, for a new civil order
based on natural law, and for science based on experiments and
observation. The political philosopher Montesquieu introduced the
idea of a separation of powers in a government, a concept which
was enthusiastically adopted by the authors of the United States
Constitution. While the philosophers of the French Enlightenment
were not revolutionaries, and many were members of the nobility,
their ideas played an important part in undermining the legitimacy of
the Old Regime and shaping the French Revolution.
There were two distinct lines of Enlightenment thought: the radical

enlightenment, inspired by the philosophy of Spinoza, advocating
democracy, individual liberty, freedom of expression, and eradication
of religious authority. A second, more moderate variety, supported by
René Descartes, John Locke, Christian Wolff, Isaac Newton and
others, sought accommodation between reform and the traditional
systems of power and faith.
Much of what is incorporated in the scientific method (the nature of

knowledge, evidence, experience, and causation), and some modern
attitudes towards the relationship between science and religion, were
developed by David Hume and Adam Smith. Hume became a major
figure in the skeptical philosophical and empiricist traditions of
philosophy. Immanuel Kant tried to reconcile rationalism and
religious belief, individual freedom and political authority, as well as
map out a view of the public sphere through private and public
reason. Kant's work continued to shape German thought, and indeed
all of European philosophy, well into the 20th century. Mary
Wollstonecraft was one of England's earliest feminist philosophers.
She argued for a society based on reason, and that women, as well
as men, should be treated as rational beings.
Encyclopedie's frontispiece, full
version; engraving by Benoî t Louis
Pré vost.
"If there is something you know, communicate it. If there is
something you don't know, search for it." An engraving from the 1772
edition of the Encyclopé die. Truth, in the top center, is surrounded by
light and unveiled by the figures to the right, Philosophy and Reason.
Science
doctrine or set of dogmas, science came to play a leading role in
Enlightenment discourse and thought. Many Enlightenment writers
and thinkers had backgrounds in the sciences, and associated
scientific advancement with the overthrow of religion and traditional
authority in favor of the development of free speech and thought.
Broadly speaking, Enlightenment science greatly valued empiricism
and rational thought, and was embedded with the Enlightenment
ideal of advancement and progress. As with most Enlightenment
views, the benefits of science were not seen universally.
Science during the Enlightenment was dominated by scientific

societies and academies, which had largely replaced universities as
centers of scientific research and development. Societies and
academies were also the backbone of the maturation of the scientific
profession. Another important development was the popularization of
science among an increasingly literate population. Many scientific
theories reached the wide public, notably through the Encyclopé die
(a general encyclopedia published in France between 1751 and
1772) and the popularization of Newtonianism. The 18th century saw
significant advancements in the practice of medicine, mathematics,
and physics; the development of biological taxonomy; a new
understanding of magnetism and electricity; and the maturation of
chemistry as a discipline, which established the foundations of
modern chemistry.
Modern W estern Government

The Enlightenment has long been hailed as the foundation of
modern western political and intellectual culture. It brought political
modernization to the west, in terms of focusing on democratic values
and institutions, and the creation of modern, liberal democracies.
The English philosopher Thomas Hobbes ushered in a new debate
on government with his work Leviathan in 1651. Hobbes also
developed some of the fundamentals of European liberal thought:
the right of the individual; the natural equality of all men; the artificial
character of the political order (which led to the later distinction
between civil society and the state); the view that all legitimate
political power must be "representative" and based on the consent of
the people; and a liberal interpretation of law which leaves people
free to do whatever the law does not explicitly forbid.
John Locke and Rousseau also developed social contract theories.

While differing in details, Locke, Hobbes, and Rousseau agreed that
a social contract, in which the government's authority lies in the
consent of the governed, is necessary for man to live in civil society.
Locke is particularly known for his statement that individuals have a
right to "Life, Liberty and Property," and his belief that the natural
right to property is derived from labor. His theory of natural rights has
influenced many political documents, including the United States
Declaration of Independence and the French National Constituent
Assembly's Declaration of the Rights of Man and of the Citizen.
Though much of Enlightenment's political thought was dominated by
social contract theorists, some Scottish philosophers, most notably
David Hume and Adam Ferguson, criticized this camp. Theirs was
the assumption that governments derived from a ruler's authority
and force (Hume) and polities grew out of social development rather
than social contract (Ferguson).
Religion
Enlightenment era religious commentary was a response to the
preceding century of religious conflict in Europe. Enlightenment
thinkers sought to curtail the political power of organized religion,
and thereby prevent another age of intolerant religious war. A
number of novel ideas developed, including Deism (belief in God the
Creator, with no reference to the Bible or any other source) and
atheism. The latter was much discussed but there were few
proponents. Many, like V oltaire, held that without belief in a God who
punishes evil, the moral order of society was undermined.
The radical Enlightenment promoted the concept of separating

church and state, an idea often credited to Locke. According to
Locke's principle of the social contract, the government lacked
authority in the realm of individual conscience, as this was
something rational people could not cede to the government for it or
others to control. For Locke, this created a natural right in the liberty
of conscience, which he said must therefore remain protected from
any government authority. These views on religious tolerance and
the importance of individual conscience, along with the social
contract, became particularly influential in the American colonies and
the drafting of the United States Constitution.
Mary W ollstonecraft by J ohn Opie ( c.
17 97 ) , National Portrait Gallery,
London.
While the philosophy of the Enlightenment was dominated by men,
the question of women's rights appeared as one of the most
controversial ideas. Mary Wollstonecraft, one of few female thinkers
of the time, was an English writer, philosopher, and advocate of
women's rights. She is best known for A V indication of the Rights of
W oman (1792), in which she argues that women are not naturally
inferior to men, but appear to be only because they lack education.
She suggests that both men and women should be treated as
rational beings and imagines a social order founded on reason.
19.1.2: Rationalism
Rationalism, or a belief that we come to knowledge through the use
of logic, and thus independently of sensory experience, was critical
to the debates of the Enlightenment period, when most philosophers
lauded the power of reason but insisted that knowledge comes from
experience.
Learning Objective
Define rationalism and its role in the ideas of the Enlightenment
Key Points
Rationalism—as an appeal to human reason as a way of
obtaining knowledge—has a philosophical history dating from
antiquity. While rationalism did not dominate the Enlightenment,
it laid critical basis for the debates that developed over the
course of the 18th century.
René Descartes (1596-1650), the first of the modern rationalists,
laid the groundwork for debates developed during the
Enlightenment. He thought that the knowledge of eternal truths
could be attained by reason alone (no experience was
necessary).
Since the Enlightenment, rationalism is usually associated with
the introduction of mathematical methods into philosophy as
seen in the works of Descartes, Leibniz, and Spinoza. This is
commonly called continental rationalism, because it was
predominant in the continental schools of Europe, whereas in
Britain empiricism dominated.
Both Spinoza and Leibniz asserted that, in principle, all
knowledge, including scientific knowledge, could be gained
through the use of reason alone, though they both observed that
this was not possible in practice for human beings, except in
specific areas, such as mathematics.
While empiricism (a theory that knowledge comes only or
primarily from a sensory experience) dominated the
Enlightenment, Immanuel Kant, attempted to combine the
principles of empiricism and rationalism. He concluded that both
reason and experience are necessary for human knowledge.
Since the Enlightenment, rationalism in politics historically
emphasized a "politics of reason" centered upon rational choice,
utilitarianism, and secularism.
Key Terms
cogito ergo sum
A Latin philosophical proposition by René Descartes, the first

modern rationalist, usually translated into English as "I think,
therefore I am." This proposition became a fundamental element
of western philosophy, as it purported to form a secure
foundation for knowledge in the face of radical doubt. Descartes
asserted that the very act of doubting one's own existence
served, at minimum, as proof of the reality of one's own mind.
empiricism
A theory that states that knowledge comes only, or primarily,

from sensory experience. One of several views of epistemology,
the study of human knowledge, along with rationalism and
skepticism, it emphasizes the role of experience and evidence,
especially sensory experience, in the formation of ideas over the
notion of innate ideas or traditions.
metaphysics
A traditional branch of philosophy concerned with explaining the

fundamental nature of being and the world that encompasses it,
although the term is not easily defined. Traditionally, it attempts
to answer two basic questions in the broadest possible
terms: "Ultimately, what is there? " and "What is it like? "
Introduction
Rationalism—as an appeal to human reason as a way of obtaining
knowledge—has a philosophical history dating from antiquity. While
rationalism, as the view that reason is the main source of knowledge,
did not dominate the Enlightenment, it laid critical basis for the
debates that developed over the course of the 18th century. As the
Enlightenment centered on reason as the primary source of authority
and legitimacy, many philosophers of the period drew from earlier
philosophical contributions, most notably those of René
Descartes (1596-1650), a French philosopher, mathematician, and
scientist. Descartes was the first of the modern rationalists. He
thought that only knowledge of eternal truths (including the truths of
mathematics and the foundations of the sciences) could be attained
by reason alone, while the knowledge of physics required experience
of the world, aided by the scientific method. He argued that reason
alone determined knowledge, and that this could be done
independently of the senses. For instance, his famous dictum, cogito
ergo sum, or "I think, therefore I am," is a conclusion reached a
priori (i.e., prior to any kind of experience on the matter). The simple
meaning is that doubting one's existence, in and of itself, proves that
an "I" exists to do the thinking.
René Descartes, after Frans Hals, 2nd
half of the 17 th century.
Descartes laid the foundation for 17th-century continental
rationalism, later advocated by Baruch Spinoza and Gottfried
Leibniz, and opposed by the empiricist school of thought consisting
of Hobbes, Locke, Berkeley, and Hume. Leibniz, Spinoza, and
Descartes were all well-versed in mathematics, as well as
philosophy, and Descartes and Leibniz contributed greatly to science
as well.
Rationalism v. Empiricism
Since the Enlightenment, rationalism is usually associated with the
introduction of mathematical methods into philosophy, as seen in the
works of Descartes, Leibniz, and Spinoza. This is commonly called
continental rationalism, because it was predominant in the
continental schools of Europe, whereas in Britain, empiricism, or a
theory that knowledge comes only or primarily from a sensory
experience, dominated. Although rationalism and empiricism are
traditionally seen as opposing each other, the distinction between
rationalists and empiricists was drawn at a later period, and would
not have been recognized by philosophers involved in Enlightenment
debates. Furthermore, the distinction between the two philosophies
is not as clear-cut as is sometimes suggested. For example,
Descartes and John Locke, one of the most important Enlightenment
thinkers, have similar views about the nature of human ideas.
Proponents of some varieties of rationalism argue that, starting with

foundational basic principles, like the axioms of geometry, one could
deductively derive the rest of all possible knowledge. The
philosophers who held this view most clearly were Baruch Spinoza
and Gottfried Leibniz, whose attempts to grapple with the
epistemological and metaphysical problems raised by Descartes led
to a development of the fundamental approach of rationalism. Both
Spinoza and Leibniz asserted that, in principle, all knowledge,
including scientific knowledge, could be gained through the use of
reason alone, though they both observed that this was not possible
in practice for human beings, except in specific areas, such as
mathematics. On the other hand, Leibniz admitted in his book,
Monadology, that "we are all mere Empirics in three fourths of our
actions."
Immanuel Kant
Descartes, Spinoza, and Leibniz are usually credited for laying the
groundwork for the 18th-century Enlightenment. During the mature
Enlightenment period, Immanuel Kant attempted to explain the
relationship between reason and human experience, and to move
beyond the failures of traditional philosophy and metaphysics. He
wanted to put an end to an era of futile and speculative theories of
human experience, and regarded himself as ending and showing the
way beyond the impasse between rationalists and empiricists. He is
widely held to have synthesized these two early modern traditions in
his thought.
Kant named his brand of epistemology (theory of knowledge)

"transcendental idealism," and he first laid out these views in his
famous work, The Critiq ue of Pure Reason. In it, he argued that
there were fundamental problems with both rationalist and empiricist
dogma. To the rationalists he argued, broadly, that pure reason is
flawed when it goes beyond its limits and claims to know those
things that are necessarily beyond the realm of all possible
experience (e.g., the existence of God, free will, or the immortality of
the human soul). To the empiricist, he argued that while it is correct
that experience is fundamentally necessary for human knowledge,
reason is necessary for processing that experience into coherent
thought. He therefore concluded that both reason and experience
are necessary for human knowledge. In the same way, Kant also
argued that it was wrong to regard thought as mere analysis. In his
views, a priori concepts do exist, but if they are to lead to the
amplification of knowledge, they must be brought into relation with
empirical data.
Immanuel Kant, author unknown
Immanuel Kant (1724-1804) rejected the dogmas of both rationalism
and empiricism, and tried to reconcile rationalism and religious
belief, and individual freedom and political authority, as well as map
out a view of the public sphere through private and public reason.
His work continued to shape German thought, and indeed all of
European philosophy, well into the 20th century.
Politics
Since the Enlightenment, rationalism in politics historically
emphasized a "politics of reason" centered upon rational choice,
utilitarianism, and secularism (later, relationship between rationalism
and religion was ameliorated by the adoption of pluralistic rationalist
methods practicable regardless of religious or irreligious ideology).
Some philosophers today, most notably John Cottingham, note that
rationalism, a methodology, became socially conflated with atheism,
a worldview. Cottingham writes,
In the past, particularly in the 17th and 18th centuries, the term
'rationalist' was often used to refer to free thinkers of an anti-
clerical and anti-religious outlook, and for a time the word
acquired a distinctly pejorative force (...). The use of the label
'rationalist' to characterize a world outlook which has no place
for the supernatural is becoming less popular today; terms like
'humanist' or 'materialist' seem largely to have taken its place.
But the old usage still survives.
19.1.3: Natural Rights

Natural rights, understood as those that are not dependent on the
laws, customs, or beliefs of any particular culture or government,
(and therefore, universal and inalienable) were central to the debates
during the Enlightenment on the relationship between the individual
and the government.
Learning Objective
Identify natural rights and why they were important to the
philosophers of the Enlightenment.
Key Points
Natural rights are those that are not dependent on the laws,
customs, or beliefs of any particular culture or government, and
are therefore universal and inalienable (i.e., rights that cannot
be repealed or restrained by human laws). They are usually
defined in opposition to legal rights, or those bestowed onto a
person by a given legal system.
Although natural rights have been discussed since antiquity, it
was the philosophers of the Age of Enlightenment that
developed the modern concept of natural rights, which has been
critical to the modern republican government and civil society.
During the Enlightenment, natural rights developed as part of
the social contract theory. The theory addressed the questions
of the origin of society and the legitimacy of the authority of the
state over the individual.
Thomas Hobbes' conception of natural rights extended from his
conception of man in a "state of nature." He objected to the
attempt to derive rights from "natural law," arguing that law
("lex") and right ("jus") though often confused, signify opposites,
with law referring to obligations, while rights refers to the
absence of obligations.
The most famous natural right formulation comes from John
Locke, who argued that the natural rights include perfect
equality and freedom, and the right to preserve life and property.
Other Enlightenment and post-Enlightenment philosophers that
developed and complicated the concept of natural rights were
John Lilburne, Francis Hutcheson, Georg Hegel, and Thomas
Paine.
The modern European anti-slavery movement drew heavily from
the concept of natural rights that became central to the efforts of
European abolitionists.
Key Terms
Natural rights
The rights that are not dependent on the laws, customs, or

beliefs of any particular culture or government, and are therefore
universal and inalienable (i.e., rights that cannot be repealed or
restrained by human laws). Some, yet not all, see them as
synonymous with human rights.
natural law
A philosophy that certain rights or values are inherent by virtue

of human nature, and can be universally understood through
human reason. Historically, it refers to the use of reason to
analyze both social and personal human nature in order to
deduce binding rules of moral behavior. The law of nature, like
nature itself, is universal.
Legal rights
The rights bestowed onto a person by a given legal system (i.e.,

rights that can be modified, repealed, and restrained by human
laws).
social contract theory
In moral and political philosophy, a theory or model originating

during the Age of Enlightenment that typically addresses the
questions of the origin of society and the legitimacy of the
authority of the state over the individual. It typically posits that
individuals have consented, either explicitly or tacitly, to
surrender some of their freedoms and submit to the authority of
the ruler or magistrate (or to the decision of a majority), in
exchange for protection of their remaining rights.
Natural Rights and Natural Law

Natural rights are usually juxtaposed with the concept of legal rights.
Legal rights are those bestowed onto a person by a given legal
system (i.e., rights that can be modified, repealed, and restrained by
human laws). Natural rights are those that are not dependent on the
laws, customs, or beliefs of any particular culture or government, and
are therefore universal and inalienable (i.e., rights that cannot be
repealed or restrained by human laws). Natural rights are closely
related to the concept of natural law (or laws). During the
Enlightenment, the concept of natural laws was used to challenge
the divine right of kings, and became an alternative justification for
the establishment of a social contract, positive law, and government
(and thus, legal rights) in the form of classical republicanism (built
around concepts such as civil society, civic virtue, and mixed
government). Conversely, the concept of natural rights is used by
others to challenge the legitimacy of all such establishments.
The idea of natural rights is also closely related to that of human

rights; some acknowledge no difference between the two, while
others choose to keep the terms separate to eliminate association
with some features traditionally associated with natural
rights. Natural rights, in particular, are considered beyond the
authority of any government or international body to dismiss.
Natural Rights and Social

Contract
Although natural rights have been discussed since antiquity, it was
the philosophers of the Age of Enlightenment that developed the
modern concept of natural rights, which has been critical to the
modern republican government and civil society. At the time, natural
rights developed as part of the social contract theory, which
addressed the questions of the origin of society and the legitimacy of
the authority of the state over the individual. Social contract
arguments typically posit that individuals have consented, either
explicitly or tacitly, to surrender some of their freedoms and submit to
the authority of the ruler or magistrate (or to the decision of a
majority), in exchange for protection of their remaining rights. The
question of the relation between natural and legal rights, therefore, is
often an aspect of social contract theory.
Thomas Hobbes' conception of natural rights extended from his
conception of man in a "state of nature." He argued that the essential
natural (human) right was "to use his own power, as he will himself,
for the preservation of his own Nature; that is to say, of his own Life."
Hobbes sharply distinguished this natural "liberty" from natural
"laws." In his natural state, according to Hobbes, man's life consisted
entirely of liberties, and not at all of laws. He objected to the attempt
to derive rights from "natural law," arguing that law ("lex") and right
("jus") though often confused, signify opposites, with law referring to
obligations, while rights refer to the absence of obligations. Since by
our (human) nature, we seek to maximize our well being, rights are
prior to law, natural or institutional, and people will not follow the laws
of nature without first being subjected to a sovereign power, without
which all ideas of right and wrong are meaningless.
Portrait of Thomas Hobbes by J ohn
Michael W right, National Portrait
Gallery, London
Thomas Hobbes' 1651 book Leviathan established social contract
theory, the foundation of most later western political philosophy.
Though on rational grounds a champion of absolutism for the
sovereign, Hobbes also developed some of the fundamentals of
European liberal thought: the right of the individual; the natural
equality of all men; the artificial character of the political order (which
led to the later distinction between civil society and the state); the
view that all legitimate political power must be "representative" and
based on the consent of the people; and a liberal interpretation of
law that leaves people free to do whatever the law does not explicitly
forbid.
The most famous natural right formulation comes from John Locke in
his Second Treatise, when he introduces the state of nature. For
Locke, the law of nature is grounded on mutual security, or the idea
that one cannot infringe on another's natural rights, as every man is
equal and has the same inalienable rights. These natural rights
include perfect equality and freedom and the right to preserve life
and property. Such fundamental rights could not be surrendered in
the social contract. Another 17th-century Englishman, John Lilburne
(known as Freeborn John) argued for level human rights that he
called "freeborn rights," which he defined as being rights that every
human being is born with, as opposed to rights bestowed by
government or by human law. The distinction between alienable and
unalienable rights was introduced by Francis Hutcheson, who
argued that "Unalienable Rights are essential Limitations in all
Governments.” In the German Enlightenment, Georg Hegel gave a
highly developed treatment of the inalienability argument. Like
Hutcheson, he based the theory of inalienable rights on the de facto
inalienability of those aspects of personhood that distinguish persons
from things. A thing, like a piece of property, can in fact be
transferred from one person to another. According to Hegel, the
same would not apply to those aspects that make one a person.
Consequently, the question of whether property is an aspect of
natural rights remains a matter of debate.
Thomas Paine further elaborated on natural rights in his influential

work Rights of Man (1791), emphasizing that rights cannot be
granted by any charter because this would legally imply they can
also be revoked, and under such circumstances, they would be
reduced to privileges.
Portrait of J ohn Locke, by Sir Godfrey
Kneller, Britain, 1697 , State Hermitage
Museum, St. Petersburg, Russia
The most famous natural right formulation comes from John Locke in
his Second Treatise. For Locke, the natural rights include perfect
equality and freedom, and the right to preserve life and property.
Natural Rights, Slavery, and

Abolitionism
In discussion of social contract theory, "inalienable rights" were those
rights that could not be surrendered by citizens to the sovereign.
Such rights were thought to be natural rights, independent of positive
law. Some social contract theorists reasoned, however, that in the
natural state only the strongest could benefit from their rights. Thus,
people form an implicit social contract, ceding their natural rights to
the authority to protect the people from abuse, and living henceforth
under the legal rights of that authority.
Many historical apologies for slavery and illiberal government were

based on explicit or implicit voluntary contracts to alienate any
natural rights to freedom and self-determination. Locke argued
against slavery on the basis that enslaving yourself goes against the
law of nature; you cannot surrender your own rights, your freedom is
absolute and no one can take it from you. Additionally, Locke argues
that one person cannot enslave another because it is morally
reprehensible, although he introduces a caveat by saying that
enslavement of a lawful captive in time of war would not go against
one's natural rights. The de facto inalienability arguments of
Hutcheson and his predecessors provided the basis for the anti-
slavery movement to argue not simply against involuntary slavery
but against any explicit or implied contractual forms of slavery. Any
contract that tried to legally alienate such a right would be inherently
invalid. Similarly, the argument was used by the democratic
movement to argue against any explicit or implied social contracts of
subjection by which a people would supposedly alienate their right of
self-government to a sovereign.
Attributions
Introduction to the Enlightenment
"Age of Enlightenment."
https://en.wikipedia.org/wiki/Age_of_Enlightenment.
"Empiricism." https://en.wikipedia.org/wiki/Empiricism.
"Encyclopé die."
https://en.wikipedia.org/wiki/Encyclop%C3%A9die.
"Scientific method."
https://en.wikipedia.org/wiki/Scientific_method. Wikipedia
CC BY-SA 3.0.
"Newtonianism."
https://en.wikipedia.org/wiki/Newtonianism. Wikipedia CC
BY-SA 3.0.
"Mary Wollstonecraft."
https://en.wikipedia.org/wiki/Mary_Wollstonecraft. Wikipedia
CC BY-SA 3.0.
"Reductionism." https://en.wikipedia.org/wiki/Reductionism.
"Science in the Age of Enlightenment."
https://en.wikipedia.org/wiki/Science_in_the_Age_of_Enligh
tenment. Wikipedia CC BY-SA 3.0.
"Encyclopedie_frontispice_full.jpg."
https://en.wikipedia.org/wiki/Age_of_Enlightenment# /media/
File:Encyclopedie_frontispice_full.jpg. Wikipedia Public
domain.
"Mary_Wollstonecraft_by_John_Opie_c._1797.jpg."
https://en.wikipedia.org/wiki/Mary_Wollstonecraft# /media/Fil
e:Mary_Wollstonecraft_by_John_Opie_(c._1797).jpg.
Rationalism
"René Descartes."
https://en.wikipedia.org/wiki/Ren%C3%A9_Descartes.
"Metahpysics." https://en.wikipedia.org/wiki/Metaphysics.
"Cogito ergo sum."
https://en.wikipedia.org/wiki/Cogito_ergo_sum. Wikipedia
CC BY-SA 3.0.
"Rationalism." https://en.wikipedia.org/wiki/Rationalism.
"Gottfried Wilhelm Leibniz."
https://en.wikipedia.org/wiki/Gottfried_Wilhelm_Leibniz.
"Baruch Spinoza."
https://en.wikipedia.org/wiki/Baruch_Spinoza. Wikipedia CC
BY-SA 3.0.
"Immanuel Kant."
https://en.wikipedia.org/wiki/Immanuel_Kant. Wikipedia CC
BY-SA 3.0.
"Kant_Portrait.jpg."
https://en.wikipedia.org/wiki/Immanuel_Kant# /media/File:Ka
nt_Portrait.jpg. Wikipedia Public domain.
"800px-Frans_Hals_-_Portret_van_René _Descartes.jpg."
https://en.wikipedia.org/wiki/Ren%C3%A9_Descartes# /med
ia/File:Frans_Hals_-
_Portret_van_Ren%C3%A9_Descartes.jpg. Wikipedia
Public domain.
Natural Rights
"Classical republicanism."
https://en.wikipedia.org/wiki/Classical_republicanism.
"John Locke." https://en.wikipedia.org/wiki/John_Locke.
"Social contract."
https://en.wikipedia.org/wiki/Social_contract. Wikipedia CC
BY-SA 3.0.
"Thomas Hobbes."
https://en.wikipedia.org/wiki/Thomas_Hobbes. Wikipedia
CC BY-SA 3.0.
"Natural and legal rights."
https://en.wikipedia.org/wiki/Natural_and_legal_rights.
"Natural law." https://en.wikipedia.org/wiki/Natural_law.
"800px-Thomas_Hobbes_portrait.jpg."
https://en.wikipedia.org/wiki/Natural_and_legal_rights# /med
ia/File:Thomas_Hobbes_(portrait).jpg. Wikipedia Public
domain.
"JohnLocke.png."
https://en.wikipedia.org/wiki/John_Locke# /media/File:JohnL
ocke.png. Wikipedia Public domain.
19.2: The Age of Discovery
19.2.1: Europe's Early Trade Links
A prelude to the Age of Discovery was a series of European land
expeditions across Eurasia in the late Middle Ages. These
expeditions were undertaken by a number of explorers, including
Marco Polo, who left behind a detailed and inspiring record of his
travels across Asia.
Learning Objective
Understand the exploration of Eurasia in the Middle Ages by Marco
Polo, and why it was a prelude to the advent of the Age of Discovery
in the 15th Century
Key Points
European medieval knowledge about Asia beyond the reach of
Byzantine Empire was sourced in partial reports, often obscured
by legends.
In 1154, Arab geographer Muhammad al-Idrisi created what
would be known as the Tabula Rogeriana— a description of the
world and world map. It contains maps showing the Eurasian
continent in its entirety, but only the northern part of the African
continent. It remained the most accurate world map for the next
three centuries.
Indian Ocean trade routes were sailed by Arab traders. Between
1405 and 1421, the Yongle Emperor of Ming China sponsored a
series of long range tributary missions. The fleets visited Arabia,
East Africa, India, Maritime Southeast Asia, and Thailand.
A series of European expeditions crossing Eurasia by land in
the late Middle Ages marked a prelude to the Age of Discovery.
Although the Mongols had threatened Europe with pillage and
destruction, Mongol states also unified much of Eurasia and,
from 1206 on, the Pax Mongolica allowed safe trade routes and
communication lines stretching from the Middle East to China.
Christian embassies were sent as far as Karakorum during the
Mongol invasions of Syria. The first of these travelers was
Giovanni da Pian del Carpine, who journeyed to Mongolia and
back from 1241 to 1247. Others traveled to various regions of
Asia between 13th and the third quarter of the 15th centuries;
these travelers included Russian Yaroslav of V ladimir and his
sons Alexander Nevsky and Andrey II of V ladimir, French André
de Longjumeau and Flemish William of Rubruck, Moroccan Ibn
Battuta, and Italian Niccolò de' Conti.
Marco Polo, a V enetian merchant, dictated an account of
journeys throughout Asia from 1271 to 1295. Although he was
not the first European to reach China, he was the first to leave a
detailed chronicle of his experience. The book inspired
Christopher Columbus and many other travelers in the following
Age of Discovery.
Key Terms
Pax Mongolica
A historiographical term, modeled after the original phrase Pax

Romana, which describes the stabilizing effects of the
conquests of the Mongol Empire on the social, cultural, and
economic life of the inhabitants of the vast Eurasian territory that
the Mongols conquered in the 13th and 14th centuries. The term
is used to describe the eased communication and commerce
that the unified administration helped to create, and the period
of relative peace that followed the Mongols' vast conquests.
Tabula Rogeriana
A book containing a description of the world and world map

created by the Arab geographer, Muhammad al-Idrisi, in 1154.
Written in Arabic, it is divided into seven climate zones and
contains maps showing the Eurasian continent in its entirety, but
only the northern part of the African continent. The map is
oriented with the North at the bottom. It remained the most
accurate world map for the next three centuries.
Maritime republics
City-states that flourished in Italy and across the Mediterranean.

From the 10th to the 13th centuries, they built fleets of ships
both for their own protection and to support extensive trade
networks across the Mediterranean, giving them an essential
role in the Crusades.
Background
European medieval knowledge about Asia beyond the reach of
Byzantine Empire was sourced in partial reports, often obscured by
legends, dating back from the time of the conquests of Alexander the
Great and his successors. In 1154, Arab geographer Muhammad al-
Idrisi created what would be known as the Tabula Rogeriana at the
court of King Roger II of Sicily. The book, written in Arabic, is a
description of the world and world map. It is divided into seven
climate zones and contains maps showing the Eurasian continent in
its entirety, but only the northern part of the African continent. It
remained the most accurate world map for the next three centuries,
but it also demonstrated that Africa was only partially known to either
Christians, Genoese and V enetians, or the Arab seamen, and its
southern extent was unknown. Knowledge about the Atlantic African
coast was fragmented, and derived mainly from old Greek and
Roman maps based on Carthaginian knowledge, including the time
of Roman exploration of Mauritania. The Red Sea was barely known
and only trade links with the Maritime republics, the Republic of
V enice especially, fostered collection of accurate maritime
knowledge.
Indian Ocean trade routes were sailed by Arab traders. Between
1405 and 1421, the Yongle Emperor of Ming China sponsored a
series of long-range tributary missions. The fleets visited Arabia,
East Africa, India, Maritime Southeast Asia, and Thailand. But the
journeys, reported by Ma Huan, a Muslim voyager and translator,
were halted abruptly after the emperor's death, and were not
followed up, as the Chinese Ming Dynasty retreated in the haijin, a
policy of isolationism, having limited maritime trade.
Prelude to the Age of Discovery

A series of European expeditions crossing Eurasia by land in the late
Middle Ages marked a prelude to the Age of Discovery. Although the
Mongols had threatened Europe with pillage and destruction, Mongol
states also unified much of Eurasia and, from 1206 on, the Pax
Mongolica allowed safe trade routes and communication lines
stretching from the Middle East to China. A series of Europeans took
advantage of these in order to explore eastward. Most were Italians,
as trade between Europe and the Middle East was controlled mainly
by the Maritime republics.
Christian embassies were sent as far as Karakorum during the

Mongol invasions of Syria, from which they gained a greater
understanding of the world. The first of these travelers was Giovanni
da Pian del Carpine, who journeyed to Mongolia and back from 1241
to 1247. About the same time, Russian prince Yaroslav of V ladimir,
and subsequently his sons, Alexander Nevsky and Andrey II of
V ladimir, traveled to the Mongolian capital. Though having strong
political implications, their journeys left no detailed accounts. Other
travelers followed, like French André de Longjumeau and Flemish
William of Rubruck, who reached China through Central Asia. From
1325 to 1354, a Moroccan scholar from Tangier, Ibn Battuta,
journeyed through North Africa, the Sahara desert, West Africa,
Southern Europe, Eastern Europe, the Horn of Africa, the Middle
East and Asia, having reached China. In 1439, Niccolò de' Conti
published an account of his travels as a Muslim merchant to India
and Southeast Asia and, later in 1466-1472, Russian merchant
Afanasy Nikitin of Tver travelled to India.
Marco Polo, a V enetian merchant, dictated an account of journeys

throughout Asia from 1271 to 1295. His travels are recorded in Book
of the Marvels of the W orld, (also known as The Travels of Marco
Polo, c. 1300), a book which did much to introduce Europeans to
Central Asia and China. Marco Polo was not the first European to
reach China, but he was the first to leave a detailed chronicle of his
experience. The book inspired Christopher Columbus and many
other travelers.
The Travels of Marco Polo

Marco Polo traveling, miniature from the book The Travels of Marco
Polo (I l milione), originally published during Polo's lifetime (c. 1254-
January 8, 1324), but frequently reprinted and translated.
The painting shows a ship on a river or inlet anchored near a castle

wall. The ship is filled with animals, including one elephant and three
camels. One of the men from the ship, presumably Marco Polo,
speaks men at the gate.
The Age of Discovery

The geographical exploration of the late Middle Ages eventually led
to what today is known as the Age of Discovery: a loosely defined
European historical period, from the 15th century to the 18th century,
that witnessed extensive overseas exploration emerge as a powerful
factor in European culture and globalization. Many lands previously
unknown to Europeans were discovered during this period, though
most were already inhabited, and, from the perspective of non-
Europeans, the period was not one of discovery, but one of invasion
and the arrival of settlers from a previously unknown continent.
Global exploration started with the successful Portuguese travels to
the Atlantic archipelagos of Madeira and the Azores, the coast of
Africa, and the sea route to India in 1498; and, on behalf of the
Crown of Castile (Spain), the trans-Atlantic V oyages of Christopher
Columbus between 1492 and 1502, as well as the first
circumnavigation of the globe in 1519-1522. These discoveries led to
numerous naval expeditions across the Atlantic, Indian and Pacific
oceans, and land expeditions in the Americas, Asia, Africa, and
Australia that continued into the late 19th century, and ended with
the exploration of the polar regions in the 20th century.
19.2.2: Portuguese Ex plorers

During the 15th and 16th centuries, Portuguese explorers were at
the forefront of European overseas exploration, which led them to
reach India, establish multiple trading posts in Asia and Africa, and
settle what would become Brazil, creating one of the most powerful
empires.
Learning Objective
Compare the Portuguese Atlantic explorations from 1415-1488 with
the Indian Exploration, led by V asco da Gama from 1497-1542
Key Points
Portuguese sailors were at the vanguard of European overseas
exploration, discovering and mapping the coasts of Africa, Asia,
and Brazil. As early as 1317, King Denis made an agreement
with Genoese merchant sailor Manuel Pessanha, laying the
basis for the Portuguese Navy and the establishment of a
powerful Genoese merchant community in Portugal.
In 1415, the city of Ceuta was occupied by the Portuguese in an
effort to control navigation of the African coast. Henry the
Navigator, aware of profit possibilities in the Saharan trade
routes, invested in sponsoring voyages that, within two decades
of exploration, allowed Portuguese ships to bypass the Sahara.
The Portuguese goal of finding a sea route to Asia was finally
achieved in a ground-breaking voyage commanded by V asco da
Gama, who reached Calicut in western India in 1498, becoming
the first European to reach India.
The second voyage to India was dispatched in 1500 under
Pedro Á lvares Cabral. While following the same south-westerly
route as Gama across the Atlantic Ocean, Cabral made landfall
on the Brazilian coast— the territory that he recommended
Portugal settle.
Portugal's purpose in the Indian Ocean was to ensure the
monopoly of the spice trade. Taking advantage of the rivalries
that pitted Hindus against Muslims, the Portuguese established
several forts and trading posts between 1500 and 1510.
Portugal established trading ports at far-flung locations like Goa,
Ormuz, Malacca, Kochi, the Maluku Islands, Macau, and
Nagasaki. Guarding its trade from both European and Asian
competitors, it dominated not only the trade between Asia and
Europe, but also much of the trade between different regions of
Asia, such as India, Indonesia, China, and Japan.
Key Terms
Cape of Good Hope
A rocky headland on the Atlantic coast of the Cape Peninsula,

South Africa, named because of the great optimism engendered
by the opening of a sea route to India and the East.
V asco da Gama
A Portuguese explorer and one of the most famous and

celebrated explorers from the Age of Discovery; the first
European to reach India by sea.
Introduction
Portuguese sailors were at the vanguard of European overseas
exploration, discovering and mapping the coasts of Africa, Asia, and
Brazil. As early as 1317, King Denis made an agreement with
Genoese merchant sailor Manuel Pessanha (Pesagno), appointing
him first Admiral with trade privileges with his homeland, in return for
twenty war ships and crews, with the goal of defending the country
against Muslim pirate raids. This created the basis for the
Portuguese Navy and the establishment of a Genoese merchant
community in Portugal.
In the second half of the 14th century, outbreaks of bubonic plague

led to severe depopulation; the economy was extremely localized in
a few towns, unemployment rose, and migration led to agricultural
land abandonment. Only the sea offered alternatives, with most
people settling in fishing and trading in coastal areas. Between 1325-
1357, Afonso IV of Portugal granted public funding to raise a proper
commercial fleet, and ordered the first maritime explorations, with
the help of Genoese, under command of admiral Pessanha. In 1341,
the Canary Islands, already known to Genoese, were officially
explored under the patronage of the Portuguese king, but in 1344,
Castile disputed them, further propelling the Portuguese navy efforts.
Atlantic Ex ploration
In 1415, the city of Ceuta (north coast of Africa) was occupied by the
Portuguese aiming to control navigation of the African coast. Young
Prince Henry the Navigator was there and became aware of profit
possibilities in the Saharan trade routes. He invested in sponsoring
voyages down the coast of Mauritania, gathering a group of
merchants, shipowners, stakeholders, and participants interested in
the sea lanes.
Henry the Navigator took the lead role in encouraging Portuguese

maritime exploration, until his death in 1460. At the time, Europeans
did not know what lay beyond Cape Bojador on the African coast. In
1419, two of Henry's captains, Joã o Gonç alves Zarco and Tristã o
V az Teixeira, were driven by a storm to Madeira, an uninhabited
island off the coast of Africa, which had probably been known to
Europeans since the 14th century. In 1420, Zarco and Teixeira
returned with Bartolomeu Perestrelo and began Portuguese
settlement of the islands. A Portuguese attempt to capture Grand
Canary, one of the nearby Canary Islands, which had been partially
settled by Spaniards in 1402, was unsuccessful and met with
protests from Castile. Around the same time, the Portuguese began
to explore the North African coast. Diogo Silves reached the Azores
island of Santa Maria in 1427, and in the following years, Portuguese
discovered and settled the rest of the Azores. Within two decades of
exploration, Portuguese ships bypassed the Sahara.
In 1443, Prince Pedro, Henry's brother, granted him the monopoly of

navigation, war, and trade in the lands south of Cape Bojador. Later,
this monopoly would be enforced by two Papal bulls (1452 and
1455), giving Portugal the trade monopoly for the newly appropriated
territories, laying the foundations for the Portuguese empire.
India and Braz il

The long-standing Portuguese goal of finding a sea route to Asia
was finally achieved in a ground-breaking voyage commanded by
V asco da Gama. His squadron left Portugal in 1497, rounded the
Cape and continued along the coast of East Africa, where a local
pilot was brought on board who guided them across the Indian
Ocean, reaching Calicut in western India in May 1498. Reaching the
legendary Indian spice routes unopposed helped the Portuguese
improve their economy that, until Gama, was mainly based on trades
along Northern and coastal West Africa. These spices were at first
mostly pepper and cinnamon, but soon included other products, all
new to Europe. This led to a commercial monopoly for several
decades.
The second voyage to India was dispatched in 1500 under Pedro

Á lvares Cabral. While following the same south-westerly route as
Gama across the Atlantic Ocean, Cabral made landfall on the
Brazilian coast. This was probably an accident but it has been
speculated that the Portuguese knew of Brazil's existence. Cabral
recommended to the Portuguese king that the land be settled, and
two follow-up voyages were sent in 1501 and 1503. The land was
found to be abundant in pau- brasil, or brazilwood, from which it later
inherited its name, but the failure to find gold or silver meant that for
the time being Portuguese efforts were concentrated on India.
Gama's voyage was significant and paved the way for the
Portuguese to establish a long-lasting colonial empire in Asia. The
route meant that the Portuguese would not need to cross the highly
disputed Mediterranean, or the dangerous Arabian Peninsula, and
that the entire voyage would be made by sea.
First V oyage of V asco da Gama
The route followed in V asco da Gama's first voyage (1497-1499).
Gama's squadron left Portugal in 1497, rounded the Cape and
continued along the coast of East Africa. They reached Calicut in
western India in May 1498.
The map shows that V asco de Gama rounded the Cape of Good
Hope, stopping at St. Helena Bay, Mossel Bay, and Natal. His
expedition then traveled north along the east coast of Africa, making
four stops, including stopping in Mombasa and Malindi. The
expedition then crossed the Arabian Sea to India, where they
stopped in Calicut and then Goa.
Indian Ocean and Southeast

Asia Ex plorations
The aim of Portugal in the Indian Ocean was to ensure the monopoly
of the spice trade. Taking advantage of the rivalries that pitted
Hindus against Muslims, the Portuguese established several forts
and trading posts between 1500 and 1510. After the victorious sea
Battle of Diu, Turks and Egyptians withdrew their navies from India,
setting the Portuguese trade dominance for almost a century, and
greatly contributing to the growth of the Portuguese Empire. It also
marked the beginning of the European colonial dominance in Asia. A
second Battle of Diu in 1538 ended Ottoman ambitions in India, and
confirmed Portuguese hegemony in the Indian Ocean.
In 1511, Albuquerque sailed to Malacca in Malaysia, the most

important eastern point in the trade network, where Malay met
Gujarati, Chinese, Japanese, Javan, Bengali, Persian, and Arabic
traders. The port of Malacca became the strategic base for
Portuguese trade expansion with China and Southeast Asia.
Eventually, the Portuguese Empire expanded into the Persian Gulf
as Portugal contested control of the spice trade with the Ottoman
Empire. In a shifting series of alliances, the Portuguese dominated
much of the southern Persian Gulf for the next hundred years.
A Portuguese explorer funded by the Spanish Crown, Ferdinand

Magellan, organized the Castilian (Spanish) expedition to the East
Indies from 1519 to 1522. Selected by King Charles I of Spain to
search for a westward route to the Maluku Islands (the "Spice
Islands," today's Indonesia), he headed south through the Atlantic
Ocean to Patagonia, passing through the Strait of Magellan into a
body of water he named the "peaceful sea" (the modern Pacific
Ocean). Despite a series of storms and mutinies, the expedition
reached the Spice Islands in 1521, and returned home via the Indian
Ocean to complete the first circuit of the globe.
In 1525, after Magellan's expedition, Spain, under Charles V , sent an

expedition to colonize the Maluku islands. García Jofre de Loaísa
reached the islands and the conflict with the Portuguese was
inevitable, starting nearly a decade of skirmishes. An agreement was
reached only with the Treaty of Zaragoza (1529), attributing the
Maluku to Portugal, and the Philippines to Spain.
Portugal established trading ports at far-flung locations like Goa,

Ormuz, Malacca, Kochi, the Maluku Islands, Macau, and Nagasaki.
Guarding its trade from both European and Asian competitors, it
dominated not only the trade between Asia and Europe, but also
much of the trade between different regions of Asia, such as India,
Indonesia, China, and Japan. Jesuit missionaries followed the
Portuguese to spread Roman Catholic Christianity to Asia, with
mixed success.
19.2.3: Spanish Ex ploration

The voyages of Christopher Columbus initiated the European
exploration and colonization of the American continents that
eventually turned Spain into the most powerful European empire.
Learning Objective
Outline the successes and failures of Christopher Columbus during
his four voyages to the Americas
Key Points
Only late in the 15th century did an emerging modern Spain
become fully committed to the search for new trade routes
overseas. In 1492, Christopher Columbus's expedition was
funded in the hope of bypassing Portugal's monopoly on west
African sea routes, to reach "the Indies."
On the evening of August 3, 1492, Columbus departed from
Palos de la Frontera with three ships. Land was sighted on
October 12, 1492 and Columbus called the island (now The
Bahamas) San Salvador, in what he thought to be the "West
Indies." Following the first American voyage, Columbus made
three more.
A division of influence became necessary to avoid conflict
between the Spanish and Portuguese. An agreement was
reached in 1494, with the Treaty of Tordesillas dividing the world
between the two powers.
After Columbus, the Spanish colonization of the Americas was
led by a series of soldier-explorers, called conquistadors. The
Spanish forces, in addition to significant armament and
equestrian advantages, exploited the rivalries between
competing indigenous peoples, tribes, and nations.
One of the most accomplished conquistadors was Hernán
Corté s, who achieved the Spanish conquest of the Aztec
Empire. Of equal importance was the Spanish conquest of the
Inca Empire under Francisco Pizarro.
In 1565, the first permanent Spanish settlement in the
Philippines was founded, which added a critical Asian post to
the empire. The Manilla Galleons shipped goods from all over
Asia, across the Pacific to Acapulco on the coast of Mexico.
Key Terms
Christopher Columbus
An Italian explorer, navigator, and colonizer who completed four

voyages across the Atlantic Ocean under the monarchy of
Spain, which led to general European awareness of the
American continents.
Treaty of Tordesillas
A 1494 treaty that divided the newly discovered lands outside

Europe between Portugal and the Crown of Castile, along a
meridian 370 leagues west of the Cape V erde islands, off the
west coast of Africa. This line of demarcation was about halfway
between the Cape V erde islands (already Portuguese) and the
islands entered by Christopher Columbus on his first voyage
(claimed for Castile and Leó n).
Treaty of Zaragoza
A 1529 peace treaty between the Spanish Crown and Portugal

that defined the areas of Castilian (Spanish) and Portuguese
influence in Asia to resolve the "Moluccas issue," when both
kingdoms claimed the Moluccas islands for themselves,
considering it within their exploration area established by the
Treaty of Tordesillas in 1494. The conflict sprang in 1520, when
the expeditions of both kingdoms reached the Pacific Ocean,
since there was not a set limit to the east.
reconquista
A period in the history of the Iberian Peninsula, spanning

approximately 770 years, between the initial Umayyad conquest
of Hispania in the 710s, and the fall of the Emirate of Granada,
the last Islamic state on the peninsula, to expanding Christian
kingdoms in 1492.
Introduction
While Portugal led European explorations of non-European
territories, its neighboring fellow Iberian rival, Castile, embarked
upon its own mission to create an overseas empire. It began to
establish its rule over the Canary Islands, located off the West
African coast, in 1402, but then became distracted by internal Iberian
politics and the repelling of Islamic invasion attempts and raids
through most of the 15th century. Only late in the century, following
the unification of the crowns of Castile and Aragon and the
completion of the reconquista, did an emerging modern Spain
become fully committed to the search for new trade routes overseas.
In 1492, the joint rulers conquered the Moorish kingdom of Granada,
which had been providing Castile with African goods through tribute,
and decided to fund Christopher Columbus's expedition in the hope
of bypassing Portugal's monopoly on west African sea routes, to
reach "the Indies" (east and south Asia) by traveling west. Twice
before, in 1485 and 1488, Columbus had presented the project to
king John II of Portugal, who rejected it.
Columbus's V oyages
On the evening of August 3, 1492, Columbus departed from Palos
de la Frontera with three ships: Santa Marí a, Pinta (the Painted) and
Santa Clara. Columbus first sailed to the Canary Islands, where he
restocked for what turned out to be a five-week voyage across the
ocean, crossing a section of the Atlantic that became known as the
Sargasso Sea. Land was sighted on October 12, 1492, and
Columbus called the island (now The Bahamas) San Salvador, in
what he thought to be the "West Indies." He also explored the
northeast coast of Cuba and the northern coast of Hispaniola.
Columbus left 39 men behind and founded the settlement of La
Navidad in what is present-day Haiti.
Following the first American voyage, Columbus made three more.

During the second, 1493, voyage, he enslaved 560 native
Americans, in spite of the Queen's explicit opposition to the idea.
Their transfer to Spain resulted in the death and disease of hundreds
of the captives. The object of the third voyage was to verify the
existence of a continent that King John II of Portugal claimed was
located to the southwest of the Cape V erde Islands. In 1498,
Columbus left port with a fleet of six ships. He explored the Gulf of
Paria, which separates Trinidad from mainland V enezuela, and then
the mainland of South America. Columbus described these new
lands as belonging to a previously unknown new continent, but he
pictured them hanging from China. Finally, the fourth voyage,
nominally in search of a westward passage to the Indian Ocean, left
Spain in 1502. Columbus spent two months exploring the coasts of
Honduras, Nicaragua, and Costa Rica, before arriving in Almirante
Bay, Panama. After his ships sustained serious damage in a storm
off the coast of Cuba, Columbus and his men remained stranded on
Jamaica for a year. Help finally arrived and Columbus and his men
arrived in Castile in November 1504.
The Treaty of Tordesillas

Shortly after Columbus's arrival from the "West Indies," a division of
influence became necessary to avoid conflict between the Spanish
and Portuguese. An agreement was reached in 1494 with the Treaty
of Tordesillas, which divided the world between the two powers. In
the treaty, the Portuguese received everything outside Europe east
of a line that ran 370 leagues west of the Cape V erde islands
(already Portuguese), and the islands reached by Christopher
Columbus on his first voyage (claimed for Spain—Cuba, and
Hispaniola). This gave them control over Africa, Asia, and eastern
South America (Brazil). The Spanish (Castile) received everything
west of this line, territory that was still almost completely unknown,
and proved to be mostly the western part of the Americas, plus the
Pacific Ocean islands.
" The First V oyage" , chromolithograph

by L. Prang & Co., published by The
Prang Educational Co., Boston, 18 93
A scene of Christopher Columbus bidding farewell to the Queen of
Spain on his departure for the New World, August 3, 1492.
Further Ex plorations of the
Americas
After Columbus, the Spanish colonization of the Americas was led by
a series of soldier-explorers, called conquistadors. The Spanish
forces, in addition to significant armament and equestrian
advantages, exploited the rivalries between competing indigenous
peoples, tribes, and nations, some of which were willing to form
alliances with the Spanish in order to defeat their more powerful
enemies, such as the Aztecs or Incas—a tactic that would be
extensively used by later European colonial powers. The Spanish
conquest was also facilitated by the spread of diseases (e.g.,
smallpox), common in Europe but never present in the New World,
which reduced the indigenous populations in the Americas. This
caused labor shortages for plantations and public works, and so the
colonists initiated the Atlantic slave trade.
One of the most accomplished conquistadors was Hernán Corté s,

who led a relatively small Spanish force, but with local translators
and the crucial support of thousands of native allies, achieved the
Spanish conquest of the Aztec Empire in the campaigns of 1519-
1521 (present day Mexico). Of equal importance was the Spanish
conquest of the Inca Empire. After years of preliminary exploration
and military skirmishes, 168 Spanish soldiers under Francisco
Pizarro, and their native allies, captured the Sapa Inca Atahualpa in
the 1532 Battle of Cajamarca. It was the first step in a long campaign
that took decades of fighting, but ended in Spanish victory in 1572
and colonization of the region as the V iceroyalty of Peru. The
conquest of the Inca Empire led to spin-off campaigns into present-
day Chile and Colombia, as well as expeditions towards the Amazon
Basin.
Further Spanish settlements were progressively established in the

New World: New Granada in the 1530s (later in the V iceroyalty of
New Granada in 1717 and present day Colombia), Lima in 1535 as
the capital of the V iceroyalty of Peru, Buenos Aires in 1536 (later in
the V iceroyalty of the Río de la Plata in 1776), and Santiago in 1541.
Florida was colonized in 1565 by Pedro Mené ndez de Avilé s.
The Portuguese Ferdinand Magellan died while in the Philippines

commanding a Castilian expedition in 1522, which was the first to
circumnavigate the globe. The Basque commander, Juan Sebastián
Elcano, would lead the expedition to success. Therefore, Spain
sought to enforce their rights in the Moluccan islands, which led a
conflict with the Portuguese, but the issue was resolved with the
Treaty of Zaragoza (1525). In 1565, the first permanent Spanish
settlement in the Philippines was founded by Miguel Ló pez de
Legazpi, and the service of Manila Galleons was inaugurated. The
Manilla Galleons shipped goods from all over Asia across the Pacific
to Acapulco on the coast of Mexico. From there, the goods were
transshipped across Mexico to the Spanish treasure fleets, for
shipment to Spain. The Spanish trading post of Manila was
established to facilitate this trade in 1572.
19.2.4: England and the High Seas

Throughout the 17th century, the British established numerous
successful American colonies and dominated the Atlantic slave
trade, which eventually led to creating the most powerful European
empire.
Learning Objective
Explain why England was interested in establishing a maritime
empire
Key Points
In 1496, King Henry V II of England, following the successes of
Spain and Portugal in overseas exploration, commissioned John
Cabot to lead a voyage to discover a route to Asia via the North
Atlantic. Cabot sailed in 1497 and he successfully made landfall
on the coast of Newfoundland but did not establish a colony.
In 1562, the English Crown encouraged the privateers John
Hawkins and Francis Drake to engage in slave-raiding attacks
against Spanish and Portuguese ships off the coast of West
Africa, with the aim of breaking into the Atlantic trade system.
Drake carried out the second circumnavigation of the world in a
single expedition, from 1577 to 1580.
In 1578, Elizabeth I granted a patent to Humphrey Gilbert for
discovery and overseas exploration. In 1583, he claimed the
harbor of Newfoundland for England, but no settlers were left
behind. Gilbert did not survive the return journey to England,
and was succeeded by his half-brother, Walter Raleigh, who
founded the colony of Roanoke, the first but failed British
settlement.
In the first decade of the 17th century, English attention shifted
from preying on other nations' colonial infrastructures to the
business of establishing its own overseas colonies. The
Caribbean initially provided England's most important and
lucrative colonies.
The introduction of the 1951 Navigation Acts led to war with the
Dutch Republic, which was the first war fought largely, on the
English side, by purpose-built, state-owned warships. After the
English monarchy was restored in 1660, Charles II re-
established the Navy, but as a national institution known, since
then, as "The Royal Navy."
Throughout the 17th century, the British established numerous
successful American colonies, all based largely on slave labor.
The colonization of the Americas and the participation in the
Atlantic slave trade allowed the British to gradually build the
most powerful European empire.
Key Terms
First Anglo-Dutch War
A 1652-1654 conflict fought entirely at sea between the navies
of the Commonwealth of England and the United Provinces of
the Netherlands. Caused by disputes over trade, the war began
with English attacks on Dutch merchant shipping, but expanded
to vast fleet actions. Ultimately, it resulted in the English Navy
gaining control of the seas around England, and forced the
Dutch to accept an English monopoly on trade with England and
her colonies.
Navigation Acts
A series of English laws that restricted the use of foreign ships

for trade between every country except England. They were first
enacted in 1651, and were repealed nearly 200 years later in
1849. They reflected the policy of mercantilism, which sought to
keep all the benefits of trade inside the empire, and minimize
the loss of gold and silver to foreigners.
Roanoke
Also known as the Lost Colony; a late 16th-century attempt by

Queen Elizabeth I to establish a permanent English settlement
in the Americas. The colony was founded by Sir Walter Raleigh.
The colonists disappeared during the Anglo-Spanish War, three
years after the last shipment of supplies from England.
Plymouth
An English colonial venture in North America from 1620 to 1691,

first surveyed and named by Captain John Smith. The
settlement served as the capital of the colony and at its height, it
occupied most of the southeastern portion of the modern state
of Massachusetts.
Jamestown
The first permanent English settlement in the Americas,

established by the V irginia Company of London as "James Fort"
on May 4, 1607, and considered permanent after brief
abandonment in 1610. It followed several earlier failed attempts,
including the Lost Colony of Roanoke.
Introduction
The foundations of the British Empire were laid when England and
Scotland were separate kingdoms. In 1496, King Henry V II of
England, following the successes of Spain and Portugal in overseas
exploration, commissioned John Cabot (V enetian born as Giovanni
Caboto) to lead a voyage to discover a route to Asia via the North
Atlantic. Spain put limited efforts into exploring the northern part of
the Americas, as its resources were concentrated in Central and
South America where more wealth had been found. Cabot sailed in
1497, five years after Europeans reached America, and although he
successfully made landfall on the coast of Newfoundland (mistakenly
believing, like Christopher Columbus, that he had reached Asia),
there was no attempt to found a colony. Cabot led another voyage to
the Americas the following year, but nothing was heard of his ships
again.
The Early Empire

No further attempts to establish English colonies in the Americas
were made until well into the reign of Queen Elizabeth I, during the
last decades of the 16th century. In the meantime, the Protestant
Reformation had turned England and Catholic Spain into implacable
enemies. In 1562, the English Crown encouraged the privateers
John Hawkins and Francis Drake to engage in slave-raiding attacks
against Spanish and Portuguese ships off the coast of West Africa,
with the aim of breaking into the Atlantic trade system. Drake carried
out the second circumnavigation of the world in a single expedition,
from 1577 to 1580, and was the first to complete the voyage as
captain while leading the expedition throughout the entire
circumnavigation. With his incursion into the Pacific, he inaugurated
an era of privateering and piracy in the western coast of the
Americas—an area that had previously been free of piracy.
In 1578, Elizabeth I granted a patent to Humphrey Gilbert for

discovery and overseas exploration. That year, Gilbert sailed for the
West Indies with the intention of engaging in piracy and establishing
a colony in North America, but the expedition was aborted before it
had crossed the Atlantic. In 1583, he embarked on a second
attempt, on this occasion to the island of Newfoundland whose
harbor he formally claimed for England, although no settlers were left
behind. Gilbert did not survive the return journey to England, and
was succeeded by his half-brother, Walter Raleigh, who was granted
his own patent by Elizabeth in 1584. Later that year, Raleigh founded
the colony of Roanoke on the coast of present-day North Carolina,
but lack of supplies caused the colony to fail.
Empire in the Americas

In 1603, James V I, King of Scots, ascended (as James I) to the
English throne, and in 1604 negotiated the Treaty of London, ending
hostilities with Spain. Now at peace with its main rival, English
attention shifted from preying on other nations' colonial
infrastructures, to the business of establishing its own overseas
colonies. The Caribbean initially provided England's most important
and lucrative colonies. Colonies in Guiana, St Lucia, and
Grenada failed but settlements were successfully established in St.
Kitts (1624), Barbados (1627), and Nevis (1628). The colonies soon
adopted the system of sugar plantations, successfully used by the
Portuguese in Brazil, which depended on slave labor, and—at first—
Dutch ships, to sell the slaves and buy the sugar. To ensure that the
increasingly healthy profits of this trade remained in English hands,
Parliament decreed in the 1651 Navigation Acts that only English
ships would be able to ply their trade in English colonies. In 1655,
England annexed the island of Jamaica from the Spanish, and in
1666 succeeded in colonizing the Bahamas.
African slaves working in 17 th-
century V irginia ( tobacco cultivation) ,
by an unknown artist, 167 0
In 1672, the Royal African Company was inaugurated, receiving from
King Charles a monopoly of the trade to supply slaves to the British
colonies of the Caribbean. From the outset, slavery was the basis of
the British Empire in the West Indies and later in North America.
Until the abolition of the slave trade in 1807, Britain was responsible
for the transportation of 3.5 million African slaves to the Americas, a
third of all slaves transported across the Atlantic.
The introduction of the Navigation Acts led to war with the Dutch
Republic. In the early stages of this First Anglo-Dutch War (1652-
1654), the superiority of the large, heavily armed English ships was
offset by superior Dutch tactical organization. English tactical
improvements resulted in a series of crushing victories in 1653,
bringing peace on favorable terms. This was the first war fought
largely, on the English side, by purpose-built, state-owned warships.
After the English monarchy was restored in 1660, Charles II re-
established the navy, but from this point on, it ceased to be the
personal possession of the reigning monarch, and instead became a
national institution, with the title of "The Royal Navy."
England's first permanent settlement in the Americas was founded in

1607 in Jamestown, led by Captain John Smith and managed by the
V irginia Company. Bermuda was settled and claimed by England as
a result of the 1609 shipwreck there of the V irginia Company's
flagship. The V irginia Company's charter was revoked in 1624 and
direct control of V irginia was assumed by the crown, thereby
founding the Colony of V irginia. In 1620, Plymouth was founded as a
haven for puritan religious separatists, later known as the Pilgrims.
Fleeing from religious persecution would become the motive of many
English would-be colonists to risk the arduous trans-Atlantic voyage;
Maryland was founded as a haven for Roman Catholics (1634),
Rhode Island (1636) as a colony tolerant of all religions, and
Connecticut (1639) for Congregationalists. The Province of Carolina
was founded in 1663. With the surrender of Fort Amsterdam in 1664,
England gained control of the Dutch colony of New Netherland,
renaming it New York. In 1681, the colony of Pennsylvania was
founded by William Penn. The American colonies were less
financially successful than those of the Caribbean, but had large
areas of good agricultural land and attracted far larger numbers of
English emigrants who preferred their temperate climates.
From the outset, slavery was the basis of the British Empire in the
West Indies. Until the abolition of the slave trade in 1807, Britain was
responsible for the transportation of 3.5 million African slaves to the
Americas, a third of all slaves transported across the Atlantic. In the
British Caribbean, the percentage of the population of African
descent rose from 25% in 1650 to around 80% in 1780, and in the 13
Colonies from 10% to 40% over the same period (the majority in the
southern colonies). For the slave traders, the trade was extremely
profitable, and became a major economic mainstay.
Map of the British colonies in North
America, 17 63 to 17 7 5 . First published
in: Shepherd, W illiam Robert ( 1911)
" The British Colonies in North
America, 17 63– 17 65 " in Historical
A tlas, New Y ork, United States: Henry
Holt and Company, p. 194.
Although Britain was relatively late in its efforts to explore and
colonize the New World, lagging behind Spain and Portugal, it
eventually gained significant territories in North America and the
Caribbean.
The map shows British holdings in North America, including the

thirteen original colonies of the United States and a portion of
present-day Canada controlled by the Hudson Bay Company.
19.2.5 : French Ex plorers

France established colonies in North America, the Caribbean, and
India in the 17th century, and while it lost most of its American
holdings to Spain and Great Britain before the end of the 18th
century, it eventually expanded its Asian and African territories in the
19th century.
Learning Objective
Describe some of the discoveries made by French explorers
Key Points
Competing with Spain, Portugal, the Dutch Republic, and later
Britain, France began to establish colonies in North America, the
Caribbean, and India in the 17th century. Major French
exploration of North America began under the rule of Francis I of
France. In 1524, he sent Italian-born Giovanni da V errazzano to
explore the region between Florida and Newfoundland for a
route to the Pacific Ocean.
In 1534, Francis sent Jacques Cartier on the first of three
voyages to explore the coast of Newfoundland and the St.
Lawrence River. Cartier founded New France and was the first
European to travel inland in North America.
Cartier attempted to create the first permanent European
settlement in North America at Cap-Rouge (Quebec City) in
1541, but the settlement was abandoned the next year. A
number of other failed attempts to establish French settlements
in North America followed throughout the rest of the 16th
century.
Prior to the establishment of the 1663 Sovereign Council, the
territories of New France were developed as mercantile
colonies. It was only after 1665 that France gave its American
colonies the proper means to develop population colonies
comparable to that of the British. By the first decades of the 18th
century, the French created and controlled a number of
settlement colonies in North America.
As the French empire in North America grew, the French also
began to build a smaller but more profitable empire in the West
Indies.
While the French quite rapidly lost nearly all of its colonial gains
in the Americas, their colonial expansion also covered territories
in Africa and Asia where France grew to be a major colonial
power in the 19th century.
Key Terms
New France
The area colonized by France in North America during a period

beginning with the exploration of the Saint Lawrence River by
Jacques Cartier in 1534, and ending with the cession of New
France to Spain and Great Britain in 1763. At its peak in 1712,
the territory extended from Newfoundland to the Rocky
Mountains, and from Hudson Bay to the Gulf of Mexico,
including all the Great Lakes of North America.
Sovereign Council
A governing body in New France. It acted as both Supreme

Court for the colony of New France and as a policy making
body, although, its policy role diminished over time. Though
officially established in 1663 by King Louis X IV , it was not
created whole cloth, but rather evolved from earlier governing
bodies.
mercantile colonies
Colonies that sought to derive the maximum material benefit

from the colony, for the homeland, with a minimum of imperial
investment in the colony itself. The mercantilist ideology at its
foundations was embodied in New France through the
establishment under Royal Charter of a number of corporate
trading monopolies.
Carib Expulsion
The French-led ethnic cleansing that terminated most of the
Carib population in 1660 from present-day Martinique. This
followed the French invasion in 1635 and its conquest of the
people on the Caribbean island, which made it part of the
French colonial empire.
The French in the New W orld:

New France
Competing with Spain, Portugal, the United Provinces (the Dutch
Republic), and later Britain, France began to establish colonies in
North America, the Caribbean, and India in the 17th century. The
French first came to the New World as explorers, seeking a route to
the Pacific Ocean and wealth. Major French exploration of North
America began under the rule of Francis I of France. In 1524,
Francis sent Italian-born Giovanni da V errazzano to explore the
region between Florida and Newfoundland for a route to the Pacific
Ocean. V errazzano gave the names Francesca and Nova G allia to
the land between New Spain and English Newfoundland, thus
promoting French interests.
In 1534, Francis sent Jacques Cartier on the first of three voyages to

explore the coast of Newfoundland and the St. Lawrence River.
Cartier founded New France by planting a cross on the shore of the
Gaspé Peninsula. He is believed to have accompanied V errazzano
to Nova Scotia and Brazil, and was the first European to travel inland
in North America, describing the Gulf of Saint Lawrence, which he
named "The Country of Canadas" after Iroquois names, and claiming
what is now Canada for France. He attempted to create the first
permanent European settlement in North America at Cap-
Rouge (Quebec City) in 1541 with 400 settlers, but the settlement
was abandoned the next year. A number of other failed attempts to
establish French settlement in North America followed throughout
the rest of the 16th century.
Portrait of J acques Cartier by
Thé ophile Hamel ( 18 44) , Library and
Archives Canada ( there are no known
paintings of Cartier that were created
during his lifetime)
In 1534, Jacques Cartier planted a cross in the Gaspé Peninsula and
claimed the land in the name of King Francis I. It was the first
province of New France. However, initial French attempts at settling
the region met with failure.
Although, through alliances with various Native American tribes, the

French were able to exert a loose control over much of the North
American continent, areas of French settlement were generally
limited to the St. Lawrence River V alley. Prior to the establishment of
the 1663 Sovereign Council, the territories of New France were
developed as mercantile colonies. It was only after 1665 that France
gave its American colonies the proper means to develop population
colonies comparable to that of the British. By the first decades of the
18th century, the French created and controlled such colonies as
Quebec, La Baye des Puants (present-day Green Bay), V ille-Marie
(Montreal), Fort Pontchartrain du Dé troit (modern-day Detroit), or La
Nouvelle Orlé ans (New Orleans) and Baton Rouge. However, there
was relatively little interest in colonialism in France, which
concentrated on dominance within Europe, and for most of its
history, New France was far behind the British North American
colonies in both population and economic development. Acadia itself
was lost to the British in 1713.
In 1699, French territorial claims in North America expanded still

further, with the foundation of Louisiana in the basin of the
Mississippi River. The extensive trading network throughout the
region connected to Canada through the Great Lakes, was
maintained through a vast system of fortifications, many of them
centered in the Illinois Country and in present-day Arkansas.
Map of North America ( 17 5 0) : France
( blue) , Britain ( pink) , and Spain
( orange)
New France was the area colonized by France in North
America during a period beginning with the exploration of the Saint
Lawrence River by Jacques Cartier in 1534, and ending with the
cession of New France to Spain and Great Britain in 1763. At its
peak in 1712, the territory of New France extended from
Newfoundland to the Rocky Mountains, and from Hudson Bay to the
Gulf of Mexico, including all the Great Lakes of North America.
The map shows that the entirety of present-day New Brunswick,

Prince Edward Island, Ohio, Michigan, Indiana, Mississippi,
Wisconsin, Illinois, Missouri, Arkansas, and Louisiana were
controlled by France. It also shows that portions of present-day
Newfoundland and Labrador, Quebec, Ontario, Manitoba,
Saskatchewan, Maine, V ermont, New York, Pennsylvania, West
V irginia, Kentucky, Tennessee, Alabama, Texas, Oklahoma, Kansas,
Iowa, Minnesota, South Dakota, and North Dakota were controlled
by France. It shows that the entirety of present-day New Hampshire,
Massachusetts, Rhode Island, Connecticut, New Jersey, Maryland,
and Delaware were controlled by the British. It also shows that
portions of present-day V ermont, New York, Pennsylvania, West
V irginia, V irginia, Kentucky, North Carolina, South Carolina, and
Georgia were controlled by the British. It shows that present-day
Nova Scotia and portions of Newfoundland, Quebec, Ontario, and
Manitoba were ceded by France to Great Britain by the Treaty of
Utrecht in 1713. Finally, it shows that portions of present-day Florida,
Georgia, Alabama, Texas, Oklahoma, New Mexico, Colorado, Utah,
Arizona, and Mexico were controlled by Spain.
The W est Indies

As the French empire in North America grew, the French also began
to build a smaller but more profitable empire in the West Indies.
Settlement along the South American coast in what is today French
Guiana began in 1624, and a colony was founded on Saint Kitts in
1625. Colonies in Guadeloupe and Martinique were founded in 1635
and on Saint Lucia in 1650. The food-producing plantations of these
colonies were built and sustained through slavery, with the supply of
slaves dependent on the African slave trade. Local resistance by the
indigenous peoples resulted in the Carib Expulsion of 1660.
France's most important Caribbean colonial possession was

established in 1664, when the colony of Saint-Domingue (today's
Haiti) was founded on the western half of the Spanish island of
Hispaniola. In the 18th century, Saint-Domingue grew to be the
richest sugar colony in the Caribbean. The eastern half of Hispaniola
(today's Dominican Republic) also came under French rule for a
short period, after being given to France by Spain in 1795.
In the middle of the 18th century, a series of colonial conflicts began

between France and Britain, which ultimately resulted in the
destruction of most of the first French colonial empire and the near
complete expulsion of France from the Americas.
Africa and Asia

French colonial expansion wasn't limited to the New World. In
Senegal in West Africa, the French began to establish trading posts
along the coast in 1624. In 1664, the French East India Company
was established to compete for trade in the east. With the decay of
the Ottoman Empire, in 1830 the French seized Algiers, thus
beginning the colonization of French North Africa. Colonies were
also established in India in Chandernagore (1673) and Pondiché ry in
the south east (1674), and later at Yanam (1723), Mahe (1725), and
Karikal (1739). Finally, colonies were founded in the Indian Ocean,
on the Î le de Bourbon (Ré union, 1664), Isle de France (Mauritius,
1718), and the Seychelles (1756).
While the French never rebuilt its American gains, their influence in
Africa and Asia expanded significantly over the course of the 19th
century.
Attributions
Europe's Early Trade Links
"Age of Discovery."
http://en.wikipedia.org/wiki/Age_of_Discovery. Wikipedia
CC BY-SA 3.0.
"Tabula Rogeriana."
https://en.wikipedia.org/wiki/Tabula_Rogeriana. Wikipedia
CC BY-SA 3.0.
"Pax Mongolica."
https://en.wikipedia.org/wiki/Pax_Mongolica. Wikipedia CC
BY-SA 3.0.
"Maritime Republics."
http://en.wikipedia.org/wiki/Maritime_republics. Wikipedia
CC BY-SA 3.0.
"Marco Polo." http://en.wikipedia.org/wiki/Marco_Polo.
"Marco Polo traveling."
http://commons.wikimedia.org/wiki/File:Marco_Polo_travelin
g.JPG. Wikimedia Public domain.
Portuguese Explorers
"Portugese Exploration."
http://en.wikipedia.org/wiki/Portuguese_discoveries.
"Ferdinand Magellan."
https://en.wikipedia.org/wiki/Ferdinand_Magellan. Wikipedia
CC BY-SA 3.0.
"Age of Discovery."
https://en.wikipedia.org/wiki/Age_of_Discovery# Portuguese
_exploration. Wikipedia CC BY-SA 3.0.
"Cape of Good Hope."
http://en.wikipedia.org/wiki/Cape_of_Good_Hope.
"V asco da Gama."
http://en.wikipedia.org/wiki/V asco_da_Gama. Wikipedia CC
BY-SA 3.0.
"Gama Route 1."
http://commons.wikimedia.org/wiki/File:Gama_route_1.png.
Spanish Exploration
"Spanish conquest of the Aztec Empire."
https://en.wikipedia.org/wiki/Spanish_conquest_of_the_Azt
ec_Empire. Wikipedia CC BY-SA 3.0.
"Treaty of Tordesillas."
https://en.wikipedia.org/wiki/Treaty_of_Tordesillas.
"Christopher Columbus."
http://en.wikipedia.org/wiki/Christopher_Columbus.
"Spanish colonization of the Americas."
https://en.wikipedia.org/wiki/Spanish_colonization_of_the_A
mericas. Wikipedia CC BY-SA 3.0.
"Age of Discovery."
http://en.wikipedia.org/wiki/Age_of_Discovery. Wikipedia
CC BY-SA 3.0.
"Reconquista." https://en.wikipedia.org/wiki/Reconquista.
"Treaty of Zaragoza."
https://en.wikipedia.org/wiki/Treaty_of_Zaragoza. Wikipedia
CC BY-SA 3.0.
_Empire. Wikipedia CC BY-SA 3.0.
"Spanish Empire."
https://en.wikipedia.org/wiki/Spanish_Empire. Wikipedia CC
BY-SA 3.0.
"V oyages of Christopher Columbus."
http://en.wikipedia.org/wiki/V oyages_of_Christopher_Colum
bus. Wikipedia CC BY-SA 3.0.
"First V oyage, Departure for the New World, August 3,
1492."
http://commons.wikimedia.org/wiki/File:First_V oyage,_Depa
rture_for_the_New_World,_August_3,_1492.jpg. Wikimedia
England and the High Seas
"Age of Discovery."
https://en.wikipedia.org/wiki/Age_of_Discovery. Wikipedia
CC BY-SA 3.0.
"Navigation Acts."
https://en.wikipedia.org/wiki/Navigation_Acts. Wikipedia CC
BY-SA 3.0.
"Plymouth Colony."
https://en.wikipedia.org/wiki/Plymouth_Colony. Wikipedia
CC BY-SA 3.0.
"Roanoke Colony."
https://en.wikipedia.org/wiki/Roanoke_Colony. Wikipedia
CC BY-SA 3.0.
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https://en.wikipedia.org/wiki/First_Anglo-Dutch_War.
"British Empire."
https://en.wikipedia.org/wiki/British_Empire. Wikipedia CC
BY-SA 3.0.
"Francis Drake."
https://en.wikipedia.org/wiki/Francis_Drake. Wikipedia CC
BY-SA 3.0.
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https://en.wikipedia.org/wiki/Jamestown,_V irginia.
"Royal Navy." https://en.wikipedia.org/wiki/Royal_Navy.
"1280px-British_colonies_1763-76_shepherd1923.PNG."
https://en.wikipedia.org/wiki/British_Empire# /media/File:Briti
sh_colonies_1763-76_shepherd1923.PNG. Wikipedia
Public domain.
"Tobacco_cultivation_V irginia_ca._1670.jpg."
https://en.wikipedia.org/wiki/British_Empire# /media/File:Tob
acco_cultivation_(V irginia,_ca._1670).jpg. Wikipedia CC
BY-SA 3.0.
French Explorers
"Age of Discovery."
https://en.wikipedia.org/wiki/Age_of_Discovery. Wikipedia
CC BY-SA 3.0.
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https://en.wikipedia.org/wiki/Sovereign_Council_of_New_Fr
ance. Wikipedia CC BY-SA 3.0.
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https://en.wikipedia.org/wiki/Carib_Expulsion. Wikipedia CC
BY-SA 3.0.
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https://en.wikipedia.org/wiki/French_colonial_empire.
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mericas. Wikipedia CC BY-SA 3.0.
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"Cartier.png."
mericas# /media/File:Cartier.png. Wikipedia Public domain.
"1024px-Nouvelle-France_map-en.svg.png."
mericas# /media/File:Nouvelle-France_map-en.svg.
19.3: The Scientific Revolution
19.3.1: Roots of the Scientific
Revolution
The scientific revolution, which emphasized systematic
experimentation as the most valid research method, resulted in
developments in mathematics, physics, astronomy, biology, and
chemistry. These developments transformed the views of society
about nature.
Learning Objective
Outline the changes that occurred during the Scientific Revolution
that resulted in developments towards a new means for
experimentation
Key Points
The scientific revolution was the emergence of modern
science during the early modern period, when developments in
mathematics, physics, astronomy, biology (including human
anatomy), and chemistry transformed societal views about
nature.
The change to the medieval idea of science occurred for four
reasons: collaboration, the derivation of new experimental
methods, the ability to build on the legacy of existing scientific
philosophy, and institutions that enabled academic publishing.
Under the scientific method, which was defined and applied in
the 17th century, natural and artificial circumstances were
abandoned and a research tradition of systematic
experimentation was slowly accepted throughout the scientific
community.
During the scientific revolution, changing perceptions about the
role of the scientist in respect to nature, and the value of
experimental or observed evidence, led to a scientific
methodology in which empiricism played a large, but not
absolute, role.
As the scientific revolution was not marked by any single
change, many new ideas contributed. Some of them were
revolutions in their own fields.
Science came to play a leading role in Enlightenment discourse
and thought. Many Enlightenment writers and thinkers had
backgrounds in the sciences, and associated scientific
advancement with the overthrow of religion and traditional
authority in favor of the development of free speech and
thought.
Key Terms
scientific method

knowledge, through the application of empirical or
measurable evidence subject to specific principles of
reasoning. It has characterized natural science since the 17th
century, consisting in systematic observation, measurement,
and experiment, and the formulation, testing, and modification of
hypotheses.
Baconian method
The investigative method developed by Sir Francis Bacon. It

was put forward in Bacon's book Novum Organum (1620), (or
New Method), and was supposed to replace the methods put
forward in Aristotle's Organon. This method was influential upon
the development of the scientific method in modern science, but
also more generally in the early modern rejection of medieval
Aristotelianism.
Galileo
An Italian thinker (1564-1642) and key figure in the scientific

revolution who improved the telescope, made astronomical
observations, and put forward the basic principle of relativity in
physics.
empiricism
A theory stating that knowledge comes only, or primarily, from

sensory experience. It emphasizes evidence, especially the kind
of evidence gathered through experimentation and by use of the
scientific method.
British Royal Society
A British learned society for science; possibly the oldest such

society still in existence, having been founded in November
1660.
The Scientific Revolution

The scientific revolution was the emergence of modern
science during the early modern period, when developments in
mathematics, physics, astronomy, biology (including human
anatomy), and chemistry transformed societal views about nature.
The scientific revolution began in Europe toward the end of the
Renaissance period, and continued through the late 18th century,
influencing the intellectual social movement known as the
Enlightenment. While its dates are disputed, the publication in 1543
of Nicolaus Copernicus's De revolutionibus orbium coelestium (On
the Revolutions of the Heavenly Spheres) is often cited as marking
the beginning of the scientific revolution.
The scientific revolution was built upon the foundation of ancient
Greek learning and science in the Middle Ages, as it had been
elaborated and further developed by Roman/Byzantine science and
medieval Islamic science. The Aristotelian tradition was still an
important intellectual framework in the 17th century, although by that
time natural philosophers had moved away from much of it. Key
scientific ideas dating back to classical antiquity had changed
drastically over the years, and in many cases been discredited. The
ideas that remained (for example, Aristotle's cosmology, which
placed the Earth at the center of a spherical hierarchic cosmos, or
the Ptolemaic model of planetary motion) were transformed
fundamentally during the scientific revolution.
The change to the medieval idea of science occurred for four

reasons:
1. Seventeenth century scientists and philosophers were able to

collaborate with members of the mathematical and astronomical
communities to effect advances in all fields.
2. Scientists realized the inadequacy of medieval experimental
methods for their work and so felt the need to devise new
methods (some of which we use today).
3. Academics had access to a legacy of European, Greek, and
Middle Eastern scientific philosophy that they could use as a
starting point (either by disproving or building on the theorems).
4. Institutions (for example, the British Royal Society) helped
validate science as a field by providing an outlet for the
publication of scientists' work.
New Methods
Under the scientific method that was defined and applied in the 17th
century, natural and artificial circumstances were abandoned, and a
research tradition of systematic experimentation was slowly
accepted throughout the scientific community. The philosophy of
using an inductive approach to nature (to abandon assumption and
to attempt to simply observe with an open mind) was in strict
contrast with the earlier, Aristotelian approach of deduction, by which
analysis of known facts produced further understanding. In practice,
many scientists and philosophers believed that a healthy mix of both
was needed—the willingness to both question assumptions, and to
interpret observations assumed to have some degree of validity.
During the scientific revolution, changing perceptions about the role

of the scientist in respect to nature, the value of evidence,
experimental or observed, led towards a scientific methodology in
which empiricism played a large, but not absolute, role. The term
British empiricism came into use to describe philosophical
differences perceived between two of its founders—Francis Bacon,
described as empiricist, and René Descartes, who was described as
a rationalist. Bacon's works established and popularized
inductive methodologies for scientific inquiry, often called the
Baconian method, or sometimes simply the scientific method. His
demand for a planned procedure of investigating all things natural
marked a new turn in the rhetorical and theoretical framework for
science, much of which still surrounds conceptions of proper
methodology today. Correspondingly, Descartes distinguished
between the knowledge that could be attained by reason alone
(rationalist approach), as, for example, in mathematics, and the
knowledge that required experience of the world, as in physics.
Thomas Hobbes, George Berkeley, and David Hume were the

primary exponents of empiricism, and developed a sophisticated
empirical tradition as the basis of human knowledge. The recognized
founder of the approach was John Locke, who proposed in An Essay
Concerning Human Understanding (1689) that the only true
knowledge that could be accessible to the human mind was that
which was based on experience.
New Ideas
Many new ideas contributed to what is called the scientific revolution.
Some of them were revolutions in their own fields. These include:
The heliocentric model that involved the radical displacement of

the earth to an orbit around the sun (as opposed to being seen
as the center of the universe). Copernicus' 1543 work on the
heliocentric model of the solar system tried to demonstrate that
the sun was the center of the universe. The discoveries of
Johannes Kepler and Galileo gave the theory credibility and the
work culminated in Isaac Newton's Principia, which formulated
the laws of motion and universal gravitation that dominated
scientists' view of the physical universe for the next three
centuries.
Studying human anatomy based upon the dissection of human
corpses, rather than the animal dissections, as practiced for
centuries.
Discovering and studying magnetism and electricity, and thus,
electric properties of various materials.
Modernization of disciplines (making them more as what they
are today), including dentistry, physiology, chemistry, or optics.
Invention of tools that deepened the understating of sciences,
including mechanical calculator, steam digester (the forerunner
of the steam engine), refracting and reflecting telescopes,
vacuum pump, or mercury barometer.
The Shannon Portrait of the Hon.
Robert Boyle F. R. S. ( 1627 -1691)
Robert Boyle (1627-1691), an Irish-born English scientist, was an
early supporter of the scientific method and founder of modern
chemistry. Boyle is known for his pioneering experiments on the
physical properties of gases, his authorship of the Sceptical Chymist,
his role in creating the Royal Society of London, and his philanthropy
in the American colonies.
The Scientific Revolution and the

Enlightenment
The scientific revolution laid the foundations for the Age of
Enlightenment, which centered on reason as the primary source of
authority and legitimacy, and emphasized the importance of the
scientific method. By the 18th century, when the Enlightenment
flourished, scientific authority began to displace religious authority,
and disciplines until then seen as legitimately scientific (e.g.,
alchemy and astrology) lost scientific credibility.
Science came to play a leading role in Enlightenment discourse and

thought. Many Enlightenment writers and thinkers had backgrounds
in the sciences, and associated scientific advancement with the
overthrow of religion and traditional authority in favor of the
development of free speech and thought. Broadly speaking,
Enlightenment science greatly valued empiricism and rational
thought, and was embedded with the Enlightenment ideal of
advancement and progress. At the time, science was dominated by
scientific societies and academies, which had largely replaced
universities as centers of scientific research and development.
Societies and academies were also the backbone of the maturation
of the scientific profession. Another important development was the
popularization of science among an increasingly literate population.
The century saw significant advancements in the practice of
medicine, mathematics, and physics; the development of biological
taxonomy; a new understanding of magnetism and electricity; and
the maturation of chemistry as a discipline, which established the
foundations of modern chemistry.
Isaac Newton's Princip ia, developed
the first set of unified scientific laws
Newton's Principia formulated the laws of motion and universal
gravitation, which dominated scientists' view of the physical universe
for the next three centuries. By deriving Kepler's laws of planetary
motion from his mathematical description of gravity, and then using
the same principles to account for the trajectories of comets, the
tides, the precession of the equinoxes, and other phenomena,
Newton removed the last doubts about the validity of the heliocentric
model of the cosmos. This work also demonstrated that the motion
of objects on Earth and of celestial bodies could be described by the
same principles. His laws of motion were to be the solid foundation
of mechanics.
19.3.2: Physics and Mathematics

In the 16th and 17th centuries, European scientists began
increasingly applying quantitative measurements to the
measurement of physical phenomena on the earth, which translated
into the rapid development of mathematics and physics.
Learning Objective
Distinguish between the different key figures of the scientific
revolution and their achievements in mathematics and physics
Key Points
The philosophy of using an inductive approach to nature was in
strict contrast with the earlier, Aristotelian approach of
deduction, by which analysis of known facts produced further
understanding. In practice, scientists believed that a healthy mix
of both was needed—the willingness to question assumptions,
yet also to interpret observations assumed to have some degree
of validity. That principle was particularly true for mathematics
and physics.
In the 16th and 17th centuries, European scientists began
increasingly applying quantitative measurements to the
measurement of physical phenomena on the earth.
The Copernican Revolution, or the paradigm shift from the
Ptolemaic model of the heavens to the heliocentric model with
the sun at the center of the solar system, began with the
publication of Copernicus’s De revolutionibus orbium
coelestium, and ended with Newton’s work over a century later.
Galileo showed a remarkably modern appreciation for the
proper relationship between mathematics, theoretical physics,
and experimental physics. His contributions to observational
astronomy include the telescopic confirmation of the phases of
V enus, the discovery of the four largest satellites of Jupiter, and
the observation and analysis of sunspots.
gravitation, which dominated scientists' view of the physical
universe for the next three centuries. He removed the last
doubts about the validity of the heliocentric model of the solar
system.
The electrical science developed rapidly following the first
discoveries of William Gilbert.
Key Terms
scientific revolution
The emergence of modern science during the early modern

period, when developments in mathematics, physics,
astronomy, biology (including human anatomy), and chemistry
transformed societal views about nature. It began in
Europe towards the end of the Renaissance period, and
continued through the late 18th century, influencing the
intellectual social movement known as the Enlightenment.
scientific method

knowledge that apply empirical or measurable evidence subject
to specific principles of reasoning. It has characterized natural
science since the 17th century, consisting in systematic
observation, measurement, and experiment, and the
formulation, testing, and modification of hypotheses.
Copernican Revolution
The paradigm shift from the Ptolemaic model of the heavens,

which described the cosmos as having Earth stationary at the
center of the universe, to the heliocentric model with the sun at
the center of the solar system. Beginning with the publication of
Nicolaus Copernicus’s De revolutionibus orbium coelestium,
contributions to the "revolution" continued, until finally ending
with Isaac Newton’s work over a century later.
Introduction
Under the scientific method that was defined and applied in the 17th
century, natural and artificial circumstances were abandoned, and a
research tradition of systematic experimentation was slowly
accepted throughout the scientific community. The philosophy of
using an inductive approach to nature—to abandon assumption and
to attempt to simply observe with an open mind—was in strict
contrast with the earlier, Aristotelian approach of deduction, by which
analysis of known facts produced further understanding. In practice,
many scientists (and philosophers) believed that a healthy mix of
both was needed—the willingness to question assumptions, yet also
to interpret observations assumed to have some degree of validity.
That principle was particularly true for mathematics and physics.
René Descartes, whose thought emphasized the power of reasoning
but also helped establish the scientific method, distinguished
between the knowledge that could be attained by reason alone
(rationalist approach), which he thought was mathematics, and the
knowledge that required experience of the world, which he thought
was physics.
Mathematiz ation
To the extent that medieval natural philosophers used mathematical
problems, they limited social studies to theoretical analyses of local
speed and other aspects of life. The actual measurement of a
physical quantity, and the comparison of that measurement to a
value computed on the basis of theory, was largely limited to the
mathematical disciplines of astronomy and optics in Europe. In the
16th and 17th centuries, European scientists began increasingly
applying quantitative measurements to the measurement of physical
phenomena on Earth.
The Copernican Revolution

While the dates of the scientific revolution are disputed, the
publication in 1543 of Nicolaus Copernicus's De revolutionibus
orbium coelestium (On the Revolutions of the Heavenly Spheres) is
often cited as marking the beginning of the scientific revolution. The
book proposed a heliocentric system contrary to the widely accepted
geocentric system of that time. Tycho Brahe accepted Copernicus's
model but reasserted geocentricity. However, Tycho challenged the
Aristotelian model when he observed a comet that went through the
region of the planets. This region was said to only have uniform
circular motion on solid spheres, which meant that it would be
impossible for a comet to enter into the area. Johannes
Kepler followed Tycho and developed the three laws of planetary
motion. Kepler would not have been able to produce his laws without
the observations of Tycho, because they allowed Kepler to prove
that planets traveled in ellipses, and that the sun does not sit directly
in the center of an orbit, but at a focus. Galileo Galilei came after
Kepler and developed his own telescope with enough magnification
to allow him to study V enus and discover that it has phases like a
moon. The discovery of the phases of V enus was one of the more
influential reasons for the transition from geocentrism to
heliocentrism. Isaac Newton's Philosophiæ Naturalis Principia
Mathematica concluded the Copernican Revolution. The
development of his laws of planetary motion and universal
gravitation explained the presumed motion related to the heavens by
asserting a gravitational force of attraction between two objects.
Other Advancements in
Physics and Mathematics
Galileo was one of the first modern thinkers to clearly state that the
laws of nature are mathematical. In broader terms, his work marked
another step towards the eventual separation of science from both
philosophy and religion, a major development in human thought.
Galileo showed a remarkably modern appreciation for the proper
relationship between mathematics, theoretical physics, and
experimental physics. He understood the parabola, both in terms of
conic sections and in terms of the ordinate (y) varying as the square
of the abscissa (x). He further asserted that the parabola was the
theoretically ideal trajectory of a uniformly accelerated projectile in
the absence of friction and other disturbances.
of objects on Earth, and of celestial bodies, could be described by
the same principles. His prediction that Earth should be shaped as
an oblate spheroid was later vindicated by other scientists. His laws
of motion were to be the solid foundation of mechanics; his law of
universal gravitation combined terrestrial and celestial mechanics
into one great system that seemed to be able to describe the whole
world in mathematical formulae. Newton also developed the theory
of gravitation. After the exchanges with Robert Hooke, English
natural philosopher, architect and polymath, he worked out proof that
the elliptical form of planetary orbits would result from a centripetal
force inversely proportional to the square of the radius vector.
The scientific revolution also witnessed the development of modern

optics. Kepler published Astronomiae Pars Optica (The Optical Part
of Astronomy) in 1604. In it, he described the inverse-square law
governing the intensity of light, reflection by flat and curved mirrors,
and principles of pinhole cameras, as well as the astronomical
implications of optics, such asparallax and the apparent sizes of
heavenly bodies. Willebrord Snellius found the mathematical law of
refraction, now known as Snell's law, in 1621. Subsequently,
Descartes showed, by using geometric construction and the law of
refraction (also known as Descartes' law), that the angular radius of
a rainbow is 42° . He also independently discovered the law of
reflection. Finally, Newton investigated the refraction of light,
demonstrating that a prism could decompose white light into a
spectrum of colors, and that a lens and a second prism could
recompose the multicolored spectrum into white light. He also
showed that the colored light does not change its properties by
separating out a colored beam and shining it on various objects.
Portrait of Galileo Galilei by Giusto
Sustermans, 1636
Galileo Galilei (1564-1642) improved the telescope, with which he
made several important astronomical discoveries, including the four
largest moons of Jupiter, the phases of V enus, and the rings of
Saturn, and made detailed observations of sunspots. He developed
the laws for falling bodies based on pioneering quantitative
experiments, which he analyzed mathematically.
Dr. William Gilbert, in De Magnete, invented the New Latin word

electricus from ἤλεκτρον (elektron), the Greek word for "amber."
Gilbert undertook a number of careful electrical experiments, in the
course of which he discovered that many substances were capable
of manifesting electrical properties. He also discovered that a heated
body lost its electricity, and that moisture prevented the electrification
of all bodies, due to the now well-known fact that moisture impaired
the insulation of such bodies. He also noticed that electrified
substances attracted all other substances indiscriminately, whereas
a magnet only attracted iron. The many discoveries of this nature
earned for Gilbert the title of "founder of the electrical science."
Robert Boyle also worked frequently at the new science of electricity,

and added several substances to Gilbert's list of electrics. In 1675,
he stated that electric attraction and repulsion can act across a
vacuum. One of his important discoveries was that electrified bodies
in a vacuum would attract light substances, this indicating that the
electrical effect did not depend upon the air as a medium. He also
added resin to the then known list of electrics. By the end of the 17th
Century, researchers had developed practical means of generating
electricity by friction with an anelectrostatic generator, but the
development of electrostatic machines did not begin in earnest until
the 18th century, when they became fundamental instruments in the
studies about the new science of electricity. The first usage of the
word electricity is ascribed to Thomas Browne in 1646 work. In 1729,
Stephen Gray demonstrated that electricity could be "transmitted"
through metal filaments.
19.3.3: Astronomy
Though astronomy is the oldest of the natural sciences, its
development during the scientific revolution entirely transformed
societal views about nature by moving from geocentrism to
heliocentrism.
Learning Objective
Assess the work of both Copernicus and Kepler and their
revolutionary ideas
Key Points
The development of astronomy during the period of the scientific
revolution entirely transformed societal views about nature. The
publication of Nicolaus Copernicus' De revolutionibus in 1543 is
often seen as marking the beginning of the time when scientific
disciplines gradually transformed into the modern sciences as
we know them today.
Copernican heliocentrism is the name given to the astronomical
model developed by Copernicus that positioned the sun near
the center of the universe, motionless, with Earth and the other
planets rotating around it in circular paths, modified by epicycles
and at uniform speeds.
For over a century, few astronomers were convinced by the
Copernican system. Tycho Brahe went so far as to construct a
cosmology precisely equivalent to that of Copernicus, but with
the earth held fixed in the center of the celestial sphere, instead
of the sun. However, Tycho's idea also contributed to the
defense of the heliocentric model.
In 1596, Johannes Kepler published his first book, which was
the first to openly endorse Copernican cosmology by an
astronomer since the 1540s. Kepler's work on Mars and
planetary motion further confirmed the heliocentric theory.
Galileo Galilei designed his own telescope, with which he made
a number of critical astronomical observations. His observations
and discoveries were among the most influential in the transition
from geocentrism to heliocentrism.
Isaac Newton developed further ties between physics and
astronomy through his law of universal gravitation, and
irreversibly confirmed and further developed heliocentrism.
Key Terms
Copernican heliocentrism
The name given to the astronomical model developed by

Nicolaus Copernicus and published in 1543. It positioned the
sun near the center of the universe, motionless, with Earth and
the other planets rotating around it in circular paths, modified by
epicycles and at uniform speeds. It departed from the
Ptolemaic system that prevailed in western culture for centuries,
placing Earth at the center of the universe.
Copernicus
A Renaissance mathematician and astronomer (1473-

1543), who formulated a heliocentric model of the universe
which placed the sun, rather than the earth, at the center.
epicycles
The geometric model used to explain the variations in speed

and direction of the apparent motion of the moon, sun, and
planets in the Ptolemaic system of astronomy.
The Emergence of Modern

Astronomy
While astronomy is the oldest of the natural sciences, dating back to
antiquity, its development during the period of the scientific revolution
entirely transformed the views of society about nature. The
publication of the seminal work in the field of astronomy, Nicolaus
Copernicus' De revolutionibus orbium coelestium (On the
Revolutions of the Heavenly Spheres) published in 1543, is, in fact,
often seen as marking the beginning of the time when scientific
disciplines, including astronomy, began to apply modern empirical
research methods, and gradually transformed into the modern
sciences as we know them today.
The Copernican Heliocentrism

Copernican heliocentrism is the name given to the astronomical
model developed by Nicolaus Copernicus and published in 1543. It
positioned the sun near the center of the universe, motionless, with
Earth and the other planets rotating around it in circular paths,
modified by epicycles and at uniform speeds. The Copernican model
departed from the Ptolemaic system that prevailed in western
culture for centuries, placing Earth at the center of the universe.
Copernicus' De revolutionibus marks the beginning of the shift away
from a geocentric (and anthropocentric) universe with Earth at its
center. Copernicus held that Earth is another planet revolving around
the fixed sun once a year, and turning on its axis once a day. But
while he put the sun at the center of the celestial spheres, he did not
put it at the exact center of the universe, but near it. His system used
only uniform circular motions, correcting what was seen by many as
the chief inelegance in Ptolemy's system.
The Copernican Revolution

From 1543 until about 1700, few astronomers were convinced by the
Copernican system. Forty-five years after the publication of De
Revolutionibus, the astronomer Tycho Brahe went so far as to
construct a cosmology precisely equivalent to that of Copernicus, but
with Earth held fixed in the center of the celestial sphere instead of
the sun. However, Tycho challenged the Aristotelian model when he
observed a comet that went through the region of the planets. This
region was said to only have uniform circular motion on solid
spheres, which meant that it would be impossible for a comet to
enter into the area. Following Copernicus and Tycho, Johannes
Kepler and Galileo Galilei, both working in the first decades of the
17th century, influentially defended, expanded and modified the
heliocentric theory.
J ohannes Kepler
Johannes Kepler was a German scientist who initially worked as
Tycho's assistant. In 1596, he published his first book, the Mysterium
cosmographicum, which was the first to openly endorse Copernican
cosmology by an astronomer since the 1540s. The book described
his model that used Pythagorean mathematics and the five Platonic
solids to explain the number of planets, their proportions, and their
order. In 1600, Kepler set to work on the orbit of Mars, the second
most eccentric of the six planets known at that time. This work was
the basis of his next book, the Astronomia nova (1609). The book
argued heliocentrism and ellipses for planetary orbits, instead of
circles modified by epicycles. It contains the first two of his
eponymous three laws of planetary motion (in 1619, the third law
was published). The laws state the following:
All planets move in elliptical orbits, with the sun at one focus.
A line that connects a planet to the sun sweeps out equal areas
in equal times.
The time required for a planet to orbit the sun, called its period,
is proportional to long axis of the ellipse raised to the 3/2 power.
The constant of proportionality is the same for all the planets.
Galileo Galilei
Galileo Galilei was an Italian scientist who is sometimes referred to
as the "father of modern observational astronomy." Based on the
designs of Hans Lippershey, he designed his own telescope, which
he had improved to 30x magnification. Using this new instrument,
Galileo made a number of astronomical observations, which he
published in the Sidereus Nuncius in 1610. In this book, he
described the surface of the moon as rough, uneven, and imperfect.
His observations challenged Aristotle’s claim that the moon was a
perfect sphere, and the larger idea that the heavens were perfect
and unchanging. While observing Jupiter over the course of several
days, Galileo noticed four stars close to Jupiter whose positions
were changing in a way that would be impossible if they were fixed
stars. After much observation, he concluded these four stars were
orbiting the planet Jupiter and were in fact moons, not stars. This
was a radical discovery because, according to Aristotelian
cosmology, all heavenly bodies revolve around Earth, and a planet
with moons obviously contradicted that popular belief. While
contradicting Aristotelian belief, it supported Copernican cosmology,
which stated that Earth is a planet like all others.
In 1610, Galileo also observed that V enus had a full set of phases,
similar to the phases of the moon, that we can observe from Earth.
This was explainable by the Copernican system, which said that all
phases of V enus would be visible due to the nature of its orbit
around the sun, unlike the Ptolemaic system, which stated only
some of V enus’s phases would be visible. Due to Galileo’s
observations of V enus, Ptolemy’s system became highly suspect
and the majority of leading astronomers subsequently converted to
various heliocentric models, making his discovery one of the most
influential in the transition from geocentrism to heliocentrism.
Heliocentric model of the solar
system, Nicolas Copernicus, D e
revolutionibus, p. 9, from an original
edition, currently at the J agiellonian
University in Cracow, Poland
Copernicus was a polyglot and polymath who obtained a doctorate in
canon law and also practiced as a physician, classics scholar,
translator, governor, diplomat, and economist. In 1517 he derived a
quantity theory of money–a key concept in economics–and in 1519,
he formulated a version of what later became known as Gresham's
law (also in economics).
Uniting Astronomy and Physics: Isaac

Newton
Although the motions of celestial bodies had been qualitatively
explained in physical terms since Aristotle introduced celestial
movers in his Metaphysics and a fifth element in his On the
Heavens, Johannes Kepler was the first to attempt to derive
mathematical predictions of celestial motions from assumed physical
causes. This led to the discovery of the three laws of planetary
motion that carry his name.
Isaac Newton developed further ties between physics and astronomy

through his law of universal gravitation. Realizing that the same force
that attracted objects to the surface of Earth held the moon in orbit
around the Earth, Newton was able to explain, in one theoretical
framework, all known gravitational phenomena. Newton's
Principia (1687) formulated the laws of motion and universal
of objects on Earth and of celestial bodies could be described by the
same principles. His laws of motion were to be the solid foundation
of mechanics; his law of universal gravitation combined terrestrial
and celestial mechanics into one great system that seemed to be
able to describe the whole world in mathematical formulae.
J an Matejko, Astronomer Copernicus,
or Conversations with God, 18 7 3
Oil painting by the Polish artist Jan Matejko depicting Nicolaus
Copernicus observing the heavens from a balcony by a tower near
the cathedral in Frombork. Currently, the painting is in the collection
of the Jagiellonian University of Cracow, which purchased it from a
private owner with money donated by the Polish public.
19.3.4: The Medical Renaissance

The Renaissance period witnessed groundbreaking developments in
medical sciences, including advancements in human anatomy,
physiology, surgery, dentistry, and microbiology.
Learning Objective
List the discoveries and progress made by leading medical
professionals during the Early Modern era
Key Points
During the Renaissance, experimental investigation, particularly
in the field of dissection and body examination, advanced the
knowledge of human anatomy and modernized medical
research.
De humani corporis fabrica by Andreas V esalius emphasized
the priority of dissection and what has come to be called the
"anatomical" view of the body. It laid the foundations for the
modern study of human anatomy.
Further groundbreaking work was carried out by William Harvey,
who published De Motu Cordis in 1628. Harvey made a detailed
analysis of the overall structure of the heart and blood
circulation.
French surgeon Ambroise Paré (c. 1510-1590) is considered
one of the fathers of surgery and modern forensic pathology,
and a pioneer in surgical techniques and battlefield medicine,
especially in the treatment of wounds.
Herman Boerhaave (1668-1738) is regarded as the founder of
clinical teaching, and of the modern academic hospital. He is
sometimes referred to as "the father of physiology."
French physician Pierre Fauchard started dentistry science as
we know it today, and he has been named "the father of modern
dentistry."
Key Terms
William Harvey
An English physician (1578-1657), and the first to describe

completely and in detail the systemic circulation and properties
of blood being pumped to the brain and body by the heart.
Ambroise Paré
A French surgeon (1510-1590) who is considered one of the

fathers of surgery and modern forensic pathology, and a pioneer
in surgical techniques and battlefield medicine, especially in the
treatment of wounds.
Galen
A prominent Greek physician (129 CE-c. 216 CE), surgeon, and

philosopher in the Roman Empire. Arguably the most
accomplished of all medical researchers of antiquity, he
influenced the development of various scientific disciplines,
including anatomy, physiology, pathology, pharmacology, and
neurology, as well as philosophy and logic.
Andreas V esalius
A Belgian anatomist (1514-1564), physician, and author of one

of the most influential books on human anatomy, De humani
corporis fabrica (On the Fabric of the Human Body).
humorism
A system of medicine detailing the makeup and workings of the

human body, adopted by the Indian Ayurveda system of
medicine, and Ancient Greek and Roman physicians and
philosophers. It posits that an excess or deficiency of any of four
distinct bodily fluids in a person—known as humors or humours
—directly influences their temperament and health.
The Renaissance and Medical

Sciences
The Renaissance brought an intense focus on varied scholarship to
Christian Europe. A major effort to translate the Arabic and Greek
scientific works into Latin emerged, and Europeans gradually
became experts not only in the ancient writings of the Romans and
Greeks, but also in the contemporary writings of Islamic scientists.
During the later centuries of the Renaissance, which overlapped with
the scientific revolution, experimental investigation, particularly in the
field of dissection and body examination, advanced the knowledge of
human anatomy. Other developments of the period also contributed
to the modernization of medical research, including printed books
that allowed for a wider distribution of medical ideas and anatomical
diagrams, more open attitudes of Renaissance humanism, and the
Church's diminishing impact on the teachings of the medical
profession and universities. In addition, the invention and
popularization of microscope in the 17th century greatly advanced
medical research.
Human Anatomy
The writings of ancient Greek physician Galen had dominated
European thinking in medicine. Galen's understanding of anatomy
and medicine was principally influenced by the then-current theory of
humorism (also known as the four humors: black bile, yellow bile,
blood, and phlegm), as advanced by ancient Greek physicians, such
as Hippocrates. His theories dominated and influenced
western medical science for more than 1,300 years. His anatomical
reports, based mainly on dissection of monkeys and pigs, remained
uncontested until 1543, when printed descriptions and illustrations of
human dissections were published in the seminal work De humani
corporis fabrica by Andreas V esalius, who first demonstrated the
mistakes in the Galenic model. His anatomical teachings were based
upon the dissection of human corpses, rather than the animal
dissections that Galen had used as a guide. V esalius'
work emphasized the priority of dissection and what has come to be
called the "anatomical" view of the body, seeing human internal
functioning as an essentially corporeal structure filled with organs
arranged in three-dimensional space. This was in stark contrast to
many of the anatomical models used previously.
Further groundbreaking work was carried out by William Harvey, who

published De Motu Cordis in 1628. Harvey made a detailed analysis
of the overall structure of the heart, going on to an analysis of the
arteries, showing how their pulsation depends upon the contraction
of the left ventricle, while the contraction of the right ventricle propels
its charge of blood into the pulmonary artery. He noticed that the two
ventricles move together almost simultaneously and not
independently like had been thought previously by his predecessors.
Harvey also estimated the capacity of the heart, how much blood is
expelled through each pump of the heart, and the number of times
the heart beats in a half an hour. From these estimations, he went on
to prove how the blood circulated in a circle.
Andreas V esalius, D e hum ani corp oris
fabrica, 15 43, p. 17 4
In 1543, V esalius asked Johannes Oporinus to publish the seven-
volume De humani corporis fabrica (On the fabric of the human
body), a groundbreaking work of human anatomy. It emphasized the
priority of dissection and what has come to be called the "anatomical
view" of the human body.
An illustration of the human body from De humani corporis fabrica.
Other Medical Advances

V arious other advances in medical understanding and practice were
made. French surgeon Ambroise Paré (c. 1510-1590) is considered
one of the fathers of surgery and modern forensic pathology, and a
pioneer in surgical techniques and battlefield medicine, especially in
the treatment of wounds. He was also an anatomist and invented
several surgical instruments, and was part of the Parisian Barber
Surgeon guild. Paré was also an important figure in the progress of
obstetrics in the middle of the 16th century.
Herman Boerhaave (1668-1738), a Dutch botanist, chemist,

Christian humanist and physician of European fame, is regarded as
the founder of clinical teaching and of the modern academic hospital.
He is sometimes referred to as "the father of physiology," along with
the V enetian physician Santorio Santorio (1561-1636), who
introduced the quantitative approach into medicine, and with his
pupil Albrecht von Haller (1708-1777). He is best known for
demonstrating the relation of symptoms to lesions and, in addition,
he was the first to isolate the chemical urea from urine. He was the
first physician that put thermometer measurements to clinical
practice.
Bacteria and protists were first observed with a microscope by

Antonie van Leeuwenhoek in 1676, initiating the scientific field of
microbiology.
French physician Pierre Fauchard started dentistry science as we

know it today, and he has been named "the father of modern
dentistry." He is widely known for writing the first complete scientific
description of dentistry, Le Chirurgien Dentiste ("The Surgeon
Dentist"), published in 1728. The book described basic oral
anatomy and function, signs and symptoms of oral pathology,
operative methods for removing decay and restoring teeth,
periodontal disease (pyorrhea), orthodontics, replacement of missing
teeth, and tooth transplantation.
Andreas V esalius, D e corp oris hum ani
fabrica libri sep tem , illustration
attributed to J an van Calcar ( circa
1499– 15 46/ 15 5 0)
The front cover illustration of De Humani Corporis Fabrica (On the
Fabric of the Human Body, 1543), showing a public dissection being
carried out by V esalius himself. The book advanced the modern
study of human anatomy.
Attributions
Roots of the Scientific Revolution
"René Descartes."
https://en.wikipedia.org/wiki/Ren%C3%A9_Descartes.
CC BY-SA 3.0.
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https://en.wikipedia.org/wiki/Baconian_method. Wikipedia
CC BY-SA 3.0.
"Royal Society." http://en.wikipedia.org/wiki/Royal_Society.
"Galileo Galilei."
https://en.wikipedia.org/wiki/Galileo_Galilei. Wikipedia CC
BY-SA 3.0.
"Scientific revolution."
https://en.wikipedia.org/wiki/Scientific_revolution. Wikipedia
CC BY-SA 3.0.
"Jo Kent, The Impact of the Scientific Revolution: A Brief
History of the Experimental Method in the 17th Century.
June 12, 2014." http://cnx.org/content/m13245/1.1/.
OpenStax CNX CC BY 2.0.
"NewtonsPrincipia.jpg."
https://en.wikipedia.org/wiki/Scientific_revolution# /media/Fil
e:NewtonsPrincipia.jpg. Wikipedia CC BY-SA 2.0.
"The Shannon Portrait of the Hon Robert Boyle."
http://en.wikipedia.org/wiki/File:The_Shannon_Portrait_of_t
he_Hon_Robert_Boyle.jpg. Wikipedia Public domain.
Physics and Mathematics
CC BY-SA 3.0.
"Scientific Revolution."
http://en.wikipedia.org/wiki/Scientific_revolution. Wikipedia
CC BY-SA 3.0.
"Copernican Revolution."
https://en.wikipedia.org/wiki/Copernican_Revolution.
"Isaac Newton."
http://en.wikipedia.org/wiki/Sir_Isaac_Newton. Wikipedia
CC BY-SA 3.0.
"Robert Boyle." http://en.wikipedia.org/wiki/Robert_Boyle.
"Robert Hooke."
https://en.wikipedia.org/wiki/Robert_Hooke. Wikipedia CC
BY-SA 3.0.
"Jo Kent, The Impact of the Scientific Revolution: A Brief
History of the Experimental Method in the 17th Century.
June 12, 2014." http://cnx.org/content/m13245/1.1/.
OpenStax CNX CC BY 2.0.
"Justus Sustermans - Portrait of Galileo Galilei, 1636."
http://en.wikipedia.org/wiki/File:Justus_Sustermans_-
_Portrait_of_Galileo_Galilei,_1636.jpg. Wikipedia Public
domain.
Astronomy
"Copernican Revolution."
https://en.wikipedia.org/wiki/Copernican_Revolution.
"Deferent and epicycle."
http://en.wikipedia.org/wiki/Deferent_and_epicycle.
"History of astronomy."
https://en.wikipedia.org/wiki/History_of_astronomy.
"Nicolaus Copernicus."
http://en.wikipedia.org/wiki/Nicolaus_Copernicus. Wikipedia
CC BY-SA 3.0.
"Astronomer Copernicus, or Conversations with God."
http://en.wikipedia.org/wiki/Astronomer_Copernicus,_or_Co
nversations_with_God. Wikipedia CC BY-SA 3.0.
"The New Astronomy and Cosmology of the Scientific
Revolution: Nicolaus Copernicus, Tycho Brahe, and
Johannes Kepler."
https://en.wikipedia.org/wiki/Copernican_heliocentrism.
Saylor CC BY 3.0.
CC BY-SA 3.0.
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ript_p9b.jpg. Wikipedia Public domain.
"Jan Matejko Astronomer Copernicus Conversation with
God.."
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le:Jan_Matejko-Astronomer_Copernicus-
Conversation_with_God.jpg. Wikipedia Public domain.
The Medical Renaissance
"History of medicine."
https://en.wikipedia.org/wiki/History_of_medicine. Wikipedia
CC BY-SA 3.0.
"Humorism." https://en.wikipedia.org/wiki/Humorism.
"Herman Boerhaave."
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domain.
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http://en.wikipedia.org/wiki/File:V esalius01.jpg. Wikipedia
Public domain.
19.4: Enlightenment Thinkers
19.4.1: Thomas Hobbes
Thomas Hobbes, an English philosopher and scientist, was one of
the key figures in the political debates of the Enlightenment period.
He introduced a social contract theory based on the relation between
the absolute sovereign and the civil society.
Learning Objective
Describe Thomas Hobbes' beliefs on the relationship between
government and the people
Key Points
Thomas Hobbes, an English philosopher and scientist, was one
of the key figures in the political debates of the Enlightenment
period. Despite advocating the idea of absolutism of the
sovereign, he developed some of the fundamentals of European
liberal thought.
Hobbes was the first modern philosopher to articulate a detailed
social contract theory that appeared in his 1651 work Leviathan.
In it, Hobbes set out his doctrine of the foundation of states and
legitimate governments and creating an objective science of
morality.
Hobbes argued that in order to avoid chaos, which he
associated with the state of nature, people accede to a social
contract and establish a civil society.
One of the most influential tensions in Hobbes' argument is a
relation between the absolute sovereign and the society.
According to Hobbes, society is a population beneath a
sovereign authority, to whom all individuals in that society cede
some rights for the sake of protection. Any power exercised by
this authority cannot be resisted because the protector's
sovereign power derives from individuals' surrendering their own
sovereign power for protection.
Hobbes also included a discussion of natural rights in his moral
and political philosophy. While he recognized the inalienable
rights of the human, he argued that if humans wished to live
peacefully, they had to give up most of their natural rights and
create moral obligations, in order to establish political and civil
society.
Key Terms
Leviathan
A book written by Thomas Hobbes (1588-1679) and published

in 1651. The work concerns the structure of society and
legitimate government, and is regarded as one of the earliest
and most influential examples of social contract theory. It argues
for a social contract and rule by an absolute sovereign.
A theory or a model that typically posits that individuals have

consented, either explicitly or tacitly, to surrender some of their
freedoms and submit to the authority of the ruler or magistrate
(or to the decision of a majority), in exchange for protection of
their remaining rights.
natural rights

restrained by human laws).
English Civil War

Parliamentarians ("Roundheads") and Royalists ("Cavaliers")
over, principally, the manner of England's government. The
first (1642-1646) and second (1648-1649) conflicts pitted the
supporters of King Charles I against the supporters of the Long
Parliament, while the third (1649-1651) saw fighting between
supporters of King Charles II and supporters of the Rump
Parliament.
Background: The Age of

Enlightenment
The Enlightenment was a philosophical movement that dominated
the world of ideas in Europe in the 18th century. It included a range
of ideas centered on reason as the primary source of authority and
legitimacy, and came to advance ideals, such as liberty, progress,
tolerance, fraternity, constitutional government, and separation of
church and state. The Enlightenment has also been hailed as the
foundation of modern western political and intellectual culture. It
brought political modernization to the west by introducing democratic
values and institutions and the creation of modern, liberal
democracies. Thomas Hobbes, an English philosopher and scientist,
was one of the key figures in the political debates of the period.
Despite advocating the idea of absolutism of the sovereign, Hobbes
developed some of the fundamentals of European liberal thought:
the right of the individual; the natural equality of all men; the artificial
character of the political order (which led to the later distinction
between civil society and the state); the view that all legitimate
political power must be "representative" and based on the consent of
the people; and a liberal interpretation of law that leaves people free
to do whatever the law does not explicitly forbid.
Leviathan: Social Contract

Hobbes was the first modern philosopher to articulate a detailed
social contract theory that appeared in his 1651 work Leviathan. In it,
Hobbes set out his doctrine of the foundation of states and legitimate
governments and creating an objective science of morality. As
Leviathan was written during the English Civil War, much of the book
is occupied with demonstrating the necessity of a strong central
authority to avoid the evil of discord and civil war.
Beginning from a mechanistic understanding of human beings and

the passions, Hobbes postulates what life would be like without
government, a condition which he calls the state of nature. In that
state, each person would have a right, or license, to everything in the
world. This, Hobbes argues, would lead to a "war of all against all."
In such a state, people fear death and lack both the things necessary
to commodious living and the hope of being able to toil to obtain
them. So, in order to avoid it, people accede to a social contract and
establish a civil society. According to Hobbes, society is a population
beneath a sovereign authority, to whom all individuals in that society
cede some rights for the sake of protection. Any power exercised by
this authority cannot be resisted because the protector's sovereign
power derives from individuals' surrendering their own sovereign
power for protection. The individuals are thereby the authors of all
decisions made by the sovereign. There is no doctrine of separation
of powers in Hobbes's discussion. According to Hobbes, the
sovereign must control civil, military, judicial, and ecclesiastical
powers.
Thomas Hobbes by J ohn Michael
W right, circa 1669-167 0, National
Portrait Gallery, London
Hobbes was one of the founders of modern political philosophy and
political science. He also contributed to a diverse array of other
fields, including history, geometry, the physics of gases, theology,
ethics, and general philosophy.
Natural Rights
Hobbes also included a discussion of natural rights in his moral and
political philosophy. His' conception of natural rights extended from
his conception of man in a "state of nature." He argued that the
essential natural (human) right was "to use his own power, as he will
himself, for the preservation of his own Nature; that is to say, of his
own Life (...)." Hobbes sharply distinguished this natural "liberty"
from natural "laws." In his natural state, man's life consisted entirely
of liberties and not at all of laws, which leads to the world of chaos
created by unlimited rights. Consequently, if humans wish to live
peacefully, they must give up most of their natural rights and create
moral obligations in order to establish political and civil society.
Hobbes objected to the attempt to derive rights from "natural law,"

arguing that law ("lex") and right ("jus") though often confused,
signify opposites, with law referring to obligations, while rights refer
to the absence of obligations. Since by our (human) nature, we seek
to maximize our well being, rights are prior to law, natural or
institutional, and people will not follow the laws of nature without first
being subjected to a sovereign power, without which all ideas of right
and wrong are meaningless. This marked an important departure
from medieval natural law theories which gave precedence to
obligations over rights.
19.4.2: J ohn Locke

John Locke, an English philosopher and physician, is regarded as
one of the most influential Enlightenment thinkers, whose work
greatly contributed to the development of the notions of social
contract and natural rights.
Learning Objective
Explain Locke's conception of the social contract
Key Points
John Locke was an English philosopher and physician, widely
regarded as one of the most influential of Enlightenment
thinkers, and commonly known as the "Father of
Liberalism." His writings were immensely influential for the
development of social contract theory.
Two Treatises of G overnment, Locke's most important work on
political theory, is divided into the First Treatise and the Second
Treatise. The First Treatise is focused on the refutation of Sir
Robert Filmer, in particular his Patriarcha, which argued that civil
society was founded on a divinely sanctioned patriarchalism.
The Second Treatise outlines a theory of civil society.
Locke's political theory was founded on social contract theory.
He believed that human nature is characterized by reason and
tolerance, but he assumed that the sole right to defend in the
state of nature was not enough, so people established a civil
society to resolve conflicts in a civil way with help from
government in a state of society.
Locke's conception of natural rights is captured in his best
known statement that individuals have a right to protect their
"life, health, liberty, or possessions" and in his belief that the
natural right to property is derived from labor.
The debate continues among scholars over the disparities
between Locke's philosophical arguments and his personal
involvement in the slave trade and slavery in North American
colonies, and over whether his writings provide, in fact,
justification of slavery.
Key Terms
A theory or a model that typically posits that individuals have

consented, either explicitly or tacitly, to surrender some of their
freedoms and submit to the authority of the ruler or magistrate
(or to the decision of a majority), in exchange for protection of
their remaining rights.
Two Treatises of Government

A work of political philosophy published anonymously in 1689 by
John Locke. The first section attacks patriarchalism in the form
of sentence-by-sentence refutation of Robert Filmer's
Patriarcha, while the second outlines Locke's ideas for a more
civilized society based on natural rights and contract theory.
empiricism
A theory that states that knowledge comes only or primarily from

sensory experience. It is a fundamental part of the scientific
method that all hypotheses and theories must be tested against
observations of the natural world, rather than resting solely on a
priori reasoning, intuition, or revelation.
natural rights

restrained by human laws).
Rye House Plot
A 1683 plan to assassinate King Charles II of England and his

brother (and heir to the throne) James, Duke of York. Historians
vary in their assessment of the degree to which details of the
conspiracy were finalized.
J ohn Locke: Introduction

John Locke was an English philosopher and physician, widely
regarded as one of the most influential of Enlightenment thinkers and
commonly known as the "Father of Liberalism." Considered one of
the first of the British empiricists, he is equally important to social
contract theory. His work greatly affected the development of
epistemology and political philosophy. His writings influenced
V oltaire and Rousseau, many Scottish Enlightenment thinkers, as
well as the American revolutionaries. His contributions to classical
republicanism and liberal theory are reflected in the United States
Declaration of Independence.
Locke was born in 1632 in Wrington, Somerset, about 12 miles from

Bristol, and grew up in the nearby town of Pensford. In 1647, he was
sent to the prestigious Westminster School in London, and after
completing studies there, he was admitted to Christ Church, Oxford
in 1652. Although a capable student, Locke was irritated by the
undergraduate curriculum of the time. He found the works of modern
philosophers, such as René Descartes, more interesting than the
classical material taught at the university. Through a friend, Locke
was introduced to medicine and the experimental philosophy being
pursued at other universities and in the Royal Society, of which he
eventually became a member. In 1667, he moved to London to serve
as a personal physician, and to resume his medical studies. He also
served as Secretary of the Board of Trade and Plantations and
Secretary to the Lords Proprietor of Carolina, which helped to shape
his ideas on international trade and economics. Locke fled to the
Netherlands in 1683, under strong suspicion of involvement in the
Rye House Plot, although there is little evidence to suggest that he
was directly involved in the scheme. In the Netherlands, he had time
to return to his writing, although the bulk of Locke's publishing took
place upon his return from exile in 1688. He died in 1704. Locke
never married nor had children.
Portrait of J ohn Locke, by Sir Godfrey
Kneller,1697 , State Hermitage
Museum, St. Petersburg, Russia
Locke's theory of mind has been as influential as his political theory,
and is often cited as the origin of modern conceptions of identity and
the self. Locke was the first to define the self through a continuity of
consciousness. He postulated that, at birth, the mind was a blank
slate or tabula rasa. Contrary to Cartesian philosophy based on pre-
existing concepts, he maintained that we are born without innate
ideas, and that knowledge is instead determined only by
experience derived from sense perceptions.
Two Treatises of Government
Two Treatises of G overnment, Locke's most important and influential
work on political theory, was first published anonymously in 1689. It
is divided into the First Treatise and the Second Treatise. The First
Treatise is focused on the refutation of Sir Robert Filmer, in particular
his Patriarcha, which argued that civil society was founded on a
divinely sanctioned patriarchalism. Locke proceeds through Filmer's
arguments, contesting his proofs from Scripture and ridiculing them
as senseless, until concluding that no government can be justified by
an appeal to the divine right of kings. The Second Treatise outlines a
theory of civil society. Locke begins by describing the state of nature,
a picture much more stable than Thomas Hobbes' state of "war of
every man against every man," and argues that all men are created
equal in the state of nature by God. He goes on to explain the
hypothetical rise of property and civilization, in the process
explaining that the only legitimate governments are those that have
the consent of the people. Therefore, any government that rules
without the consent of the people can, in theory, be overthrown.
Locke's political theory was founded on social contract theory. Unlike

Hobbes, Locke believed that human nature is characterized by
reason and tolerance. Similarly to Hobbes, he assumed that the sole
right to defend in the state of nature was not enough, so people
established a civil society to resolve conflicts in a civil way with help
from government in a state of society. However, Locke never refers
to Hobbes by name and may instead have been responding to other
writers of the day. He also advocated governmental separation of
powers, and believed that revolution is not only a right but an
obligation in some circumstances. These ideas would come to have
profound influence on the Declaration of Independence and the
Constitution of the United States. However, Locke did not demand a
republic. Rather, he believed a legitimate contract could easily exist
between citizens and a monarchy, an oligarchy, or in some mixed
form.
Natural Rights
Locke's conception of natural rights is captured in his best known
statement that individuals have a right to protect their "life, health,
liberty, or possessions" and in his belief that the natural right to
property is derived from labor. He defines the state of nature as a
condition, in which humans are rational and follow natural law, and in
which all men are born equal with the right to life, liberty and
property. However, when one citizen breaks the Law of Nature, both
the transgressor and the victim enter into a state of war, from which it
is virtually impossible to break free. Therefore, Locke argued that
individuals enter into civil society to protect their natural rights via an
"unbiased judge" or common authority, such as courts.
Constitution of Carolina and

V iews on Slavery
Locke's writings have often been tied to liberalism, democracy, and
the foundation of the United States as the first modern democratic
republic. However, historians also note that Locke was a major
investor in the English slave-trade through the Royal African
Company. In addition, he participated in drafting the Fundamental
Constitutions of Carolina, which established a feudal aristocracy and
gave a master absolute power over his slaves. Because of his
opposition to aristocracy and slavery in his major writings, some
historians accuse Locke of hypocrisy and racism, and point out that
his idea of liberty is reserved to Europeans or even the European
capitalist class only. The debate continues among scholars over the
disparities between Locke's philosophical arguments and his
personal involvement in the slave trade and slavery in North
American colonies, and over whether his writings provide, in fact,
justification of slavery.
19.4.3: Baron de Montesquieu
Montesquieu was a French political philosopher of the Enlightenment
period, whose articulation of the theory of separation of powers is
implemented in many constitutions throughout the world.
Learning Objective
Describe Montesquieu's solution for keeping power from falling into
the hands of any one individual
Key Points
Montesquieu was a French lawyer, man of letters, and one of
the most influential political philosophers of the Age of
Enlightenment. His political theory work, particularly the idea of
separation of powers, shaped the modern democratic
government.
The Spirit of the Laws is a treatise on political theory that was
first published anonymously by Montesquieu in 1748.
Montesquieu covered many topics, including the law, social life,
and the study of anthropology, and provided more than 3,000
commendations.
In this political treatise, Montesquieu pleaded in favor of a
constitutional system of government and the separation of
powers, the ending of slavery, the preservation of civil liberties
and the law, and the idea that political institutions should reflect
the social and geographical aspects of each community.
Montesquieu defines three main political systems: republican,
monarchical, and despotic. As he defines them, republican
political systems vary depending on how broadly they extend
citizenship rights.
Another major theme in The Spirit of Laws concerns political
liberty and the best means of preserving it. Establishing political
liberty requires two things: the separation of the powers of
government, and the appropriate framing of civil and criminal
laws so as to ensure personal security.
Montesquieu argues that the executive, legislative, and judicial
functions of government (the so-called tripartite system) should
be assigned to different bodies, so that attempts by one branch
of government to infringe on political liberty might be restrained
by the other branches (checks and balances). He also argues
against slavery and for the freedom of thought, speech,
and assembly.
Key Terms
The Spirit of the Laws
A treatise on political theory first published anonymously by

Montesquieu in 1748. In it, Montesquieu pleaded in favor of a
constitutional system of government and the separation of
powers, the ending of slavery, the preservation of civil liberties
and the law, and the idea that political institutions ought to
reflect the social and geographical aspects of each community.
separation of powers
A model for the governance of a state (or who controls the

state), first proposed in ancient Greece and developed and
modernized by the French political philosopher Montesquieu.
Under this model, the state is divided into branches, each with
separate and independent powers and areas of responsibility so
that the powers of one branch are not in conflict with the powers
associated with the other branches. The typical division of
branches is legislature, executive, and judiciary.
Glorious Revolution
The overthrow of King James II of England (James V II of

Scotland and James II of Ireland) by a union of English
Parliamentarians with the Dutch stadtholder William III of
Orange-Nassau (William of Orange). William's successful
invasion of England with a Dutch fleet and army led to his
ascending of the English throne as William III of England jointly
with his wife Mary II of England, in conjunction with the
documentation of the Bill of Rights 1689.
Index Librorum Prohibitorum
A list of publications deemed heretical, anti-clerical, or

lascivious, and therefore banned by the Catholic Church.
Introduction: Montesquieu
Baron de Montesquieu, usually referred to as simply Montesquieu,
was a French lawyer, man of letters, and one of the most influential
political philosophers of the Age of Enlightenment. He was born in
France in 1689. After losing both parents at an early age, he became
a ward of his uncle, the Baron de Montesquieu. He became a
counselor of the Bordeaux Parliament in 1714. A year later, he
married Jeanne de Lartigue, a Protestant, who bore him three
children. Montesquieu's early life occurred at a time of significant
governmental change. England had declared itself a constitutional
monarchy in the wake of its Glorious Revolution (1688-89), and had
joined with Scotland in the Union of 1707 to form the Kingdom of
Great Britain. In France, the long-reigning Louis X IV died in 1715,
and was succeeded by five year-old Louis X V . These national
transformations had a great impact on Montesquieu, who would refer
to them repeatedly in his work. Montesquieu withdrew from the
practice of law to devote himself to study and writing.
Besides writing works on society and politics, Montesquieu traveled

for a number of years through Europe, including Austria and
Hungary, spending a year in Italy and 18 months in England, where
he became a freemason before resettling in France. He was troubled
by poor eyesight and was completely blind by the time he died from
a high fever in 1755.
Montesquieu, portrait by an unknown
artist, c. 17 27
Montesquieu is famous for his articulation of the theory of separation
of powers, which is implemented in many constitutions throughout
the world. He is also known for doing more than any other author to
secure the place of the word "despotism" in the political lexicon.
The Spirit of Laws

The Spirit of the Laws is a treatise on political theory first published
anonymously by Montesquieu in 1748. The book was originally
published anonymously partly because Montesquieu's works were
subject to censorship, but its influence outside France grew with
rapid translation into other languages. In 1750, Thomas Nugent
published the first English translation. In 1751, the Catholic Church
added it to its Index Librorum Prohibitorum (list of prohibited books).
Yet Montesquieu's political treatise had an enormous influence on
the work of many others, most notably the founding fathers of the
United States Constitution, and Alexis de Tocqueville, who applied
Montesquieu's methods to a study of American society in
Democracy in America.
Montesquieu spent around 21 years researching and writing The

Spirit of the Laws, covering many things, including the law, social life,
and the study of anthropology, and providing more than 3,000
commendations. In this political treatise, Montesquieu pleaded in
favor of a constitutional system of government and the separation of
powers, the ending of slavery, the preservation of civil liberties and
the law, and the idea that political institutions should reflect the social
and geographical aspects of each community.
Montesquieu defines three main political systems: republican,

monarchical, and despotic. As he defines them, republican political
systems vary depending on how broadly they extend citizenship
rights—those that extend citizenship relatively broadly are termed
democratic republics, while those that restrict citizenship more
narrowly are termed aristocratic republics. The distinction between
monarchy and despotism hinges on whether or not a fixed set of
laws exists that can restrain the authority of the ruler. If so, the
regime counts as a monarchy. If not, it counts as despotism.
A second major theme in The Spirit of Laws concerns political liberty

and the best means of preserving it. Montesquieu's political liberty is
what we might call today personal security, especially insofar as this
is provided for through a system of dependable and moderate laws.
He distinguishes this view of liberty from two other, misleading views
of political liberty. The first is the view that liberty consists in
collective self-government (i.e., that liberty and democracy are the
same). The second is the view that liberty consists of being able to
do whatever one wants without constraint. Political liberty is not
possible in a despotic political system, but it is possible, though not
guaranteed, in republics and monarchies. Generally speaking,
establishing political liberty requires two things: the separation of the
powers of government, and the appropriate framing of civil and
criminal laws so as to ensure personal security.
Separation of Powers and

Appropriate Laws
Building on and revising a discussion in John Locke's Second
Treatise of G overnment, Montesquieu argues that the executive,
legislative, and judicial functions of government (the so-called
tripartite system) should be assigned to different bodies, so that
attempts by one branch of government to infringe on political liberty
might be restrained by the other branches (checks and balances).
Montesquieu based this model on the Constitution of the Roman
Republic and the British constitutional system. He took the view that
the Roman Republic had powers separated so that no one could
usurp complete power. In the British constitutional system,
Montesquieu discerned a separation of powers among the monarch,
Parliament, and the courts of law. He also notes that liberty cannot
be secure where there is no separation of powers, even in a
republic. Montesquieu also intends what modern legal scholars
might call the rights to "robust procedural due process," including
the right to a fair trial, the presumption of innocence, and
the proportionality in the severity of punishment. Pursuant to this
requirement to frame civil and criminal laws appropriately to ensure
political liberty, Montesquieu also argues against slavery and for the
freedom of thought, speech, and assembly.
19.4.4: V oltaire
V oltaire was a French Enlightenment writer, historian, and
philosopher, who attacked the Catholic Church and advocated
freedom of religion, freedom of expression, and separation of church
and state.
Learning Objective
Discuss V oltaire's thoughts on the masses and government
Key Points
V oltaire was a French Enlightenment writer, historian, and
philosopher famous for his wit, his attacks on the established
Catholic Church, and his advocacy of freedom of religion,
freedom of expression, and separation of church and state.
V oltaire's political and philosophical views can be found in
nearly all of his prose writings. Most of his prose was written as
polemics, with the goal of conveying radical political and
philosophical messages.
V oltaire's works frequently contain the word "l'infâ me" and the
expression "é crasez l'infâ me," or "crush the infamous." The
phrase refers to abuses of the people by royalty and the clergy,
and the superstition and intolerance that the clergy bred within
the people. His two most famous works elaborating the concept
are The Treatise on Tolerance and The Philosophical Dictionary.
V oltaire had an enormous influence on the development of
historiography through his demonstration of fresh new ways to
look at the past. His best-known works are The Age of Louis
X I V and The Essay on the Customs and the Spirit of the
Nations.
In his criticism of the French society and existing social
structures, V oltaire hardly spared anyone. He perceived the
French bourgeoisie to be too small and ineffective, the
aristocracy to be parasitic and corrupt, the commoners as
ignorant and superstitious, and the church as a static and
oppressive force.
V oltaire distrusted democracy, which he saw as propagating the
idiocy of the masses. He long thought only an enlightened
monarch could bring about change, and that it was in the king's
rational interest to improve the education and welfare of his
subjects.
Key Terms
Ancien Ré gime
The monarchic-aristocratic, social, and political system

established in the Kingdom of France from approximately the
15th century until the latter part of the 18th century ("early
modern France"), under the late V alois and Bourbon Dynasties.
The term is occasionally used to refer to the similar feudal social
and political order of the time elsewhere in Europe.
The Philosophical Dictionary
An encyclopedic dictionary published by V oltaire in 1764. The

alphabetically arranged articles often criticize the Roman
Catholic Church and other institutions. It represents the
culmination of V oltaire's views on Christianity, God, morality, and
other subjects.
The Treatise on Tolerance
A work by French philosopher V oltaire, published in 1763, in

which he calls for tolerance between religions, and targets
religious fanaticism, especially that of the Jesuits (under whom
V oltaire received his early education), indicting all
superstitions surrounding religions.
deism
A theological/philosophical position that combines the rejection

of revelation and authority as a source of religious knowledge,
with the conclusion that reason and observation of the natural
world are sufficient to determine the existence of a single
creator of the universe.
Introduction: V oltaire
Franç ois-Marie Arouet, known by his literary pseudonym V oltaire,
was a French Enlightenment writer, historian, and
philosopher famous for his wit, his attacks on the established
Catholic Church, and his advocacy of freedom of religion, freedom of
expression, and separation of church and state.
He was born in Paris in 1694 and educated by the Jesuits at the

Collè ge Louis-le-Grand (1704-1711). By the time he left school,
V oltaire had decided he wanted to be a writer, against the wishes of
his father, who wanted him to become a lawyer. Under his father's
pressure, he studied law but he continued to write, producing essays
and historical studies. In 1713, his father obtained a job for him as a
secretary to a French ambassador in the Netherlands, but V oltaire
was forced to return to France after a scandalous affair. From early
on, he had trouble with the authorities over his critiques of the
government. These activities were to result in two imprisonments
and a temporary exile to England. One satirical verse, in which
V oltaire accused Philippe II, Duke of Orlé ans, of incest with his own
daughter, led to an eleven-month imprisonment in the Bastille (after
which he adopted the name V oltaire). He mainly argued for religious
tolerance and freedom of thought. He campaigned to eradicate
priestly and aristocratic-monarchical authority, and supported a
constitutional monarchy that protects people's rights.
V oltaire, portrait by Nicolas de
Largilliè re, c. 17 24
V oltaire was a versatile writer, producing works in almost every
literary form, including plays, poems, novels, essays, and historical
and scientific works. He wrote more than 20,000 letters and more
than 2,000 books and pamphlets. He was an outspoken advocate of
several liberties, despite the risk this placed him in under the strict
censorship laws of the time. As a satirical polemicist, he frequently
made use of his works to criticize intolerance, religious dogma, and
the French institutions of his day.
Political and Philosophical
V iews
V oltaire's political and philosophical views can be found in nearly all
of his prose writings, even in what would be typically categorized as
fiction. Most of his prose, including such genres as romance, drama,
or satire, was written as polemics with the goal of conveying radical
political and philosophical messages. His works, especially private
letters, frequently contain the word "l'infâ me" and the expression
"é crasez l'infâ me," or "crush the infamous." The phrase refers to
abuses of the people by royalty and the clergy that V oltaire saw
around him, and the superstition and intolerance that the clergy bred
within the people. V oltaire's first major philosophical work in his
battle against "l'infâ me" was The Treatise on Tolerance (1763), in
which he calls for tolerance between religions and targets religious
fanaticism, especially that of the Jesuits, indicting all
superstitions surrounding religions. The book was quickly banned.
Only a year later, he published The Philosophical Dictionary— an
encyclopedic dictionary with alphabetically arranged articles that
criticize the Roman Catholic Church and other institutions. In it,
V oltaire is concerned with the injustices of the Catholic Church,
which he sees as intolerant and fanatical. At the same time, he
espouses deism, tolerance, and freedom of the press. The
Dictionary was V oltaire's lifelong project, modified and expanded
with each edition. It represents the culmination of his views on
Christianity, God, morality, and other subjects.
V oltaire as Historian
V oltaire had an enormous influence on the development of
historiography through his demonstration of fresh new ways to look
at the past. His best-known historiography works are The Age of
Louis X I V (1751) and The Essay on the Customs and the Spirit of
the Nations (1756). V oltaire broke from the tradition of narrating
diplomatic and military events, and emphasized customs, social
history, and achievements in the arts and sciences. The Essay
traced the progress of world civilization in a universal context,
thereby rejecting both nationalism and the traditional Christian frame
of reference. V oltaire was also the first scholar to make a serious
attempt to write the history of the world, eliminating theological
frameworks and emphasizing economics, culture, and political
history. He treated Europe as a whole, rather than a collection of
nations. He was the first to emphasize the debt of medieval culture
to Middle Eastern civilization, and consistently exposed the
intolerance and frauds of the church over the ages.
V iews on the Society

In his criticism of the French society and existing social structures,
V oltaire hardly spared anyone. He perceived the French bourgeoisie
to be too small and ineffective, the aristocracy to be parasitic and
corrupt, the commoners as ignorant and superstitious, and the
church as a static and oppressive force useful only on occasion as a
counterbalance to the rapacity of kings, although all too often, even
more rapacious itself. V oltaire distrusted democracy, which he saw
as propagating the idiocy of the masses. He long thought only an
enlightened monarch could bring about change, given the social
structures of the time and the extremely high rates of illiteracy, and
that it was in the king's rational interest to improve the education and
welfare of his subjects. But his disappointments and disillusions with
Frederick the Great changed his philosophy and soon gave birth to
one of his most enduring works, his novella Candide, or Optimism
(1759), which ends with a new conclusion: "It is up to us to cultivate
our garden."
He is remembered and honored in France as a courageous

polemicist who indefatigably fought for civil rights (as the right to a
fair trial and freedom of religion), and who denounced the
hypocrisies and injustices of the Ancien Ré gime. The Ancien Ré gime
involved an unfair balance of power and taxes between the three
Estates: clergy and nobles on one side, the commoners and middle
class, who were burdened with most of the taxes, on the other.
19.4.5 : J ean-J acques Rousseau

Jean-Jacques Rousseau was a Francophone Genevan philosopher
and writer, whose conceptualization of social contract, the theory of
natural human, and works on education greatly influenced the
political, philosophical, and social western tradition.
Learning Objective
Identify the components of Rousseau's philosophy, particularly the
idea of the General Will
Key Points
Jean-Jacques Rousseau was a Francophone Genevan
philosopher, writer, and composer. His political
philosophy influenced the Enlightenment in France and across
Europe. It was also important to the French Revolution and the
overall development of modern political and educational
thought.
In common with other philosophers of the day, Rousseau looked
to a hypothetical state of nature as a normative guide. In The
Discourse on the Origins of I neq uality Among Men, he
maintained that the stage of human development associated
with what he called "savages" was the best or optimal in human
development.
In his Discourse on the Moral Effects of the Arts and Sciences,
Rousseau argued, in opposition to the dominant stand of
Enlightenment thinkers, that the arts and sciences corrupt
human morality.
The Social Contract outlines the basis for a legitimate political
order within a framework of classical republicanism. Published
in 1762, it became one of the most influential works of political
philosophy in the western tradition.
Rousseau's philosophy of education concerns itself with
developing the students' character and moral sense, so that
they may learn to practice self-mastery and remain virtuous
even in the unnatural and imperfect society in which they will
have to live.
Rousseau was a believer in the moral superiority of the
patriarchal family on the antique Roman model. To him, ideal
woman is educated to be governed by her husband, while ideal
man is educated to be self-governing.
Key Terms
general will
A philosophical and political concept, developed and

popularized in the 18th century, that denoted the will of the
people as a whole. It served to designate the common interest
embodied in legal tradition, as distinct from, and transcending,
people’s private and particular interests at any particular time.
The Social Contract
A 1762 treatise by Jean-Jacques Rousseau, in which he

theorized the best way to establish a political community in the
face of the problems of commercial society. The work helped
inspire political reforms and revolutions in Europe. It argued
against the idea that monarchs were divinely empowered to
legislate. Rousseau asserts that only the people, who are
sovereign, have that all-powerful right.
Discourse on the Moral Effects of the Arts and Sciences

A 1750 treatise by Jean-Jacques Rousseau, which argued that
the arts and sciences corrupt human morality. It was Rousseau's
first expression of his influential views about nature vs. society,
to which he would dedicate most of his intellectual life.
state of nature
A concept used in moral and political philosophy, religion, social

contract theories, and international law to denote the
hypothetical conditions of what the lives of people might have
been like before societies came into existence. In some versions
of social contract theory, there are no rights in the state of
nature, only freedoms, and it is the contract that creates rights
and obligations. In other versions the opposite occurs— the
contract imposes restrictions upon individuals that curtail their
natural rights.
The Discourse on the Origins of Inequality Among Men
A work by philosopher Jean-Jacques Rousseau that first

exposes his conception of a human state of nature and of
human perfectibility, an early idea of progress. In it, Rousseau
explains how, according to him, people may have established
civil society, which leads him to present private property as the
original source and basis of all inequality.
"noble savage"
A literary stock character who embodies the concept of an

idealized indigene, outsider, or "other" who has not been
"corrupted" by civilization, and therefore symbolizes humanity's
innate goodness. In English, the phrase first appeared in the
17th century in John Dryden's heroic play The Conq uest of
G ranada (1672).
Introduction: J ean-J acques
Rousseau
Jean-Jacques Rousseau was a Francophone Genevan philosopher,
writer, and composer. His political philosophy influenced the
Enlightenment in France and across Europe. It was also important to
the French Revolution and the overall development of modern
political and educational thought.
Rousseau was born in 1712 in Geneva, which was at the time a city-
state and a Protestant associate of the Swiss Confederacy. His
mother died several days after he was born, and after his father
remarried a few years later, Jean-Jacques was left with his maternal
uncle, who packed him away, along with his own son, to board for
two years with a Calvinist minister in a hamlet outside Geneva. Here,
the boys picked up the elements of mathematics and drawing. After
his father and uncle had more or less disowned him, the teenage
Rousseau supported himself for a time as a servant, secretary, and
tutor, wandering in Italy and France. He had been an indifferent
student, but during his 20s, which were marked by long bouts of
hypochondria, he applied himself to the study of philosophy,
mathematics, and music. Rousseau spent his adulthood holding
numerous administrative positions and moving across Europe, often
to escape a controversy caused by his radical writings. His
relationships with various women had important impacts on his life
choices (e.g., temporary conversion to Catholicism) and inspired
many of his writings. His decision to place his five children (born
from a long-term domestic partnership with Thé rè se Levasseur) in a
shelter for abandoned children was widely criticized by his
contemporaries and generations to come, particularly in light of his
progressive works on education. Rousseau died in 1778.
J ean-J acques Rousseau, portrait by
Maurice Quentin de La Tour, c. 17 5 3
During the period of the French Revolution, Rousseau was the most
popular of the philosophers among members of the Jacobin Club.
Rousseau was interred as a national hero in the Panthé on in Paris,
in 1794, 16 years after his death.
The Theory of Natural Human

In common with other philosophers of the day, Rousseau looked to a
hypothetical state of nature as a normative guide. Contrary to
Thomas Hobbes' views, Rousseau holds that "uncorrupted morals"
prevail in the "state of nature." In The Discourse on the Origins of
I neq uality Among Men (1754), Rousseau maintained that man in a
state of nature had been a solitary, ape-like creature, who was not
mé chant (bad), as Hobbes had maintained, but (like some other
animals) had an "innate repugnance to see others of his kind suffer."
He asserted that the stage of human development associated with
what he called "savages" was the best or optimal in human
development, between the less-than-optimal extreme of brute
animals on the one hand, and the extreme of decadent civilization on
the other. Espousing the belief that all degenerates in men's hands,
Rousseau taught that men would be free, wise, and good in the state
of nature, and that instinct and emotion, when not distorted by the
unnatural limitations of civilization, are nature's voices and
instructions to the good life. Rousseau’s "noble savage" stands in
direct opposition to the man of culture (however, while Rousseau
discusses the concept, he never uses the phrase that appears in
other authors' writings of the period). In his Discourse on the Moral
Effects of the Arts and Sciences (1750), Rousseau argued, in
opposition to the dominant stand of Enlightenment thinkers, that the
arts and sciences corrupt human morality.
The Social Contract

The Social Contract outlines the basis for a legitimate political order
within a framework of classical republicanism. Published in 1762, it
became one of the most influential works of political philosophy in
the western tradition. Rousseau claimed that the state of nature was
a primitive condition without law or morality, which human beings left
for the benefits and necessity of cooperation. As society developed,
division of labor and private property required the human race to
adopt institutions of law. According to Rousseau, by joining together
into civil society through the social contract, and abandoning their
claims of natural right, individuals can both preserve themselves and
remain free. This is because submission to the authority of the
general will of the people as a whole guarantees individuals against
being subordinated to the wills of others, and also ensures that they
obey themselves because they are, collectively, the authors of the
law. The idea of general will denoted the will of the people as a
whole. It served to designate the common interest embodied in legal
tradition, as distinct from, and transcending, people’s private and
particular interests at any particular time.
Although Rousseau argues that sovereignty (or the power to make

the laws) should be in the hands of the people, he also makes a
sharp distinction between the sovereign and the government. He
posits that the political aspects of a society should be divided into
two parts. First, there must be a sovereign consisting of the whole
population, women included, that represents the general will and is
the legislative power within the state. The second division is that of
the government, being distinct from the sovereign. This division is
necessary because the sovereign cannot deal with particular matters
like applications of the law. Doing so would undermine its generality,
and therefore damage its legitimacy. Thus, government must remain
a separate institution from the sovereign body. When the
government exceeds the boundaries set in place by the people, it is
the mission of the people to abolish such government, and begin
anew.
Education Theory
Rousseau's philosophy of education, elaborated in his 1762 treatise
Emile, or On Education, concerns itself with developing the students'
character and moral sense, so that they may learn to practice self-
mastery and remain virtuous even in the unnatural and imperfect
society in which they will have to live. The hypothetical boy, É mile, is
to be raised in the countryside, which, Rousseau believes, is a more
natural and healthy environment than the city, under the
guardianship of a tutor, who will guide him through various learning
experiences arranged by the tutor. Rousseau felt that children learn
right and wrong through experiencing the consequences of their
acts, rather than through physical punishment. The tutor will make
sure that no harm results to É mile through his learning experiences.
Rousseau became an early advocate of developmentally appropriate
education.
Although many of Rousseau's ideas foreshadowed modern ones in

many ways, in one way they do not; Rousseau was a believer in the
moral superiority of the patriarchal family on the antique Roman
model. Sophie, the young woman É mile is destined to marry, as a
representative of ideal womanhood, is educated to be governed by
her husband, while É mile, as representative of the ideal man, is
educated to be self-governing. This is an essential feature of
Rousseau's educational and political philosophy, and particularly
important to the distinction between private, personal relations and
the public world of political relations. The private sphere as
Rousseau imagines it depends on the subordination of women, in
order for both it and the public political sphere (upon which it
depends) to function as Rousseau imagines it could and should.
Rousseau anticipated the modern idea of the bourgeois nuclear
family, with the mother at home taking responsibility for the
household, childcare, and early education.
19.4.6: Marquis de Condorcet

Although Marquis de Condorcet's ideas are considered to embody
the ideals of the Age of Enlightenment, his support of liberal
economy, free and equal public instruction, constitutionalism, and
equal rights for women and people of all races distinguish him from
most of his contemporaries.
Learning Objective
Compare and contrast the Marquis de Condorcet's thoughts on
popular rule with the other Enlightenment thinkers
Key Points
Marquis de Condorcet, was a French philosopher,
mathematician, and early political scientist. Unlike many of his
contemporaries, he advocated a liberal economy, free and equal
public instruction, constitutionalism, and equal rights for women
and people of all races.
He launched a career as a mathematician, soon reaching
international fame. However, his political ideas, particularly that
of radical democracy and opposition to slavery, were criticized
heavily in the English-speaking world.
Condorcet took a leading role when the French Revolution
swept France in 1789. He hoped for a rationalist reconstruction
of society, and championed many liberal causes, including
women's suffrage.
Condorcet's Sketch for a Historical Picture of the Progress of
the Human Spirit is perhaps the most influential formulation of
the Idea of Progress ever written. It narrates the history of
civilization as one of progress in the sciences, and shows the
intimate connection between scientific progress and the
development of human rights and justice.
According to Condorcet, for republicanism to exist the nation
needed enlightened citizens, and education needed democracy
to become truly public. In order to educate citizens, he proposed
a system of free public education.
Key Terms
Idea of Progress
In intellectual history, the idea that advances in technology,

science, and social organization can produce an improvement in
the human condition. That is, people can become better, in
terms of quality of life (social progress), through economic
development (modernization), and the application of science
and technology (scientific progress). The assumption is that the
process will happen once people apply their reason and skills,
for it is not divinely foreordained.
rationalism
In epistemology, the view that regards reason as the chief

source and test of knowledge, or any view appealing to reason
as a source of knowledge or justification. More formally, it is
defined as a methodology, or a theory, in which the criterion of
the truth is not a result of experience but of intellect and
deduction.
Marquis de Condorcet: The

Radical of the Enlightenment
Nicolas de Condorcet, known also as Marquis de Condorcet, was a
French philosopher, mathematician, and early political scientist.
Unlike many of his contemporaries, he advocated a liberal economy,
free and equal public instruction, constitutionalism, and equal
rights for women and people of all races. Although his ideas and
writings are considered to embody the ideals of the Age of
Enlightenment and rationalism, they were much more radical that
those of most of his contemporaries, even those who were also seen
as radicals.
Condorcet was born in 1743 and raised by a devoutly religious

mother. He was educated at the Jesuit College in Reims and at the
Collè ge de Navarre in Paris, where he quickly showed his intellectual
ability and gained his first public distinctions in mathematics. From
1765 to 1774, he focused on science. In 1765, he published his first
work on mathematics, launching his career as a mathematician. In
1769, he was elected to the French Royal Academy of Sciences.
Condorcet worked with Leonhard Euler and Benjamin Franklin. He
soon became an honorary member of many foreign academies and
philosophic societies, but his political ideas, particularly that of
radical democracy, were criticized heavily in the English-speaking
world, most notably by John Adams. In 1781, Condorcet wrote a
pamphlet, Reflections on Negro Slavery, in which he denounced
slavery.
Portrait of Marquis de
Condorcet ( 17 43-17 94) by J ean-
Baptiste Greuz e, date unknown
Condorcet's political views, including suffrage of women, opposition
of slavery, equal rights regardless of race, or free public education,
were unique even in the context of many radical ideas proposed
during the Enlightenment period, He was also one of the first to
systematically apply mathematics in the social sciences.
Role in the French Revolution
Condorcet took a leading role when the French Revolution swept
France in 1789. He hoped for a rationalist reconstruction of society,
and championed many liberal causes. In 1792, he presented a
project for the reformation of the education system, aiming to create
a hierarchical structure, under the authority of experts who would
work as the guardians of the Enlightenment and who, independent of
power, would be the guarantors of public liberties. The project was
judged to be contrary to the republican and egalitarian virtues.
Condorcet also advocated women's suffrage for the new
government, publishing "For the Admission to the Rights of
Citizenship For Women" in 1790. This view went much further than
the views of other major Enlightenment thinkers, including the
champions of women's rights. Even Mary Wollstonecraft, a British
writer and philosopher who attacked gender oppression, pressed for
equal educational opportunities, and demanded "justice" and "rights
to humanity" for all, did not go as far as to demand equal political
rights for women.
At the time of the Trial of Louis X V I, Condorcet, who opposed the

death penalty but still supported the trial itself, spoke out against the
execution of the King during the public vote at the Convention. He
proposed to send the king to the galleys. Changing forces and shifts
in power among different revolutionary groups eventually positioned
largely independent Condorcet in the role of the critic of predominant
ideas. His political opponents branded him a traitor, and in 1793, a
warrant was issued for Condorcet's arrest. After a period of hiding,
he was captured and in 1794 he mysteriously died in prison.
The Idea of Progress

Condorcet's Sketch for a Historical Picture of the Progress of the
Human Spirit (1795) was perhaps the most influential formulation of
the Idea of Progress ever written. It narrates the history of civilization
as one of progress in the sciences, shows the intimate connection
between scientific progress and the development of human rights
and justice, and outlines the features of a future rational society
entirely shaped by scientific knowledge. It also made the notion of
progress a central concern of Enlightenment thought. Condorcet
argued that expanding knowledge in the natural and social sciences
would lead to an ever more just world of individual freedom, material
affluence, and moral compassion. He believed that through the use
of our senses and communication with others, knowledge could be
compared and contrasted as a way of analyzing our systems of
belief and understanding. None of Condorcet's writings refer to a
belief in a religion or a god who intervenes in human affairs. Instead,
he frequently wrote of his faith in humanity itself and its ability to
progress with the help of philosophers. He envisioned man as
continually progressing toward a perfectly utopian society. However,
he stressed that for this to be a possibility, man must unify
regardless of race, religion, culture, or gender.
Education and Rights

According to Condorcet, for republicanism to exist the nation needed
enlightened citizens, and education needed democracy to become
truly public. Democracy implied free citizens and ignorance was the
source of servitude. Citizens had to be provided with the necessary
knowledge to exercise their freedom and understand the rights and
laws that guaranteed their enjoyment. Although education could not
eliminate disparities in talent, all citizens, including women, had the
right to free education. In opposition to those who relied on
revolutionary enthusiasm to form the new citizens, Condorcet
maintained that revolution was not made to last, and that
revolutionary institutions were not intended to prolong the
revolutionary experience but to establish political rules and legal
mechanisms that would insure future changes without revolution. In
a democratic city there would be no Bastille to be seized. Public
education would form free and responsible citizens, not
revolutionaries.
19.4.7 : Mary W ollstonecraft
Mary Wollstonecraft was an English writer, philosopher, and
advocate of women's rights, whose focus on women's rights, and
particularly women's access to education, distinguished her from
most of male Enlightenment thinkers.
Learning Objective
Summarize the ways in which Wollstonecraft's philosophy differed
from the other Enlightenment thinkers
Key Points
Mary Wollstonecraft (1759-1797) was an English writer,
philosopher, and advocate of women's rights. She was the
major female voice of the Enlightenment. Until the late 20th
century, however, Wollstonecraft's life, received more attention
than her writing.
The majority of Wollstonecraft's early works focus on education.
She advocates educating children into the emerging middle-
class ethos: self-discipline, honesty, frugality, and social
contentment. She also advocates the education of women, a
controversial topic at the time and one which she would return to
throughout her career.
In response to Edmund Burke's Reflections on the Revolution in
France (1790), which was a defense of constitutional monarchy,
aristocracy, and the Church of England, Wollstonecraft's A
V indication of the Rights of Men (1790) attacks aristocracy and
advocates republicanism.
A V indication of the Rights of W oman (1792) is one of the
earliest works of feminist philosophy. In it, Wollstonecraft argues
that women ought to have an education commensurate with
their position in society, and claims that women are essential to
the nation because they educate its children and because they
could be "companions" to their husbands, rather than just wives.
Scholars of feminism still debate to what extent Wollstonecraft
was, indeed, a feminist; while she does call for equality between
the sexes in particular areas of life, such as morality, she does
not explicitly state that men and women are equal.
Wollstonecraft addresses her writings to the middle class, and
represents a class bias by her condescending treatment of the
poor.
Key Terms
A V indication of the Rights of Woman
A 1792 work by the 18th-century British feminist Mary

Wollstonecraft that is one of the earliest works of feminist
philosophy. In it, Wollstonecraft argues that women should have
an education commensurate with their position in society,
claiming that women are essential to the nation because they
educate its children and because they could be "companions" to
their husbands, rather than just wives.
Reflections on the Revolution in France
A political pamphlet written by the Irish statesman Edmund

Burke and published in 1790. One of the best-known intellectual
attacks against the French Revolution, it is a defining tract of
modern conservatism as well as an important contribution to
international theory.
A V indication of the Rights of Men
A 1790 political pamphlet written by the 18th-century British

feminist Mary Wollstonecraft, which attacks aristocracy and
advocates republicanism. It was the first response in a pamphlet
war sparked by the publication of Edmund Burke's Reflections
on the Revolution in France (1790), a defense of constitutional
monarchy, aristocracy, and the Church of England.
W oman's V oice at the Age of

Enlightenment
Mary Wollstonecraft (1759-1797) was an English writer, philosopher,
and advocate of women's rights. During her brief career, she wrote
novels, treatises, a travel narrative, a history of the French
Revolution, a conduct book, and a children's book. Until the late 20th
century, Wollstonecraft's life, which encompassed an illegitimate
child, passionate love affairs, and suicide attempts, received more
attention than her writing. After two ill-fated affairs, with Henry Fuseli
and Gilbert Imlay (by whom she had a daughter, Fanny Imlay),
Wollstonecraft married the philosopher William Godwin, one of the
forefathers of the anarchist movement. She died at the age of 38,
eleven days after giving birth to her second daughter, leaving behind
several unfinished manuscripts. The second daughter, Mary
Wollstonecraft Godwin, became an accomplished writer herself as
Mary Shelley, the author of Frankenstein.
After Wollstonecraft's death, her widower published a memoir (1798)

of her life, revealing her unorthodox lifestyle, which inadvertently
destroyed her reputation for almost a century. However, with the
emergence of the feminist movement at the turn of the twentieth
century, Wollstonecraft's advocacy of women's equality and critiques
of conventional femininity became increasingly important. Today,
Wollstonecraft is regarded as one of the founding feminist
philosophers, and feminists often cite both her life and work as
important influences.
Mary W ollstonecraft by J ohn Opie ( c.
17 97 ) , National Portrait Gallery,
London
Despite the controversial topic, the Rights of W oman received
favorable reviews and was a great success. It was almost
immediately released in a second edition in 1792, several American
editions appeared, and it was translated into French. It was only the
later revelations of her personal life that resulted in negative views
towards Wollstonecraft, which persisted for over a century.
Education Theory
The majority of Wollstonecraft's early works focus on education. She
assembled an anthology of literary extracts "for the improvement of
young women" entitled The Female Reader. In both her conduct
book Thoughts on the Education of Daughters (1 7 8 7 ) and her
children's book Original Stories from Real Life (1788), Wollstonecraft
advocates educating children into the emerging middle-class ethos
of self-discipline, honesty, frugality, and social contentment. Both
books also emphasize the importance of teaching children to reason,
revealing Wollstonecraft's intellectual debt to the important 17th-
century educational philosopher John Locke. Both texts also
advocate the education of women, a controversial topic at the time,
and one which she would return to throughout her career.
Wollstonecraft argues that well-educated women will be good wives
and mothers, and ultimately contribute positively to the nation.
A V indication of the Rights of Man

Published in response to Edmund Burke's Reflections on the
Revolution in France (1790), which was a defense of constitutional
monarchy, aristocracy, and the Church of England, and an attack on
Wollstonecraft's friend, Richard Price, Wollstonecraft's A V indication
of the Rights of Man (1790) attacks aristocracy and advocates
republicanism. Wollstonecraft attacked not only monarchy and
hereditary privilege, but also the gendered language that Burke used
to defend and elevate it. Burke associated the beautiful with
weakness and femininity, and the sublime with strength and
masculinity. Wollstonecraft turns these definitions against him,
arguing that his theatrical approach turn Burke's readers—the
citizens—into weak women who are swayed by show. In her first
unabashedly feminist critique, Wollstonecraft indicts Burke's defense
of an unequal society founded on the passivity of women.
In her arguments for republican virtue, Wollstonecraft invokes an

emerging middle-class ethos in opposition to what she views as the
vice-ridden aristocratic code of manners. Influenced by
Enlightenment thinkers, she believed in progress, and derides Burke
for relying on tradition and custom. She argues for rationality,
pointing out that Burke's system would lead to the continuation of
slavery, simply because it had been an ancestral tradition.
A V indication of the Rights of W oman

A V indication of the Rights of W oman (1792) is one of the earliest
works of feminist philosophy. In it, Wollstonecraft argues that women
ought to have an education commensurate with their position in
society, and then proceeds to redefine that position, claiming that
women are essential to the nation because they educate its children
and because they could be "companions" to their husbands rather
than just wives. Instead of viewing women as ornaments to society
or property to be traded in marriage, Wollstonecraft maintains that
they are human beings deserving of the same fundamental rights as
men. Large sections of the Rights of W oman respond vitriolically to
the writers, who wanted to deny women an education.
While Wollstonecraft does call for equality between the sexes in

particular areas of life, such as morality, she does not explicitly state
that men and women are equal. She claims that men and women
are equal in the eyes of God. However, such statements of equality
stand in contrast to her statements respecting the superiority of
masculine strength and valor. Her ambiguous position regarding the
equality of the sexes have since made it difficult to classify
Wollstonecraft as a modern feminist. Her focus on the rights of
women does distinguish Wollstonecraft from most of her male
Enlightenment counterparts. However, some of them, most notably
Marquis de Condorcet, expressed a much more explicit position on
the equality of men and women. Already in 1790, Condorcet
advocated women's suffrage.
Wollstonecraft addresses her text to the middle class, which she

describes as the "most natural state," and in many ways the Rights
of W oman is inflected by a bourgeois view of the world. It
encourages modesty and industry in its readers and attacks the
uselessness of the aristocracy. But Wollstonecraft is not necessarily
a friend to the poor. For example, in her national plan for education,
she suggests that, after the age of nine, the poor, except for those
who are brilliant, should be separated from the rich and taught in
another school.
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https://en.wikipedia.org/wiki/Thomas_Hobbes# /media/File:T
homas_Hobbes_(portrait).jpg. Wikipedia Public domain.
John Locke
"Two Treatises of Government."
https://en.wikipedia.org/wiki/Two_Treatises_of_Government
"Rye House Plot."
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CC BY-SA 3.0.
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"John Locke." https://en.wikipedia.org/wiki/John_Locke.
"Social contract."
BY-SA 3.0.
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ocke.png. Wikipedia Public domain.
Baron de Montesquieu
"Separation of powers."
https://en.wikipedia.org/wiki/Separation_of_powers.
"Index Librorum Prohibitorum."
https://en.wikipedia.org/wiki/Index_Librorum_Prohibitorum.
"The Spirit of the Laws."
https://en.wikipedia.org/wiki/The_Spirit_of_the_Laws.
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CC BY-SA 3.0.
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"Montesquieu_1.png."
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esquieu_1.png. Wikipedia CC BY-SA 3.0.
V oltaire
"V oltaire." https://en.wikipedia.org/wiki/V oltaire. Wikipedia
CC BY-SA 3.0.
"Deism." https://en.wikipedia.org/wiki/Deism. Wikipedia CC
BY-SA 3.0.
"Treatise on Tolerance."
https://en.wikipedia.org/wiki/Treatise_on_Tolerance.
"Dictionnaire philosophique."
https://en.wikipedia.org/wiki/Dictionnaire_philosophique.
"Ancien Ré gime."
https://en.wikipedia.org/wiki/Ancien_R%C3%A9gime.
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Marie_Arouet_dit_V oltaire_vers_1724-1725_-001.jpg."
https://en.wikipedia.org/wiki/V oltaire# /media/File:Nicolas_de
_Largilli%C3%A8re,_Fran%C3%A7ois-
Marie_Arouet_dit_V oltaire_(vers_1724-1725)_-001.jpg.
Jean-Jacques Rousseau
"State of nature."
https://en.wikipedia.org/wiki/State_of_nature. Wikipedia CC
BY-SA 3.0.
"Emile, or On Education."
https://en.wikipedia.org/wiki/Emile,_or_On_Education.
"The Social Contract."
https://en.wikipedia.org/wiki/The_Social_Contract.
"Discourse on the Arts and Sciences."
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ciences. Wikipedia CC BY-SA 3.0.
"Noble savage." https://en.wikipedia.org/wiki/Noble_savage.
"Jean-Jacques Rousseau."
https://en.wikipedia.org/wiki/Jean-Jacques_Rousseau.
"General will." https://en.wikipedia.org/wiki/General_will.
"Discourse on Inequality."
https://en.wikipedia.org/wiki/Discourse_on_Inequality.
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Jacques_Rousseau# /media/File:Jean-
Jacques_Rousseau_(painted_portrait).jpg. Wikipedia CC
BY-SA 3.0.
Marquis de Condorcet
"Women's rights."
https://en.wikipedia.org/wiki/Women%27s_rights. Wikipedia
CC BY-SA 3.0.
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https://en.wikipedia.org/wiki/Marquis_de_Condorcet.
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/File:Nicolas_de_Condorcet.PNG. Wikipedia CC BY-SA 3.0.
Mary Wollstonecraft
"A V indication of the Rights of Men."
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f_Men. Wikipedia CC BY-SA 3.0.
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CC BY-SA 3.0.
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CC BY-SA 3.0.
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e:Mary_Wollstonecraft_by_John_Opie_(c._1797).jpg.
20: The Protestant Reformation
20.1: Protestantism
20.1.1: Discontent with the Roman
Catholic Church
The Protestant Reformation was the schism within Western
Christianity initiated by Martin Luther, John Calvin, and other early
Protestants.
Learning Objective
Explain the main motivating factors behind the Protestant
Reformation
Key Points
The Reformation began as an attempt to reform the Roman
Catholic Church, by priests who opposed what they perceived
as false doctrines and ecclesiastic malpractice.
Following the breakdown of monastic institutions and
scholasticism in late medieval Europe, accentuated by the
Avignon Papacy, the Papal Schism, and the failure of the
Conciliar movement, the 16th century saw a great cultural
debate about religious reforms and later fundamental religious
values. John Wycliffe and Jan Hus were early opponents of
papal authority, and their work and views paved the way for the
Reformation.
Martin Luther was a seminal figure of the Protestant
Reformation who strongly disputed the sale of indulgences. His
Ninety-Five Theses criticized many of the doctrines and
practices of the Catholic Church.
The Roman Catholic Church responded with a Counter-
Reformation spearheaded by the new order of the Society of
Jesus (Jesuits), specifically organized to counter the Protestant
movement.
Key Terms
the Western Schism
A split within the Catholic Church from 1378 to 1418, when

several men simultaneously claimed to be the true pope.
Conciliar movement
A reform movement in the 14th-, 15th-, and 16th-century

Catholic Church that held that supreme authority in the church
resided with an Ecumenical council, apart from, or even against,
the pope. The movement emerged in response to the Western
Schism between rival popes in Rome and Avignon.
indulgences
In Catholic theology, a remission of the punishment that would

otherwise be inflicted for a previously forgiven sin as a natural
consequence of having sinned. They are granted for specific
good works and prayers in proportion to the devotion with which
those good works are performed or prayers recited.
Council of Trent
Council of the Roman Catholic Church set up in Trento, Italy, in

direct response to the Reformation.
ecclesiastic
One who adheres to a church-based philosophy.
doctrine
List of beliefs and teachings by the church.
The Protestant Reformation, often referred to simply as the

Reformation, was a schism from the Roman Catholic Church
initiated by Martin Luther and continued by other early Protestant
reformers in Europe in the 16th century.
Although there had been significant earlier attempts to reform the

Roman Catholic Church before Luther—such as those of Jan Hus,
Geert Groote, Thomas A Kempis, Peter Waldo, and John Wycliffe—
Martin Luther is widely acknowledged to have started the
Reformation with his 1517 work The Ninety-Five Theses.
Luther began by criticizing the selling of indulgences, insisting that

the pope had no authority over purgatory and that the Catholic
doctrine of the merits of the saints had no foundation in the gospel.
The Protestant position, however, would come to incorporate
doctrinal changes such as sola scriptura (by the scripture alone) and
sola fide (by faith alone). The core motivation behind these changes
was theological, though many other factors played a part, including
the rise of nationalism, the Western Schism that eroded faith in the
papacy, the perceived corruption of the Roman Curia, the impact of
humanism, and the new learning of the Renaissance that questioned
much traditional thought.
Roots of Unrest
Following the breakdown of monastic institutions and scholasticism
in late medieval Europe, accentuated by the Avignon Papacy, the
Papal Schism, and the failure of the Conciliar movement, the 16th
century saw a great cultural debate about religious reforms and later
fundamental religious values. These issues initiated wars between
princes, uprisings among peasants, and widespread concern over
corruption in the Church, which sparked many reform movement
within the church.
These reformist movements occurred in conjunction with economic,
political, and demographic forces that contributed to a growing
disaffection with the wealth and power of the elite clergy, sensitizing
the population to the financial and moral corruption of the secular
Renaissance church.
The major individualistic reform movements that revolted against

medieval scholasticism and the institutions that underpinned it were
humanism, devotionalism, and the observantine tradition. In
Germany, "the modern way," or devotionalism, caught on in the
universities, requiring a redefinition of God, who was no longer a
rational governing principle but an arbitrary, unknowable will that
could not be limited. God was now a ruler, and religion would be
more fervent and emotional. Thus, the ensuing revival of Augustinian
theology, stating that man cannot be saved by his own efforts but
only by the grace of God, would erode the legitimacy of the rigid
institutions of the church meant to provide a channel for man to do
good works and get into heaven.
Humanism, however, was more of an educational reform movement

with origins in the Renaissance's revival of classical learning and
thought. A revolt against Aristotelian logic, it placed great emphasis
on reforming individuals through eloquence as opposed to reason.
The European Renaissance laid the foundation for the Northern
humanists in its reinforcement of the traditional use of Latin as the
great unifying language of European culture. Since the breakdown of
the philosophical foundations of scholasticism, the new nominalism
did not bode well for an institutional church legitimized as an
intermediary between man and God. New thinking favored the notion
that no religious doctrine can be supported by philosophical
arguments, eroding the old alliance between reason and faith of the
medieval period laid out by Thomas Aquinas.
The great rise of the burghers (merchant class) and their desire to
run their new businesses free of institutional barriers or outmoded
cultural practices contributed to the appeal of humanist individualism.
To many, papal institutions were rigid, especially regarding their
views on just price and usury. In the north, burghers and monarchs
were united in their frustration for not paying any taxes to the nation,
but collecting taxes from subjects and sending the revenues
disproportionately to the pope in Italy.
Early Attempts at Reform

The first of a series of disruptive and new perspectives came from
John Wycliffe at Oxford University, one of the earliest opponents of
papal authority influencing secular power and an early advocate for
translation of the Bible into the common language. Jan Hus at the
University of Prague was a follower of Wycliffe and similarly objected
to some of the practices of the Roman Catholic Church. Hus wanted
liturgy in the language of the people (i.e. Czech), married priests,
and to eliminate indulgences and the idea of purgatory.
Hus spoke out against indulgences in 1412 when he delivered an

address entitled Q uaestio magistri J ohannis Hus de indulgentiis. It
was taken literally from the last chapter of Wycliffe's book, De
ecclesia, and his treatise, De absolutione a pena et culpa. Hus
asserted that no pope or bishop had the right to take up the sword in
the name of the Church; he should pray for his enemies and bless
those that curse him; man obtains forgiveness of sins by true
repentance, not money. The doctors of the theological faculty
replied, but without success. A few days afterward, some of Hus's
followers burnt the papal bulls. Hus, they said, should be obeyed
rather than the Church, which they considered a fraudulent mob of
adulterers and Simonists.
In response, three men from the lower classes who openly called the
indulgences a fraud were beheaded. They were later considered the
first martyrs of the Hussite Church. In the meantime, the faculty had
condemned the forty-five articles and added several other theses,
deemed heretical, that had originated with Hus. The king forbade the
teaching of these articles, but neither Hus nor the university
complied with the ruling, requesting that the articles should first be
proven to be un-scriptural. The tumults at Prague had stirred up a
sensation; papal legates and Archbishop Albik tried to persuade Hus
to give up his opposition to the papal bulls, and the king made an
unsuccessful attempt to reconcile the two parties.
Hus was later condemned and burned at the stake despite promise
of safe-conduct when he voiced his views to church leaders at the
Council of Constance (1414–1418). Wycliffe, who died in 1384, was
also declared a heretic by the Council of Constance, and his corpse
was exhumed and burned.
J an Hus burned at the stake
Execution of Jan Hus at the Council of Constance in 1415. His death
led to a radicalization of the Bohemian Reformation and to the
Hussite Wars in the Crown of Bohemia.
An image of John Hus being burned at the stake, surrounded by

both clergy and lay people.
The Creation of New Protestant
Churches
The Reformation led to the creation of new national Protestant
churches. The largest of the new church's groupings were the
Lutherans (mostly in Germany, the Baltics, and Scandinavia) and the
Reformed churches (mostly in Germany, France, Switzerland, the
Netherlands, and Scotland).
Response from the Catholic

Church to the Reformation
The Roman Catholic Church responded with a Counter-Reformation
initiated by the Council of Trent and spearheaded by the new order
of the Society of Jesus (Jesuits), specifically organized to counter
the Protestant movement. In general, Northern Europe, with the
exception of most of Ireland, turned Protestant. Southern Europe
remained Roman Catholic, while Central Europe was a site of fierce
conflict escalating to full-scale war.
Council of Trent by Pasquale Cati
Painting representing the artist's depiction of The Council of Trent. It
met for twenty-five sessions between December 13, 1545, and
December 4, 1563, in Trento (then the capital of the Prince-Bishopric
of Trent in the Holy Roman Empire), apart from the ninth to eleventh
sessions held in Bologna during 1547.
20.1.2: Luther and Protestantism

Martin Luther was a seminal figure in the Protestant Reformation; he
strongly disputed the claim that freedom from God's punishment for
sin could be purchased with money, famously argued in his Ninety-
five Theses of 1517.
Learning Objective
Describe Luther's criticisms of the Catholic Church
Key Points
Martin Luther was a German professor of theology, composer,
priest, monk and seminal figure in the Protestant Reformation.
Luther strongly disputed the claim that freedom from God's
punishment for sin could be purchased with money, called
indulgences, which he argued in his Ninety-five Theses of 1517.
When confronted by the church for his critiques, he refused to
renounce his writings and was excommunicated by the pope
and deemed an outlaw by the emperor.
Luther's translation of the Bible into the vernacular made it more
accessible to the laity, an event that had a tremendous impact
on both the church and German culture.
Key Terms
Ninety-five Theses
A list of propositions for an academic disputation written by

Martin Luther in 1517. They advanced Luther's positions against
what he saw as abusive practices by preachers selling plenary
indulgences, which were certificates that would reduce the
temporal punishment for sins committed by the purchaser or
their loved ones in purgatory.
excommunication
An institutional act of religious censure used to deprive,

suspend, or limit membership in a religious community or to
restrict certain rights within it.
indulgences
A way to reduce the amount of punishment one has to undergo

for sins, usually through the saying of prayers or good works,
which during the middle ages included paying for church
buildings or other projects.
Overview
Martin Luther (November 10, 1483–February 18, 1546) was a
German professor of theology, composer, priest, monk and seminal
figure in the Protestant Reformation. Luther came to reject several
teachings and practices of the Roman Catholic Church. He strongly
disputed the claim that freedom from God's punishment for sin could
be purchased with money, proposing an academic discussion of the
practice and efficacy of indulgences in his Ninety- five Theses of
1517. His refusal to renounce all of his writings at the demand of
Pope Leo X in 1520 and the Holy Roman Emperor Charles V at the
Diet of Worms in 1521 resulted in his excommunication by the pope
and condemnation as an outlaw by the emperor.
Luther taught that salvation and, subsequently, eternal life are not
earned by good deeds but are received only as the free gift of God's
grace through the believer's faith in Jesus Christ as redeemer from
sin. His theology challenged the authority and office of the pope by
teaching that the Bible is the only source of divinely revealed
knowledge from God, and opposed priestly intervention for the
forgiveness of sins by considering all baptized Christians to be a holy
priesthood. Those who identify with these, and all of Luther's wider
teachings, are called Lutherans, though Luther insisted on Christian
or Evangelical as the only acceptable names for individuals who
professed Christ.
His translation of the Bible into the vernacular (instead of Latin)

made it more accessible to the laity, an event that had a tremendous
impact on both the church and German culture. It fostered the
development of a standard version of the German language, added
several principles to the art of translation, and influenced the writing
of an English translation, the Tyndale Bible. His hymns influenced
the development of singing in Protestant churches. His marriage to
Katharina von Bora, a former nun, set a model for the practice of
clerical marriage, allowing Protestant clergy to marry.
In two of his later works, Luther expressed antagonistic views toward
Jews, writing that Jewish homes and synagogues should be
destroyed, their money confiscated, and their liberty curtailed.
Condemned by virtually every Lutheran denomination, these
statements and their influence on antisemitism have contributed to
his controversial status.
Portrait of Martin Luther

Martin Luther (1528) by Lucas Cranach the Elder.
Portrait of Martin Luther's face.
Personal Life
Martin Luther was born to Hans Luther and his wife Margarethe on
November 10, 1483, in Eisleben, Saxony, then part of the Holy
Roman Empire. Hans Luther was ambitious for himself and his
family, and he was determined to see Martin, his eldest son, become
a lawyer.
In 1501, at the age of nineteen, Martin entered the University of

Erfurt. In accordance with his father's wishes, he enrolled in law
school at the same university that year, but dropped out almost
immediately, believing that law represented uncertainty. Luther
sought assurances about life and was drawn to theology and
philosophy, expressing particular interest in Aristotle, William of
Ockham, and Gabriel Biel.
He was deeply influenced by two tutors, Bartholomaeus Arnoldi von

Usingen and Jodocus Trutfetter, who taught him to be suspicious of
even the greatest thinkers and to test everything himself by
experience. Philosophy proved to be unsatisfying, offering assurance
about the use of reason but no assurance about loving God, which to
Luther was more important. Reason could not lead men to God, he
felt, and he thereafter developed a love-hate relationship with
Aristotle over the latter's emphasis on reason. For Luther, reason
could be used to question men and institutions, but not God. Human
beings could learn about God only through divine revelation, he
believed, and scripture therefore became increasingly important to
him.
Luther dedicated himself to the Augustinian order, devoting himself

to fasting, long hours in prayer, pilgrimage, and frequent confession.
In 1507, he was ordained to the priesthood, and in 1508, von
Staupitz, first dean of the newly founded University of Wittenberg,
sent for Luther to teach theology. He was made provincial vicar of
Saxony and Thuringia by his religious order in 1515. This meant he
was to visit and oversee eleven monasteries in his province.
Start of the Reformation

In 1516, Johann Tetzel, a Dominican friar and papal commissioner
for indulgences, was sent to Germany by the Roman Catholic
Church to sell indulgences to raise money to rebuild St. Peter's
Basilica in Rome. Roman Catholic theology stated that faith alone,
whether fiduciary or dogmatic, cannot justify man; justification rather
depends only on such faith as is active in charity and good works.
The benefits of good works could be obtained by donating money to
the church.
On October 31, 1517, Luther wrote to his bishop, Albert of Mainz,

protesting the sale of indulgences. He enclosed in his letter a copy of
his "Disputation of Martin Luther on the Power and Efficacy of
Indulgences," which came to be known as the Ninety- five Theses.
Historian Hans Hillerbrand writes that Luther had no intention of
confronting the church, but saw his disputation as a scholarly
objection to church practices, and the tone of the writing is
accordingly "searching, rather than doctrinaire." Hillerbrand writes
that there is nevertheless an undercurrent of challenge in several of
the theses, particularly in Thesis 86, which asks, "Why does the
pope, whose wealth today is greater than the wealth of the richest
Crassus, build the basilica of St. Peter with the money of poor
believers rather than with his own money? "
The first thesis has become famous: "When our Lord and Master
Jesus Christ said, 'Repent,' he willed the entire life of believers to be
one of repentance." In the first few theses Luther develops the idea
of repentance as the Christian's inner struggle with sin rather than
the external system of sacramental confession.
In theses 41–47 Luther begins to criticize indulgences on the basis

that they discourage works of mercy by those who purchase them.
Here he begins to use the phrase, "Christians are to be taught..." to
state how he thinks people should be instructed on the value of
indulgences. They should be taught that giving to the poor is
incomparably more important than buying indulgences, that buying
an indulgence rather than giving to the poor invites God's wrath, and
that doing good works makes a person better while buying
indulgences does not.
Luther objected to a saying attributed to Johann Tetzel that "As soon

as the coin in the coffer rings, the soul from purgatory springs." He
insisted that, since forgiveness was God's alone to grant, those who
claimed that indulgences absolved buyers from all punishments and
granted them salvation were in error. Luther closes the Theses by
exhorting Christians to imitate Christ even if it brings pain and
suffering, because enduring punishment and entering heaven is
preferable to false security.
It was not until January 1518 that friends of Luther translated the
Ninety- five Theses from Latin into German and printed and widely
copied it, making the controversy one of the first to be aided by the
printing press. Within two weeks, copies of the theses had spread
throughout Germany; within two months, they had spread throughout
Europe.
Ninety-five Theses
1517 Nuremberg printing of the Ninety- five Theses as a placard, now
in the Berlin State Library.
A photo of a 1517 manuscript of the Luther's Ninety-five Thesis.
Ex communication and Later

Life
On June 15, 1520, the pope warned Luther, with the papal bull
Ex surge Domine, that he risked excommunication unless he
recanted forty-one sentences drawn from his writings, including the
Ninety- five Theses, within sixty days. That autumn, Johann Eck
proclaimed the bull in Meissen and other towns. Karl von Miltitz, a
papal nuncio, attempted to broker a solution, but Luther, who had
sent the pope a copy of On the Freedom of a Christian in October,
publicly set fire to the bull and decretals at Wittenberg on December
10, 1520, an act he defended in W hy the Pope and his Recent Book
are Burned and Assertions Concerning All Articles. As a
consequence, Luther was excommunicated by Pope Leo X on
January 3, 1521, in the bull Decet Romanum Pontificem.
The enforcement of the ban on the Ninety- five Theses fell to the
secular authorities. On April 18, 1521, Luther appeared as ordered
before the Diet of Worms. This was a general assembly of the
estates of the Holy Roman Empire that took place in Worms, a town
on the Rhine. It was conducted from January 28 to May 25, 1521,
with Emperor Charles V presiding. Prince Frederick III, Elector of
Saxony, obtained a safe conduct for Luther to and from the meeting.
Johann Eck, speaking on behalf of the empire as assistant of the

Archbishop of Trier, presented Luther with copies of his writings laid
out on a table and asked him if the books were his, and whether he
stood by their contents. Luther confirmed he was their author, but
requested time to think about the answer to the second question. He
prayed, consulted friends, and gave his response the next day:
Unless I am convinced by the testimony of the Scriptures or by

clear reason (for I do not trust either in the pope or in councils
alone, since it is well known that they have often erred and
contradicted themselves), I am bound by the Scriptures I have
quoted and my conscience is captive to the Word of God. I
cannot and will not recant anything, since it is neither safe nor
right to go against conscience. May God help me. Amen.
Over the next five days, private conferences were held to determine
Luther's fate. The emperor presented the final draft of the Edict of
Worms on May 25, 1521, which declared Luther an outlaw, banned
his literature, and required his arrest: "We want him to be
apprehended and punished as a notorious heretic." It also made it a
crime for anyone in Germany to give Luther food or shelter, and
permitted anyone to kill Luther without legal consequence.
By 1526, Luther found himself increasingly occupied in organizing a

new church, later called the Lutheran Church, and for the rest of his
life would continue building the Protestant movement.
An apoplectic stroke on February 18, 1546, deprived him of his

speech, and he died shortly afterwards, at 2:45 a.m., aged sixty-two,
in Eisleben, the city of his birth. He was buried in the Castle Church
in Wittenberg, beneath the pulpit.
20.1.3: Calvinism
Calvinism is a major branch of Protestantism that follows the
theological tradition and forms of Christian practice of John Calvin
and is characterized by the doctrine of predestination in the salvation
of souls.
Learning Objective
Compare and contrast Calvinism with Lutheranism
Key Points
theological tradition and forms of Christian practice of John
Calvin and other Reformation-era theologians.
Calvin's theological critiques mostly broke with the Roman
Catholic Church, but he differed from Luther on certain
theological points, such as the idea that Christ died only for the
elect instead of all humanity, like Luther believed.
Calvin's "Ordinances" of 1541 involved a collaboration of church
affairs with the Geneva city council and consistory to bring
morality to all areas of life. Geneva became the center of
Protestantism.
Protestantism also spread into France, where the Protestants
were derisively nicknamed "Huguenots," and this touched off
decades of warfare in France.
Calvin's I nstitutes of the Christian Religion (1536–1559) was
one of the most influential theologies of the era and was written
as an introductory textbook on the Protestant faith.
Key Terms
predestination
The doctrine that all events have been willed by God, usually
with reference to the eventual fate of the individual soul.
Five Points of Calvinism
The basic theological tenets of Calvinism.
Huguenots
A name for French Protestants, originally a derisive term.
Overview
theological tradition and forms of Christian practice of John Calvin
and other Reformation-era theologians.
Calvinists broke with the Roman Catholic Church but differed from
Lutherans on the real presence of Christ in the Eucharist, theories of
worship, and the use of God's law for believers, among other things.
Calvinism can be a misleading term because the religious tradition it
denotes is and has always been diverse, with a wide range of
influences rather than a single founder. The movement was first
called Calvinism by Lutherans who opposed it, and many within the
tradition would prefer to use the word Reformed. While the Reformed
theological tradition addresses all of the traditional topics of Christian
theology, the word Calvinism is sometimes used to refer to particular
Calvinist views on soteriology (the saving of the soul from sin and
death) and predestination, which are summarized in part by the Five
Points of Calvinism. Some have also argued that Calvinism as a
whole stresses the sovereignty or rule of God in all things, including
salvation. An important tenet of Calvinism, which differs from
Lutheranism, is that God only saves the "elect," a predestined group
of individuals, and that these elect are essentially guaranteed
salvation, but everyone else is damned.
J ohn Calvin
A portrait of John Calvin, one of the major figures in the Protestant
Reformation, by Holbein.
Portait of John Calvin

Origins and Rise of Calvinism
First-generation Reformed theologians include Huldrych Zwingli
(1484–1531), Martin Bucer (1491–1551), Wolfgang Capito (1478–
1541), John Oecolampadius (1482–1531), and Guillaume Farel
(1489–1565). These reformers came from diverse academic
backgrounds, but later distinctions within Reformed theology can
already be detected in their thought, especially the priority of
scripture as a source of authority. Scripture was also viewed as a
unified whole, which led to a covenantal theology of the sacraments
of baptism and the Lord's Supper as visible signs of the covenant of
grace. Another Reformed distinctive present in these theologians
was their denial of the bodily presence of Christ in the Lord's Supper.
Each of these theologians also understood salvation to be by grace
alone, and affirmed a doctrine of particular election (the teaching that
some people are chosen by God for salvation). Martin Luther and his
successor Philipp Melanchthon were undoubtedly significant
influences on these theologians, and to a larger extent later
Reformed theologians. The doctrine of justification by faith alone was
a direct inheritance from Luther.
Following the excommunication of Luther and condemnation of the

Reformation by the pope, the work and writings of John Calvin were
influential in establishing a loose consensus among various groups
in Switzerland, Scotland, Hungary, Germany, and elsewhere. After
the expulsion of Geneva's bishop in 1526, and the unsuccessful
attempts of the Berne reformer Guillaume (William) Farel, Calvin was
asked to use the organizational skill he had gathered as a student of
law to discipline the "fallen city." His "Ordinances" of 1541 involved a
collaboration of church affairs with the city council and consistory to
bring morality to all areas of life. After the establishment of the
Geneva academy in 1559, Geneva became the unofficial capital of
the Protestant movement, providing refuge for Protestant exiles from
all over Europe and educating them as Calvinist missionaries. These
missionaries dispersed Calvinism widely, and formed the French
Huguenots in Calvin's own lifetime, as well as caused the conversion
of Scotland under the leadership of the cantankerous John Knox in
1560. The faith continued to spread after Calvin's death in 1563, and
had reached as far as Constantinople by the start of the 17th
century.
Calvin's I nstitutes of the Christian Religion (1536–1559) was one of

the most influential theologies of the era. The book was written as an
introductory textbook on the Protestant faith for those with some
previous knowledge of theology, and covered a broad range of
theological topics, from the doctrines of church and sacraments to
justification by faith alone and Christian liberty. It vigorously attacked
the teachings Calvin considered unorthodox, particularly Roman
Catholicism, to which Calvin says he had been "strongly devoted"
before his conversion to Protestantism.
Controversies in France
Protestantism spread into France, where the Protestants were
derisively nicknamed "Huguenots," and this touched off decades of
warfare in France, after initial support by Henry of Navarre was lost
due to the "Night of the Placards" affair. Many French Huguenots,
however, still contributed to the Protestant movement, including
many who emigrated to the English colonies.
Though he was not personally interested in religious reform, Francis

I (1515–1547) initially maintained an attitude of tolerance arising
from his interest in the humanist movement. This changed in 1534
with the Affair of the Placards. In this act, Protestants denounced the
mass in placards that appeared across France, even reaching the
royal apartments. The issue of religious faith having been thrown into
the arena of politics, Francis was prompted to view the movement as
a threat to the kingdom's stability. This led to the first major phase of
anti-Protestant persecution in France, in which the Chambre Ardente
("Burning Chamber") was established within the Parliament of Paris
to handle the rise in prosecutions for heresy. Several thousand
French Protestants fled the country during this time, most notably
John Calvin, who settled in Geneva.
Calvin continued to take an interest in the religious affairs of his

native land and, from his base in Geneva, beyond the reach of the
French king, regularly trained pastors to lead congregations in
France. Despite heavy persecution by Henry II, the Reformed
Church of France, largely Calvinist in direction, made steady
progress across large sections of the nation, in the urban
bourgeoisie and parts of the aristocracy, appealing to people
alienated by the obduracy and the complacency of the Catholic
establishment.
Interior of a Calvinist Church

Calvinism has been known at times for its simple, unadorned
churches and lifestyles, as depicted in this painting by Emanuel de
Witte c.1661.
Painting of the interior of a Calvinist church, which is characterized

by large, arching windows and the lack of religious objects or
symbols.
Calvinist Theology
The "Five Points of Calvinism" summarize the faith's basic tenets,
although some historians contend that it distorts the nuance of
Calvin's own theological positions.
The Five Points:
1. "Total depravity" asserts that as a consequence of the fall of

man into sin, every person is enslaved to sin. People are not by
nature inclined to love God, but rather to serve their own
interests and to reject the rule of God. Thus, all people by their
own faculties are morally unable to choose to follow God and be
saved because they are unwilling to do so out of the necessity
of their own natures.
2. "Unconditional election" asserts that God has chosen from
eternity those whom he will bring to himself not based on
foreseen virtue, merit, or faith in those people; rather, his choice
is unconditionally grounded in his mercy alone. God has chosen
from eternity to extend mercy to those he has chosen and to
withhold mercy from those not chosen. Those chosen receive
salvation through Christ alone. Those not chosen receive the
just wrath that is warranted for their sins against God.
3. "Limited atonement" asserts that Jesus's substitutionary
atonement was definite and certain in its purpose and in what it
accomplished. This implies that only the sins of the elect were
atoned for by Jesus's death. Calvinists do not believe, however,
that the atonement is limited in its value or power, but rather that
the atonement is limited in the sense that it is intended for some
and not all. All Calvinists would affirm that the blood of Christ
was sufficient to pay for every single human being IF it were
God's intention to save every single human being.
4. "Irresistible grace" asserts that the saving grace of God is
effectually applied to those whom he has determined to save
(that is, the elect) and overcomes their resistance to obeying the
call of the gospel, bringing them to a saving faith. This means
that when God sovereignly purposes to save someone, that
individual certainly will be saved. The doctrine holds that this
purposeful influence of God's Holy Spirit cannot be resisted.
5. "Perseverance of the saints" asserts that since God is sovereign
and his will cannot be frustrated by humans or anything else,
those whom God has called into communion with himself will
continue in faith until the end.
20.1.4: The Anabaptists

The Anabaptists were a group of radical religious reformists formed
in Switzerland who suffered violent persecution by both Roman
Catholics and Protestants.
Learning Objective
Explain why the Anabaptists were ostracized by much of Europe
Key Points
Anabaptists are Christians who believe in delaying baptism until
the candidate confesses his or her faith in Christ, as opposed to
being baptized as an infant.
Anabaptists were heavily persecuted during the 16th century
and into the 17th century by both Protestants and Roman
Catholics, including being drowned and burned at the stake.
Anabaptists were often in conflict with civil society because part
of their belief was to follow scripture at all costs, no matter the
wishes of secular authority.
Continuing persecution in Europe was largely responsible for
the mass emigrations to North America by Amish, Hutterites,
and Mennonites, some of the major branches of Anabaptists.
Key Terms
Magisterial Protestants
A phrase that names the manner in which the Lutheran and

Calvinist reformers related to secular authorities, such as
princes, magistrates, or city councils; opposed to the Radical
Protestants.
infant baptism
The practice of baptizing infants or young children, sometimes

contrasted with what is called "believer's baptism," which is the
religious practice of baptizing only individuals who personally
confess faith in Jesus.
Ulrich Zwingli
A leader of the Reformation in Switzerland who clashed with the

Anabaptists.
Overview
Anabaptism is a Christian movement that traces its origins to the
Radical Reformation in Europe. Some consider this movement to be
an offshoot of European Protestantism, while others see it as
distinct.
Anabaptists are Christians who believe in delaying baptism until the

candidate confesses his or her faith in Christ, as opposed to being
baptized as an infant. The Amish, Hutterites, and Mennonites are
direct descendants of the movement. Schwarzenau Brethren,
Bruderhof, and the Apostolic Christian Church are considered later
developments among the Anabaptists.
The name Anabaptist means "one who baptizes again." Their

persecutors named them this, referring to the practice of baptizing
persons when they converted or declared their faith in Christ, even if
they had been "baptized" as infants. Anabaptists required that
baptismal candidates be able to make a confession of faith that was
freely chosen, and so rejected baptism of infants. The early
members of this movement did not accept the name Anabaptist,
claiming that infant baptism was not part of scripture and was
therefore null and void. They said that baptizing self-confessed
believers was their first true baptism. Balthasar Hubmaier wrote:
I have never taught Anabaptism...But the right baptism of Christ,

which is preceded by teaching and oral confession of faith, I
teach, and say that infant baptism is a robbery of the right
baptism of Christ.
Anabaptists were heavily persecuted during the 16th century and

into the 17th century because of their views on the nature of baptism
and other issues, by both Magisterial Protestants and Roman
Catholics.
Anabaptists were persecuted largely because of their interpretation

of scripture that put them at odds with official state church
interpretations and government. Most Anabaptists adhered to a
literal interpretation of the Sermon on the Mount, which precluded
taking oaths, participating in military actions, and participating in civil
government. Some who practiced re-baptism, however, felt
otherwise, and complied with these requirements of civil society.
They were thus technically Anabaptists, even though conservative
Amish, Mennonites, and Hutterites, and some historians, tend to
consider them as outside of true Anabaptism.
Spread of the Anabaptists 15 25 – 15 5 0
in Central Europe
After starting in Switzerland, Anabaptism spread to Tyrol (modern-
day Austria), South Germany, Moravia, the Netherlands, and
Belgium.
A map showing the spread of Anabaptists from 1525-1550, mostly

within the Holy Roman Empire.
Origins
Anabaptism in Switzerland began as an offshoot of the church
reforms instigated by Ulrich Zwingli. As early as 1522 it became
evident that Zwingli was on a path of reform preaching when he
began to question or criticize such Catholic practices as tithes, the
mass, and even infant baptism. Zwingli had gathered a group of
reform-minded men around him, with whom he studied classical
literature and the scriptures. However, some of these young men
began to feel that Zwingli was not moving fast enough in his reform.
The division between Zwingli and his more radical disciples became
apparent in an October 1523 disputation held in Zurich. When the
discussion of the mass was about to be ended without making any
actual change in practice, Conrad Grebel stood up and asked "what
should be done about the mass? " Zwingli responded by saying the
council would make that decision. At this point, Simon Stumpf, a
radical priest from Hongg, answered, saying, "The decision has
already been made by the Spirit of God."
This incident illustrated clearly that Zwingli and his more radical
disciples had different expectations. To Zwingli, the reforms would
only go as fast as the city council allowed them. To the radicals, the
council had no right to make that decision, but rather the Bible was
the final authority on church reform. Feeling frustrated, some of them
began to meet on their own for Bible study. As early as 1523, William
Reublin began to preach against infant baptism in villages
surrounding Zurich, encouraging parents to not baptize their
children.
The council ruled in this meeting that all who refused to baptize their
infants within one week should be expelled from Zurich. Since
Conrad Grebel had refused to baptize his daughter Rachel, born on
January 5, 1525, the council decision was extremely personal to him
and others who had not baptized their children. Thus, when sixteen
of the radicals met on Saturday evening, January 21, 1525, the
situation seemed particularly dark.
At that meeting Grebel baptized George Blaurock, and Blaurock in

turn baptized several others immediately. These baptisms were the
first "re-baptisms" known in the movement. This continues to be the
most widely accepted date posited for the establishment of
Anabaptism.
Anabaptism then spread to Tyrol (modern-day Austria), South

Germany, Moravia, the Netherlands, and Belgium.
Persecutions
Roman Catholics and Protestants alike persecuted the Anabaptists,
resorting to torture and execution in attempts to curb the growth of
the movement. The Protestants under Zwingli were the first to
persecute the Anabaptists, with Felix Manz becoming the first martyr
in 1527. On May 20, 1527, Roman Catholic authorities executed
Michael Sattler. King Ferdinand declared drowning (called the third
baptism) "the best antidote to Anabaptism." The Tudor regime, even
the Protestant monarchs (Edward V I of England and Elizabeth I of
England), persecuted Anabaptists, as they were deemed too radical
and therefore a danger to religious stability. The persecution of
Anabaptists was condoned by ancient laws of Theodosius I and
Justinian I that were passed against the Donatists, which decreed
the death penalty for any who practiced re-baptism. Martyrs Mirror,
by Thieleman J. van Braght, describes the persecution and
execution of thousands of Anabaptists in various parts of Europe
between 1525 and 1660. Continuing persecution in Europe was
largely responsible for the mass emigrations to North America by
Amish, Hutterites, and Mennonites.
Burning of an Anabaptist
The burning of a 16th-century Dutch Anabaptist, Anneken Hendriks,
who was charged by the Spanish Inquisition with heresy.
An etching of the burning of an Anabaptist, shown tied to a ladder,

being thrown into a large bonfire in a town square.
20.1.5 : The Anglican Church

Beginning with Henry V III in the 16th century, the Church of England
broke away from the authority of the pope and the Catholic Church.
Learning Objective
Describe the key developments of the English Reformation,
distinguishing it from the wider reformation movement in Europe.
Key Points
The English Reformation was associated with the wider process
of the European Protestant Reformation, though based on
Henry V III's desire for an annulment of his marriage, it was at
the outset more of a political affair than a theological dispute.
Having been refused an annulment by the pope, Henry
summoned parliament to deal with annulment, and the breaking
with Rome proceeded.
After Henry's death his son Edward V I was crowned, and the
reformation continued with the destruction and removal of decor
and religious features, which changed the church forever.
From 1553, under the reign of Henry's Roman Catholic
daughter, Mary I, the Reformation legislation was repealed, and
Mary sought to achieve reunion with Rome.
During Elizabeth I's reign, support for her father's idea of
reforming the church continued with some minor adjustments. In
this way, Elizabeth and her advisors aimed at a church that
found a middle ground.
Key Terms
Puritans
Group of English Protestants in the 16th and 17th centuries

founded by some exiles from the clergy shortly after the
accession of Elizabeth I of England.
annulment
Legal term for declaring a marriage null and void. Unlike

divorce, it is usually retroactive, meaning that this kind of
marriage is considered to be invalid from the beginning, almost
as if it had never taken place. They are closely associated with
the Catholic Church, which does not permit divorce, teaching
that marriage is a lifelong commitment that cannot be dissolved
through divorce.
nationalism
A belief, creed, or political ideology that involves an individual
identifying with, or becoming attached to, one's nation. In
Europe, people were generally loyal to the church or to a local
king or leader.
Canon Law
The body of laws and regulations made by ecclesiastical

authority (church leadership), for the government of a Christian
organization or church and its members.
Overview
The English Reformation was a series of events in 16th-century
England by which the Church of England broke away from the
authority of the pope and the Roman Catholic Church. The English
Reformation was, in part, associated with the wider process of the
European Protestant Reformation, a religious and political movement
that affected the practice of Christianity across most of Europe
during this period. Many factors contributed to the process—the
decline of feudalism and the rise of nationalism, the rise of the
common law, the invention of the printing press and increased
circulation of the Bible, and the transmission of new knowledge and
ideas among scholars, the upper and middle classes, and readers in
general. However, the various phases of the English Reformation,
which also covered Wales and Ireland, were largely driven by
changes in government policy, to which public opinion gradually
accommodated itself.
Role of Henry V III and Royal

Marriages
Henry V III ascended the English throne in 1509 at the age of
seventeen. He made a dynastic marriage with Catherine of Aragon,
widow of his brother, Arthur, in June 1509, just before his coronation
on Midsummer's Day. Unlike his father, who was secretive and
conservative, the young Henry appeared the epitome of chivalry and
sociability. An observant Roman Catholic, he heard up to five
masses a day (except during the hunting season). Of "powerful but
unoriginal mind," he let himself be influenced by his advisors from
whom he was never apart, by night or day. He was thus susceptible
to whoever had his ear.
This contributed to a state of hostility between his young

contemporaries and the Lord Chancellor, Cardinal Thomas Wolsey.
As long as Wolsey had his ear, Henry's Roman Catholicism was
secure; in 1521, he defended the Roman Catholic Church from
Martin Luther's accusations of heresy in a book he wrote—probably
with considerable help from the conservative Bishop of Rochester,
John Fisher—entitled The Defence of the Seven Sacraments, for
which he was awarded the title "Defender of the Faith" by Pope Leo
X . Wolsey's enemies at court included those who had been
influenced by Lutheran ideas, among whom was the attractive,
charismatic Anne Boleyn.
Anne arrived at court in 1522 from years in France, where she had
been educated by Queen Claude of France. Anne served as maid of
honor to Queen Catherine. She was a woman of "charm, style and
wit, with will and savagery which made her a match for Henry." By
the late 1520s, Henry wanted his marriage to Catherine annulled.
She had not produced a male heir who survived into adulthood, and
Henry wanted a son to secure the Tudor dynasty.
Henry claimed that this lack of a male heir was because his marriage
was "blighted in the eyes of God"; Catherine had been his late
brother's wife, and it was therefore against biblical teachings for
Henry to have married her—a special dispensation from Pope Julius
II had been needed to allow the wedding to take place. Henry argued
that this had been wrong and that his marriage had never been valid.
In 1527 Henry asked Pope Clement V II to annul the marriage, but
the pope refused. According to Canon Law the pope cannot annul a
marriage on the basis of a canonical impediment previously
dispensed. Clement also feared the wrath of Catherine's nephew,
Holy Roman Emperor Charles V , whose troops earlier that year had
sacked Rome and briefly taken the pope prisoner.
Portrait of Henry V III ( 1491– 15 47 )

Portrait by Hans Holbein the Younger, 1539–1540.
In 1529 the king summoned parliament to deal with annulment, thus

bringing together those who wanted reform but disagreed what form
it should take; it became known as the Reformation Parliament.
There were common lawyers who resented the privileges of the
clergy to summon laity to their courts, and there were those who had
been influenced by Lutheran evangelicalism and were hostile to the
theology of Rome; Thomas Cromwell was both.
Cromwell was a lawyer and a member of Parliament—a Protestant

who saw how Parliament could be used to advance the Royal
Supremacy, which Henry wanted, and to further Protestant beliefs
and practices Cromwell and his friends wanted.
The breaking of the power of Rome proceeded little by little starting

in 1531. The Act in Restraint of Appeals, drafted by Cromwell,
declared that clergy recognized Henry as the "sole protector and
Supreme Head of the Church and clergy of England." This declared
England an independent country in every respect.
Meanwhile, having taken Anne to France on a pre-nuptial

honeymoon, Henry married her in Westminster Abbey in January
1533.
Henry maintained a strong preference for traditional Catholic

practices and, during his reign, Protestant reformers were unable to
make many changes to the practices of the Church of England.
Indeed, this part of Henry's reign saw trials for heresy of Protestants
as well as Roman Catholics.
The Reformation during Edward

V I
When Henry died in 1547, his nine-year-old son, Edward V I,
inherited the throne. Under King Edward V I, more Protestant-
influenced forms of worship were adopted. Under the leadership of
the Archbishop of Canterbury, Thomas Cranmer, a more radical
reformation proceeded. Cranmer introduced a series of religious
reforms that revolutionized the English church from one that—while
rejecting papal supremacy—remained essentially Catholic to one
that was institutionally Protestant. All images in churches were to be
dismantled. Stained glass, shrines, and statues were defaced or
destroyed. Roods, and often their lofts and screens, were cut down
and bells were taken down. V estments were prohibited and either
burned or sold. Chalices were melted down or sold. The requirement
of the clergy to be celibate was lifted. Processions were banned and
ashes and palms were prohibited.
A new pattern of worship was set out in the Book of Common Prayer
(1549 and 1552). These were based on the older liturgy but
influenced by Protestant principles. Cranmer's formulation of the
reformed religion, finally divesting the communion service of any
notion of the real presence of God in the bread and the wine,
effectively abolished the mass. The publication of Cranmer's revised
prayer book in 1552, supported by a second Act of Uniformity,
"marked the arrival of the English Church at protestantism." The
prayer book of 1552 remains the foundation of the Church of
England's services. However, Cranmer was unable to implement all
these reforms once it became clear in the spring of 1553 that King
Edward, upon whom the whole Reformation in England depended,
was dying.
Catholic Restoration
From 1553, under the reign of Henry's Roman Catholic daughter,
Mary I, the Reformation legislation was repealed, and Mary sought to
achieve reunion with Rome. Her first Act of Parliament was to
retroactively validate Henry's marriage to her mother and so
legitimize her claim to the throne.
After 1555, the initial reconciling tone of the regime began to harden.
The medieval heresy laws were restored and 283 Protestants were
burned at the stake for heresy. Full restoration of the Catholic faith in
England to its pre-Reformation state would take time. Consequently,
Protestants secretly ministering to underground congregations were
planning for a long haul, a ministry of survival. However, Mary died in
November 1558, childless and without having made provision for a
Catholic to succeed her, undoing her work to restore the Catholic
Church in England.
Eliz abeth I
Following Mary's death, her half-sister Elizabeth inherited the throne.
One of the most important concerns during Elizabeth's early reign
was religion. Elizabeth could not be Catholic, as that church
considered her illegitimate, being born of Anne Boleyn. At the same
time, she had observed the turmoil brought about by Edward's
introduction of radical Protestant reforms. Communion with the
Catholic Church was again severed by Elizabeth. Chiefly she
supported her father's idea of reforming the church, but she made
some minor adjustments. In this way, Elizabeth and her advisors
aimed at a church that included most opinions.
Two groups were excluded in Elizabeth's Church of England. Roman

Catholics who remained loyal to the pope were not tolerated. They
were, in fact, regarded as traitors because the pope had refused to
accept Elizabeth as Queen of England. Roman Catholics were given
the hard choice of being loyal either to their church or their country.
For some priests it meant life on the run, and in some cases death
for treason.
The other group not tolerated were people who wanted reform to go
much further, and who finally gave up on the Church of England.
They could no longer see it as a true church. They believed it had
refused to obey the Bible, so they formed small groups of convinced
believers outside the church. One of the main groups that formed
during this time was the Puritans. The government responded with
imprisonment and exile to try to crush these "separatists."
20.1.6: The French W ars of Religion

The French Wars of Religion (1562–98) is the name of a period of
fighting between French Catholics and Protestants (Huguenots).
Learning Objective
Discuss how the patterns of warfare that took place in France
affected the Huguenots
Key Points
Protestant ideas were first introduced to France during the reign
of Francis I, who firmly opposed Protestantism, but continued to
try and seek a middle course until the later stages of his regime.
As the Huguenots gained influence and displayed their faith
more openly, Roman Catholic hostility to them grew, spurning
eight civil wars from 1562 to 1598.
The wars were interrupted by breaks in peace that only lasted
temporarily as the Huguenots' trust in the Catholic throne
diminished, and the violence became more severe and
Protestant demands became grander.
One of the most infamous events of the wars was the St.
Bartholomew's Day Massacre in 1572, when thousands of
Huguenots were killed by Catholics.
The pattern of warfare followed by brief periods of peace
continued for nearly another quarter-century. The proclamation
of the Edict of Nantes, and the subsequent protection of
Huguenot rights, finally quelled the uprisings.
Key Terms
Edict of Nantes
Issued on April 13, 1598, by Henry IV of France; granted the

Huguenots substantial rights in a nation still considered
essentially Catholic.
Huguenots
Members of the Protestant Reformed Church of France during

the 16th and 17th centuries; inspired by the writings of John
Calvin.
Real Presence
A term used in various Christian traditions to express belief that

in the Eucharist, Jesus Christ is really present in what was
previously just bread and wine, and not merely present in
symbol.
Overview
The French Wars of Religion (1562–1598) is the name of a period of
civil infighting and military operations primarily between French
Catholics and Protestants (Huguenots). The conflict involved the
factional disputes between the aristocratic houses of France, such
as the House of Bourbon and the House of Guise, and both sides
received assistance from foreign sources.
The exact number of wars and their respective dates are the subject
of continued debate by historians; some assert that the Edict of
Nantes in 1598 concluded the wars, although a resurgence of
rebellious activity following this leads some to believe the Peace of
Alais in 1629 is the actual conclusion. However, the Massacre of
V assy in 1562 is agreed to have begun the Wars of Religion; up to a
hundred Huguenots were killed in this massacre. During the wars,
complex diplomatic negotiations and agreements of peace were
followed by renewed conflict and power struggles.
Between 2,000,000 and 4,000,000 people were killed as a result of

war, famine, and disease, and at the conclusion of the conflict in
1598, Huguenots were granted substantial rights and freedoms by
the Edict of Nantes, though it did not end hostility towards them. The
wars weakened the authority of the monarchy, already fragile under
the rule of Francis II and then Charles IX , though the monarchy later
reaffirmed its role under Henry IV .
Introduction of Protestantism
Protestant ideas were first introduced to France during the reign of
Francis I (1515–1547) in the form of Lutheranism, the teachings of
Martin Luther, and circulated unimpeded for more than a year around
Paris. Although Francis firmly opposed heresy, the difficulty was
initially in recognizing what constituted it; Catholic doctrine and
definition of orthodox belief was unclear. Francis I tried to steer a
middle course in the developing religious schism in France.
Calvinism, a form of Protestant religion, was introduced by John

Calvin, who was born in Noyon, Picardy, in 1509, and fled France in
1536 after the Affair of the Placards. Calvinism in particular appears
to have developed with large support from the nobility. It is believed
to have started with Louis Bourbon, Prince of Condé , who, while
returning home to France from a military campaign, passed through
Geneva, Switzerland, and heard a sermon by a Calvinist preacher.
Later, Louis Bourbon would become a major figure among the
Huguenots of France. In 1560, Jeanne d'Albret, Queen regnant of
Navarre, converted to Calvinism possibly due to the influence of
Theodore de Beze. She later married Antoine de Bourbon, and their
son Henry of Navarre would be a leader among the Huguenots.
Affair of the Placards

Francis I continued his policy of seeking a middle course in the
religious rift in France until an incident called the Affair of the
Placards. The Affair of the Placards began in 1534 when Protestants
started putting up anti-Catholic posters. The posters were extreme in
their anti-Catholic content—specifically, the absolute rejection of the
Catholic doctrine of "Real Presence." Protestantism became
identified as "a religion of rebels," helping the Catholic Church to
more easily define Protestantism as heresy. In the wake of the
posters, the French monarchy took a harder stand against the
protesters. Francis I had been severely criticized for his initial
tolerance towards Protestants, and now was encouraged to repress
them.
Tensions Mount
King Francis I died on March 31, 1547, and was succeeded to the
throne by his son Henry II. Henry II continued the harsh religious
policy that his father had followed during the last years of his reign.
In 1551, Henry issued the Edict of Châ teaubriant, which sharply
curtailed Protestant rights to worship, assemble, or even discuss
religion at work, in the fields, or over a meal.
An organized influx of Calvinist preachers from Geneva and

elsewhere during the 1550s succeeded in setting up hundreds of
underground Calvinist congregations in France. This underground
Calvinist preaching (which was also seen in the Netherlands and
Scotland) allowed for the formation of covert alliances with members
of the nobility and quickly led to more direct action to gain political
and religious control.
As the Huguenots gained influence and displayed their faith more

openly, Roman Catholic hostility to them grew, even though the
French crown offered increasingly liberal political concessions and
edicts of toleration. However, these measures disguised the growing
tensions between Protestants and Catholics.
The Eight W ars of Religion

These tensions spurred eight civil wars, interrupted by periods of
relative calm, between 1562 and 1598. With each break in peace,
the Huguenots' trust in the Catholic throne diminished, and the
violence became more severe and Protestant demands became
grander, until a lasting cessation of open hostility finally occurred in
1598.
The wars gradually took on a dynastic character, developing into an

extended feud between the Houses of Bourbon and Guise, both of
which—in addition to holding rival religious views—staked a claim to
the French throne. The crown, occupied by the House of V alois,
generally supported the Catholic side, but on occasion switched over
to the Protestant cause when it was politically expedient.
St. Bartholomew's Day

Massacre
One of the most infamous events of the Wars of Religion was the St.
Bartholomew's Day Massacre of 1572, when Catholics killed
thousands of Huguenots in Paris. The massacre began on the night
of August 23, 1572 (the eve of the feast of Bartholomew the
Apostle), two days after the attempted assassination of Admiral
Gaspard de Coligny, the military and political leader of the
Huguenots. The king ordered the killing of a group of Huguenot
leaders, including Coligny, and the slaughter spread throughout
Paris and beyond. The exact number of fatalities throughout the
country is not known, but estimates are that between about 2,000
and 3,000 Protestants were killed in Paris, and between 3,000 and
7,000 more in the French provinces. Similar massacres took place in
other towns in the weeks following. By September 17, almost 25,000
Protestants had been massacred in Paris alone. Outside of Paris,
the killings continued until October 3. An amnesty granted in 1573
pardoned the perpetrators.
The massacre also marked a turning point in the French Wars of
Religion. The Huguenot political movement was crippled by the loss
of many of its prominent aristocratic leaders, as well as many re-
conversions by the rank and file, and those who remained were
increasingly radicalized.
St. Bartholomew Massacre painting

by Franç ois Dubois, a Huguenot
painter
Born circa 1529 in Amiens, Dubois settled in Switzerland. Although
Dubois did not witness the massacre, he depicts Admiral Coligny's
body hanging out of a window at the rear to the right. To the left rear,
Catherine de' Medici is shown emerging from the Châ teau du Louvre
to inspect a heap of bodies.
W ar of the Three Henrys

The War of the Three Henrys (1587–1589) was the eighth and final
conflict in the series of civil wars in France known as the Wars of
Religion. It was a three-way war fought between:
King Henry III of France, supported by the royalists and the

politiques;
King Henry of Navarre, leader of the Huguenots and heir-
presumptive to the French throne, supported by Elizabeth I of
England and the Protestant princes of Germany; and
Henry of Lorraine, Duke of Guise, leader of the Catholic League,
funded and supported by Philip II of Spain.
The war began when the Catholic League convinced King Henry III
to issue an edict outlawing Protestantism and annulling Henry of
Navarre's right to the throne. For the first part of the war, the royalists
and the Catholic League were uneasy allies against their common
enemy, the Huguenots. Henry of Navarre sought foreign aid from the
German princes and Elizabeth I of England.
Henry III successfully prevented the junction of the German and

Swiss armies. The Swiss were his allies, and had come to invade
France to free him from subjection, but Henry III insisted that their
invasion was not in his favor, but against him, forcing them to return
home.
In Paris, the glory of repelling the German and Swiss Protestants all
fell to the Duke of Guise. The king's actions were viewed with
contempt. People thought that the king had invited the Swiss to
invade, paid them for coming, and sent them back again. The king,
who had really performed the decisive part in the campaign, and
expected to be honored for it, was astounded that public voice
should thus declare against him. The Catholic League had put its
preachers to good use.
Open war erupted between the royalists and the Catholic League.
Charles, Duke of Mayenne, Guise's younger brother, took over the
leadership of the league. At the moment it seemed that he could not
possibly resist his enemies. His power was effectively limited to
Blois, Tours, and the surrounding districts. In these dark times the
King of France finally reached out to his cousin and heir, the King of
Navarre. Henry III declared that he would no longer allow
Protestants to be called heretics, while the Protestants revived the
strict principles of royalty and divine right. As on the other side ultra-
Catholic and anti-royalist doctrines were closely associated, so on
the side of the two kings the principles of tolerance and royalism
were united.
In July 1589, in the royal camp at Saint-Cloud, a Dominican monk

named Jacques Clé ment gained an audience with the King and
drove a long knife into his spleen. Clé ment was killed on the spot,
taking with him the information of who, if anyone, had hired him. On
his deathbed, Henri III called for Henry of Navarre, and begged him,
in the name of statecraft, to become a Catholic, citing the brutal
warfare that would ensue if he refused. He named Henry Navarre as
his heir, who became Henry IV .
Edict of Nantes
Fighting continued between Henry IV and the Catholic League for
almost a decade. The warfare was finally quelled in 1598 when
Henry IV recanted Protestantism in favor of Roman Catholicism,
issued as the Edict of Nantes. The edict established Catholicism as
the state religion of France, but granted the Protestants equality with
Catholics under the throne and a degree of religious and political
freedom within their domains. The edict simultaneously protected
Catholic interests by discouraging the founding of new Protestant
churches in Catholic-controlled regions. With the proclamation of the
Edict of Nantes, and the subsequent protection of Huguenot rights,
pressures to leave France abated.
In offering general freedom of conscience to individuals, the edict

gave many specific concessions to the Protestants, such as amnesty
and the reinstatement of their civil rights, including the right to work
in any field or for the state and to bring grievances directly to the
king. This marked the end of the religious wars that had afflicted
France during the second half of the 16th century.
20.1.7 : The W itch Trials

Between the 15th and 18th centuries in Europe, many people were
accused of and put on trial for practicing witchcraft.
Learning Objective
Demonstrate how natural events and pandemics contributed to the
hysteria surrounding the witch trials of the 16th through 18th
centuries
Key Points
In early modern Europe, there was widespread hysteria that
malevolent Satanic witches were operating as an organized
threat to Christianity. Those who were accused of witchcraft
were portrayed as being Devil worshipers.
In medieval Europe, the Black Death was a turning point in
peoples' views of witches. The death of a large percentage of
the European population was believed by many Christians to
have been caused by their enemies.
The peak of the witch hunt was during the European wars of
religion, peaking between about 1580 and 1630.
Over the entire duration of the trials, which spanned three
centuries, an estimated total of 40,000–100,000 people were
executed.
The Witch Trials of Trier in Germany was perhaps the biggest
witch trial in European history. It led to the death of about 386
people, and was perhaps the biggest mass execution in Europe
during peacetime.
While the witch trials had begun to fade out across much of
Europe by the mid-17th century, they became more prominent in
the American colonies.
An estimated 75% to 85% of those accused in the early modern
witch trials were women, and there is certainly evidence of
misogyny on the part of those persecuting witches.
Key Term
Johannes Kepler
A German mathematician, astronomer, astrologer, and key

figure in the 17th century scientific revolution.
The witch trials in the early modern period were a series of witch
hunts between the 15th and 18th centuries, when across early
modern Europe, and to some extent in the European colonies in
North America, there was a widespread hysteria that malevolent
Satanic witches were operating as an organized threat to
Christendom. Those accused of witchcraft were portrayed as being
worshippers of the Devil, who engaged in sorcery at meetings known
as Witches' Sabbaths. Many people were subsequently accused of
being witches and were put on trial for the crime, with varying
punishments being applicable in different regions and at different
times.
In early modern European tradition, witches were stereotypically,

though not exclusively, women. European pagan belief in witchcraft
was associated with the goddess Diana and dismissed as "diabolical
fantasies" by medieval Christian authors.
Background to the W itch Trials

During the medieval period, there was widespread belief in magic
across Christian Europe. The medieval Roman Catholic Church,
which then dominated a large swath of the continent, divided magic
into two forms—natural magic, which was acceptable because it was
viewed as merely taking note of the powers in nature that were
created by God, and demonic magic, which was frowned upon and
associated with demonology.
It was also during the medieval period that the concept of Satan, the
Biblical Devil, began to develop into a more threatening form. Around
the year 1000, when there were increasing fears that the end of the
world would soon come in Christendom, the idea of the Devil had
become prominent.
In the 14th and 15th centuries, the concept of the witch in

Christendom underwent a relatively radical change. No longer were
witches viewed as sorcerers who had been deceived by the Devil
into practicing magic that went against the powers of God. Instead
they became all-out malevolent Devil-worshippers, who had made
pacts with him in which they had to renounce Christianity and devote
themselves to Satanism. As a part of this, it was believed that they
gained new, supernatural powers that enabled them to work magic,
which they would use against Christians.
A W itch feeding her familiars

An image of a witch and her familiar spirits taken from a publication
that dealt with the witch trials of Elizabeth Stile, Mother Dutten,
Mother Devell, and Mother Margaret in Windsor, 1579.
While the witch trials only really began in the 15th century, with the
start of the early modern period, many of their causes had been
developing during the previous centuries, with the persecution of
heresy by the medieval Inquisition during the late 12th and the 13th
centuries, and during the late medieval period, during which the idea
of witchcraft or sorcery gradually changed and adapted. An
important turning point was the Black Death of 1348–1350, which
killed a large percentage of the European population, and which
many Christians believed had been caused by evil forces.
Beginnings of the W itch Trials

While the idea of witchcraft began to mingle with the persecution of
heretics even in the 14th century, the beginning of the witch hunts as
a phenomenon in its own right became apparent during the first half
of the 15th century in southeastern France and western Switzerland,
in communities of the Western Alps, in what was at the time
Burgundy and Savoy.
Here, the cause of eliminating the supposed Satanic witches from

society was taken up by a number of individuals; Claude Tholosan
for instance had tried over two hundred people, accusing them of
witchcraft in Brianç on, Dauphiné , by 1420.
While early trials fall still within the late medieval period, the peak of
the witch hunt was during the period of the European wars of
religion, between about 1580 and 1630. Over the entire duration of
the phenomenon of some three centuries, an estimated total of
40,000 to 100,000 people were executed.
The Trials of 15 8 0– 1630

The height of the European witch trials was between 1560 and 1630,
with the large hunts first beginning in 1609. During this period, the
biggest witch trials were held in Europe, notably the Trier witch trials
(1581–1593), the Fulda witch trials (1603–1606), the Basque witch
trials (1609–1611), the Wü rzburg witch trial (1626–1631), and the
Bamberg witch trials (1626–1631).
The Witch Trials of Trier in Germany was perhaps the biggest witch
trial in European history. The persecutions started in the diocese of
Trier in 1581 and reached the city itself in 1587, where they were to
lead to the deaths of about 368 people, and as such it was perhaps
the biggest mass execution in Europe during peacetime.
The Ex amination of a W itch by

Matteson
1853 painting by Thompkins H. Matteson, American painter.
In Denmark, the burning of witches increased following the

reformation of 1536. Christian IV of Denmark, in particular,
encouraged this practice, and hundreds of people were convicted of
witchcraft and burned. In England, the Witchcraft Act of 1542
regulated the penalties for witchcraft. In the North Berwick witch
trials in Scotland, over seventy people were accused of witchcraft on
account of bad weather when James V I of Scotland, who shared the
Danish king's interest in witch trials, sailed to Denmark in 1590 to
meet his betrothed, Anne of Denmark.
The sentence for an individual found guilty of witchcraft or sorcery

during this time, and in previous centuries, typically included either
burning at the stake or being tested with the "ordeal of cold water" or
j udicium aq uae frigidae. Accused persons who drowned were
considered innocent, and ecclesiastical authorities would proclaim
them "brought back," but those who floated were considered guilty of
practicing witchcraft, and burned at the stake or executed in an
unholy fashion.
Decline of the Trials

While the witch trials had begun to fade out across much of Europe
by the mid-17th century, they continued to a greater extent on the
fringes of Europe and in the American colonies. The clergy and
intellectuals began to speak out against the trials from the late 16th
century. Johannes Kepler in 1615 could only by the weight of his
prestige keep his mother from being burned as a witch. The 1692
Salem witch trials were a brief outburst of witch hysteria in the New
World at a time when the practice was already waning in Europe.
W itch Trials and W omen

An estimated 75% to 85% of those accused in the early modern
witch trials were women, and there is certainly evidence of misogyny
on the part of those persecuting witches, evident from quotes such
as "[ It is] not unreasonable that this scum of humanity, [ witches] ,
should be drawn chiefly from the feminine sex" (Nicholas Ré my, c.
1595) or "The Devil uses them so, because he knows that women
love carnal pleasures, and he means to bind them to his allegiance
by such agreeable provocations." In early modern Europe, it was
widely believed that women were less intelligent than men and more
susceptible to sin.
Nevertheless, it has been argued that the supposedly misogynistic

agenda of works on witchcraft has been greatly exaggerated, based
on the selective repetition of a few relevant passages of the Malleus
Maleficarum. Many modern scholars argue that the witch hunts
cannot be explained simplistically as an expression of male
misogyny, as indeed women were frequently accused by other
women, to the point that witch hunts, at least at the local level of
villages, have been described as having been driven primarily by
"women's quarrels." Especially at the margins of Europe, in Iceland,
Finland, Estonia, and Russia, the majority of those accused were
male.
Barstow (1994) claimed that a combination of factors, including the

greater value placed on men as workers in the increasingly wage-
oriented economy, and a greater fear of women as inherently evil,
loaded the scales against women, even when the charges against
them were identical to those against men. Thurston (2001) saw this
as a part of the general misogyny of the late medieval and early
modern periods, which had increased during what he described as
"the persecuting culture" from what it had been in the early medieval
period. Gunnar Heinsohn and Otto Steiger in a 1982 publication
speculated that witch hunts targeted women skilled in midwifery
specifically in an attempt to extinguish knowledge about birth control
and "repopulate Europe" after the population catastrophe of the
Black Death.
Attributions
Discontent with the Roman Catholic Church
"John Calvin." http://en.wikipedia.org/wiki/John_Calvin.
"Indulgence." http://en.wikipedia.org/wiki/Indulgence.
"Council of Trent."
http://en.wikipedia.org/wiki/Council_of_Trent. Wikipedia CC
BY-SA 3.0.
"Protestant Reformation."
http://en.wikipedia.org/wiki/Protestant_Reformation.
"doctrine." http://en.wiktionary.org/wiki/doctrine. Wiktionary
CC BY-SA 3.0.
"History of Protestantism."
https://en.wikipedia.org/wiki/History_of_Protestantism.
"Ecclesiastic." http://en.wiktionary.org/wiki/ecclesiastic.
"Martin Luther."
http://en.wikipedia.org/wiki/Martin_Luther%23The_start_of_
the_Reformation. Wikipedia CC BY-SA 3.0.
"Diet of Worms."
http://en.wikipedia.org/wiki/Diet_of_Worms. Wikipedia CC
BY-SA 3.0.
"Western Schism."
http://en.wikipedia.org/wiki/Western_Schism. Wikipedia CC
BY-SA 3.0.
"Jan_Hus_at_the_Stake.jpg."
https://en.wikipedia.org/wiki/History_of_Protestantism# /med
ia/File:Jan_Hus_at_the_Stake.jpg. Wikipedia CC BY-SA
3.0.
"Council of Trent Pasquale Cati."
http://en.wikipedia.org/wiki/Council_of_Trent%23mediaview
er/File:Council_of_Trent_by_Pasquale_Cati.jpg. Wikipedia
Public domain.
Luther and Protestantism
"Martin Luther." https://en.wikipedia.org/wiki/Martin_Luther.
"Ninety-five Theses." https://en.wikipedia.org/wiki/Ninety-
five_Theses. Wikipedia CC BY-SA 3.0.
"Lucas_Cranach_d.Ä ._-
_Martin_Luther,_1528_(V este_Coburg)_(cropped).jpg."
https://commons.wikimedia.org/wiki/File:Lucas_Cranach_d.
%C3%84._-
_Martin_Luther,_1528_(V este_Coburg)_(cropped).jpg.
"Luther_95_Thesen.png."
https://commons.wikimedia.org/wiki/File:Luther_95_Thesen.
png. Wikimedia Public domain.
Calvinism
"History of Protestantism."
https://en.wikipedia.org/wiki/History_of_Protestantism# Fran
ce. Wikipedia CC BY-SA 3.0.
"Calvinism." https://en.wikipedia.org/wiki/Calvinism.
"Interior_of_the_Oude_kerk_in_Amsterdam_(south_nave),_
by_Emanuel_de_Witte.jpg."
https://en.wikipedia.org/wiki/Calvinism# /media/File:Interior_
of_the_Oude_kerk_in_Amsterdam_(south_nave),_by_Ema
nuel_de_Witte.jpg. Wikipedia CC BY-SA 3.0.
"John_Calvin_by_Holbein.png."
https://en.wikipedia.org/wiki/Calvinism# /media/File:John_Ca
lvin_by_Holbein.png. Wikipedia CC BY-SA 3.0.
The Anabaptists
"Anabaptists." https://en.wikipedia.org/wiki/Anabaptists.
"Spread_of_the_Anabaptists_1525-1550.png."
https://en.wikipedia.org/wiki/Anabaptists# /media/File:Sprea
d_of_the_Anabaptists_1525-1550.png. Wikipedia CC BY-
SA 3.0.
"Witch-scene4.JPG."
https://en.wikipedia.org/wiki/Anabaptists# /media/File:Witch-
scene4.JPG. Wikipedia CC BY-SA 3.0.
The Anglican Church
"Puritan." http://en.wikipedia.org/wiki/Puritan. Wikipedia CC
BY-SA 3.0.
"Nationalism." http://en.wikipedia.org/wiki/Nationalism.
"puritan." http://en.wiktionary.org/wiki/puritan. Wiktionary
CC BY-SA 3.0.
"nationalism." http://en.wiktionary.org/wiki/nationalism.
"English Reformation."
http://en.wikipedia.org/wiki/English_reformation. Wikipedia
CC BY-SA 3.0.
"Annulment." http://en.wikipedia.org/wiki/Annulment.
"Hans Holbein d. J. 074."
http://commons.wikimedia.org/wiki/File:Hans_Holbein_d._J.
_074.jpg. Wikimedia Commons Public domain.
The French Wars of Religion
"French Wars of Religion."
http://en.wikipedia.org/wiki/French_Wars_of_Religion.
"Huguenot."
http://en.wikipedia.org/wiki/Huguenot%23Wars_of_religion.
"Edict of Nantes."
http://en.wikipedia.org/wiki/Edict_of_Nantes. Wikipedia CC
BY-SA 3.0.
"Real Presence of Christ in the Eucharist."
http://en.wikipedia.org/wiki/Real_presence_of_Christ_in_the
_Eucharist. Wikipedia CC BY-SA 3.0.
"Huguenots." http://en.wikipedia.org/wiki/Huguenots.
"Massacre of V assy."
http://en.wikipedia.org/wiki/Massacre_of_V assy. Wikipedia
CC BY-SA 3.0.
"Francois Dubois 001."
http://en.wikipedia.org/wiki/French_Wars_of_Religion%23m
ediaviewer/File:Francois_Dubois_001.jpg. Wikipedia Public
domain.
The Witch Trials
"Witch Trials In The Early Modern Period."
http://en.wikipedia.org/wiki/Witch_trials_in_the_early_moder
n_period%23History. Wikipedia CC BY-SA 3.0.
"Johannes Kepler."
http://en.wikipedia.org/wiki/Johannes_Kepler. Wikipedia CC
BY-SA 3.0.
"Witchcraft."
http://en.wikipedia.org/wiki/Witchcraft%23Europe. Wikipedia
CC BY-SA 3.0.
"Witches."
http://en.wikipedia.org/wiki/File:Witches'Familiars1579.jpg.
"Matteson Examination of a Witch."
http://en.wikipedia.org/wiki/Witch_trials_in_the_early_moder
n_period%23mediaviewer/File:Matteson_Examination_of_a
_Witch.jpg. Wikipedia Public domain.
20.2: The Thirty Y ears' W ar
20.2.1: Religious Divide in the Holy
Roman Empire
The Thirty Years' War was a series of wars between various
Protestant and Catholic states in the fragmented Holy Roman
Empire between 1618 and 1648.
Learning Objective
Understand the origins of the Thirty Years' War
Key Points
The Holy Roman Empire was a fragmented collection of largely
independent states, which, after the Protestant Reformation in
the 16th century, was divided between Catholic and Protestant
rulership.
The Peace of Augsburg ended early conflict between German
Lutherans and Catholics and established a principle in which
princes were guaranteed the right to select either Lutheranism
or Catholicism within the domains they controlled.
Although the Peace of Augsburg created a temporary end to
hostilities, it did not resolve the underlying religious conflict,
which was made yet more complex by the spread of Calvinism
throughout Germany in the years that followed.
The war began when the newly elected Holy Roman Emperor,
Ferdinand II, tried to impose religious uniformity on his domains,
forcing Roman Catholicism on its peoples, and the Protestant
states banded together to revolt against him.
Key Terms
Ferdinand II
His rule coincided with the Thirty Years' War and his aim, as a
zealous Catholic, was to restore Catholicism as the only religion
in the empire and suppress Protestantism.
Peace of Augsburg
A treaty between Charles V and the forces of Lutheran princes

on September 25, 1555, which officially ended the religious
struggle between the two groups and allowed princes in the
Holy Roman Empire to choose which religion would reign in
their principality.
Overview
between 1618 and 1648. It was one of the longest and most
destructive conflicts in European history, resulting in millions of
casualties.
Initially a war between various Protestant and Catholic states in the

fragmented Holy Roman Empire, it gradually developed into a more
general conflict involving most of the great powers. These states
employed relatively large mercenary armies, and the war became
less about religion and more of a continuation of the France-
Habsburg rivalry for European political pre-eminence. In the 17th
century, religious beliefs and practices were a much larger influence
on an average European. In that era, almost everyone was vested
on one side of the dispute or another.
The war began when the newly elected Holy Roman Emperor,
Ferdinand II, tried to impose religious uniformity on his domains,
forcing Roman Catholicism on its peoples. The northern Protestant
states, angered by the violation of their rights to choose granted in
the Peace of Augsburg, banded together to form the Protestant
Union. Ferdinand II was a devout Roman Catholic and relatively
intolerant when compared to his predecessor, Rudolf II. His policies
were considered heavily pro-Catholic.
The Holy Roman Empire

The Holy Roman Empire was a fragmented collection of largely
independent states. The position of the Holy Roman Emperor was
mainly titular, but the emperors, from the House of Habsburg, also
directly ruled a large portion of imperial territory (lands of the
Archduchy of Austria and the Kingdom of Bohemia), as well as the
Kingdom of Hungary. The Austrian domain was thus a major
European power in its own right, ruling over some eight million
subjects. Another branch of the House of Habsburg ruled over Spain
and its empire, which included the Spanish Netherlands, southern
Italy, the Philippines, and most of the Americas. In addition to
Habsburg lands, the Holy Roman Empire contained several regional
powers, such as the Duchy of Bavaria, the Electorate of Saxony, the
Margraviate of Brandenburg, the Electorate of the Palatinate,
Landgraviate of Hesse, the Archbishopric of Trier, and the Free
Imperial City of Nuremberg.
Peace of Augsburg
After the Protestant Reformation, these independent states became
divided between Catholic and Protestant rulership, giving rise to
conflict. The Peace of Augsburg (1555), signed by Charles V , Holy
Roman Emperor, ended the war between German Lutherans and
Catholics. The Peace established the principle Cuius regio, eius
religio ("Whose realm, his religion"), which allowed Holy Roman
Empire state princes to select either Lutheranism or Catholicism
within the domains they controlled, ultimately reaffirming the
independence they had over their states. Subjects, citizens, or
residents who did not wish to conform to a prince's choice were
given a period in which they were free to emigrate to different
regions in which their desired religion had been accepted.
Although the Peace of Augsburg created a temporary end to

hostilities, it did not resolve the underlying religious conflict, which
was made yet more complex by the spread of Calvinism throughout
Germany in the years that followed. This added a third major faith to
the region, but its position was not recognized in any way by the
Augsburg terms, to which only Catholicism and Lutheranism were
parties.
Religion in the Holy Roman Empire,
1618
Religion in the Holy Roman Empire on the eve of the Thirty Years'
War. Blues indicate Catholic regions and red/orange indicate
Protestant (including Lutheran, Calvinist, Hussite, and Reform).
German map of religious demographics in the Holy Roman Empire

before the outbreak of the Thirty Years' War.
Tension Mount
Religious tensions remained strong throughout the second half of the
16th century. The Peace of Augsburg began to unravel—some
converted bishops refused to give up their bishoprics, and certain
Habsburg and other Catholic rulers of the Holy Roman Empire and
Spain sought to restore the power of Catholicism in the region. This
was evident from the Cologne War (1583–1588), in which a conflict
ensued when the prince-archbishop of the city, Gebhard Truchsess
von Waldburg, converted to Calvinism. As he was an imperial
elector, this could have produced a Protestant majority in the college
that elected the Holy Roman Emperor, a position that Catholics had
always held.
At the beginning of the 17th century, the Rhine lands and those
south to the Danube were largely Catholic, while the north was
dominated by Lutherans, and certain other areas, such as west-
central Germany, Switzerland, and the Netherlands, were dominated
by Calvins. Minorities of each creed existed almost everywhere,
however. In some lordships and cities, the numbers of Calvinists,
Catholics, and Lutherans were approximately equal.
Much to the consternation of their Spanish ruling cousins, the

Habsburg emperors who followed Charles V (especially Ferdinand I
and Maximilian II, but also Rudolf II and his successor, Matthias)
were content to allow the princes of the empire to choose their own
religious policies. These rulers avoided religious wars within the
empire by allowing the different Christian faiths to spread without
coercion. This angered those who sought religious uniformity.
Meanwhile, Sweden and Denmark, both Lutheran kingdoms, sought
to assist the Protestant cause in the Empire, and wanted to gain
political and economic influence there as well.
By 1617, it was apparent that Matthias, Holy Roman Emperor and

King of Bohemia, would die without an heir, with his lands going to
his nearest male relative, his cousin Archduke Ferdinand II of
Austria, heir-apparent and Crown Prince of Bohemia.
W ar Breaks Out
Ferdinand II, educated by the Jesuits, was a staunch Catholic who
wanted to impose religious uniformity on his lands. This made him
highly unpopular in Protestant Bohemia. The population's sentiments
notwithstanding, the added insult of the nobility's rejection of
Ferdinand, who had been elected Bohemian Crown Prince in 1617,
triggered the Thirty Years' War in 1618, when his representatives
were thrown out of a window and seriously injured. The so-called
Defenestration of Prague provoked open revolt in Bohemia, which
had powerful foreign allies. Ferdinand was upset by this calculated
insult, but his intolerant policies in his own lands had left him in a
weak position. The Habsburg cause in the next few years would
seem to suffer unrecoverable reverses. The Protestant cause
seemed to wax toward a quick overall victory.
The war can be divided into four major phases: The Bohemian
Revolt, the Danish intervention, the Swedish intervention, and the
French intervention.
Ferdinand II
Ferdinand II, Holy Roman Emperor and King of Bohemia, whose
aim, as a zealous Catholic, was to restore Catholicism as the only
religion in the empire and suppress Protestantism, and whose
actions helped precipitate the Thirty Years' War.
Full portrait of Holy Roman Emperor Ferdinand II

20.2.2: Bohemian Period
The Bohemian Revolt (1618–1620) was an uprising of the Bohemian
estates against the rule of the Habsburg dynasty, in particular
Emperor Ferdinand II, which triggered the Thirty Years' War.
Learning Objective
Describe the events surrounding the Defenestration of Prague
Key Points
Since 1526, the Kingdom of Bohemia had been governed by
Catholic Habsburg kings who were tolerant of their largely
Protestant subjects.
Toward the end his reign, Emperor Matthias, realizing he would
die without an heir, arranged for his lands to go to his nearest
male relative, the staunchly Catholic Archduke Ferdinand II of
Austria.
Protestants in Bohemia were wary of Ferdinand reversing the
religious tolerance and freedom formerly established by the
Peace of Augsburg.
In 1618, Ferdinand's royal representatives were thrown out of a
window and seriously injured in the so-called Defenestration of
Prague, which provoked open Protestant revolt in Bohemia.
The dispute culminated after several battles in the final Battle of
White Mountain, where the Protestants suffered a decisive
defeat. This started re-Catholicization of the Czech lands, but
also triggered the Thirty Years' War, which spread to the rest of
Europe and devastated vast areas of central Europe, including
the Czech lands.
Key Terms
defenestration
The act of throwing someone out of a window.
Bohemian Revolt
An uprising of the Bohemian estates against the rule of the

Habsburg dynasty.
Background
In 1555, the Peace of Augsburg had settled religious disputes in the
Holy Roman Empire by enshrining the principle of Cuius regio, eius
religio, allowing a prince to determine the religion of his subjects.
Since 1526, the Kingdom of Bohemia had been governed by
Habsburg kings who did not force their Catholic religion on their
largely Protestant subjects. In 1609, Rudolf II, Holy Roman Emperor
and King of Bohemia (1576–1612), increased Protestant rights. He
was increasingly viewed as unfit to govern, and other members of
the Habsburg dynasty declared his younger brother, Matthias, to be
family head in 1606. Upon Rudolf's death, Matthias succeeded in the
rule of Bohemia.
Without heirs, Emperor Matthias sought to assure an orderly

transition during his lifetime by having his dynastic heir (the fiercely
Catholic Ferdinand of Styria, later Ferdinand II, Holy Roman
Emperor) elected to the separate royal thrones of Bohemia and
Hungary. Ferdinand was a proponent of the Catholic Counter-
Reformation, and not well-disposed to Protestantism or Bohemian
freedoms. Some of the Protestant leaders of Bohemia feared they
would be losing the religious rights granted to them by Emperor
Rudolf II in his Letter of Majesty (1609). They preferred the
Protestant Frederick V , Elector of the Palatinate (successor of
Frederick IV , the creator of the Protestant Union). However, other
Protestants supported the stance taken by the Catholics, and in
1617 Ferdinand was duly elected by the Bohemian Estates to
become the Crown Prince and, automatically upon the death of
Matthias, the next King of Bohemia.
The Defenestration of Prague
The king-elect then sent two Catholic councillors (V ilem Slavata of
Chlum and Jaroslav Borzita of Martinice) as his representatives to
Hradč any castle in Prague in May 1618. Ferdinand had wanted them
to administer the government in his absence. On May 23, 1618, an
assembly of Protestants seized them and threw them (and also
secretary Philip Fabricius) out of the palace window, which was
some sixty-nine feet off the ground. Remarkably, though injured, they
survived. This event, known as the Defenestration of Prague, started
the Bohemian Revolt. Soon afterward, the Bohemian conflict spread
through all of the Bohemian Crown, including Bohemia, Silesia,
Upper and Lower Lusatia, and Moravia. Moravia was already
embroiled in a conflict between Catholics and Protestants. The
religious conflict eventually spread across the whole continent of
Europe, involving France, Sweden, and a number of other countries.
Defenestration of Prague
A later woodcut of the Defenestration of Prague in 1618, which
triggered the Thirty Years' War.
A woodcut of the Defenestrations of Prague, depicting several men

tossing another man out of a window to the right and other men
around the room pushing others toward the windows.
Aftermath
Immediately after the defenestration, the Protestant estates and
Catholic Habsburgs started gathering allies for war. After the death
of Matthias in 1619, Ferdinand II was elected Holy Roman Emperor.
At the same time, the Bohemian estates deposed Ferdinand as King
of Bohemia (Ferdinand remained emperor, since the titles are
separate) and replaced him with Frederick V , Elector Palatine, a
leading Calvinist and son-in-law of the Protestant James V I and I,
King of Scotland, England, and Ireland.
Because they deposed a properly chosen king, the Protestants could

not gather the international support they needed for war. Just two
years after the Defenestration of Prague, Ferdinand and the
Catholics regained power in the Battle of White Mountain on
November 8, 1620. This became known as the first battle in the
Thirty Years' War.
This was a serious blow to Protestant ambitions in the region. As the

rebellion collapsed, the widespread confiscation of property and
suppression of the Bohemian nobility ensured the country would
return to the Catholic side after more than two centuries of
Protestant dissent.
There was plundering and pillaging in Prague for weeks following the
battle. Several months later, twenty-seven nobles and citizens were
tortured and executed in the Old Town Square. Twelve of their heads
were impaled on iron hooks and hung from the Bridge Tower as a
warning. This also contributed to catalyzing the Thirty Years' War.
20.2.3: Danish Intervention

After the Bohemian Revolt was suppressed by Ferdinand II, the
Danish king, Christian IV , fearing that recent Catholic successes
threatened his sovereignty as a Protestant nation, led troops against
Ferdinand.
Learning Objective
Analyze the reasons for Denmark getting involved in the war
Key Points
After the Defenestration of Prague and the ensuing Bohemian
Revolt, the Protestants warred with the Catholic League until the
former were firmly defeated at the Battle of Stadtlohn in 1623.
With news of the outcome reaching Frederick V of the
Palatinate, the king was forced to sign an armistice with Holy
Roman Emperor Ferdinand II, thus ending the "Palatine Phase"
of the Thirty Years' War.
Peace was short lived; the Danish duchy, under the rule of
Christian IV , rallied troops to support the Protestants against
Ferdinand.
Ferdinand received support from Albrecht von Wallenstein, who
led troops to defeat Christian IV 's army.
With another military success for the Catholics, Ferdinand II
took back several Protestant holdings and declared the Edict of
Restitution in an attempt to restore the religious and territorial
situations reached in the Peace of Augsburg.
Key Term
Edict of Restitution
Oassed eleven years into the Thirty Years' War, this edict was a
belated attempt by Ferdinand II to impose and restore the
religious and territorial situations reached in the Peace of
Augsburg (1555).
Background
After the Defenestration of Prague and the ensuing Bohemian
Revolt, the Protestants warred with the Catholic League until the
former were firmly defeated at the Battle of Stadtlohn in 1623. After
this catastrophe, Frederick V , already in exile in The Hague, and
under growing pressure from his father-in-law, James I, to end his
involvement in the war, was forced to abandon any hope of
launching further campaigns. The Protestant rebellion had been
crushed. Frederick was forced to sign an armistice with Holy Roman
Emperor Ferdinand II, thus ending the "Palatine Phase" of the Thirty
Years' War.
Dutch Intervention
Peace following the imperial victory at Stadtlohn proved short lived,
with conflict resuming at the initiation of Denmark. Danish
involvement, referred to as the Low Saxon War, began when
Christian IV of Denmark, a Lutheran who also ruled as Duke of
Holstein, a duchy within the Holy Roman Empire, helped the
Lutheran rulers of neighboring Lower Saxony by leading an army
against Ferdinand II's imperial forces in 1625. Denmark had feared
that the recent Catholic successes threatened its sovereignty as a
Protestant nation.
Christian IV had profited greatly from his policies in northern

Germany. For instance, in 1621, Hamburg had been forced to accept
Danish sovereignty. Denmark's King Christian IV had obtained for his
kingdom a level of stability and wealth that was virtually unmatched
elsewhere in Europe. Denmark was funded by tolls on the Oresund
and also by extensive war reparations from Sweden.
Denmark's cause was aided by France, which together with Charles

I had agreed to help subsidize the war, not the least because
Christian was a blood uncle to both the Stuart king and his sister
Elizabeth of Bohemia through their mother, Anne of Denmark. Some
13,700 Scottish soldiers under the command of General Robert
Maxwell, 1st Earl of Nithsdale, were sent as allies to help Christian
IV . Moreover, some 6,000 English troops under Charles Morgan also
eventually arrived to bolster the defense of Denmark, though it took
longer for them to arrive than Christian had hoped, due partially to
the ongoing British campaigns against France and Spain. Thus,
Christian, as war-leader of the Lower Saxon Circle, entered the war
with an army of only 20,000 mercenaries, some of his allies from
England and Scotland, and a national army 15,000 strong, leading
them as Duke of Holstein rather than as King of Denmark.
W ar Ensues
To fight Christian, Ferdinand II employed the military help of Albrecht
von Wallenstein, a Bohemian nobleman who had made himself rich
from the confiscated estates of his Protestant countrymen.
Wallenstein pledged his army, which numbered between 30,000 and
100,000 soldiers, to Ferdinand II in return for the right to plunder the
captured territories. Christian, who knew nothing of Wallenstein's
forces when he invaded, was forced to retire before the combined
forces of Wallenstein and Tilly. Christian's mishaps continued when
all of the allies he thought he had were forced aside: France was in
the midst of a civil war, Sweden was at war with the Polish–
Lithuanian Commonwealth, and neither Brandenburg nor Saxony
was interested in changes to the tenuous peace in eastern Germany.
Moreover, neither of the substantial British contingents arrived in
time to prevent Wallenstein's defeat of Mansfeld's army at the Battle
of Dessau Bridge (1626) or Tilly's victory at the Battle of Lutter
(1626). Mansfeld died some months later of illness, apparently
tuberculosis, in Dalmatia.
Wallenstein's army marched north, occupying Mecklenburg,

Pomerania, and Jutland itself, but proved unable to take the Danish
capital, Copenhagen, on the island of Zealand. Wallenstein lacked a
fleet, and neither the Hanseatic ports nor the Poles would allow the
building of an imperial fleet on the Baltic coast. He then laid siege to
Stralsund, the only belligerent Baltic port with sufficient facilities to
build a large fleet; it soon became clear, however, that the cost of
continuing the war would far outweigh any gains from conquering the
rest of Denmark. Wallenstein feared losing his northern German
gains to a Danish-Swedish alliance, while Christian IV had suffered
another defeat in the Battle of Wolgast (1628); both were ready to
negotiate.
Negotiations and the Edict of

Restitution
Negotiations concluded with the Treaty of Lü beck in 1629, which
stated that Christian IV could retain control over Denmark (including
the duchies of Sleswick and Holstein) if he would abandon his
support for the Protestant German states. Thus, in the following two
years, the Catholic powers subjugated more land. At this point, the
Catholic League persuaded Ferdinand II to take back the Lutheran
holdings that were, according to the Peace of Augsburg, rightfully the
possession of the Catholic Church. Enumerated in the Edict of
Restitution (1629), these possessions included two archbishoprics,
sixteen bishoprics, and hundreds of monasteries. In the same year,
Gabriel Bethlen, the Calvinist prince of Transylvania, died. Only the
port of Stralsund continued to hold out against Wallenstein and the
emperor, having been bolstered by Scottish "volunteers" who arrived
from the Swedish army to support their countrymen already there in
the service of Denmark.
Christian IV of Denmark
Christian IV receives homage from the countries of Europe as
mediator in the Thirty Years' War. Painting by Grisaille by Adrian van
de V enne, 1643.
Painting of Christian IV surrounded by people, some carrying flags.

Above the people are angels with trumpets.
20.2.4: Swedish Intervention
The Swedish intervention in the Thirty Years' War, when King Gustav
II Adolf of Sweden ordered a full-scale invasion of the Catholic
states, was a major turning point of the war.
Learning Objective
Discuss why the Swedish were inclined to join in the war
Key Points
The Swedish intervention in the Thirty Years' War, which took
place between 1630 and 1635, was a major turning point of the
war, often considered to be an independent conflict.
The king of Sweden, Gustav Adolph, had been well informed of
the war between the Catholics and Protestants in the Holy
Roman Empire for some time, but did not get involved because
of an ongoing conflict with Poland.
While Sweden was under a truce with Poland, Gustav reformed
the Swedish military, leading to an army that became the model
for all of Europe.
From 1630 to 1634, Swedish-led armies drove the Catholic
forces back, regaining much of the lost Protestant territory,
especially at the key Battle of Breitenfeld.
By the spring of 1635, the Catholic and the Protestant sides met
for negotiations, producing the Peace of Prague (1635), which
entailed a delay in the enforcement of the Edict of Restitution for
forty years.
Key Terms
Gustavus Adolphus
The king of Sweden from 1611 to 1632, credited with founding
the Swedish Empire, who led Sweden to military supremacy
during the Thirty Years' War.
Pomerania
A region on the southern shore of the Baltic Sea in Central

Europe, split between Germany and Poland.
Overview
The Swedish intervention in the Thirty Years' War, which took place
between 1630 and 1635, was a major turning point of the war, often
considered to be an independent conflict. After several attempts by
the Holy Roman Empire to prevent the spread of Protestantism in
Europe, King Gustav II Adolf of Sweden ordered a full-scale invasion
of the Catholic states. Although he was killed in action, his armies
successfully defeated their enemies and gave birth to the Swedish
Empire after proving their ability in combat. The new European
power would last for a hundred years before being overwhelmed by
numerous enemies in the Great Northern War.
Background
The king of Sweden, Gustav II Adolph, had been well informed of the
war between the Catholics and Protestants in the Holy Roman
Empire for some time, but his hands were tied because of the
constant enmity of Poland. The Polish royal family, the primary
branch of the House of V asa, had once claimed the throne of
Sweden.
Lutheranism was the primary religion of Sweden, and had by then

established a firm grip on the country, but it was not solely the result
of religious sentiment that Sweden converted. Notably, one of the
reasons that Sweden had so readily embraced it was because
converting to Lutheranism allowed the crown to seize all the lands in
Sweden that were possessed by the Roman Catholic Church. As a
result of this seizure and the money that the crown gained, the crown
was greatly empowered.
Gustav was concerned about the growing power of the Holy Roman
Empire, and like Christian IV before him, was heavily subsidized by
Cardinal Richelieu, the chief minister of Louis X III of France, and by
the Dutch.
Sweden's Army
During this time, and while Sweden was under a truce with Poland,
Gustav established a military system that was to become the envy of
Europe. He drew up a new military code. The new improvements to
Sweden's military order even pervaded the state by fueling
fundamental changes in the economy. The military reforms—among
which tight discipline was one of the prevailing principles—brought
the Swedish military to the highest levels of military readiness and
were to become the standard that European states would strive for.
The severity of discipline was not the only change that took place in
the army. Soldiers were to be rewarded for meritorious service.
Soldiers who had displayed courage and distinguished themselves in
the line of duty were paid generously, in addition to being given
pensions. The corp of engineers were the most modern of their age,
and in the campaigns in Germany the population repeatedly
expressed surprise at the extensive nature of the entrenchment and
the elaborate nature of the equipment.
Swedish Intervention
From 1630 to 1634, Swedish-led armies drove the Catholic forces
back, regaining much of the lost Protestant territory. During the
campaign, Sweden managed to conquer half of the imperial
kingdoms, making it the continental leader of Protestantism until the
Swedish Empire ended in 1721.
Swedish forces entered the Holy Roman Empire via the Duchy of
Pomerania, which had served as the Swedish bridgehead since the
Treaty of Stettin (1630). After dismissing Wallenstein in 1630, from
fear he was planning a revolt, Ferdinand II became dependent on
the Catholic League. Gustavus Adolphus allied with France and
Bavaria.
At the Battle of Breitenfeld (1631), Gustavus Adolphus's forces

defeated the Catholic League led by Tilly. A year later, they met
again in another Protestant victory, this time accompanied by the
death of Tilly. The upper hand had now switched from the Catholic
League to the Protestant Union, led by Sweden.
King Gustav of Sweden

The victory of Gustavus Adolphus at the Battle of Breitenfeld (1631).
A painting of Gustav of Sweden riding a horse on a hill overlooking a

battlefield and countryside.
With Tilly dead, Ferdinand II returned to the aid of Wallenstein and

his large army. Wallenstein marched to the south, threatening
Gustavus Adolphus's supply chain. Gustavus Adolphus knew that
Wallenstein was waiting for the attack and was prepared, but found
no other option. Wallenstein and Gustavus Adolphus clashed in the
Battle of Lü tzen (1632), where the Swedes prevailed, but Gustavus
Adolphus was killed.
Ferdinand II's suspicion of Wallenstein resumed in 1633, when

Wallenstein attempted to arbitrate the differences between the
Catholic and Protestant sides. Ferdinand II may have feared that
Wallenstein would switch sides, and arranged for his arrest after
removing him from command. One of Wallenstein's soldiers, Captain
Devereux, killed him when he attempted to contact the Swedes in
the town hall of Eger (Cheb) on February 25, 1634. The same year,
the Protestant forces, lacking Gustav's leadership, were smashed at
the First Battle of Nö rdlingen by the Spanish-Imperial forces
commanded by Cardinal-Infante Ferdinand.
Peace of Prague
By the spring of 1635, all Swedish resistance in the south of
Germany had ended. After that, the imperialist and the Protestant
German sides met for negotiations, producing the Peace of Prague
(1635), which entailed a delay in the enforcement of the Edict of
Restitution for forty years and allowed Protestant rulers to retain
secularized bishoprics held by them in 1627. This protected the
Lutheran rulers of northeastern Germany, but not those of the south
and west. Initially after the Peace of Prague, the Swedish armies
were pushed back by the reinforced imperial army north into
Germany.
The treaty also provided for the union of the army of the emperor
and the armies of the German states into a single army of the Holy
Roman Empire. Finally, German princes were forbidden from
establishing alliances amongst themselves or with foreign powers,
and amnesty was granted to any ruler who had taken up arms
against the emperor after the arrival of the Swedes in 1630.
This treaty failed to satisfy France, however, because of the renewed
strength it granted the Habsburgs. France then entered the conflict,
beginning the final period of the Thirty Years' War. Sweden did not
take part in the Peace of Prague, and it joined with France in
continuing the war.
20.2.5 : Swedish-French Intervention

No longer able to tolerate the encirclement of two major Habsburg
powers on its borders, Catholic France entered the Thirty Years' War
on the side of the Protestants to counter the Habsburgs and bring
the war to an end.
Learning Objective
Identify the reasons why France was invested in the events of the
Thirty Years' War
Key Points
France, though Roman Catholic, was a rival of the Holy Roman
Empire and Spain because they considered the Habsburgs too
powerful since they held a number of territories on France's
eastern border.
Cardinal Richelieu, the chief minister of King Louis X III of
France, made the decision to enter into direct war against the
Habsburgs in 1634, but France suffered military defeats early
on, losing territory to the Holy Roman Empire.
The tide of the war turned clearly toward France and against
Spain in 1640, starting with the siege and capture of the fort at
Arras.
After the Peace of Prague, the Swedes reorganized the Royal
Army and reentered the war, winning important battles against
the imperial army.
In 1648, the Swedes and the French defeated the imperial army
at the Battle of Zusmarshausen, and the Spanish at Lens, and
later won the Battle of Prague, which became the last action of
the Thirty Years' War.
Key Terms
V ulgate Bible
A late 4th century Latin translation of the Bible that became,

during the 16th century, the Catholic church's officially
promulgated Latin version of the Bible.
Gustavus Adolphus
The king of Sweden from 1611 to 1632, who led Sweden to

military supremacy during the Thirty Years' War, helping to
determine the political as well as the religious balance of power
in Europe.
France's Opposition to the Holy

Roman Empire
France, though Roman Catholic, was a rival of the Holy Roman
Empire and Spain. Cardinal Richelieu, the chief minister of King
Louis X III of France, considered the Habsburgs too powerful
because they held a number of territories on France's eastern
border, including portions of the Netherlands. Richelieu had already
begun intervening indirectly in the war in January 1631, when the
French diplomat Hercule de Charnacé signed the Treaty of Bä rwalde
with Gustavus Adolphus, by which France agreed to support the
Swedes with 1,000,000 livres each year in return for a Swedish
promise to maintain an army in Germany against the Habsburgs.
The treaty also stipulated that Sweden would not conclude a peace
with the Holy Roman Emperor without first receiving France's
approval.
France Enters the W ar

After the Swedish rout at Nö rdlingen in September 1634 and the
Peace of Prague in 1635, in which the Protestant German princes
sued for peace with the German emperor, Sweden's ability to
continue the war alone appeared doubtful, and Richelieu made the
decision to enter into direct war against the Habsburgs. France
declared war on Spain in May 1635, and on the Holy Roman Empire
in August 1636, opening offensives against the Habsburgs in
Germany and the Low Countries. France aligned its strategy with the
allied Swedes in Wismar (1636) and Hamburg (1638).
Early French military efforts were met with disaster, and the Spanish
counter-attacked, invading French territory. The imperial general
Johann von Werth and Spanish commander Cardinal-Infante
Ferdinand ravaged the French provinces of Champagne, Burgundy,
and Picardy, and even threatened Paris in 1636. Then, the tide
began to turn for the French. The Spanish army was repulsed by
Bernhard of Saxe-Weimar. Bernhard's victory in the Battle of
Compiè gne pushed the Habsburg armies back towards the borders
of France. Then widespread fighting ensued until 1640, with neither
side gaining an advantage.
However, the war reached a climax and the tide of the war turned
clearly toward France and against Spain in 1640, starting with the
siege and capture of the fort at Arras. The French conquered Arras
from the Spanish following a siege that lasted from June 16 to
August 9, 1640. When Arras fell, the way was opened for the French
to take all of Flanders. The ensuing French campaign against the
Spanish forces in Flanders culminated with a decisive French victory
at Rocroi in May 1643.
Continued Swedish W ar Efforts
After the Peace of Prague, the Swedes reorganized the Royal Army
under Johan Bané r and created a new one, the Army of the Weser,
under the command of Alexander Leslie. The two army groups
moved south in the spring of 1636, re-establishing alliances on the
way, including a revitalized one with Wilhelm of Hesse-Kassel. The
two Swedish armies combined and confronted the imperialists at the
Battle of Wittstock. Despite the odds being stacked against them, the
Swedish army won. This success largely reversed many of the
effects of their defeat at Nö rdlingen, albeit not without creating some
tensions between Bané r and Leslie.
After the battle of Wittstock, the Swedish army regained the initiative
in the German campaign. In the Second Battle of Breitenfeld, in
1642, outside Leipzig, the Swedish Field Marshal Lennart
Torstenson defeated an army of the Holy Roman Empire led by
Archduke Leopold Wilhelm of Austria and his deputy, Prince-General
Ottavio Piccolomini, Duke of Amalfi. The imperial army suffered
20,000 casualties. In addition, the Swedish army took 5,000
prisoners and seized forty-six guns, at a cost to themselves of 4,000
killed or wounded. The battle enabled Sweden to occupy Saxony
and impressed on Ferdinand III the need to include Sweden, and not
only France, in any peace negotiations.
Final Battles
Over the next four years, fighting continued, but all sides began to
prepare for ending the war. In 1648, the Swedes (commanded by
Marshal Carl Gustaf Wrangel) and the French (led by Turenne and
Condé ) defeated the imperial army at the Battle of Zusmarshausen,
and the Spanish at Lens. However, an imperial army led by Octavio
Piccolomini managed to check the Franco-Swedish army in Bavaria,
though their position remained fragile. The Battle of Prague in 1648
became the last action of the Thirty Years' War. The general Hans
Christoff von Kö nigsmarck, commanding Sweden's flying column,
entered the city and captured Prague Castle (where the event that
triggered the war—the Defenestration of Prague—had taken place
thirty years before). There, they captured many valuable treasures,
including the Codex G igas, which contains the V ulgate Bible as well
as many historical documents all written in Latin, and is still today
preserved in Stockholm as the largest extant medieval manuscript in
the world. However, they failed to conquer the right-bank part of
Prague and the old city, which resisted until the end of the war.
These results left only the imperial territories of Austria safely in
Habsburg hands.
The Swedish siege of Prague in 1648

In 1648, the Swedish army entered Prague and captured Prague
Castle, where the catalyst of the war, the Defenestration of Prague,
had taken place thirty years before.
An engraving of the Swedish attack on Prague, showing various

skirmishes in an open field on the right, and the walls and gates to
Prague on the left, beginning to be broken open by attack.
20.2.6: The Peace of W estphalia

Osnabrü ck and Mü nster that ended the Thirty Years' War.
Learning Objective
Describe the terms of the Peace of Westphalia
Key Points
The end of the Thirty Years' War was not brought about by one
treaty, but instead by a group of treaties, collectively named the
Peace of Westphalia.
The treaties did not restore peace throughout Europe, but they
did create a basis for national self-determination.
Along with several territorial adjustments, the terms of the
Peace of Westphalia included a return to the principles in the
Peace of Augsburg of 1555, in which each prince would have
the right to determine the religion of his own state.
The treaty also extended that tolerance to allow the minority
religion of the territory to practice freely.
The Peace of Westphalia established important political
precedents for state sovereignty, inter-state diplomacy, and
balance of power in Europe.
Key Terms
fief
An estate of land, especially one held on condition of feudal

service.
letters of marque
A government license authorizing a person (known as a

privateer) to attack and capture enemy vessels and bring them
before admiralty courts for condemnation and sale.
Imperial Diet
The legislative body of the Holy Roman Empire, theoretically

superior to the emperor himself.
Overview
Over a four-year period, the warring parties of the Thirty Years' War
(the Holy Roman Empire, France, and Sweden) were actively
negotiating at Osnabrü ck and Mü nster in Westphalia. The end of the
war was not brought about by one treaty, but instead by a group of
treaties, collectively named the Peace of Westphalia. The three
treaties involved were the Peace of Mü nster (between the Dutch
Republic and the Kingdom of Spain), the Treaty of Mü nster (between
the Holy Roman Emperor and France and their respective allies),
and the Treaty of Osnabrü ck (between the Holy Roman Empire and
Sweden and their respective allies).
The Ratification of the Treaty of
Mü nster, 1648
The Treaty of Mü nster between the Holy Roman Emperor and
France was one of three treaties that made up the Peace of
Westphalia.
Painting of a large group of men overlooking a table containing the

Treaty of Mü nster.
These treaties ended both the Thirty Years' War (1618–1648) in the
Holy Roman Empire and the Eighty Years' War (1568–1648)
between Spain and the Dutch Republic, with Spain formally
recognizing the independence of the Dutch Republic.
The peace negotiations involved a total of 109 delegations

representing European powers, including Holy Roman Emperor
Ferdinand III, Philip IV of Spain, the Kingdom of France, the Swedish
Empire, the Dutch Republic, the princes of the Holy Roman Empire,
and sovereigns of the free imperial cities.
The Terms of the Peace
Settlement
Along with ending open warfare between the belligerents, the Peace
of Westphalia established several important tenets and agreements:
The power taken by Ferdinand III in contravention of the Holy

Roman Empire's constitution was stripped and returned to the
rulers of the Imperial States.
All parties would recognize the Peace of Augsburg of 1555, in
which each prince would have the right to determine the religion
of his own state, the options being Catholicism, Lutheranism,
and now Calvinism. This affirmed the principle of cuius regio,
eius religio (Whose realm, his religion).
Christians living in principalities where their denomination was
not the established church were guaranteed the right to practice
their faith in public during allotted hours and in private at their
will.
General recognition of the exclusive sovereignty of each party
over its lands, people, and agents abroad, and responsibility for
the warlike acts of any of its citizens or agents. Issuance of
unrestricted letters of marque and reprisal to privateers was
forbidden.
There were also several territorial adjustments brought about by the

peace settlements. For example, the independence of Switzerland
from the empire was formally recognized. France came out of the
war in a far better position than any of the other participants. France
retained the control of the Bishoprics of Metz, Toul, and V erdun near
Lorraine, received the cities of the Dé capole in Alsace and the city of
Pignerol near the Spanish Duchy of Milan. Sweden received
Western Pomerania, Wismar, and the Prince-Bishoprics of Bremen
and V erden as hereditary fiefs, thus gaining a seat and vote in the
Imperial Diet of the Holy Roman Empire. Barriers to trade and
commerce erected during the war were also abolished, and a degree
of free navigation was guaranteed on the Rhine.
The Holy Roman Empire in 1648

After the Peace of Westphalia, each prince of a given Imperial State
would have the right to determine the religion of his own state, the
options being Catholicism, Lutheranism, and Calvinism.
A map of the Holy Roman Empire in 1648, including all of the

Imperial States.
Impact and Legacy

The treaty did not entirely end conflicts arising out of the Thirty
Years' War. Fighting continued between France and Spain until the
Treaty of the Pyrenees in 1659. Nevertheless, it did settle many
outstanding European issues of the time. Some of the principles
developed at Westphalia, especially those relating to respecting the
boundaries of sovereign states and non-interference in their
domestic affairs, became central to the world order that developed
over the following centuries, and remain in effect today. Many of the
imperial territories established in the Peace of Westphalia later
became the sovereign nation-states of modern Europe.
The Peace of Westphalia established the precedent of peaces

established by diplomatic congress, and a new system of political
order in central Europe, later called Westphalian sovereignty, based
upon the concept of co-existing sovereign states. Inter-state
aggression was to be held in check by a balance of power. A norm
was established against interference in another state's domestic
affairs. As European influence spread across the globe, these
Westphalian principles, especially the concept of sovereign states,
became central to international law and to the prevailing world order.
Europe in 1648
A simplified map of Europe in 1648, showing the new borders
established after the Peace of Westphalia.
A simplified map of Europe in 1648, showing the new borders

established after the Peace of Westphalia.
Attributions
Religious Divide in the Holy Roman Empire
"Peace of Augsburg."
https://en.wikipedia.org/wiki/Peace_of_Augsburg. Wikipedia
CC BY-SA 3.0.
"Joseph_Heintz_d._Ä ._003.jpg."
https://en.wikipedia.org/wiki/Thirty_Years%27_War# /media/
File:Joseph_Heintz_d._A._003.jpg. Wikipedia CC BY-SA
3.0.
"1280px-HolyRomanEmpire_1618.png."
ile:HolyRomanEmpire_1618.png. Wikipedia CC BY-SA 3.0.
Bohemian Period
"Defenestrations of Prague."
https://en.wikipedia.org/wiki/Defenestrations_of_Prague.
"Bohemian Revolt."
https://en.wikipedia.org/wiki/Bohemian_Revolt. Wikipedia
CC BY-SA 3.0.
"Defenestration-prague-1618.jpg."
https://en.wikipedia.org/wiki/Defenestrations_of_Prague# /m
edia/File:Defenestration-prague-1618.jpg. Wikipedia CC
BY-SA 3.0.
Danish Intervention
"Battle of Stadtlohn."
https://en.wikipedia.org/wiki/Battle_of_Stadtlohn. Wikipedia
CC BY-SA 3.0.
https://en.wikipedia.org/wiki/Thirty_Years%27_War# Danish
_intervention_.281625.E2.80.931629.29. Wikipedia CC BY-
SA 3.0.
"Christian IV of Denmark."
https://en.wikipedia.org/wiki/Christian_IV _of_Denmark# The
_Emperor.27s_War. Wikipedia CC BY-SA 3.0.
"ChristianIV _of_denmark_receives_homage.jpg."
https://commons.wikimedia.org/wiki/File:ChristianIV _of_den
mark_receives_homage.jpg. Wikimedia Public domain.
Swedish Intervention
https://en.wikipedia.org/wiki/Thirty_Years%27_War# Danish
_intervention_.281625.E2.80.931629.29. Wikipedia CC BY-
SA 3.0.
"Swedish intervention in the Thirty Years' War."
https://en.wikipedia.org/wiki/Swedish_intervention_in_the_T
hirty_Years%27_War. Wikipedia CC BY-SA 3.0.
"Strasbourg_walter_gustave_adolphe.JPG."
File:Strasbourg_walter_gustave_adolphe.JPG. Wikipedia
CC BY-SA 3.0.
Swedish-French Intervention
"Slaget_vid_Prag_(1648),_ur_"Theatri_Europæ i..."_1663_-
_Skoklosters_slott_-_99875.tif.jpg."
File:Slaget_vid_Prag_(1648),_ur_%22Theatri_Euroaei...%2
2_1663_-_Skoklosters_slott_-_99875.tif. Wikipedia CC BY-
SA 3.0.
The Peace of Westphalia
https://en.wikipedia.org/wiki/Holy_Roman_Empire# Imperial
_Diet_.28Reichstag.29. Wikipedia CC BY-SA 3.0.
"1920px-Holy_Roman_Empire_1648.svg.png."
File:Holy_Roman_Empire_1648.svg. Wikipedia CC BY-SA
3.0.
"Europe_map_1648.PNG."
File:Europe_map_1648.PNG. Wikipedia CC BY-SA 3.0.
"1920px-
Westfaelischer_Friede_in_Muenster_(Gerard_Terborch_16
48).jpg."
File:Westfaelischer_Friede_in_Muenster_(Gerard_Terborch
_1648).jpg. Wikipedia CC BY-SA 3.0.
21: Enlightened Despots
21.1: The Age of Enlightenment
21.1.1: Enlightenment Ideals
Centered on the idea that reason is the primary source of authority
and legitimacy, the Enlightenment was a philosophical movement
that dominated the world of ideas in Europe in the 18th century.
Learning Objective
Identify the core ideas that drove the Age of Enlightenment
Key Points
The Age of Enlightenment was a philosophical movement that
dominated the world of ideas in Europe in the 18th century.
Centered on the idea that reason is the primary source of
authority and legitimacy, this movement advocated such ideals
as liberty, progress, tolerance, fraternity, constitutional
government, and separation of church and state.
There is little consensus on the precise beginning of the Age of
Enlightenment, but the beginning of the 18th century (1701) or
the middle of the 17th century (1650) are commonly identified as
starting points. French historians usually place the period
between 1715 and 1789. Most scholars use the last years of the
century, often choosing the French Revolution of 1789 or the
beginning of the Napoleonic Wars (1804–15) to date the end of
the Enlightenment.
The Enlightenment took hold in most European countries, often
with a specific local emphasis. The cultural exchange during the
Age of Enlightenment ran between particular European
countries and also in both directions across the Atlantic.
There were two distinct lines of Enlightenment thought. The
radical Enlightenment advocated democracy, individual liberty,
freedom of expression, and eradication of religious authority. A
second, more moderate variety sought accommodation between
reform and the traditional systems of power and faith.
and thought. The Enlightenment has long been hailed as the
foundation of modern Western political and intellectual culture. It
brought political modernization to the West. In religion,
Enlightenment era commentary was a response to the
preceding century of religious conflict in Europe.
Historians of race, gender, and class note that Enlightenment
ideals were not originally envisioned as universal in the today's
sense of the word. Although they did eventually inspire the
struggles for rights of people of color, women, or the working
masses, most Enlightenment thinkers did not advocate equality
for all, regardless of race, gender, or class, but rather insisted
that rights and freedoms were not hereditary.
Key Terms
reductionism
Several related but distinct philosophical positions regarding the

connections between theories, "reducing" one idea to another,
more basic one. In the sciences, its methodologies attempt to
explain entire systems in terms of their individual, constituent
parts and interactions.
scientific method

knowledge that apply empirical or measurable evidence subject
to specific principles of reasoning. It has characterized natural
science since the 17th century, consisting of systematic
observation, measurement, and experimentation, and the
formulation, testing, and modification of hypotheses.
cogito ergo sum
A Latin philosophical proposition by René Descartes usually

translated into English as "I think, therefore I am." The phrase
originally appeared in his Discourse on the Method. This
proposition became a fundamental element of Western
philosophy, as it purported to form a secure foundation for
knowledge in the face of radical doubt. While other knowledge
could be a figment of imagination, deception, or mistake,
Descartes asserted that the very act of doubting one's own
existence served—at minimum—as proof of the reality of one's
own mind.
empiricism
The theory that knowledge comes primarily from sensory

experience. It emphasizes evidence, especially data gathered
through experimentation and use of the scientific method.
The Age of Enlightenment

The Age of Enlightenment, also known as the Enlightenment, was a
philosophical movement that dominated the world of ideas in Europe
in the 18th century. Centered on the idea that reason is the primary
source of authority and legitimacy, this movement advocated such
ideals as liberty, progress, tolerance, fraternity, constitutional
government, and separation of church and state. The Enlightenment
was marked by an emphasis on the scientific method and
reductionism along with increased questioning of religious orthodoxy.
The core ideas advocated by modern democracies, including the
civil society, human and civil rights, and separation of powers, are
the product of the Enlightenment. Furthermore, the sciences and
academic disciplines (including social sciences and the humanities)
as we know them today, based on empirical methods, are also
rooted in the Age of Enlightenment. All these developments, which
followed and partly overlapped with the European exploration and
colonization of the Americas and the intensification of the European
presence in Asia and Africa, make the Enlightenment a starting point
of what some historians define as the European Moment in World
History: the long period of often tragic European domination over the
rest of the world.
There is little consensus on the precise beginning of the Age of

Enlightenment, with the beginning of the 18th century (1701) or the
middle of the 17th century (1650) often considered starting points.
French historians usually place the period between 1715 and 1789,
from the beginning of the reign of Louis X V until the French
Revolution. In the mid-17th century, the Enlightenment traces its
origins to Descartes' Discourse on Method, published in 1637. In
France, many cite the publication of Isaac Newton's Principia
Mathematica in 1687. Some historians and philosophers have
argued that the beginning of the Enlightenment is when Descartes
shifted the epistemological basis from external authority to internal
certainty by his cogito ergo sum (1637).
As to its end, most scholars use the last years of the century, often
choosing the French Revolution of 1789 or the beginning of the
Napoleonic Wars (1804–15) to date the end of the Enlightenment.
National V arieties
The Enlightenment took hold in most European countries, often with
a specific local emphasis. For example, in France it became
associated with anti-government and anti-Church radicalism, while in
Germany it reached deep into the middle classes and took a
spiritualistic and nationalistic tone without threatening governments
or established churches. Government responses varied widely. In
France, the government was hostile and Enlightenment thinkers
fought against its censorship, sometimes being imprisoned or
hounded into exile. The British government largely ignored the
Enlightenment's leaders in England and Scotland. The Scottish
Enlightenment, with its mostly liberal Calvinist and Newtonian focus,
played a major role in the further development of the transatlantic
Enlightenment. In Italy, the significant reduction in the Church's
power led to a period of great thought and invention, including
scientific discoveries. In Russia, the government began to actively
encourage the proliferation of arts and sciences in the mid-18th
century. This era produced the first Russian university, library,
theater, public museum, and independent press. Several Americans,
especially Benjamin Franklin and Thomas Jefferson, played a major
role in bringing Enlightenment ideas to the New World and in
influencing British and French thinkers. The cultural exchange during
the Age of Enlightenment ran in both directions across the Atlantic.
In their development of the ideas of natural freedom, Europeans and
American thinkers drew from American Indian cultural practices and
beliefs.
First page of the
E ncyclop edie published between 17 5 1
and 17 66.
The prime example of reference works that systematized scientific
knowledge in the Age of Enlightenment were universal
encyclopedias rather than technical dictionaries. It was the goal of
universal encyclopedias to record all human knowledge in a
comprehensive reference work. The most well-known of these works
is Denis Diderot and Jean le Rond d'Alembert's Encyclopé die, ou
dictionnaire raisonné des sciences, des arts et des mé tiers. The
work, which began publication in 1751, was composed of thirty-five
volumes and over 71,000 separate entries. A great number of the
entries were dedicated to describing the sciences and crafts in detail,
and provided intellectuals across Europe with a high-quality survey
of human knowledge.
Major Enlightenment Ideas

In the mid-18th century, Europe witnessed an explosion of
philosophic and scientific activity that challenged traditional doctrines
and dogmas. The philosophic movement was led by V oltaire and
Jean-Jacques Rousseau, who argued for a society based upon
reason rather than faith and Catholic doctrine, for a new civil order
based on natural law, and for science based on experiments and
observation. The political philosopher Montesquieu introduced the
idea of a separation of powers in a government, a concept which
was enthusiastically adopted by the authors of the United States
Constitution.
There were two distinct lines of Enlightenment thought. The radical

enlightenment, inspired by the philosophy of Spinoza, advocated
democracy, individual liberty, freedom of expression, and eradication
of religious authority. A second, more moderate variety, supported by
René Descartes, John Locke, Christian Wolff, Isaac Newton and
others, sought accommodation between reform and the traditional
systems of power and faith.
Science came to play a leading role in Enlightenment discourse and

thought. Many Enlightenment writers and thinkers had backgrounds
in the sciences and associated scientific advancement with the
overthrow of religion and traditional authority in favor of the
thought and was embedded with the Enlightenment ideal of
advancement and progress. However, as with most Enlightenment
views, the benefits of science were not seen universally.
The Enlightenment has also long been hailed as the foundation of

modern Western political and intellectual culture. It brought political
modernization to the West in terms of focusing on democratic values
and institutions and the creation of modern, liberal democracies. The
fundamentals of European liberal thought, including the right of the
individual, the natural equality of all men, the separation of powers,
the artificial character of the political order (which led to the later
distinction between civil society and the state), the view that all
legitimate political power must be "representative" and based on the
consent of the people, and liberal interpretation of law that leaves
people free to do whatever is not explicitly forbidden, were all
developed by Enlightenment thinkers.
In religion, Enlightenment-era commentary was a response to the

preceding century of religious conflict in Europe. Enlightenment
thinkers sought to curtail the political power of organized religion and
thereby prevent another age of intolerant religious war. A number of
novel ideas developed, including deism (belief in God the Creator,
with no reference to the Bible or any other source) and atheism. The
latter was much discussed but had few proponents. Many, like
V oltaire, held that without belief in a God who punishes evil, the
moral order of society was undermined.
Front page of The Gentlem an' s
Magazine, founded by Edward Cave in
London in J anuary 17 31.
The increased consumption of reading materials of all sorts was one
of the key features of the "social" Enlightenment. The Industrial
Revolution allowed consumer goods to be produced in greater
quantities at lower prices, encouraging the spread of books,
pamphlets, newspapers, and journals. Cave's innovation was to
create a monthly digest of news and commentary on any topic the
educated public might be interested in, from commodity prices to
Latin poetry.
Impact
The ideas of the Enlightenment played a major role in inspiring the
French Revolution, which began in 1789 and emphasized the rights
of common men as opposed to the exclusive rights of the elites. As
such, they laid the foundation for modern, rational, democratic
societies. However, historians of race, gender, and class note that
Enlightenment ideals were not originally envisioned as universal in
the today's sense of the word. Although they did eventually inspire
the struggles for rights of people of color, women, or the working
masses, most Enlightenment thinkers did not advocate equality for
all, regardless of race, gender, or class, but rather insisted that rights
and freedoms were not hereditary (the heredity of power and rights
was a common pre-Enlightenment assumption). This perspective
directly attacked the traditionally exclusive position of the European
aristocracy but was still largely focused on expanding the rights of
white males of a particular social standing.
21.1.2: Scientific Ex ploration

Science, based on empiricism and rational thought and embedded
with the Enlightenment ideal of advancement and progress, came to
play a leading role in the movement's discourse and thought.
Learning Objective
Describe advancements made in science and social sciences during
the 18th century
Key Points
and ideas. The movement greatly valued empiricism and
rational thought and was embedded with the Enlightenment
ideal of advancement and progress. Similar rules were applied
to social sciences.
Building on the body of work forwarded by Copernicus, Kepler
and Newton, 18th-century astronomers refined telescopes,
produced star catalogs, and worked towards explaining the
motions of heavenly bodies and the consequences of universal
gravitation. In 1781, amateur astronomer William Herschel was
responsible for arguably the most important discovery in 18th-
century astronomy: a new planet later named Uranus.
The 18th century witnessed the early modern reformulation of
chemistry that culminated in the law of conservation of
mass and the oxygen theory of combustion.
David Hume and other Scottish Enlightenment thinkers
developed a "science of man." Against philosophical rationalists,
Hume held that passion rather than reason governs human
behavior and argued against the existence of innate ideas,
positing that all human knowledge is ultimately founded solely in
experience. Modern sociology largely originated from these
ideas.
Adam Smith published The Wealth of Nations, often considered
the first work on modern economics, in 1776. It had an
immediate impact on British economic policy that continues into
the 21st century. Enlightenment-era changes in law also
continue to shape legal systems today.
The Age of Enlightenment was also when the first scientific and
literary journals were established. As a source of knowledge
derived from science and reason, these journals were an implicit
critique of existing notions of universal truth monopolized by
monarchies, parliaments, and religious authorities.
Key Terms
chemical revolution
The 18th-century reformulation of chemistry that culminated in
the law of conservation of mass and the oxygen theory of
combustion. During the 19th and 20th century, this
transformation was credited to the work of the French chemist
Antoine Lavoisier (the "father of modern chemistry"). However,
recent research notes that gradual changes in chemical theory
and practice emerged over two centuries.
science of man
A topic in David Hume's 18th century experimental philosophy A

Treatise of Human Nature (1739). It expanded the
understanding of facets of human nature, including senses,
impressions, ideas, imagination, passions, morality, justice, and
society.
empiricism
The theory that knowledge comes primarily from sensory

experience. It emphasizes evidence gathered through
experimentation and by use of the scientific method.

doctrine or set of dogmas, science is a key part of the ideals of this
movement. Many Enlightenment writers and thinkers had
backgrounds in the sciences and associated scientific advancement
with the overthrow of religion and traditional authority in favor of the
thought, embedded with the ideals of advancement and progress.
Similar rules were applied to social sciences.
Astronomy
Building on the body of work forwarded by Copernicus, Kepler and
Newton, 18th-century astronomers refined telescopes, produced star
catalogs, and worked towards explaining the motions of heavenly
bodies and the consequences of universal gravitation. In 1705,
astronomer Edward Halley correctly linked historical descriptions of
particularly bright comets to the reappearance of just one (later
named Halley’s Comet), based on his computation of the orbits of
comets. James Bradley realized that the unexplained motion of stars
he had early observed with Samuel Molyneux was caused by the
aberration of light. He also came fairly close to the estimation of the
speed of light. Observations of V enus in the 18th century became an
important step in describing atmospheres, including the work of
Mikhail Lomonosov, Johann Hieronymus Schrö ter, and Alexis
Claude de Clairaut. In 1781, amateur astronomer William Herschel
was responsible for arguably the most important discovery in 18th-
century astronomy. He spotted a new planet that he named
G eorgium Sidus. The name Uranus, proposed by Johann Bode,
came into widespread usage after Herschel's death. On the
theoretical side of astronomy, the English natural philosopher John
Michell first proposed the existence of dark stars in 1783.
W illiam Herschel's 40 foot ( 12 m)
telescope. Scanned from Leisure
Hour, Nov 2,18 67 , page 7 29.
Much astronomical work of the period becomes shadowed by one of
the most dramatic scientific discoveries of the 18th century. On
March 13, 1781, amateur astronomer William Herschel spotted a
new planet with his powerful reflecting telescope. Initially identified
as a comet, the celestial body later came to be accepted as a planet.
Soon after, the planet was named G eorgium Sidus by Herschel and
was called Herschelium in France. The name Uranus, as proposed
by Johann Bode, came into widespread usage after Herschel's
death.
Chemistry
The 18th century witnessed the early modern reformulation of
chemistry that culminated in the law of conservation of mass and the
oxygen theory of combustion. This period was eventually called the
chemical revolution. According to an earlier theory, a substance
called phlogiston was released from inflammable materials through
burning. The resulting product was termed calx , which was
considered a dephlogisticated substance in its true form. The first
strong evidence against phlogiston theory came from Joseph Black,
Joseph Priestley, and Henry Cavendish, who all identified different
gases that composed air. However, it was not until Antoine Lavoisier
discovered in 1772 that sulphur and phosphorus grew heavier when
burned that the phlogiston theory began to unravel. Lavoisier
subsequently discovered and named oxygen, as well as described
its roles in animal respiration and the calcination of metals exposed
to air (1774–1778). In 1783, he found that water was a compound of
oxygen and hydrogen. Transition to and acceptance of Lavoisier’s
findings varied in pace across Europe. Eventually, however, the
oxygen-based theory of combustion drowned out the phlogiston
theory and in the process created the basis of modern chemistry.
Social Sciences
David Hume and other Scottish Enlightenment thinkers developed a
"science of man" that was expressed historically in works by authors
including James Burnett, Adam Ferguson, John Millar, and William
Robertson, all of whom merged a scientific study of how humans
behaved in prehistoric and ancient cultures with a strong awareness
of the determining forces of modernity. Against philosophical
rationalists, Hume held that passion rather than reason governs
human behavior and argued against the existence of innate ideas,
positing that all human knowledge is ultimately founded solely in
experience. According to Hume, genuine knowledge must either be
directly traceable to objects perceived in experience or result from
abstract reasoning about relations between ideas derived from
experience. Modern sociology largely originated from the science of
ma' movement.
Adam Smith published The W ealth of Nations, often considered the
first work on modern economics, in 1776. It had an immediate impact
on British economic policy that continues into the 21st century. The
book was immediately preceded and influenced by Anne-Robert-
Jacques Turgot and Baron de Laune drafts of Reflections on the
Formation and Distribution of W ealth (Paris, 1766). Smith
acknowledged indebtedness to this work and may have been its
original English translator.
Enlightenment-era changes in law also continue to shape legal

systems today. Cesare Beccaria, a jurist and one of the great
Enlightenment writers, published his masterpiece Of Crimes and
Punishments in 1764. Beccaria is recognized as one of the fathers of
classical criminal theory. His treatise condemned torture and the
death penalty and was a founding work in the field of penology (the
study of the punishment of crime and prison management). It also
promoted criminal justice. Another prominent intellectual was
Francesco Mario Pagano, whose work Saggi Politici (Political
Essays, 1783) argued against torture and capital punishment and
advocated more benign penal codes.
Portrait of Cesare Bonesana-Beccaria
Although less widely known to the general public than his fellow
English, Scottish, or French philosophers of the era, Beccaria
remains one of the greatest thinkers of the Enlightenment era. His
theories have continued to play a great role in recent times. Some of
the current policies impacted by his theories are truth in sentencing,
swift punishment and the abolition of death penalty. While many of
his theories are popular, some are still a source of heated
controversy, more than two centuries after Beccaria's death.
Scientific Publications
The Age of Enlightenment was also when the first scientific and
literary journals were established. The first journal, the Parisian
J ournal des Sç avans, appeared in 1665. However, it was not until
1682 that periodicals began to be more widely produced. French and
Latin were the dominant languages of publication, but there was also
a steady demand for material in German and Dutch. There was
generally low demand for English publications on the Continent,
which was echoed by England's similar lack of desire for French
works. Languages commanding less of an international market such
as Danish, Spanish, and Portuguese found journal success more
difficult and often used an international language instead. French
slowly took over Latin's status as the lingua franca of learned circles.
This in turn gave precedence to the publishing industry in Holland,
where the vast majority of these French language periodicals were
produced. As a source of knowledge derived from science and
reason, the journals were an implicit critique of existing notions of
universal truth monopolized by monarchies, parliaments, and
religious authorities.
21.1.3: The Populariz ation of Science

Scientific societies and academies and the
unprecedented popularization of science among an increasingly
literate population dominated the Age of Enlightenment.
Learning Objective
Describe advancements made in the popularization of science
during the 18th century
Key Points
societies and academies, which largely replaced universities as
centers of scientific research and development. Scientific
academies and societies grew out of the Scientific Revolution as
the creators of scientific knowledge in contrast to the
scholasticism of the university.
National scientific societies were founded throughout the
Enlightenment era in the urban hotbeds of scientific
development across Europe. Many regional and provincial
societies followed along with some smaller private counterparts.
Activities included research, experimentation, sponsoring essay
contests, and collaborative projects between societies.
Academies and societies disseminated Enlightenment science
by publishing the works of their members. The publication
schedules were typically irregular, with periods between
volumes sometimes lasting years. While the journals of the
academies primarily published scientific papers, the
independent periodicals that followed were a mix of reviews,
abstracts, translations of foreign texts, and sometimes
derivative, reprinted materials.
Although dictionaries and encyclopedias have existed since
ancient times, during the Enlightenment they evolved from a
simple list of definitions to far more detailed discussions of those
words. The most well-known of the 18th century encyclopedic
dictionaries is Encyclopaedia, or a Systematic Dictionary of the
Sciences, Arts, and Crafts.
During the Enlightenment, science began to appeal to an
increasingly larger audience. A more literate population seeking
knowledge and education in both the arts and the sciences
drove the expansion of print culture and the dissemination of
scientific learning in coffeehouses, at public lectures, and
through popular publications.
During the Enlightenment era, women were excluded from
scientific societies, universities, and learned professions.
Despite these limitations, many women made valuable
contributions to science during the 18th century.
Key Terms
Encyclopaedia, or a Systematic Dictionary of the Sciences, Arts, and
Crafts

It had many writers, known as the Encyclopé distes, and was
edited by Denis Diderot and until 1759 co-edited by Jean le
Rond d'Alembert. It is most famous for representing the thought
of the Enlightenment.
Scientific Revolution
The emergence of modern science during the early modern

period, when developments in mathematics, physics,
astronomy, biology (including human anatomy) and chemistry
transformed society's views about nature. It began in
Europe towards the end of the Renaissance period and
continued through the late 18th century, influencing the
intellectual social movement known as the Enlightenment. While
its dates are disputed, the publication of Nicolaus Copernicus's
De revolutionibus orbium coelestium (On the Revolutions of the
Heavenly Spheres) in 1543 is often cited as its beginning.
Conversations on the Plurality of Worlds
A popular science book by French author Bernard le Bovier de

Fontenelle published in 1686. It offered an explanation of the
heliocentric model of the Universe, suggested by Nicolaus
Copernicus in his 1543 work De revolutionibus orbium
coelestium. The book, written in French and not in Latin as most
scientific works of the era, was one of the first attempts to
explain scientific theories in a popular language understandable
to the wide audience.
Societies and Academies

societies and academies, which largely replaced universities as
centers of scientific research and development. These organizations
grew out of the Scientific Revolution as the creators of scientific
knowledge in contrast to the scholasticism of the university. During
the Enlightenment, some societies created or retained links to
universities. However, contemporary sources distinguished
universities from scientific societies by claiming that the university’s
utility was in the transmission of knowledge, while societies
functioned to create knowledge. As the role of universities in
institutionalized science began to diminish, learned societies became
the cornerstone of organized science. After 1700, many official
academies and societies were founded in Europe, with more than
seventy official scientific societies in existence by 1789. In reference
to this growth, Bernard de Fontenelle coined the term “ the Age of
Academies” to describe the 18th century.
National scientific societies were founded in the urban hotbeds of

scientific development across Europe. In the 17th century, the Royal
Society of London (1662), the Paris Acadé mie Royale des Sciences
(1666), and the Berlin Akademie der W issenschaften (1700) came
into existence. In the first half of the 18th century, the Academia
Scientiarum I mperialis (1724) in St. Petersburg, and the K ungliga
V etenskapsakademien (Royal Swedish Academy of Sciences)
(1739) were created. Many regional and provincial societies followed
along with some smaller private counterparts. Official scientific
societies were chartered by the state to provide technical expertise,
which resulted in direct, close contact between the scientific
community and government bodies. State sponsorship was
beneficial to the societies as it brought finance and recognition along
with a measure of freedom in management. Most societies were
granted permission to oversee their own publications, control the
election of new members, and otherwise provide
administration. Membership in academies and societies was highly
selective. Activities included research, experimentation, sponsoring
essay contests, and collaborative projects between societies.
Scientific and Popular
Publications
Academies and societies served to disseminate Enlightenment
science by publishing the scientific works of their members as well
as their proceedings. With the exception of the Philosophical
Transactions of the Royal Society by the Royal Society of London,
which was published on a regular, quarterly basis, publication
schedules were typically irregular, with periods between volumes
sometimes lasting years. These and other limitations of academic
journals left considerable space for the rise of independent
periodicals, which excited scientific interest in the general public.
While the journals of the academies primarily published scientific
papers, independent periodicals were a mix of reviews, abstracts,
translations of foreign texts, and sometimes derivative, reprinted
materials. Most of these texts were published in the local vernacular,
so their continental spread depended on the language of the
readers. For example, in 1761, Russian scientist Mikhail Lomonosov
correctly attributed the ring of light around V enus, visible during the
planet’s transit, as the planet's atmosphere. However, because few
scientists understood Russian outside of Russia, his discovery was
not widely credited until 1910. With a wider audience and ever-
increasing publication material, specialized journals emerged,
reflecting the growing division between scientific disciplines in the
Enlightenment era.
Cover of the first volume of
Philosop hical Transactions of the
R oyal S ociety, 1665 -1666, the Royal
Society of London.
The Philosophical Transactions was established in 1665 as the first
journal in the world exclusively devoted to science. It is still published
by the Royal Society, which also makes it the world's longest-running
scientific journal. The use of the word "Philosophical" in the title
refers to "natural philosophy," which was the equivalent of what
would now be generally called science.
Although dictionaries and encyclopedias have existed since ancient
times, they evolved from simply a long list of definitions to detailed
discussions of those words in 18th-century encyclopedic dictionaries.
The works were part of an Enlightenment movement to systematize
knowledge and provide education to a wider audience than the
educated elite. As the 18th century progressed, the content of
encyclopedias also changed according to readers’ tastes. V olumes
tended to focus more strongly on secular affairs, particularly science
and technology, rather than on matters of theology. The most well-
known of these works is Denis Diderot and Jean le Rond
d'Alembert's Encyclopaedia, or a Systematic Dictionary of the
Sciences, Arts, and Crafts. The work, which began publication in
1751, was composed of thirty-five volumes and more than 71,000
separate entries. Many entries describe the sciences and crafts in
detail. The massive work was arranged according to a “ tree of
knowledge." The tree reflected the marked division between the arts
and sciences, largely a result of the rise of empiricism. Both areas of
knowledge were united by philosophy, the trunk of the tree of
knowledge.
Science and the Public

During Enlightenment, the discipline of science began to appeal to a
consistently growing audience. An increasingly literate population
seeking knowledge and education in both the arts and the sciences
drove the expansion of print culture and the dissemination of
scientific learning. The British coffeehouse is an early example of
this phenomenon, as their establishment created a new public forum
for political, philosophical, and scientific discourse. In the mid-16th
century, coffeehouses cropped up around Oxford, where the
academic community began to capitalize on the unregulated
conversation the coffeehouse allowed. The new social space was
used by some scholars as a place to discuss science and
experiments outside the laboratory of the official
institution. Education was a central theme, and some patrons began
offering lessons to others. As coffeehouses developed in London,
customers heard lectures on scientific subjects such as astronomy
and mathematics for an exceedingly low price.
Public lecture courses offered scientists unaffiliated with official

organizations a forum to transmit scientific knowledge and their own
ideas, leading to the opportunity to carve out a reputation and even
make a living. The public, on the other hand, gained both knowledge
and entertainment from demonstration lectures. Courses varied in
duration from one to four weeks to a few months or even the entire
academic year and were offered at virtually any time of day. The
importance of the lectures was not in teaching complex scientific
subjects, but rather in demonstrating the principles of scientific
disciplines and encouraging discussion and debate. Barred from the
universities and other institutions, women were often in attendance
at demonstration lectures and constituted a significant number of
auditors.
Increasing literacy rates in Europe during the Enlightenment enabled

science to enter popular culture through print. More formal works
included explanations of scientific theories for individuals lacking the
educational background to comprehend the original scientific text.
The publication of Bernard de Fontenelle's Conversations on the
Plurality of W orlds (1686) marked the first significant work that
expressed scientific theory and knowledge expressly for the laity, in
the vernacular and with the entertainment of readers in mind. The
book specifically addressed women with an interest in scientific
writing and inspired a variety of similar works written in a discursive
style. These were more accessible to the reader than complicated
articles, treatises, and books published by the academies and
scientists.
Science and Gender

During the Enlightenment, women were excluded from scientific
societies, universities, and learned professions. They were
educated, if at all, through self-study, tutors, and by the teachings of
more open-minded family members and relatives. With the exception
of daughters of craftsmen, who sometimes learned their fathers'
professions by assisting in the workshop, learned women were
primarily part of elite society. In addition, women's inability to access
scientific instruments (e.g., microscope) made it difficult for them to
conduct independent research.
Despite these limitations, many women made valuable contributions

to science during the 18th century. Two notable women who
managed to participate in formal institutions were Laura Bassi and
the Russian Princess Yekaterina Dashkova. Bassi was an Italian
physicist who received a PhD from the University of Bologna and
began teaching there in 1732. Dashkova became the director of the
Russian Imperial Academy of Sciences of St. Petersburg in 1783.
Her personal relationship with Empress Catherine the Great allowed
her to obtain the position, which marked in history the first
appointment of a woman to the directorship of a scientific academy.
More commonly, however, women participated in the sciences as
collaborators of their male relative or spouse. Others became
illustrators or translators of scientific texts.
Portrait of M. and Mm e Lavoisier, by
J acques-Louis David, 17 8 8 ,
Metropolitan Museum of Art.
Women usually participated in the sciences through an association
with a male relative or spouse. For example, Marie-Anne Pierette
Paulze worked collaboratively with her husband, Antoine Lavoisier.
Aside from assisting in Lavoisier’s laboratory research, she was
responsible for translating a number of English texts into French for
her husband’s work on the new chemistry. Paulze also illustrated
many of her husband’s publications, such as his Treatise on
Chemistry (1789).
21.1.4: Enlightened Despotism
Enlightened despots, inspired by the ideals of the Age of
Enlightenment, held that royal power emanated not from divine right
but from a social contract whereby a despot was entrusted with the
power to govern in lieu of any other governments.
Learning Objective
Define enlightened despotism and provide examples
Key Points
Enlightened despots held that royal power emanated not from
divine right but from a social contract whereby a despot was
entrusted with the power to govern in lieu of any other
governments. In effect, the monarchs of enlightened absolutism
strengthened their authority by improving the lives of their
subjects.
An essay defending the system of enlightened despotism was
penned by Frederick the Great, who ruled Prussia from 1740 to
1786. Frederick modernized the Prussian bureaucracy and civil
service and pursued religious policies throughout his realm that
ranged from tolerance to segregation. Following the common
interest among enlightened despots, he supported arts,
philosophers that he favored, and complete freedom of the
press and literature.
Catherine II of Russia continued to modernize Russia along
Western European lines, but her enlightened despotism
manifested itself mostly with her commitment to arts, sciences,
and the modernization of Russian education. While she
introduced some administrative and economic reforms, military
conscription and economy continued to depend on serfdom.
Maria Theresa implemented significant reforms to strengthen
Austria's military and bureaucratic efficiency. She improved the
economy of the state, introduced a national education system,
and contributed to important reforms in medicine. However,
unlike other enlightened despots, Maria Theresa found it hard to
fit into the intellectual sphere of the Enlightenment and did not
share fascination with Enlightenment ideals.
Joseph was a proponent of enlightened despotism but his
commitment to modernizing reforms subsequently engendered
significant opposition, which eventually culminated in a failure to
fully implement his programs. Among other accomplishments,
he inspired a complete reform of the legal system, ended
censorship of the press and theater, and continued his mother's
reforms in education and medicine.
Key Terms
serfdom

enlightened despotism
Also known as enlightened absolutism or benevolent

absolutism, a form of absolute monarchy or despotism inspired
by the Enlightenment. The monarchs who embraced it followed
the participles of rationality. Some of them fostered education
and allowed religious tolerance, freedom of speech, and the
right to hold private property. They held that royal power
emanated not from divine right but from a social contract
whereby a despot was entrusted with the power to govern in lieu
of any other governments.
Encyclopé die
It had many writers, known as the Encyclopé distes. It is most
famous for representing the thought of the Enlightenment.
Enlightened Despotism
Major thinkers of the Age of Enlightenment are credited for the
development of government theories critical to the creation and
evolution of the modern civil-society-driven democratic state.
Enlightened despotism, also called enlightened absolutism, was
among the first ideas resulting from the political ideals of the
Enlightenment. The concept was formally described by the German
historian Wilhelm Roscher in 1847 and remains controversial among
scholars.
Enlightened despots held that royal power emanated not from divine
right but from a social contract whereby a despot was entrusted with
the power to govern in lieu of any other governments. In effect, the
monarchs of enlightened absolutism strengthened their authority by
improving the lives of their subjects. This philosophy implied that the
sovereign knew the interests of his or her subjects better than they
themselves did. The monarch taking responsibility for the subjects
precluded their political participation. The difference between a
despot and an enlightened despot is based on a broad analysis of
the degree to which they embraced the Age of Enlightenment.
However, historians debate the actual implementation of enlightened
despotism. They distinguish between the "enlightenment" of the ruler
personally versus that of his or her regime.
Frederick the Great

Enlightened despotism was defended in an essay by Frederick the
Great, who ruled Prussia from 1740 to 1786. He was an enthusiast
of French ideas and invited the prominent French Enlightenment
philosopher V oltaire to live at his palace. With the help of French
experts, Frederick organized a system of indirect taxation, which
provided the state with more revenue than direct taxation. One of
Frederick's greatest achievements included the control of grain
prices, whereby government storehouses would enable the civilian
population to survive in needy regions, where the harvest was poor.
Frederick modernized the Prussian bureaucracy and civil service
and pursued religious policies throughout his realm that ranged from
tolerance to segregation. He was largely non-practicing and
tolerated all faiths in his realm, although Protestantism became the
favored religion and Catholics were not chosen for higher state
positions. While he protected and encouraged trade by Jewish
citizens of the Empire, he repeatedly expressed strong anti-Semitic
sentiments. He also encouraged immigrants of various nationalities
and faiths to come to Prussia. Some critics, however, point out his
oppressive measures against conquered Polish subjects after some
Polish land fell under the control of the Prussian Empire. Following
the common interest among enlightened despots, Frederick
supported arts, philosophers that he favored, and complete freedom
of the press and literature.
Catherine the Great

Catherine II of Russia was the most renowned and the longest-ruling
female leader of Russia, reigning from 1762 until her death in 1796.
An admirer of Peter the Great, she continued to modernize Russia
along Western European lines but her enlightened despotism
manifested itself mostly with her commitment to arts, sciences, and
the modernization of Russian education. The Hermitage Museum,
which now occupies the whole Winter Palace, began as Catherine's
personal collection. She wrote comedies, fiction, and memoirs, while
cultivating V oltaire, Diderot, and d'Alembert—all French
encyclopedists who later cemented her reputation in their writings.
The leading European economists of her day became foreign
members of the Free Economic Society, established on her
suggestion in Saint Petersburg in 1765. She also recruited Western
European scientists. Within a few months of her accession in 1762,
having heard the French government threatened to stop the
publication of the famous French Encyclopé die on account of its
irreligious spirit, Catherine proposed to Diderot that he should
complete his great work in Russia under her protection. She believed
a 'new kind of person' could be created by instilling Russian children
with Western European education. She continued to investigate
educational theory and practice of other countries and while she
introduced some educational reforms, she failed to establish a
national school system.
The Smolny Institute, the first Russian
institute for " Noble Maidens" and the
first European state higher education
institution for women, painting by S.F.
Galaktionov, 18 23.
Catherine established the Smolny Institute for Noble Girls to educate
females. At first, the Institute only admitted young girls of the noble
elite, but eventually it began to admit girls of the petit-bourgeoisie, as
well. The girls who attended the Smolny Institute, Smolyanki, were
often accused of being ignorant of anything that went on in the world
outside the walls of the Smolny buildings. Within the walls of the
Institute, they were taught impeccable French, musicianship,
dancing, and complete awe of the Monarch.
Although Catherine refrained from putting most democratic principles

into practice, she issued codes addressing some modernization
trends, including dividing the country into provinces and districts,
limiting the power of nobles, creating a middle estate, and a number
of economic reforms. However, military conscription and economy
continued to depend on serfdom, and the increasing demands of the
state and private landowners led to increased levels of reliance on
serfs.
Maria Theresa
Maria Theresa was the only female ruler of the Habsburg
dominions and the last of the House of Habsburg. She implemented
significant reforms to strengthen Austria's military and bureaucratic
efficiency. She doubled the state revenue between 1754 and 1764,
though her attempt to tax clergy and nobility was only partially
successful. Nevertheless, her financial reforms greatly improved the
economy. In 1760, Maria Theresa created the council of state, which
served as a committee of expert advisors. It lacked executive or
legislative authority but nevertheless showed the difference between
the autocratic form of government. In medicine, her decision to have
her children inoculated after the smallpox epidemic of 1767 was
responsible for changing Austrian physicians' negative view of
vaccination. Austria outlawed witch burning and torture in 1776. It
was later reintroduced, but the progressive nature of these reforms
remains noted. Education was one of the most notable reforms of
Maria Theresa's rule. In a new school system based on that of
Prussia, all children of both genders from the ages were required to
attend school from the ages of 6 to 12, although the law turned out to
be very difficult to execute.
However, Maria Theresa found it hard to fit into the intellectual

sphere of the Enlightenment. For example, she believed that
religious unity was necessary for a peaceful public life and explicitly
rejected the idea of religious tolerance. She regarded both the
Jews and Protestants as dangerous to the state and actively tried to
suppress them. As a young monarch who fought two dynastic wars,
she believed that her cause should be the cause of her subjects, but
in her later years she would believe that their cause must be hers.
J oseph II of Austria
Maria Theresa's oldest son, Joseph II, Holy Roman Emperor from
1765 to 1790 and ruler of the Habsburg lands from 1780 to 1790,
was at ease with Enlightenment ideas. Joseph was a proponent of
enlightened despotism, but his commitment to modernizing reforms
engendered significant opposition, which eventually culminated in a
failure to fully implement his programs.
Joseph inspired a complete reform of the legal system, abolished

brutal punishments and the death penalty in most instances, and
imposed the principle of complete equality of treatment for all
offenders. He ended censorship of the press and theater. In 1781–
82, he extended full legal freedom to serfs. The landlords, however,
found their economic position threatened and eventually reversed
the policy. To equalize the incidence of taxation, Joseph ordered an
appraisal of all the lands of the empire to impose a single egalitarian
tax on land. However, most of his financial reforms were repealed
shortly before or after Joseph's death in 1790. To produce a literate
citizenry, elementary education was made compulsory for all boys
and girls and higher education on practical lines was offered for a
select few. Joseph created scholarships for talented poor students
and allowed the establishment of schools for Jews and other
religious minorities. In 1784, he ordered that the country change its
language of instruction from Latin to German, a highly controversial
step in a multilingual empire. Joseph also attempted to centralize
medical care in V ienna through the construction of a single, large
hospital, the famous Allgemeines Krankenhaus, which opened in
1784. Centralization, however, worsened sanitation problems,
causing epidemics and a 20% death rate in the new hospital, but the
city became preeminent in the medical field in the next century.
J oseph II is plowing the field near
Slawikowitz in rural
southern Moravia on 19 August 17 69.
Joseph II was one of the first rulers in Central Europe. He attempted
to abolish serfdom but his plans met with resistance from the
landholders. His Imperial Patent of 1785 abolished serfdom on some
territories of the Empire, but under the pressure of the landlords did
not give the peasants ownership of the land or freedom from dues
owed to the landowning nobles. It did give them personal freedom.
The final emancipation reforms in the Habsburg Empire were
introduced in 1848.
Probably the most unpopular of all his reforms was his attempted
modernization of the highly traditional Catholic Church. Calling
himself the guardian of Catholicism, Joseph II struck vigorously at
papal power. He tried to make the Catholic Church in his empire the
tool of the state, independent of Rome. Joseph was very friendly to
Freemasonry, as he found it highly compatible with his own
Enlightenment philosophy, although he apparently never joined the
Lodge himself. In 1789, he issued a charter of religious toleration for
the Jews of Galicia, a region with a large Yiddish-speaking traditional
Jewish population. The charter abolished communal autonomy
whereby the Jews controlled their internal affairs. It promoted
Germanization and the wearing of non-Jewish clothing.
Attributions
Enlightenment Ideals
"The Gentleman's Magazine."
https://en.wikipedia.org/wiki/The_Gentleman%27s_Magazin
CC BY-SA 3.0.
"Reductionism." https://en.wikipedia.org/wiki/Reductionism.
"Cogito ergo sum."
https://en.wikipedia.org/wiki/Cogito_ergo_sum. Wikipedia
CC BY-SA 3.0.
"800px-Gentleman's_Magazine_1731.JPG."
File:Gentleman%27s_Magazine_1731.JPG. Wikipedia
Public domain.
"Encyclopedie_de_D'Alembert_et_Diderot_-
_Premiere_Page_-_ENC_1-NA5.jpg."
File:Encyclopedie_de_D%27Alembert_et_Diderot_-
_Premiere_Page_-_ENC_1-NA5.jpg. Wikipedia Public
domain.
Scientific Exploration
"David Hume." https://en.wikipedia.org/wiki/David_Hume.
"Chemical revolution."
https://en.wikipedia.org/wiki/Chemical_revolution. Wikipedia
CC BY-SA 3.0.
"Science of man."
https://en.wikipedia.org/wiki/Science_of_man. Wikipedia CC
BY-SA 3.0.
"Penology." https://en.wikipedia.org/wiki/Penology.
"Cesare Beccaria."
https://en.wikipedia.org/wiki/Cesare_Beccaria. Wikipedia
CC BY-SA 3.0.
"Francesco Mario Pagano."
https://en.wikipedia.org/wiki/Francesco_Mario_Pagano.
"Herschel_40_foot.jpg."
tenment# /media/File:Herschel_40_foot.jpg. Wikipedia
Public domain.
"Cesare_Beccaria_in_Dei_delitti_crop.jpg."
File:Cesare_Beccaria_in_Dei_delitti_crop.jpg. Wikipedia
Public domain.
The Popularization of Science
"Encyclopé die."
"Philosophical Transactions of the Royal Society."
https://en.wikipedia.org/wiki/Philosophical_Transactions_of_
the_Royal_Society. Wikipedia CC BY-SA 3.0.
"Conversations on the Plurality of Worlds."
https://en.wikipedia.org/wiki/Conversations_on_the_Pluralit
y_of_Worlds. Wikipedia CC BY-SA 3.0.
CC BY-SA 3.0.
"800px-1665_phil_trans_vol_i_title.png."
tenment# /media/File:1665_phil_trans_vol_i_title.png.
"David_-
_Portrait_of_Monsieur_Lavoisier_and_His_Wife.jpg."
tenment# /media/File:David_-
_Portrait_of_Monsieur_Lavoisier_and_His_Wife.jpg.
Enlightened Despotism
"Maria Theresa."
https://en.wikipedia.org/wiki/Maria_Theresa. Wikipedia CC
BY-SA 3.0.
"Encyclopé die."
"Frederick the Great."
https://en.wikipedia.org/wiki/Frederick_the_Great. Wikipedia
CC BY-SA 3.0.
"Catherine the Great."
https://en.wikipedia.org/wiki/Catherine_the_Great.
"Serfdom." https://en.wikipedia.org/wiki/Serfdom. Wikipedia
CC BY-SA 3.0.
"Enlightened absolutism."
https://en.wikipedia.org/wiki/Enlightened_absolutism.
https://en.wikipedia.org/wiki/Age_of_Enlightenment# Enlight
ened_absolutism. Wikipedia CC BY-SA 3.0.
"Joseph II, Holy Roman Emperor."
https://en.wikipedia.org/wiki/Joseph_II,_Holy_Roman_Emp
eror. Wikipedia CC BY-SA 3.0.
"Joseph2pflug_1799.jpg."
eror# /media/File:Joseph2pflug_1799.jpg. Wikipedia Public
domain.
"Galaktionov_Smolny_institute_1823.jpg."
https://en.wikipedia.org/wiki/Catherine_the_Great# /media/Fi
le:Galaktionov_Smolny_institute_1823.jpg. Wikipedia Public
domain.
21.2: Frederick the Great and
Prussia
21.2.1: The Hohenz ollerns
The Hohenzollern family split into two branches, the Catholic
Swabian branch and the Protestant Franconian branch. The latter
transformed from a minor German princely family into one of the
most important dynasties in Europe.
Learning Objective
Explain who the Hohenzollerns were and the progression of their
relationship with and status within the Holy Roman Empire.
Key Points
The House of Hohenzollern is a dynasty of Hohenzollern,
Brandenburg, Prussia, the German Empire, and Romania. The
family arose in the area around the town of Hechingen in
Swabia during the 11th century. The family split into two
branches, the Catholic Swabian branch and the Protestant
Franconian branch, which later became the Brandenburg-
Prussian branch.
The Margraviate of Brandenburg was a major principality of the
Holy Roman Empire from 1157 to 1806. It played a pivotal role
in the history of Germany and Central Europe. The House of
Hohenzollern came to the throne of Brandenburg in 1415.
Frederick V I of Nuremberg was officially recognized as
Margrave and Prince-elector Frederick I of Brandenburg at the
Council of Constance in 1415.
When Duke of Prussia Albert Frederick died in 1618 without
having had a son, his son-in-law John Sigismund, at the time
the prince-elector of the Margraviate of Brandenburg, inherited
the Duchy of Prussia. He then ruled both territories in a personal
union that came to be known as Brandenburg-Prussia. Prussia
lay outside the Holy Roman Empire and the electors of
Brandenburg held it as a fief of the Polish–Lithuanian
Commonwealth to which the electors paid homage.
The electors of Brandenburg spent the next two centuries
attempting to gain lands to unite their separate territories and
form one geographically contiguous domain. In the second half
of the 17th century, Frederick William, the "Great Elector,"
developed Brandenburg-Prussia into a major power. The
electors succeeded in acquiring full sovereignty over Prussia in
1657.
In return for aiding Emperor Leopold I during the War of the
Spanish Succession, Frederick William's son, Frederick III, was
allowed to elevate Prussia to the status of a kingdom. In 1701,
Frederick crowned himself Frederick I, King of Prussia. Prussia,
unlike Brandenburg, lay outside the Holy Roman Empire.
Legally, Brandenburg was still part of the Holy Roman Empire
so the Hohenzollerns continued to use the additional title of
Elector of Brandenburg for the remainder of the empire's run.
The feudal designation of the Margraviate of Brandenburg
ended with the dissolution of the Holy Roman Empire in 1806,
which made the Hohenzollerns de jure as well as de
facto sovereigns over it. It became part of the German Empire in
1871 during the Prussian-led unification of Germany.
Key Terms
personal union
The combination of two or more states that have the same

monarch while their boundaries, laws, and interests remain
distinct. It differs from a federation in that each constituent state
has an independent government, whereas a unitary state is
united by a central government. Its ruler does not need to be a
hereditary monarch.
fief
The central element of feudalism, consisting of

heritable property or rights granted by an overlord to a
vassal who held it in fealty (or "in fee") in return for a form of
feudal allegiance and service, usually given by the personal
ceremonies of homage and fealty. The fees were often lands or
revenue-producing real property held in feudal land tenure.
The House of Hohenzollern
A dynasty of Hohenzollern, Brandenburg, Prussia, the German

Empire, and Romania. The family arose in the area around the
town of Hechingen in Swabia during the 11th century and took
their name from the Hohenzollern Castle. The family split into
two branches, the Catholic Swabian branch and the Protestant
Franconian branch, which later became the Brandenburg-
Prussian branch.
The Margraviate of Brandenburg
A major principality of the Holy Roman Empire from 1157 to

1806. Also known as the March of Brandenburg, it played a
pivotal role in the history of Germany and Central Europe. Its
ruling margraves were established as prestigious prince-electors
in the Golden Bull of 1356, allowing them to vote in the election
of the Holy Roman Emperor.
the Golden Bull of 1356
A decree issued by the Imperial Diet at Nuremberg and

Metz headed by the Emperor Charles IV , which fixed, for a
period of more than four hundred years, important aspects of
the constitutional structure of the Holy Roman Empire.
House of Hohenz ollern
The House of Hohenzollern is a dynasty of Hohenzollern,
Brandenburg, Prussia, the German Empire, and Romania. The
family arose in the area around the town of Hechingen in Swabia
during the 11th century and took their name from the Hohenzollern
Castle. The first ancestor of the Hohenzollerns was mentioned in
1061, but the family split into two branches, the Catholic Swabian
branch and the Protestant Franconian branch, which later became
the Brandenburg-Prussian branch. The Swabian branch ruled the
principalities of Hohenzollern-Hechingen and Hohenzollern-
Sigmaringen (both fiefs of the Holy Roman Empire) until 1849 and
ruled Romania from 1866 to 1947. The cadet Franconian branch of
the House of Hohenzollern was founded by Conrad I, Burgrave of
Nuremberg (1186-1261). Beginning in the 16th century, this branch
of the family became Protestant and decided on expansion through
marriage and the purchase of surrounding lands. The family
supported the Hohenstaufen and Habsburg rulers of the Holy Roman
Empire during the 12th to 15th centuries and was rewarded with
several territorial grants. In the first phase, the family gradually
added to their lands, at first with many small acquisitions in the
Franconian region of Germany (Ansbach in 1331 and Kulmbach in
1340). In the second phase, the family expanded further with large
acquisitions in the Brandenburg and Prussian regions of Germany
and current Poland (Margraviate of Brandenburg in 1417 and Duchy
of Prussia in 1618). These acquisitions eventually transformed the
Hohenzollerns from a minor German princely family into one of the
most important dynasties in Europe.
Margraviate of Brandenburg
The Margraviate of Brandenburg was a major principality of the Holy
Roman Empire from 1157 to 1806. Also known as the March of
Brandenburg, it played a pivotal role in the history of Germany and
Central Europe. Its ruling margraves were established as prestigious
prince-electors in the Golden Bull of 1356, allowing them to vote in
the election of the Holy Roman Emperor. The state thus became
additionally known as Electoral Brandenburg or the Electorate of
Brandenburg. The House of Hohenzollern came to the throne of
Brandenburg in 1415. Frederick V I of Nuremberg was officially
recognized as Margrave and Prince-elector Frederick I of
Brandenburg at the Council of Constance in 1415.
Portrait of Frederick I, Elector of
Brandenburg, also called Frederick V I
of Nuremberg
In 1411 Frederick V I, Burgrave of Nuremberg was appointed
governor of Brandenburg in order to restore order and stability. At
the Council of Constance in 1415, King Sigismund elevated
Frederick to the rank of Elector and Margrave of Brandenburg as
Frederick I.
Frederick made Berlin his residence, although he retired to his

Franconian possessions in 1425. He granted governance of
Brandenburg to his eldest son John the Alchemist while retaining the
electoral dignity for himself. The next elector, Frederick II, forced the
submission of Berlin and Cö lln, setting an example for the other
towns of Brandenburg. He reacquired the Neumark from the
Teutonic Knights and began its rebuilding. Brandenburg accepted
the Protestant Reformation in 1539. The population has remained
largely Lutheran since, although some later electors converted to
Calvinism. At the end of the Thirty Years' War in 1648, Brandenburg
was recognized as the possessor of territories, which were more
than 100 kilometers from the borders of Brandenburg and formed the
nucleus of the later Prussian Rhineland.
Brandenburg-Prussia
When Duke of Prussia Albert Frederick died in 1618 without having
had a son, his son-in-law John Sigismund, at the time the prince-
elector of the Margraviate of Brandenburg, inherited the Duchy of
Prussia. He then ruled both territories in a personal union that came
to be known as Brandenburg-Prussia. Prussia lay outside the Holy
Roman Empire and the electors of Brandenburg held it as a fief of
the Polish–Lithuanian Commonwealth to which the electors paid
homage.
The electors of Brandenburg spent the next two centuries attempting

to gain lands to unite their separate territories (the Mark
Brandenburg, the territories in the Rhineland and Westphalia, and
Ducal Prussia) and form one geographically contiguous domain. In
the Peace of Westphalia ending the Thirty Years' War in 1648,
Brandenburg-Prussia acquired Farther Pomerania and made it the
Province of Pomerania. In the second half of the 17th century,
Frederick William, the "Great Elector," developed Brandenburg-
Prussia into a major power. The electors succeeded in acquiring full
sovereignty over Prussia in 1657.
Kingdom of Prussia
In return for aiding Emperor Leopold I during the War of the Spanish
Succession, Frederick William's son, Frederick III, was allowed to
elevate Prussia to the status of a kingdom. In 1701, Frederick
crowned himself Frederick I, King of Prussia. Prussia, unlike
Brandenburg, lay outside the Holy Roman Empire, within which only
the emperor and the ruler of Bohemia could call themselves king. As
king was a more prestigious title than prince-elector, the territories of
the Hohenzollerns became known as the Kingdom of Prussia,
although their power base remained in Brandenburg. Legally,
Brandenburg was still part of the Holy Roman Empire, ruled by the
Hohenzollerns in personal union with the Prussian kingdom over
which they were fully sovereign. For this reason, the Hohenzollerns
continued to use the additional title of Elector of Brandenburg for the
remainder of the empire's run. However, by this time the emperor's
authority over the empire had become merely nominal. The various
territories of the empire acted more or less as de facto sovereign
states and only acknowledged the emperor's overlordship over them
in a formal way. For this reason, Brandenburg soon came to be
treated as de facto part of the Prussian kingdom rather than a
separate entity.
From 1701 to 1946, Brandenburg's history was largely that of the

state of Prussia, which established itself as a major power in Europe
during the 18th century. King Frederick William I of Prussia, the
"Soldier-King," modernized the Prussian Army, while his son
Frederick the Great achieved glory and infamy with the Silesian
Wars and Partitions of Poland. The feudal designation of the
Margraviate of Brandenburg ended with the dissolution of the Holy
Roman Empire in 1806, which made the Hohenzollerns de j ure as
well as de facto sovereigns over it. It was replaced with the Province
of Brandenburg in 1815 following the Napoleonic Wars.
Brandenburg, along with the rest of Prussia, became part of the
German Empire in 1871 during the Prussian-led unification of
Germany.
21.2.2: Frederick the Great

In his youth, Frederick the Great was a sensitive man with great
appreciation for intellectual development, arts, and education.
Despite his father's fears, this did not prevent him from becoming a
brilliant military strategist during his later reign as King of Prussia.
Learning Objective
Describe elements of Frederick II's upbringing and his transformation
into a Prussian leader
Key Points
Frederick, the son of Frederick William I and his wife Sophia
Dorothea of Hanover, was born in Berlin in 1712. He was
brought up by Huguenot governesses and tutors and learned
French and German simultaneously. In spite of his father's
desire that his education be entirely religious and pragmatic, the
young Frederick preferred music, literature, and French culture,
which clashed with his father's militarism.
Frederick found an ally in his sister, Wilhelmine, with whom he
remained close for life. At age 16, he formed an attachment to
the king's 13-year-old page, Peter Karl Christoph Keith.
Margaret Goldsmith, a biographer of Frederick's, suggests the
attachment was of a sexual nature and as a result Keith was
sent away and Frederick temporarily relocated.
When he was 18, Frederick plotted to flee to England with his
close friend Hans Hermann von Katte and other junior army
officers. Frederick and Katte were subsequently arrested and
imprisoned in Kü strin. Because they were army officers who had
tried to flee Prussia for Great Britain, Frederick William leveled
an accusation of treason against the pair. The king forced
Frederick to watch the decapitation of Katte.
Frederick married Elisabeth Christine of Brunswick-Bevern, a
Protestant relative of the Austrian Habsburgs, in 1733. He had
little in common with his bride and resented the political
marriage. Once Frederick secured the throne in 1740 after his
father's death, he immediately separated from his wife.
Prince Frederick was 28 years old when he acceded to the
throne of Prussia. His goal was to modernize and unite his
vulnerably disconnected lands, which he largely succeeded at
through aggressive military and foreign policies. Contrary to his
father's fears, Frederick proved himself a courageous soldier
and an extremely skillful strategist.
Key Terms
The Prince
A 16th-century political treatise by the Italian diplomat and

political theorist Niccolò Machiavelli. Machiavelli's ideas on how
to accrue honor and power as a leader had a profound impact
on political leaders throughout the modern West. Although the
work advises princes how to tyrannize, Machiavelli is generally
thought to have preferred some form of free republic.
Anti-Machiavel
A 1740 essay by Frederick the Great consisting of a chapter-by-

chapter rebuttal of The Prince, the 16th-century book by Niccolò
Machiavelli, and Machiavellianism in general. Frederick's
argument is essentially moral in nature. His own views reflect a
largely Enlightenment ideal of rational and benevolent
statesmanship: the king, Frederick contends, is charged with
maintaining the health and prosperity of his subjects.
enlightened absolutism
Also known as enlightened despotism or benevolent absolutism,

a form of absolute monarchy or despotism inspired by the
Enlightenment. The monarchs who embraced it followed the
participles of rationality. Some of them fostered education and
allowed religious tolerance, freedom of speech, and the right to
hold private property. They held that royal power emanated not
from divine right but from a social contract whereby a despot
was entrusted with the power to govern in lieu of any other
governments.
Frederick the Great: Early

Childhood
Frederick, the son of Frederick William I and his wife, Sophia
Dorothea of Hanover, was born in Berlin in 1712. His birth was
particularly welcomed by his grandfather, Frederick I, as his two
previous grandsons both died in infancy. With the death of Frederick
I in 1713, Frederick William became King of Prussia, thus making
young Frederick the crown prince.
The new king wished for his sons and daughters to be educated not
as royalty but as simple folk. He had been educated by a
Frenchwoman, Madame de Montbail, who later became Madame de
Rocoulle, and wanted her to educate his children. Frederick was
brought up by Huguenot governesses and tutors and learned French
and German simultaneously. In spite of his father's desire that his
education be entirely religious and pragmatic, the young Frederick,
with the help of his tutor Jacques Duhan, secretly procured a 3,000-
volume library of poetry, Greek and Roman classics, and French
philosophy to supplement his official lessons. Frederick William I,
popularly dubbed the Soldier-King, possessed a violent temper and
ruled Brandenburg-Prussia with absolute authority. As Frederick
grew, his preference for music, literature, and French culture clashed
with his father's militarism, resulting in frequent beatings and
humiliation from his father.
Crown Prince
Frederick found an ally in his sister Wilhelmine, with whom he
remained close for life. At age 16, he formed an attachment to the
king's 13-year-old page, Peter Karl Christoph Keith. Margaret
Goldsmith, a biographer of Frederick's, suggests the attachment was
of a sexual nature. As a result, Keith was sent away to an unpopular
regiment near the Dutch frontier, while Frederick was temporarily
sent to his father's hunting lodge in order "to repent of his sin."
Around the same time, he became close friends with Hans Hermann
von Katte.
When he was 18, Frederick plotted to flee to England with Katte and
other junior army officers. Frederick and Katte were subsequently
arrested and imprisoned in Kü strin. Because they were army officers
who had tried to flee Prussia for Great Britain, Frederick William
leveled an accusation of treason against the pair. The king briefly
threatened the crown prince with the death penalty, then considered
forcing Frederick to renounce the succession in favor of his brother,
Augustus William, although either option would have been difficult to
justify to the Imperial Diet (general assembly) of the Holy Roman
Empire. The king forced Frederick to watch the decapitation of Katte
at Kü strin, leaving the crown prince to faint right before the fatal blow
was struck.
Frederick was granted a royal pardon and released from his cell,
although he remained stripped of his military rank. Instead of
returning to Berlin, he was forced to remain in Kü strin and began
rigorous schooling in statecraft and administration. Tensions eased
slightly when Frederick William visited Kü strin a year later and
Frederick was allowed to visit Berlin on the occasion of his sister
Wilhelmine's marriage to Margrave Frederick of Bayreuth in 1731.
The crown prince returned to Berlin after finally being released from
his tutelage at Kü strin a year later.
A number of royal family members were considered candidates for

marriage, but Frederick eventually married Elisabeth Christine of
Brunswick-Bevern, a Protestant relative of the Austrian Habsburgs,
in 1733. He had little in common with his bride and resented the
political marriage as an example of the Austrian interference that had
plagued Prussia since 1701. Once Frederick secured the throne in
1740 after his father's death, he immediately separated from his wife
and prevented Elisabeth from visiting his court in Potsdam, granting
her instead Schö nhausen Palace and apartments at the Berliner
Stadtschloss. In later years, Frederick would pay his wife formal
visits only once a year. Recent major biographers are unequivocal
that Frederick was homosexual and that his sexuality was central to
his life and character.
Frederick as Crown Prince by Antoine

Pesne, 17 39.
Frederick would come to the throne with an exceptional inheritance:
an army of 80,000 men. By 1770, after two decades of punishing war
alternating with intervals of peace, Frederick doubled the size of the
huge army, which during his reign would consume 86% of the state
budget.
Becoming the Leader
Frederick was restored to the Prussian Army as colonel. When
Prussia provided a contingent of troops to aid Austria during the War
of the Polish Succession, Frederick studied under Prince Eugene of
Savoy during the campaign against France on the Rhine. Frederick
William, weakened by gout brought about by the campaign and
seeking to reconcile with his heir, granted Frederick Schloss
Rheinsberg in Rheinsberg, north of Neuruppin. In Rheinsberg,
Frederick assembled a small number of musicians, actors, and other
artists. He spent his time reading, watching dramatic plays, and
making and listening to music, and regarded this time as one of the
happiest of his life.
The works of Niccolò Machiavelli, such as The Prince, were

considered a guideline for the behavior of a king in Frederick's age.
In 1739, Frederick finished his Anti-Machiavel, an idealistic refutation
of Machiavelli. Instead of promoting more democratic principles of
the Enlightenment, Frederick was a proponent of enlightened
absolutism. It was written in French and published anonymously in
1740, but V oltaire distributed it in Amsterdam to great popularity.
Frederick's years dedicated to the arts instead of politics ended upon
the 1740 death of Frederick William and his inheritance of the
Kingdom of Prussia.
Prince Frederick was 28 years old when he acceded to the throne of

Prussia. His goal was to modernize and unite his vulnerably
disconnected lands, and he largely succeeded through aggressive
military and foreign policies. Contrary to his father's fears, Frederick
proved himself a courageous soldier and an extremely skillful
strategist. In fact, Napoleon Bonaparte viewed the Prussian king as
the greatest tactical genius of all time. After the Seven Years' War,
the Prussian military acquired a formidable reputation across
Europe. Esteemed for their efficiency and success in battle,
Frederick's army became a model emulated by other European
powers, most notably Russia and France. Frederick was also an
influential military theorist whose analysis emerged from his
extensive personal battlefield experience and covered issues of
strategy, tactics, mobility and logistics. Even the later military
reputation of Prussia under Bismarck and Moltke rested on the
weight of mid-eighteenth century military developments and the
territorial expansion of Frederick the Great. Despite his dazzling
success as a military commander, however, Frederick was not a fan
of protracted warfare.
21.2.3: Prussia Under Frederick the

Great
Frederick the Great significantly modernized Prussian economy,
administration, judicial system, education, finance, and agriculture,
but never attempted to change the social order based on the
dominance of the landed nobility.
Learning Objective
Analyze Frederick the Great's domestic reforms and his relationship
with the Junker class
Key Points
Frederick the Great helped transform Prussia from a European
backwater to an economically strong and politically reformed
state. During his reign, the effects of the Seven Years' War and
the gaining of Silesia greatly changed the economy.
Frederick organized a system of indirect taxation, which
provided the state with more revenue than direct taxation. He
also followed Johann Ernst Gotzkowsky's recommendations in
the field of toll levies and import restrictions and protected
Prussian industries with high tariffs and minimal restrictions on
domestic trade.
Frederick gave his state a modern bureaucracy, reformed the
judicial system, and made it possible for men not of noble stock
to become judges and senior bureaucrats. He also allowed
freedom of speech, the press, and literature, and abolished
most uses of judicial torture. He also reformed the currency
system and thus stabilized prices. However, he did not reform
the existing social order.
At the time, Prussia's education system was seen as one of the
best in Europe. Frederick laid the basic foundations of what
would eventually became a Prussian primary education system.
In 1763, he issued a decree for the first Prussian general school
law based on the principles developed by Johann Julius
Hecker.
Frederick was keenly interested in land use, especially draining
swamps and opening new farmland for colonizers who would
increase the kingdom's food supply. The resulting program
created 60,000 hectares (150,000 acres) of new farmland, but
also eliminated vast swaths of natural habitat.
While Frederick was largely non-practicing and tolerated all
faiths in his realm, Protestantism became the favored religion
and Catholics were not chosen for higher state positions. His
attitudes towards Catholics and Jews were very selective and
thus in some cases oppressive, while in others relatively
tolerant.
Key Terms
Freemason
A member of fraternal organizations that trace their origins to

the local fraternities of stonemasons, which from the end of the
14th century regulated the qualifications of stonemasons and
their interactions with authorities and clients. There is no clear
mechanism by which these local trade organizations became
the fraternal organizations gathering members of similar
ideological and intellectual interests, but the rituals and
passwords known from operative lodges around the turn of the
17th–18th centuries show continuity with the rituals developed in
the later 18th century by members who did not practice the
physical craft.
Seven Years' War
A world war fought between 1754 and 1763, the main conflict
occurring in the seven-year period from 1756 to 1763. It
involved every European great power of the time except the
Ottoman Empire, spanning five continents, and affected Europe,
the Americas, West Africa, India, and the Philippines. The
conflict split Europe into two coalitions, led by Great Britain on
one side and France on the other. For the first time, aiming to
curtail Britain and Prussia's ever-growing might, France formed
a grand coalition of its own, which ended with failure as Britain
rose as the world's predominant power, altering the European
balance of power.
Junkers
The members of the landed nobility in Prussia. They owned

great estates that were maintained and worked by peasants with
few rights. They were an important factor in Prussian and, after
1871, German military, political, and diplomatic leadership.
Frederick the Great and the

Moderniz ation of Prussia
As King of Prussia from 1740 until 1786, Frederick the Great helped
transform Prussia from a European backwater to an economically
strong and politically reformed state. During his reign, the effects of
the Seven Years' War and the gaining of Silesia greatly changed the
economy. The conquest of Silesia gave Prussia's fledgling industries
access to raw materials and fertile agricultural lands. With the help of
French experts, he organized a system of indirect taxation, which
provided the state with more revenue than direct taxation. He also
commissioned Johann Ernst Gotzkowsky, a Prussian merchant with
a successful trade in trinkets, silk, taft, and porcelain, to promote the
trade and open a silk factory that employed 1,500 people. Frederick
followed Gotzovsky's recommendations in the fields of toll levies and
import restrictions. He also protected Prussian industries with high
tariffs and minimal restrictions on domestic trade. In 1763, when
Gotzkowsky went bankrupt during a financial crisis, Frederick took
over his porcelain factory. The factory was eventually turned into the
Royal Porcelain Factory in Berlin (Kö nigliche Porzellan-Manufaktur,
or KPM), which still operates today. In 1781, Frederick decided to
make coffee a royal monopoly. Disabled soldiers were employed to
spy on citizens sniffing in search of illegally roasted coffee, much to
the annoyance of general population.
Frederick also gave his state a modern bureaucracy whose mainstay

until 1760 was the able War and Finance Minister Adam Ludwig von
Blumenthal, succeeded in 1764 by his nephew Joachim, who ran the
ministry to the end of the reign and beyond. He reformed the judicial
system and made it possible for men not of noble stock to become
judges and senior bureaucrats. He also allowed freedom of speech,
the press and literature, and abolished most uses of judicial torture,
except the flogging of soldiers as punishment for desertion. The
death penalty could only be carried out with a warrant signed by the
King himself, and Frederick signed a handful of these warrants per
year.
At the time, Prussia's education system was seen as one of the best
in Europe. Frederick laid the basic foundations of what would
eventually became a Prussian primary education system. In 1763,
he issued a decree for the first Prussian general school law based
on the principles developed by Johann Julius Hecker. In 1748,
Hecker had founded the first teacher's seminary in Prussia. The
decree expanded the existing schooling system significantly and
required that all young citizens, both girls and boys, be educated by
mainly municipality-funded schools from the age of 5 to 13 or 14.
Prussia was among the first countries in the world to introduce tax-
funded and generally compulsory primary education, although it took
several decades before universal education was successfully
enacted.
The circulation of depreciated money kept prices high. To revalue the

thaler, the Mint Edict of May 1763 was proposed. This stabilized the
rates of depreciated coins that would not be accepted and provided
for payment of taxes in currency of pre-Seven Years' War value.
Prussia used a thaler containing 1/14th of a Cologne mark of silver.
Many other rulers soon followed the steps of Frederick in reforming
their own currencies, which resulted in a shortage of ready money,
thus lowering prices.
An important aspect of Frederick's efforts is the absence of social

order reform. In his modernization of military and administration, he
relied on the class of Junkers, the Prussian land-owning nobility.
Under his rule, they continued to hold their privileges, including the
right to hold serfs. Frederick's attempts to protect the peasantry from
cruel treatment and oppression by landlords and lower their labor
obligations never really succeeded because of the economic,
political, and military influence the Junkers exercised. As the bulwark
of the ruling House of Hohenzollern, the Junkers controlled the
Prussian army, leading in political influence and social status, and
owned immense estates, especially in the north-eastern half of
Germany.
Agriculture
Frederick was keenly interested in land use, especially draining
swamps and opening new farmland for colonizers who would
increase the kingdom's food supply. He called it "peopling Prussia."
About a thousand new villages were founded in his reign that
attracted 300,000 immigrants from outside Prussia. Using improved
technology enabled him to create new farmland through a massive
drainage program in the country's Oderbruch marshland. This
strategy created roughly 150,000 acres of new farmland, but also
eliminated vast swaths of natural habitat, destroyed the region's
biodiversity, and displaced numerous native plant and animal
communities. Frederick saw this project as the "taming" and
"conquering" of nature, which, in its wild form, he regarded as
"useless" and "barbarous" (an attitude that reflected his
Enlightenment-era, rationalist sensibilities). He presided over the
construction of canals for bringing crops to market and introduced
new crops, especially potato and turnip, to the country. Control of
grain prices was of Frederick's greatest achievements in that it
allowed populations to survive in areas where harvests were poor.
Frederick also loved animals and founded the first veterinary school
in Germany. Unusual for his time and aristocratic background, he
criticized hunting as cruel, rough, and uneducated.
D er König überall by Robert Mü ller,

Berlin, 18 8 6.
Frederick the Great inspects the potato harvest outside
Neustettin (now Szczecinek, Poland), Eastern Pomerania. He
introduced new crops, especially the potato and the turnip, to the
country. and because of it he was sometimes called Der
K artoffelkö nig (the Potato King).
Religious Policies
While Frederick was largely non-practicing (in contrast to his
devoutly Calvinist father) and tolerated all faiths in his realm,
Protestantism became the favored religion and Catholics were not
chosen for higher state positions. Frederick was known to be more
tolerant of Jews and Catholics than many neighboring German
states, although he expressed strong anti-Semitic sentiments and, in
territories taken over from Poland, persecuted Polish Roman
Catholic churches by confiscating goods and property, exercising
strict control of churches, and interfering in church administration.
Like many leading figures in the Age of Enlightenment, Frederick
was a Freemason and his membership legitimized the group and
protected it against charges of subversion.
Frederick retained Jesuits as teachers in Silesia, Warmia, and the

Netze District after their suppression by Pope Clement X IV . Just like
Catherine II, he recognized the educational skills the Jesuits had as
an asset for the nation and was interested in attracting a diversity of
skills to his country, whether from Jesuit teachers, Huguenot citizens,
or Jewish merchants and bankers.
As Frederick made more wasteland arable, Prussia looked for new

colonists to settle the land. To encourage immigration, he repeatedly
emphasized that nationality and religion were of no concern to him.
This policy allowed Prussia's population to recover very quickly from
the considerable losses it suffered during Frederick's wars.
The Flute C oncert of
S anssouci by Adolph Menz el, 18 5 2,
depicts Frederick playing the flute in
his music room at Sanssouci, his
favorite residence in Potsdam. C. P. E.
Bach accompanies him on
the harpsichord.
Additionally to reforming efforts, Frederick was a patron of music as
well as a gifted musician who played the transverse flute. He
composed more than 100 sonatas for the flute as well as four
symphonies. His court musicians included C. P. E. Bach, Johann
Joachim Quantz, Carl Heinrich Graun and Franz Benda. A meeting
with Johann Sebastian Bach in 1747 in Potsdam led to Bach's
writing The Musical Offering.
21.2.4: The W ar of Austrian

Succession
Frederick the Great's 1740 invasion of resource-rich and strategically
located Silesia, marked the onset of the War of Austrian Succession
and aimed to unify the disconnected lands under Frederick's rule.
Learning Objective
Evaluate Frederick the Great's actual goals against his stated
rationale for the War of Austrian Succession
Key Points
In 1713, Charles V I of the Habsburg dynasty issued an edict
known as the Pragmatic Sanction, which aimed to ensure that
the Habsburg hereditary possessions could be inherited by a
daughter. The Pragmatic Sanction did not affect the office of
Holy Roman Emperor because the Imperial crown was elective,
not hereditary, although successive elected Habsburg rulers
headed the Holy Roman Empire since 1438.
In 1740, Charles V I died and his daughter Maria Theresa
succeeded him, but not as Holy Roman Emperor. The plan was
for her to succeed to the hereditary domains and her husband,
Francis Stephen, to be elected Holy Roman Emperor.
Hoping to unify his disconnected lands and thus desiring the
prosperous, resource-rich, and strategically located Austrian
province of Silesia, Frederick declined to endorse the Pragmatic
Sanction. He disputed the succession of Maria Theresa to the
Habsburg lands while simultaneously making his own claim on
Silesia. Accordingly, the War of Austrian Succession began on
December 16, 1740, when Frederick invaded and quickly
occupied the province. Politically, he used the 1537 Treaty of
Brieg as a pretext for the invasion.
The War of the Austrian Succession (1740–1748) escalated and
eventually involved most of the powers of Europe. Austria was
supported by Great Britain and the Dutch Republic, the
traditional enemies of France, as well as the Kingdom of
Sardinia and the Electorate of Saxony. France and Prussia were
allied with the Electorate of Bavaria.
The Prussian army proved to be a powerful force and ultimately
Prussia claimed victory in the First Silesian War (1740–1742).
Peace terms of the 1742 Treaty of Breslau gave Prussia all of
Silesia and Glatz County with the Austrians retaining only a
portion of Upper Silesia called "Austrian or Czech Silesia."
Frederick renewed his alliance with the French and preemptively
invaded Bohemia in 1744, thus beginning the Second Silesian
War (1744–1745). Frederick's victories on the battlefields of
Bohemia and Silesia again forced his enemies to seek peace
terms. Under the terms of the 1745 Treaty of Dresden, Austria
was forced to adhere to the terms of the Treaty of Breslau, but
Frederick recognized the election of Maria Theresa's husband,
Francis I, as the Holy Roman Emperor.
Key Terms
Pragmatic Sanction
An edict issued by Charles V I in 1713 to ensure that the

Habsburg hereditary possessions could be inherited by a
daughter. The Head of the House of Habsburg ruled the
Archduchy of Austria, the Kingdom of Hungary, the Kingdom of
Croatia, the Kingdom of Bohemia, the Italian territories awarded
to Austria by the Treaty of Utrecht, and the Austrian
Netherlands. The edict did not affect the office of Holy Roman
Emperor because the Imperial crown was elective, not
hereditary, although successive elected Habsburg rulers headed
the Holy Roman Empire since 1438.
War of Austrian Succession
A war (1740–1748) that involved most of the powers of

Europe over the question of Maria Theresa's succession to the
realms of the House of Habsburg. The war included King
George's War in North America, the War of Jenkins' Ear (which
formally began in October 1739), the First Carnatic War in India,
the Jacobite rising of 1745 in Scotland, and the First and
Second Silesian Wars.
personal union
The combination of two or more states with the same

monarch but distinct boundaries, laws, and interests. It differs
from a federation in that each constituent state has an
independent government, whereas a unitary state is united by a
central government. The ruler does not need to be a hereditary
monarch.
Background
In 1713, Charles V I of the Habsburg dynasty issued an edict known
as the Pragmatic Sanction. It aimed to ensure that the Habsburg
hereditary possessions could be inherited by a daughter. The Head
of the House of Habsburg ruled the Archduchy of Austria, the
Kingdom of Hungary, the Kingdom of Croatia, the Kingdom of
Bohemia, the Italian territories awarded to Austria by the Treaty of
Utrecht (Duchy of Milan, Kingdom of Naples and Kingdom of Sicily),
and the Austrian Netherlands. However, the Pragmatic Sanction did
not affect the office of Holy Roman Emperor because the Imperial
crown was elective, not hereditary, although successive elected
Habsburg rulers headed the Holy Roman Empire since 1438.
In 1740, Charles V I died and his daughter Maria Theresa succeeded

him as Queen of Hungary, Croatia and Bohemia, Archduchess of
Austria, and Duchess of Parma. She was not, however, a candidate
for the title of Holy Roman Emperor, which had never been held by a
woman. The plan was for her to succeed to the hereditary domains
and her husband, Francis Stephen, to be elected Holy Roman
Emperor.
Also in 1740, Frederick the Great of the Hohenzollern dynasty took
the title of King of Prussia upon his father's death. As such,
Frederick was also Elector of Brandenburg because the two
remained in personal union since the early 17th century. Legally,
Brandenburg was still part of the Holy Roman Empire but the
Hohenzollerns were fully sovereign rulers of the Prussian Kingdom.
Theoretically, this positioned Frederick as a sovereign king of
Prussia but under the authority of the Holy Roman Emperor as the
ruler of Brandenburg. In reality, by the 18th century Emperor's
authority over the Empire had become merely nominal. The various
territories of the Empire acted more or less as de facto sovereign
states and only acknowledged the Emperor's overlordship over them
in a formal way. For this reason, Brandenburg soon came to be
treated as de facto part of the Prussian kingdom rather than a
separate entity.
Frederick the Great and Silesia

Hoping to unify his disconnected lands and thus desiring the
prosperous, resource-rich, and strategically located Austrian
province of Silesia, Frederick declined to endorse the Pragmatic
Sanction. He disputed the succession of Maria Theresa to the
Habsburg lands while simultaneously making his own claim on
Silesia. Accordingly, the War of Austrian Succession began on
December 16, 1740, when Frederick invaded and quickly occupied
the province. He was worried that if he did not move to occupy the
region, Augustus III, King of Poland and Elector of Saxony, would
seek to connect his own disparate lands through Silesia. Politically,
Frederick used the 1537 Treaty of Brieg as a pretext for the invasion.
Under the treaty, the Hohenzollerns of Brandenburg were to inherit
the Duchy of Brieg, an autonomous region of Silesia. However, the
1537 agreement had been rejected by the Bohemian king Ferdinand
I of Habsburg soon after it was reached and never came into effect.
The Pragmatic Sanction, Act of
Emperor Charles V I
Since their marriage in 1708, Charles and his wife Elizabeth
Christine had not had children, and since 1711 Charles had been the
sole surviving male member of the House of Habsburg. Charles's
elder brother Joseph I had died without male issue, making
accession of a female a very plausible contingency. Charles V I
needed to take extraordinary measures to avoid a succession
dispute. He was, indeed, ultimately succeeded by his elder daughter
Maria Theresa (born 1717). Her accession in 1740 still resulted in
the outbreak of the War of the Austrian Succession.
The War of the Austrian Succession (1740–1748) escalated and

eventually involved most of the powers of Europe. It included King
George's War in North America, the War of Jenkins' Ear (formally
began in 1739), the First Carnatic War in India, the Jacobite rising of
1745 in Scotland, and the war over Silesia (First and Second
Silesian Wars). Austria was supported by Great Britain and the
Dutch Republic, the traditional enemies of France, as well as the
Kingdom of Sardinia and the Electorate of Saxony. France and
Prussia were allied with the Electorate of Bavaria.
Silesian W ars
Frederick occupied Silesia except for three fortresses at Glogau,
Brieg and Breslau. The first real battle he faced in Silesia was the
Battle of Mollwitz in April 1741, which was the first time Frederick
would command an army and later saw as his "school." In early
September 1741, the French entered the war against Austria and
together with their allies, the Electorate of Bavaria, marched on
Prague. With Prague under threat, the Austrians pulled their army
out of Silesia to defend Bohemia. When Frederick pursued them into
Bohemia and blocked their path to Prague, the Austrians attacked
him in May 1742. The Prussian Cavalry proved to be a powerful
force and ultimately Prussia claimed victory. Frederick forced the
Austrians to seek peace with him in the First Silesian War (1740–
1742). Peace terms of the Treaty of Breslau between the Austrians
and the Prussians negotiated in 1742 gave Prussia all of Silesia and
Glatz County with the Austrians retaining only a portion of Upper
Silesia called "Austrian or Czech Silesia." Prussian possession of
Silesia gave the kingdom control over the navigable Oder River.
A ttack of the Prussian Infantry at
the B attle of Hohenfriedberg by Carl
Rö chling 1913) .
On June 4, 1745, Frederick trapped a joint force of Saxons and
Austrians that had crossed the mountains to invade Silesia. After
allowing them to cross the mountains, Frederick then pinned the
enemy force down and defeated them at the Battle of
Hohenfriedberg. The battle was one of Prussia's great victories
during the Second Silesian War.
Frederick strongly suspected that the Austrians (who had subdued

Bavaria but were still at war with France) would resume war with
Prussia in an attempt to recover Silesia. Accordingly, he renewed his
alliance with the French and preemptively invaded Bohemia in 1744.
Thus the Second Silesian War (1744–1745) began. Frederick's
stunning victories on the battlefields of Bohemia and Silesia again
forced his enemies to seek peace terms. Under the terms of the
Treaty of Dresden, signed in December 1745, Austria was forced to
adhere to the terms of the Treaty of Breslau giving Silesia to Prussia.
Frederick, on the other hand, recognized the election of Maria
Theresa's husband/consort—Francis I—as the Holy Roman
Emperor.
Attributions
The Hohenzollerns
"House of Hohenzollern."
https://en.wikipedia.org/wiki/House_of_Hohenzollern.
"Margraviate of Brandenburg."
https://en.wikipedia.org/wiki/Margraviate_of_Brandenburg.
"Personal union."
https://en.wikipedia.org/wiki/Personal_union. Wikipedia CC
BY-SA 3.0.
"Golden Bull of 1356."
https://en.wikipedia.org/wiki/Golden_Bull_of_1356.
"Fief." https://en.wikipedia.org/wiki/Fief. Wikipedia CC BY-
SA 3.0.
"John Sigismund, Elector of Brandenburg."
https://en.wikipedia.org/wiki/John_Sigismund,_Elector_of_B
randenburg. Wikipedia CC BY-SA 3.0.
"Friedrich_I._von_Brandenburg.jpg."
https://en.wikipedia.org/wiki/House_of_Hohenzollern# /medi
a/File:Friedrich_I._von_Brandenburg.jpg. Wikipedia Public
domain.
Frederick the Great
CC BY-SA 3.0.
"Anti-Machiavel." https://en.wikipedia.org/wiki/Anti-
Machiavel. Wikipedia CC BY-SA 3.0.
"The Prince." https://en.wikipedia.org/wiki/The_Prince.
"Antoine_Pesne_-
_Frederick_the_Great_as_Crown_Prince_-
_WGA17377.jpg."
https://en.wikipedia.org/wiki/Frederick_the_Great# /media/Fil
e:Antoine_Pesne_-
_Frederick_the_Great_as_Crown_Prince_-
_WGA17377.jpg. Wikipedia Public domain.
Prussia Under Frederick the Great
"Prussian education system."
https://en.wikipedia.org/wiki/Prussian_education_system.
CC BY-SA 3.0.
"Johann Ernst Gotzkowsky."
https://en.wikipedia.org/wiki/Johann_Ernst_Gotzkowsky.
"Royal Porcelain Factory, Berlin."
https://en.wikipedia.org/wiki/Royal_Porcelain_Factory,_Berli
n. Wikipedia CC BY-SA 3.0.
"Seven Years' War."
https://en.wikipedia.org/wiki/Seven_Years%27_War.
"Freemasonry." https://en.wikipedia.org/wiki/Freemasonry.
"Junker (Prussia)."
https://en.wikipedia.org/wiki/Junker_(Prussia). Wikidpaces
CC BY-SA 3.0.
"Der_Kö nig_ü berall2.JPG."
e:Der_K%C3%B6nig_%C3%BCberall2.JPG. Wikipedia
Public domain.
"Adolph_Menzel_-
_Flö tenkonzert_Friedrichs_des_Groß en_in_Sanssouci_-
e:Adolph_Menzel_-
_Fl%C3%B6tenkonzert_Friedrichs_des_Gro%C3%9Fen_in
_Sanssouci_-_Google_Art_Project.jpg. Wikipedia CC BY-
SA 3.0.
The War of Austrian Succession
"Silesian Wars." https://en.wikipedia.org/wiki/Silesian_Wars.
"War of the Austrian Succession."
https://en.wikipedia.org/wiki/War_of_the_Austrian_Successi
CC BY-SA 3.0.
"Brandenburg-Prussia."
https://en.wikipedia.org/wiki/Brandenburg-Prussia.
"Personal union."
https://en.wikipedia.org/wiki/Personal_union. Wikipedia CC
BY-SA 3.0.
"Pragmatic Sanction of 1713."
https://en.wikipedia.org/wiki/Pragmatic_Sanction_of_1713.
"Duchy of Brzeg."
https://en.wikipedia.org/wiki/Duchy_of_Brzeg. Wikipedia CC
BY-SA 3.0.
"Pragmatica_Sanc.jpg."
https://en.wikipedia.org/wiki/Pragmatic_Sanction_of_1713# /
media/File:Pragmatica_Sanc.jpg. Wikipedia CC BY-SA 3.0.
"Hohenfriedeberg_-_Attack_of_Prussian_Infantry_-
_1745.jpg."
on# /media/File:Hohenfriedeberg_-
_Attack_of_Prussian_Infantry_-_1745.jpg. Wikipedia Public
domain.
21.3: The Holy Roman Empire
21.3.1: The Structure of the Holy
Roman Empire
Although the Habsburgs held the title of Holy Roman Emperor for
nearly four centuries, the title was not hereditary and their power
over the decentralized empire was limited and separate from their
reign over the territories under the Habsburg rule.
Learning Objective
Describe the structure of the Holy Roman Empire, focusing on its
relation to the Habsburg dynasty and the lands under their rule
Key Points
The Holy Roman Empire was a multi-ethnic complex of
territories in central Europe that developed during the Early
Middle Ages and continued until its dissolution in 1806. The
German prince-electors, the highest-ranking noblemen of the
empire, usually elected one of their peers to be the emperor.
The empire evolved into a decentralized, limited elective
monarchy composed of hundreds of sub-units, and the power of
the emperor was limited.
The Habsburgs held the title of Holy Roman Emperor between
1438 and 1740 and again from 1745 to 1806. Although one
family held onto the title for centuries, the Holy Roman Emperor
was elected and the position never became hereditary. This
contrasted with the power that the Habsburgs held over
territories under their rule, which did not overlap with the Holy
Roman Empire.
The various Habsburg possessions never really formed a single
country—each province was governed according to its own
particular customs. Serious attempts at centralization began
under Maria Theresa and her son Joseph II, but many of these
were abandoned. The Holy Roman Empire was also not a
centralized state but its fragmentation was much more dramatic.
The division between the positions of the Holy Roman Emperor
and the Emperor of the Austrian Monarchy is best illustrated by
the circumstances around the War of the Austrian Succession.
At its end, Maria Theresa was recognized as the head of the
Austrian Monarchy, but it was her husband, Francis I who was
eventually granted the title of Holy Roman Emperor.
At the turn of the nineteenth century, the Holy Roman Empire
saw significant administrative changes. In 1804, the Holy
Roman Emperor Francis II, who was also ruler of the lands of
the Habsburg Monarchy, founded the Empire of Austria. In doing
so, he created a formal overarching structure for the Habsburg
Monarchy as he foresaw either the end of the Holy Roman
Empire or the eventual accession as Holy Roman Emperor of
Napoleon.
In 1805, the leaders of some imperial territories proclaimed their
independence and signed a treaty with France. Eventually,
Francis II agreed to the Treaty of Pressburg (1805), which in
practice meant the dissolution of the Holy Roman Empire. In
1806, the Confederation of the Rhine was established, putting
an end to the Holy Roman Empire.
Key Terms
Confederation of the Rhine
A confederation of client states of the First French Empire

formed initially from 16 German states by Napoleon after he
defeated Austria and Russia in the Battle of Austerlitz. The
Treaty of Pressburg,in effect led to its creation. It lasted from
1806 to 1813 and its members were German princes from the
Holy Roman Empire.
Imperial Recess
A resolution passed by the Reichstag (Imperial Diet) of the Holy

Roman Empire in 1803 and ratified by the Emperor Francis II. It
proved to be the last significant law enacted by the Empire
before its dissolution in 1806. The law secularized over 70
ecclesiastical states and abolished 45 imperial cities.
War of the Austrian Succession
A 1740–1748 war that involved most of the powers of

formally began in 1739), the First Carnatic War in India, the
Jacobite rising of 1745 in Scotland, and the First and Second
Silesian Wars.
Treaty of Pressburg
An 1805 treaty between Napoleon and Holy Roman Emperor

Francis II as a consequence of the French victories over the
Austrians at Ulm and Austerlitz. It was signed in Pressburg (now
Bratislava), at that time in Hungary, by Johann I Josef, Prince of
Liechtenstein and the Hungarian Count Ignaz Gyulai for Austria
and Charles Maurice de Talleyrand for France.
The Holy Roman Empire

The Holy Roman Empire was a multi-ethnic complex of territories in
central Europe that developed during the Early Middle Ages and
continued until its dissolution in 1806. The term Holy Roman Empire
was not used until the 13th century and the office of Holy Roman
Emperor was traditionally elective, although frequently controlled by
dynasties. The German prince-electors, the highest-ranking
noblemen of the empire, usually elected one of their peers to be the
emperor and he would later be crowned by the Pope (the tradition of
papal coronations was discontinued in the 16th century). In time, the
empire evolved into a decentralized, limited elective monarchy
composed of hundreds of sub-units, principalities, duchies, counties,
free imperial cities, and other domains. The power of the emperor
was limited and while the various princes, lords, bishops and cities of
the empire were vassals who owed the emperor their allegiance,
they also possessed an extent of privileges that gave them de facto
independence within their territories.
The Habsburg Dynasty and the

Holy Roman Empire
The Habsburgs held the title of Holy Roman Emperor between 1438
and 1740 and again from 1745 to 1806. Although one family held the
title for centuries, the Holy Roman Emperor was elected and the
position never became hereditary. This contrasted with the power
that the Habsburgs held over territories under their rule, which did
not overlap with the Holy Roman Empire. From the 16th century until
the formal establishment of the Austrian Empire in 1804, those lands
were unofficially called the Habsburg or Austrian Monarchy. They
changed over the centuries, but the core always consisted of the
Hereditary Lands (most of the modern states of Austria and
Slovenia, as well as territories in northeastern Italy and southwestern
Germany); the Lands of the Bohemian Crown; and the Kingdom of
Hungary. Many other lands were also under Habsburg rule at one
time or another.
The various Habsburg possessions never really formed a single

country—each province was governed according to its own particular
customs. Until the mid 17th century, not all of the provinces were
even necessarily ruled by the same person—junior members of the
family often ruled portions of the Hereditary Lands as private
apanages. Serious attempts at centralization began under Maria
Theresa and especially her son Joseph II in the mid to late 18th
century, but many of these were abandoned following large-scale
resistance to Joseph's more radical reform attempts.
The Holy Roman Empire was also a decentralized state; in fact, its
fragmentation was much more dramatic than that of the Habsburg
Monarchy. It was divided into dozens—eventually hundreds—of
individual entities governed by kings, dukes, counts, bishops, abbots
and other rulers, collectively known as princes. There were also
some areas ruled directly by the Emperor. At no time could the
Emperor simply issue decrees and govern autonomously over the
Empire. His power was severely restricted by the various local
leaders. The Emperors were unable to gain much control over the
lands that they formally owned. Instead, to secure their own position
from the threat of being deposed, they were forced to grant more
and more autonomy to local rulers.
The division between the positions of the Holy Roman Emperor and
the Emperor of the Austrian Monarchy is best illustrated by the
circumstances around the War of the Austrian Succession. The war
began under the pretext that Maria Theresa was ineligible to
succeed to the Habsburg thrones of her father, Charles V I, because
the existing law precluded royal inheritance by a woman. At the end,
Maria Theresa was recognized as the head of the Austrian
Monarchy while her husband, Francis I, was eventually granted the
title of Holy Roman Emperor. When Francis died in 1765, Maria
Theresa continued to rule the Habsburg lands, but her son, Joseph
II, secured the title of the Holy Roman Emperor. However, he gained
the rule over the hereditary territories of the Habsburgs only after his
mother's death fifteen years later.
The End of the Holy Roman

Empire and the Austrian Empire
At the turn of the nineteenth century, the Holy Roman Empire
underwent significant changes. In 1803, the Imperial Recess was
declared, which reduced the number of ecclesiastical states from 81
to only 3 and the free imperial cities from 51 to 6. In 1804, the Holy
Roman Emperor Francis II, who was also ruler of the lands of the
Habsburg Monarchy, founded the Empire of Austria comprising all
his lands. In doing so, he created a formal overarching structure for
the Habsburg Monarchy as he foresaw either the end of the Holy
Roman Empire or the eventual accession as Holy Roman Emperor
of Napoleon, who had earlier that year adopted the title of an
Emperor of the French. In 1805, the leaders of some imperial
territories proclaimed their independence and signed a treaty with
France, becoming French allies. Eventually, Francis II agreed to the
humiliating Treaty of Pressburg (1805), which in practice meant the
dissolution of the long-lived Holy Roman Empire and a
reorganization under a Napoleonic imprint of the German territories
lost in the process into a precursor state of what became modern
Germany. In 1806, the Confederation of the Rhine was established,
comprising 16 sovereigns and countries. This confederation, under
French influence, put an end to the Holy Roman Empire.
The Austrian Empire in 18 12
The Austrian Empire was a multinational empire and one of Europe's
great powers. Geographically it was the second largest country in
Europe after the Russian Empire. It was also the third most populous
after Russia and France, as well as the largest and strongest country
in the German Confederation.
21.3.2: The Pragmatic Sanction

The Pragmatic Sanction of 1713 was an edict issued by Charles V I
to ensure that the Habsburg hereditary possessions could be
inherited by a daughter, but it was contested after Charles' death in
1740, resulting in the War of Austrian Succession.
Learning Objective
Explain the contents of the Pragmatic Sanction and its intended
purpose
Key Points
The Pragmatic Sanction was an edict issued by Charles V I on
April 19, 1713, to ensure that the Habsburg hereditary
possessions could be inherited by a daughter. It did not affect
the office of Holy Roman Emperor because the Imperial crown
was elective, not hereditary, although successive elected
Habsburg rulers headed the Holy Roman Empire since 1438.
In 1703, Charles and Joseph, the sons of Leopold, signed the
Mutual Pact of Succession, granting succession rights to the
daughters of Joseph and Charles in case of complete extinction
of the male line, but favoring Joseph's daughters over Charles's
because Joseph was older.
Charles soon expressed a wish to amend this pact to give his
own future daughters precedence over his nieces. Securing the
right to succeed for his own daughters, who were not even born
yet, became Charles's obsession. The Pragmatic Sanction of
1713 was the first such document to be publicly announced and
as such required formal acceptance by the estates of the realms
it concerned.
For 10 years, Charles V I labored with the support of his closest
advisor Johann Christoph von Bartenstein to have his sanction
accepted by the courts of Europe and by Habsburg's hereditary
territories. All the major empires and states agreed to recognize
the sanction, but some Habsburg territories, including Hungary
and Bohemia, did not initially accept it.
After Charles V I died, Prussia and Bavaria contested the claims
of Maria Theresa on his Austrian lands. The refusal to accept
the Sanction of 1713 resulted in the War of the Austrian
Succession.
Maria Theresa's husband was elected Holy Roman Emperor as
Francis I in 1745. The Treaty of Aix-la-Chapelle in 1748 finally
recognized Maria Theresa's rule over the Habsburg hereditary
lands. In accordance with tradition, Maria Theresa held the title
of the Holy Roman Empress as wife of the Emperor.
Key Terms
the Mutual Pact of Succession
A succession device secretly signed by Archdukes Joseph and

Charles of Austria, the future Emperors of the Holy Roman
Empire, in 1703. It stipulated that the claim to the Spanish
realms was to be assumed by Charles, while the right of
succession to the rest of the Habsburg dominions would rest
with his elder brother Joseph. The pact also specified they
would both be succeeded by their respective heirs male. Should
one of them fail to have a son, the other would succeed him in
all his realms. However, should both brothers die leaving no
sons, the daughters of the elder brother (Joseph) would have
absolute precedence over the daughters of the younger brother
(Charles), and the eldest daughter of Joseph would ascend all
the Habsburg thrones.
The Pragmatic Sanction

Treaty of Aix-la-Chapelle
A 1748 treaty, sometimes called the Treaty of Aachen, that
ended the War of the Austrian Succession. It was signed 1748
by Great Britain, France, and the Dutch Republic. Two
implementation treaties were signed at Nice in 1748 and 1749
by Austria, Spain, Sardinia, Modena, and Genoa.

The Pragmatic Sanction of 17 13

The Pragmatic Sanction was an edict issued by Charles V I on April
19, 1713, to ensure that the Habsburg hereditary possessions could
be inherited by a daughter. The Head of the House of
Habsburg ruled the Archduchy of Austria, the Kingdom of Hungary,
the Kingdom of Croatia, the Kingdom of Bohemia, the Italian
territories awarded to Austria by the Treaty of Utrecht (Duchy of
Milan, Kingdom of Naples and Kingdom of Sicily), and the Austrian
Netherlands. The Pragmatic Sanction did not affect the office of Holy
Roman Emperor because the Imperial crown was elective, not
hereditary, although successive elected Habsburg rulers headed the
Holy Roman Empire since 1438.
The Pragmatic Sanction of 17 13, Act
of Emperor Charles V I.
Because Charles V I had no male heirs and earlier arrangements
favored his brother's daughters, he needed to take extraordinary
measures to avoid a succession dispute. Charles was ultimately
succeeded by his elder daughter Maria Theresa (born 1717).
Despite the promulgation of the Pragmatic Sanction, however, her
accession in 1740 resulted in the outbreak of the War of the Austrian
Succession.
The Mutual Pact of Succession

In 1700, the senior (oldest, first-in-line) branch of the House of
Habsburg became extinct with the death of Charles II of Spain. The
War of the Spanish Succession ensued, with Louis X IV of France
claiming the crowns of Spain for his grandson Philip and Leopold I
(Holy Roman Emperor) claiming them for his son Charles. In 1703,
Charles and Joseph, the sons of Leopold, signed the Mutual Pact of
Succession, granting succession rights to the daughters of Joseph
and Charles in case of complete extinction of the male line, but
favoring Joseph's daughters over Charles's because Joseph was
older.
In 1705, Leopold I died and was succeeded by his elder son, Joseph
I. Six years later, Joseph I died leaving behind two daughters,
Archduchesses Maria Josepha and Maria Amalia. Charles
succeeded Joseph according to the Pact, and Maria Josepha
became his heir presumptive. However, Charles soon expressed a
wish to amend the Pact to give his own future daughters precedence
over his nieces. Securing the right to succeed for his own daughters,
who were not even born yet, became Charles's obsession. The
previous succession laws had also forbidden the partition of the
Habsburg dominions and provided for succession by females, but
they had been mostly hypothetical. On April 19, 1713, the Emperor
announced the changes in a secret session of the council. The
Pragmatic Sanction was the first such document to be publicly
announced and as such required formal acceptance by the estates
of the realms it concerned.
Recognition and Failure

For 10 years, Charles V I labored with the support of his closest
advisor Johann Christoph von Bartenstein to have his sanction
accepted by the courts of Europe and by Habsburg's hereditary
territories. All the major empires and states agreed to recognize the
sanction. Hungary, which had an elective kingship, had accepted the
house of Habsburg as hereditary kings in the male line. It was
agreed that if the Habsburg male line became extinct, Hungary
would once again have an elective monarchy. This was also the rule
in the Kingdom of Bohemia. Maria Theresa, Charles' daughter who
succeeded her father following his death in 1740, still gained the
throne of Hungary (the Hungarian Parliament voted its own
Pragmatic Sanction in 1723). Croatia was one of the crown lands
that supported the Sanction of 1713, which eventually resulted in
Maria Theresa making significant contributions to Croatian matters.
After Charles V I died, Prussia and Bavaria contested the claims of

Maria Theresa on his Austrian lands. The refusal to accept the
Sanction of 1713 resulted in the War of the Austrian Succession, in
which Austria lost resource-rich and strategically located Silesia to
Prussia as well as the Duchy of Parma, Piacenza and Guastalla. The
elective office of Holy Roman Emperor was filled by Joseph I's son-
in-law Charles Albert of Bavaria, marking the first time in several
hundred years that the position was not held by a Habsburg. As
Emperor Charles V II, he lost his own country, Bavaria, to the
Austrian army of his wife's cousin Maria Theresa and soon died. His
son, Maximilian III Joseph, Elector of Bavaria, renounced claims on
Austria in exchange for the return of his paternal duchy of Bavaria.
Maria Theresa's husband was elected Holy Roman Emperor as
Francis I in 1745. The Treaty of Aix-la-Chapelle in 1748 finally
recognized Maria Theresa's rule over the Habsburg hereditary lands.
In accordance with the tradition, Maria Theresa held the title of the
Holy Roman Empress as wife of the Emperor. She lost the title with
her husband's death in 1765, although she remained the ruler of the
Habsburg lands until her death fifteen years later.
21.3.3: Empress Maria-Theresa

Maria Theresa introduced reforms that improved her empire's
economy, military, education, public health, and administration but
left the feudal social order intact.
Learning Objective
Analyze Empress Maria-Theresa's reforms and policies
Key Points
Maria Theresa (1717 – 1780) was the only female ruler of the
Habsburg dominions and the last of the House of Habsburg.
She was the sovereign of Austria, Hungary, Croatia, Bohemia,
Transylvania, Mantua, Milan, Lodomeria and Galicia, the
Austrian Netherlands, and Parma. By marriage, she was
Duchess of Lorraine, Grand Duchess of Tuscany, and Holy
Roman Empress.
Maria Theresa was a devout Roman Catholic and believed that
religious unity was necessary for a peaceful public life.
Consequently, she explicitly rejected the idea of religious
tolerance.
Austria's military, financial, and bureaucratic efficiency. However,
she did not manage to change her lands' deeply feudal social
order based on privileged landlords and oppressive forced labor
of the peasantry.
Maria Theresa invested in reforms that advanced what today
would be defined as public health. Her initiatives included the
study of infant mortality, countering wasteful and unhygienic
burial customs, and inoculation of children.
Wishing to improve Austria's bureaucracy, Maria Theresa
reformed education in 1775. In a new school system based on
the Prussian one, all children of both genders had to attend
school from the ages of 6 to 12. Education reform was not
immediately effective.
Key Terms
Jansenist
An advocate of a Catholic theological movement, primarily in

France, that emphasized original sin, human depravity, the
necessity of divine grace, and predestination. The movement
originated from the posthumously published work of the Dutch
theologian Cornelius Jansen, who died in 1638. Through the
17th and into the 18th centuries, it was a distinct movement
within the Catholic Church and was opposed by many in the
Catholic hierarchy, especially the Jesuits.
the Pragmatic Sanction of 1713

the War of Austrian Succession

Maria Theresa
Maria Theresa (1717 – 1780) was the only female ruler of the
Habsburg dominions and the last of the House of Habsburg. She
was the sovereign of Austria, Hungary, Croatia, Bohemia,
Transylvania, Mantua, Milan, Lodomeria and Galicia, the Austrian
Netherlands and Parma. By marriage, she was Duchess of Lorraine,
Grand Duchess of Tuscany and Holy Roman Empress. Although her
father Charles V I ensured that his daughter, the first woman in the
dynasty, would succeed him as the ruler of the Habsburg lands (the
Pragmatic Sanction of 1713), the title of Holy Roman Emperor was
neither hereditary nor ever held by a woman. The refusal of Prussia
and Bavaria to accept Maria Theresa's rule in 1740 after her father's
death resulted in the War of Austrian Succession (1740-48). In its
aftermath, Maria Theresa was recognized as the ruler of the
Habsburg lands. However, her title of Holy Roman Empress meant
that she was in fact the wife of the Emperor, Francis I, who secured
the title as one of Austria's gains in the same war.
Although Maria Theresa was an absolutist conservative, this was

tempered by pragmatism and she implemented a number of overdue
reforms, which were responses to the challenges to her lands but not
ideologically framed in the Age of Enlightenment.
Maria Theresa by Martin van Meytens,
17 42, the National Gallery of Slovenia
After several diplomatic failures and military defeats in the 1730s,
Austria seemed to be declining or even on the verge of collapse.
After her forty-year reign, Maria Theresa left a revitalized empire that
influenced the rest of Europe through the 19th century.
Religion
Maria Theresa was a devout Roman Catholic and believed that
religious unity was necessary for a peaceful public life.
Consequently, she explicitly rejected the idea of religious toleration
but never allowed the Church to interfere with what she considered
to be prerogatives of a monarch and kept Rome at arm's length. She
controlled the selection of archbishops, bishops, and abbots. Her
approach to religious piety differed from that of her predecessors, as
she was influenced by Jansenist ideas. The empress actively
supported conversion to Roman Catholicism by securing pensions to
the converts. She tolerated Greek Catholics and emphasized their
equal status with Roman Catholics. Convinced by her advisors that
the Jesuits posed a danger to her monarchical authority, she
hesitantly issued a decree that removed them from all the institutions
of the monarchy. Though she eventually gave up trying to convert
her non-Catholic subjects to Roman Catholicism, Maria Theresa
regarded both the Jews and Protestants as dangerous to the state
and actively tried to suppress them. The empress was arguably the
most anti-Semitic monarch of her time yet like many of her
contemporaries, she supported Jewish commercial and industrial
activity.
Administrative and State

Reforms
Austria's military and bureaucratic efficiency. She employed Count
Friedrich Wilhelm von Haugwitz, who modernized the empire by
creating a standing army of 108,000 men paid for with 14 million
gulden extracted from each crown-land. The central government was
responsible for the army, although Haugwitz instituted taxation of the
nobility for the first time. Under Haugwitz, she centralized
administration, a task previously left to the nobility and church, along
Prussian models with permanent civil service. She also oversaw the
unification of the Austrian and Bohemian chancellories in May 1749
and doubled the state revenue between 1754 and 1764, though her
attempt to tax clergy and nobility was only partially successful.
However, these financial reforms greatly improved the economy.
In 1760, Maria Theresa created the council of state, which served as

a committee of experienced people who advised her. The council
lacked executive or legislative authority, but nevertheless was
distinguishable from the form of government employed by Frederick
II of Prussia. Unlike the latter, Maria Theresa was not an autocrat
who acted as her own minister. Prussia would adopt this form of
government only after 1807. In 1776, Austria outlawed witch
burning and torture. It was later reintroduced, but the progressive
nature of these reforms remains noted. Despite all these reformist
efforts, Maria Theresa did not change her lands' deeply feudal social
order based on privileged landlords and oppressive forced labor of
the peasantry.
Public Health
Maria Theresa invested in reforms that advanced what today would
be defined as public health. She recruited Gerard van Swieten, who
founded the V ienna General Hospital, revamped Austria's
educational system, and served as the Empress's personal
physician. After calling in van Swieten, Maria Theresa asked him to
study the problem of infant mortality in Austria. Following his
recommendation, she made a decree that autopsies would be
mandatory for all hospital deaths in Graz, Austria's second largest
city. This law – still in effect today – combined with the relatively
stable population of Graz, resulted in one of the most important and
complete autopsy records in the world. Maria Theresa banned the
creation of new burial grounds without prior government permission,
thus countering wasteful and unhygienic burial customs. Her
decision to have her children inoculated after the smallpox epidemic
of 1767 was responsible for changing Austrian physicians' negative
view of inoculation.
Education
Aware of the inadequacy of bureaucracy in Austria and wishing to
improve it, Maria Theresa reformed education in 1775. In a new
school system based on the Prussian one, all children of both
genders had to attend school between ages 6 an 12. Education
reform was met with much hostility. Maria Theresa crushed the
dissent by ordering the arrest of those who opposed. The reforms,
however, were not as successful as expected since no funding was
offered from the state, education in most schools remained
substandard, and in many parts of the empire forcing parents to
send their children to school was ineffective (particularly in the
countryside, children were seen as valuable labor force and
schooling as a way to take them away from work). The empress
permitted non-Catholics to attend university and allowed the
introduction of secular subjects such as law, which influenced the
decline of theology as the main foundation of university education.
Educational reform also included that of V ienna University by
Swieten from 1749, the founding of the Theresianum (1746) as a
civil service academy, and other new military and foreign service
academies.
Maria Theresa as a widow in 17 7 3, by
Anton von Maron
Maria Theresa was devastated by her husband's (Francis I) death.
Their eldest son, Joseph, became Holy Roman Emperor. Maria
Theresa abandoned all ornamentation, had her hair cut short,
painted her rooms black, and dressed in mourning for the rest of her
life. She completely withdrew from court life, public events, and
theater. She described her state of mind shortly after Francis's
death: "I hardly know myself now, for I have become like an animal
with no true life or reasoning power."
21.3.4: J oseph II and Domestic

Reform
As a proponent of enlightened absolutism, Joseph II introduced a
series of reforms that affected nearly every realm of life in his
empire, but his commitment to modernization engendered significant
opposition, which eventually led to a failure to fully implement his
programs.
Learning Objective
Contrast Joseph's domestic reforms with those of his mother
Key Points
Joseph II became the absolute ruler over the most extensive
realm of Central Europe in 1780. Deeply interested in the ideals
of the Enlightenment, he was always positive that the rule of
reason would produce the best possible results in the shortest
time. He issued edicts, 6,000 in all, plus 11,000 new laws
designed to regulate and reorder every aspect of the empire. He
intended to improve his subjects' lives but strictly in accordance
with his own criteria.
Josephinism is notable for the very wide range of reforms
designed to modernize the creaky empire in an era when
France and Prussia were rapidly advancing. However, it elicited
grudging compliance at best and more often vehement
opposition from all sectors in every part of his empire.
In 1781, Joseph issued the Serfdom Patent, which aimed to
abolish aspects of the traditional serfdom system of the
Habsburg lands through the establishment of basic civil liberties
for the serfs. It was enforced differently in all the various
Habsburg lands but serfdom was abolished in the Empire only in
1848.
Joseph continued education and public health reforms initiated
by his mother. Elementary education was made compulsory and
higher education was offered for a select few. Joseph created
scholarships for talented poor students and allowed the
establishment of schools for Jews and other religious minorities.
In 1784, he ordered that the country change its language of
instruction from Latin to German, a highly controversial step in a
multilingual empire. He also attempted to centralize medical
care in V ienna.
Probably the most unpopular of all his reforms was his attempt
to modernize the highly traditional Catholic Church and make
the Catholic Church in his empire the tool of the state,
independent of Rome.
Joseph's enlightened despotism included also the Patent of
Toleration, enacted in 1781, and the Edict of Tolerance in
1782. The Patent granted religious freedom to the Lutherans,
Calvinists, and Serbian Orthodox and the Edict extended
religious freedom to the Jewish population.
Key Terms
the Patent of Toleration
An edict issued in 1781 by the Holy Roman Emperor, Joseph II

of Austria. It extended religious freedom to non-Catholic
Christians living in Habsburg lands, including Lutherans,
Calvinists, and the Eastern Orthodox. Specifically, these
members of minority faiths were now legally permitted to hold
"private religious exercises" in clandestine churches.
Josephinism
The collective domestic policies of Joseph II, Holy Roman
Emperor (1765–1790). During the ten years in which Joseph
was the sole ruler of the Habsburg Monarchy (1780–1790), he
attempted to legislate a series of drastic reforms to remodel
Austria in the form of the ideal Enlightened state. This provoked
severe resistance from powerful forces within and outside of his
empire.
the Edict of Tolerance
An edict issued in 1782 by Joseph II of Austria that extended

religious freedom and some civil rights to the Jewish population
in the Habsburg empire. It allowed Jewish children to attend
schools and universities and adults to engage in certain
professions as well as eliminated previous restrictions, including
forcing the Jewish population to wear gold stars.

absolutism: a form of absolute monarchy or despotism inspired
the participles of rationality. Some of them fostered education,
allowed religious tolerance, freedom of speech, and the right to
hold private property. They held that royal power emanated not
from divine right but from a social contract whereby a despot
was entrusted with the power to govern in lieu of any other
governments.
the Serfdom Paten
A 1781 decree that aimed to abolish aspects of the traditional

serfdom system of the Habsburg lands through the
establishment of basic civil liberties for the serfs. Issued by the
enlightened absolutist emperor Joseph II, it diminished the long-
established mastery of the landlord, allowing the serf to
independently choose marriage partners, pursue career
choices, and move between estates.
J oseph II
Joseph II was Holy Roman Emperor from 1765 to 1790 and ruler of
the Habsburg lands from 1780 to 1790. He was the eldest son of
Maria Theresa and her husband, Francis I and thus the first ruler in
the Austrian dominions of the House of Lorraine, styled Habsburg-
Lorraine. As women were never elected to be Holy Roman Emperor,
Joseph took the title after his father's death in 1765 yet it was his
mother who remained the ruler of the Habsburg lands. However,
Maria Theresa, devastated after her husband's death and always
relying on the help of advisors, declared Joseph to be her new co-
ruler the same year. From then on, mother and son had frequent
ideological disagreements. Joseph often threatened to resign as co-
regent and emperor. When Maria Theresa died in 1780, Joseph
became the absolute ruler over the most extensive realm of Central
Europe. There was no parliament to deal with and Joseph, deeply
interested in the ideals of the Enlightenment, was always positive
that the rule of reason would produce the best possible results in the
shortest time. He issued edicts, 6,000 in all, plus 11,000 new laws
designed to regulate and reorder every aspect of the empire. He
intended to improve his subjects' lives but strictly in accordance with
his own criteria. This made him one of the most committed
enlightened despots.
J osephinism
Josephinism (or Josephism), as his policies were called, is notable
for the very wide range of reforms designed to modernize the creaky
empire in an era when France and Prussia were rapidly advancing.
However, it elicited grudging compliance at best and more often
vehement opposition from all sectors in every part of his empire.
Joseph set about building a rational, centralized, and uniform
government for his diverse lands but with himself as supreme
autocrat. He expected government servants to all be dedicated
agents of Josephinism and selected them without favor for class or
ethnic origins. Promotion was solely by merit. To impose uniformity,
he made German the compulsory language of official business
throughout the Empire. Joseph's enlightened despotism and his
resulting commitment to modernizing reforms subsequently
engendered significant opposition, which eventually culminated in an
ultimate failure to fully implement his programs.
Tax , Land, and Legal Reform

To equalize the incidence of taxation, Joseph ordered a fresh
appraisal of the value of all properties in the empire. His goal was to
impose a single and egalitarian tax on land and thus modernize the
relationship of dependence between the landowners and peasantry,
relieve some of the tax burden on the peasantry, and increase state
revenues. Joseph looked on the tax and land reforms as being
interconnected and strove to implement them at the same time. The
various commissions he established to formulate and carry out the
reforms met resistance among the nobility, the peasantry, and some
officials.
In 1781, Joseph issued the Serfdom Patent, which aimed to abolish

aspects of the traditional serfdom system of the Habsburg lands
through the establishment of basic civil liberties for the serfs. It was
enforced differently in all the various Habsburg lands. The nobility in
Bohemia refused to enact its provisions, while the
Transylvanian nobles simply refused to notify the peasants in their
region about this emancipation document. The Hungarian estates
claimed that their peasants were not serfs, but “ tenants in fee simple,
who were fully informed as to their rights and duties by precise
contracts” and continued to restrict these “ tenants.” In contrast, the
peasants of the German-speaking provinces were actually aided by
the Patent. The Patent granted the serfs some legal rights in the
Habsburg monarchy, but it did not affect the financial dues and the
physical corvé e (unpaid labor) that the serfs legally owed to their
landlords, which it practice meant that it did not abolish serfdom but
rather expanded selected rights of serfs. Joseph II recognized the
importance of further reforms, continually attempting to destroy the
economic subjugation through related laws, such as his Tax Decree
of 1789. This new law would have finally realized Emperor Joseph
II’s ambition to modernize Habsburg society, allowing for the end of
corvé e and the beginning of lesser tax obligations. Joseph’s latter
reforms were withdrawn upon his death and the final emancipation
reforms in the Empire were introduced only in 1848.
J oseph II is plowing the field near

Slawikowitz in rural southern
Moravia in 17 69.
Despite the attempts to improve the fate of the peasantry, Joseph's
land reforms met with the resistance of the landed nobility and
serfdom was not abolished in the Empire until 1848.
Joseph inspired a complete reform of the legal system, abolished

brutal punishments and the death penalty in most instances, and
imposed the principle of complete equality of treatment for all
offenders. He ended censorship of the press and theater.
Education and Public Health
Joseph continued education and public health reforms initiated by
his mother. To produce a literate citizenry, elementary education was
made compulsory for all boys and girls and higher education on
practical lines was offered for a select few. Joseph created
scholarships for talented poor students and allowed the
establishment of schools for Jews and other religious minorities. In
1784, he ordered that the country change its language of instruction
from Latin to German, a highly controversial step in a multilingual
empire.
By the 18th century, centralization was the trend in medicine

because more and better educated doctors were requesting
improved facilities. Cities lacked the budgets to fund local hospitals
and the monarchy wanted to end costly epidemics and quarantines.
Joseph attempted to centralize medical care in V ienna through the
construction of a single, large hospital, the famous Allgemeines
Krankenhaus, which opened in 1784. Centralization, however,
worsened sanitation problems causing epidemics and a 20% death
rate in the new hospital, but the city became preeminent in the
medical field in the next century.
Religion
Probably the most unpopular of all his reforms was his attempt to
modernize the highly traditional Catholic Church and make the
Catholic Church in his empire the tool of the state, independent of
Rome. Clergymen were deprived of the tithe and ordered to study in
seminaries under government supervision, while bishops had to take
a formal oath of loyalty to the crown. As a man of the Enlightenment,
he ridiculed the contemplative monastic orders, which he considered
unproductive. Accordingly, he suppressed a third of the monasteries
(over 700 were closed) and reduced the number of monks and nuns
from 65,000 to 27,000. Marriage was defined as a civil contract
outside the jurisdiction of the Church. Joseph also sharply cut the
number of holy days to be observed in the Empire and forcibly
simplified the manner in which the Mass (the central Catholic act of
worship) was celebrated. Opponents of the reforms blamed them for
revealing Protestant tendencies, with the rise of Enlightenment
rationalism and the emergence of a liberal class of bourgeois
officials.
Joseph's enlightened despotism included also the Patent of

Toleration, enacted in 1781, and the Edict of Tolerance in 1782. The
Patent granted religious freedom to the Lutherans, Calvinists, and
Serbian Orthodox, but it wasn't until the 1782 Edict of Tolerance that
Joseph II extended religious freedom to the Jewish population.
Providing the Jewish subjects of the Empire with the right to practice
their religion came with the assumption that the freedom would
gradually force Jewish men and women into the mainstream German
culture. While it allowed Jewish children to attend schools and
universities, adults to engage in jobs from which there had been
excluded, and all Jewish men and women not to wear gold stars that
marked their identity, it also stipulated that the Jewish languages, the
written language Hebrew and the spoken language Yiddish, were to
be replaced by the national language of the country. Official
documents and school textbooks could not be printed in Hebrew.
The E m p eror by Anton von Maron,
17 7 4.
Josephinism made many enemies inside the empire—from
disaffected ecclesiastical authorities to noblemen. By the later years
of his reign, disaffection with his sometimes radical policies was at a
high, especially in the Austrian Netherlands and Hungary. Popular
revolts and protests—led by nobles, seminary students, writers, and
agents of Prussian King Frederick William—stirred throughout the
Empire, prompting Joseph to tighten censorship of the press.
Attributions
The Structure of the Holy Roman Empire
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https://en.wikipedia.org/wiki/Confederation_of_the_Rhine.
https://en.wikipedia.org/wiki/Holy_Roman_Empire.
"Peace of Pressburg (1805)."
https://en.wikipedia.org/wiki/Peace_of_Pressburg_(1805).
"Reichsdeputationshauptschluss."
https://en.wikipedia.org/wiki/Reichsdeputationshauptschluss
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https://en.wikipedia.org/wiki/Austrian_Empire. Wikipedia CC
BY-SA 3.0.
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https://en.wikipedia.org/wiki/Habsburg_Monarchy.
"450px-Austrian_Empire_1812.svg.png."
https://en.wikipedia.org/wiki/Austrian_Empire# /media/File:A
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The Pragmatic Sanction
"List of Holy Roman Empresses."
https://en.wikipedia.org/wiki/List_of_Holy_Roman_Empress
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"Mutual Pact of Succession."
https://en.wikipedia.org/wiki/Mutual_Pact_of_Succession.
"Pragmatica_Sanc.jpg."
https://en.wikipedia.org/wiki/Pragmatic_Sanction_of_1713# /
media/File:Pragmatica_Sanc.jpg. Wikipedia CC BY-SA 3.0.
Empress Maria-Theresa
"Maria Theresa."
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"Jansenism." https://en.wikipedia.org/wiki/Jansenism.
"History of Austria."
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BY-SA 3.0.
"320px-Anton_von_Maron_005.jpg."
https://en.wikipedia.org/wiki/Maria_Theresa# /media/File:Ant
on_von_Maron_005.jpg. Wikipedia Public domain.
"Martin_van_Meytens_-_Cesarica_Marija_Terezija.jpg."
https://en.wikipedia.org/wiki/Maria_Theresa# /media/File:Ma
rtin_van_Meytens_-_Cesarica_Marija_Terezija.jpg.
Joseph II and Domestic Reform
"Josephinism." https://en.wikipedia.org/wiki/Josephinism.
"Serfdom Patent (1781)."
https://en.wikipedia.org/wiki/Serfdom_Patent_(1781).
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https://en.wikipedia.org/wiki/1782_Edict_of_Tolerance.
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domain.
21.4: The Seven Y ears' W ar
21.4.1: The Diplomatic Revolution
The diplomatic revolution of 1756 was the reversal of longstanding
alliances in Europe between the War of the Austrian Succession and
the Seven Years' War, when Austria went from an ally of Britain to an
ally of France and Prussia became an ally of Britain.
Learning Objective
Recall the parties involved in the Diplomatic Revolution and what
changed between them as a result of this event
Key Points
The War of the Austrian Succession had seen belligerence align
on a time-honored basis. France’s traditional enemies, Great
Britain and Austria, had coalesced. Prussia, the leading anti-
Austrian state in Germany, had been supported by France.
Neither group, however, found much reason to be satisfied with
its partnership.
The collapse of that system and the aligning of France with
Austria and of Great Britain with Prussia constituted what is
known as the “ diplomatic revolution” or the “ reversal of
alliances.” This change in European alliances was a prelude to
the Seven Years' War, triggered by a separation of interests
between Austria, Britain, and France.
The War of Austrian Succession made it clear that Britain no
longer viewed Austria as powerful enough to check French
power but was content to build up other states like Prussia.
Therefore Britain and Prussia, in the Westminster Convention of
1756, agreed that Britain would not aid Austria in a renewed
conflict for Silesia if Prussia agreed to protect Hanover from
France.
In response to the Westminster Convention, Louis X V ’s
ministers and Count Wenzel Anton von Kaunitz of Austria
concluded the First Treaty of V ersailles (1756). Both sides
agreed to remain neutral and provide 24,000 troops if either got
into conflict with a third party.
Austria's actions alerted Frederick, who decided to strike first by
invading Saxony, commencing the Seven Years' War (1756–
1763). By invading Saxony, Frederick inflamed his enemies.
France and Austria signed a new offensive alliance, the Second
Treaty of V ersailles (1757).
In 1758, the Anglo-Prussian Convention between Great Britain
and the Kingdom of Prussia formalized the alliance between the
two powers. However, the alliance proved to be short-lived.
Key Terms
the Treaty of Aix-la-Chapelle
A 1748 treaty sometimes called the Treaty of Aachen that ended

the War of the Austrian Succession. It was signed in 1748 by
Great Britain, France, and the Dutch Republic. Two
implementation treaties were signed at Nice in 1748 and 1749
by Austria, Spain, Sardinia, Modena, and Genoa.
the Westminster Convention of 1756
A 1756 military alliance between Great Britain and Prussia in

which the two state agreed that Britain would not aid Austria in a
renewed conflict for Silesia if Prussia agreed to protect
Hanover from France.
the Seven Years' War
Ottoman Empire, spanning five continents and affecting Europe,
one side and France on the other.
diplomatic revolution
The reversal of longstanding alliances in Europe between the

War of the Austrian Succession and the Seven Years'
War. Austria went from an ally of Britain to an ally of France.
Prussia became an ally of Britain. The most influential diplomat
involved was Prince Kaunitz of Austria.
personal union
The combination of two or more states that have the same

monarch while their boundaries, laws, and interests remain
distinct. It differs from a federation in that each constituent state
has an independent government, whereas a unitary state is
united by a central government. The ruler does not need to be a
hereditary monarch.
War of Austrian Succession

The Diplomatic Revolution

In the War of the Austrian Succession (1740-1748), Frederick the
Great of Prussia seized the prosperous province of Silesia from
Austria. Maria Theresa of Austria signed the Treaty of Aix-la-
Chapelle in 1748 in order to gain time to rebuild her military forces
and forge new alliances. The War of the Austrian Succession had
seen the belligerence align on a time-honored basis. France’s
traditional enemies, Great Britain and Austria, had coalesced.
Prussia, the leading anti-Austrian state in Germany, had been
supported by France. Neither group, however, found much reason to
be satisfied with its partnership: British subsidies to Austria produced
nothing of much help to the British, while the British military effort
had not saved Silesia for Austria. Prussia, having secured Silesia,
came to terms with Austria in disregard of French interests. Even so,
France concluded a defensive alliance with Prussia in 1747 and the
maintenance of the Anglo-Austrian alignment after 1748 was
deemed essential by some British politicians.
The collapse of that system and the aligning of France with Austria
and of Great Britain with Prussia constituted what is known as the
“ diplomatic revolution” or the “ reversal of alliances.” This change in
European alliances was a prelude to the Seven Years' War.
Background
The diplomatic change was triggered by a separation of interests
between Austria, Britain, and France. The 1748 Peace of Aix-la-
Chapelle, after the War of the Austrian Succession, left Austria
aware of the high price it paid for having Britain as an ally. Maria
Theresa of Austria defended her claim to the Habsburg throne and
had her husband, Francis Stephen, crowned Holy Roman Emperor
in 1745. However, she had been forced to relinquish valuable
territories in the process. Under British diplomatic pressure, Maria
Theresa ceded Parma to Spain and, more importantly, the valuable
state of Silesia to Prussia. The acquisition of Silesia further
advanced Prussia as a great European power, which now posed an
increasing threat to Austria's German lands and to Central Europe
as a whole. The growth of Prussia, dangerous to Austria, was
welcomed by the British, who saw it as a means of balancing French
power.
British-Prussian Alliance vs.

Austrian-French Alliance
The results of the War of Austrian Succession made it clear that
Britain no longer viewed Austria as powerful enough to check French
power but was content to build up other states like Prussia.
Therefore Britain and Prussia, in the Westminster Convention of
1756, agreed that Britain would not aid Austria in a renewed conflict
for Silesia if Prussia agreed to protect Hanover (which remained in
personal union with Britain) from France. Britain felt that with
Prussia's growing strength, it would be more apt to defend Hanover
than Austria. Meanwhile, Austria was determined to reclaim Silesia,
so the two allies found themselves with conflicting interests. Maria
Theresa, recognizing the futility of renewed alliance with Britain,
knew that without a powerful ally (such as France), she could never
hope to reclaim Silesia from Frederick the Great.
Maria Theresa sent her foreign policy minister, Count Wenzel Anton
von Kaunitz, to France to secure an alliance to enable Austria to
reclaim Silesia. Louis X V proved reluctant to agree to any treaty
presented by Kaunitz. Only with renewed aggression between
France and Britain was Louis convinced to align with Austria.
Furthermore, Austria no longer surrounded France, so France no
longer saw Austria as an immediate threat. Consequently, it entered
into a defensive alliance with Austria. In response to the Westminster
Convention, Louis X V ’s ministers and Kaunitz concluded the First
Treaty of V ersailles (1756). Both sides agreed to remain neutral and
provide 24,000 troops if either got into conflict with a third party.
Maria Theresa's diplomats, after securing French neutrality, actively

began to establish an anti-Prussian coalition. Austria's actions
alerted Frederick, who decided to strike first by invading Saxony,
commencing the Seven Years' War (1756–1763). Frederick's actions
were meant to scare Russia out of supporting Austria (the two
countries had previously entered into a defensive alliance in 1746).
However, by invading Saxony, Frederick had inflamed his enemies.
Russia, under the direction of Empress Elizabeth, sent an additional
80,000 troops to Austria. A year after the signing of the First Treaty
of V ersailles, France and Austria signed a new offensive alliance, the
Second Treaty of V ersailles (1757).
In 1758, the Anglo-Prussian Convention between Great Britain and

the Kingdom of Prussia formalized the alliance between the two
powers. However, the alliance proved to be short-lived largely
because Britain withdrew financial and military support for Prussia in
1762. The dissolution of the alliance and the pre-eminent rise of
Britain left it with no allies by the time the American Revolutionary
War broke out.
21.4.2: Events of the Seven Y ears' W ar

The Seven Years' War was fought between 1756 and 1763. It
involved every European great power of the time except the Ottoman
Empire, spanned five continents, and affected Europe, the Americas,
West Africa, India, and the Philippines.
Learning Objective
Outline the progression of the Seven Years' War
Key Points
The Seven Years' War was a world war fought between 1754
and 1763, the main conflict occurring in the seven-year period
from 1756 to 1763. It involved every European great power of
the time except the Ottoman Empire, spanning five continents
and affecting Europe, the Americas, West Africa, India, and the
Philippines.
Realizing that war was imminent, Prussia preemptively struck
Saxony in 1756 and quickly overran it. The result caused uproar
across Europe. Because of Prussia's alliance with Britain,
Austria formed an alliance with France. Reluctantly, most of the
states of the empire joined Austria's cause. The Anglo-Prussian
alliance was joined by smaller German states (especially
Hanover, which remained in a personal union with Britain).
After a series of victories and failures on both sides, by 1763,
forces were depleted and the war in central Europe was
essentially a stalemate. Frederick the Great had retaken most of
Silesia and Saxony but not the latter's capital, Dresden;
Catherine the Great ended Russia's alliance with Prussia and
withdrew from the war; and Austria was facing a severe financial
crisis. A peace settlement was reached at the Treaty of
Hubertusburg, ending the war in central Europe.
In North America, the French and Indian War (1754–1763) pitted
the colonies of British America against those of New France,
with both sides supported by military units from their parent
countries of Great Britain and France as well as by American
Indian allies.
In the Fantastic War (1762-63) in South America, Spanish
forces conquered the Portuguese territories of Colonia do
Sacramento and Rio Grande de Sã o Pedro and forced the
Portuguese to surrender and retreat. In India, the British
eventually eliminated French power. In West Africa, the British
captured Senegal, the island of Goré e, and the French trading
post on the Gambia. The loss of these valuable colonies further
weakened the French economy.
Over the course of the war in colonies, Great Britain gained
enormous areas of land and influence. They captured the
French sugar colonies of Guadeloupe in 1759 and Martinique in
1762 as well as the cities of Havana in Cuba and Manila in the
Philippines, both prominent Spanish colonial cities.
Key Terms
Treaty of Paris
A 1763 treaty signed by the kingdoms of Great Britain, France,

and Spain with Portugal in agreement after Great Britain's
victory over France and Spain during the Seven Years' War. The
signing of the treaty formally ended the Seven Years' War,
known as the French and Indian War in the North American
theater, and marked the beginning of an era of British
dominance outside Europe. Great Britain and France each
returned much of the territory that they had captured during the
war, but Great Britain gained much of France's possessions in
North America. Additionally, Great Britain agreed to protect
Roman Catholicism in the New World. The treaty did not involve
Prussia and Austria as they signed a separate agreement, the
Treaty of Hubertusburg.
The Seven Years' War
Fantastic War
The Spanish–Portuguese War between 1762 and 1763 fought

as part of the Seven Years' War. The name refers to the fact that
no major battles were fought, even though there were numerous
movements of troops and huge losses among the invaders—
utterly defeated in the end.
Second Miracle of the House of Brandenburg
Events that led to Russia's sudden change of alliance during the

Seven Years' War: in January 1762, the Empress Elizabeth of
Russia died. Her nephew Peter, a strong admirer of Frederick
the Great of Prussia, succeeded her and reversed Elizabeth's
anti-Prussian policy. He negotiated peace with Prussia and
signed both an armistice and a treaty of peace and friendship.
French and Indian War
A 1754–1763 war that comprised the North American theater of

the worldwide Seven Years' War of 1756-1763. The war pitted
the colonies of British America against those of New France,
with both sides supported by military units from their parent
countries of Great Britain and France as well as by American
Indian allies.
Treaty of Hubertusburg
A 1763 treaty signed by Prussia, Austria, and Saxony. Together

with the Treaty of Paris, it marked the end of the Seven Years'
War. The treaty ended the continental conflict with no significant
changes in prewar borders. Silesia remained Prussian and
Prussia clearly stood among the ranks of the great powers.

War of the Austrian Succession and the Seven Years' War.
Austria went from an ally of Britain to an ally of France. Prussia
became an ally of Britain. It was part of efforts to preserve or
upset the European balance of power and a prelude to the
Seven Years' War.
Seven Y ears' W ar
The Seven Years' War was fought between 1754 and 1763, the main
conflict occurring in the seven-year period from 1756 to 1763. It
Empire, spanning five continents and affecting Europe, the
Americas, West Africa, India, and the Philippines. The conflict split
Europe into two coalitions, led by Great Britain on one side and
France on the other. For the first time, aiming to curtail Britain and
Prussia's ever-growing might, France formed a grand coalition of its
own, which ended as Britain rose as the world's predominant power,
altering the European balance of power. Conflict between Great
Britain and France broke out in 1754–1756 when the British attacked
disputed French positions in North America and seized hundreds of
French merchant ships. Meanwhile, rising power Prussia was
struggling with Austria for dominance within and outside the Holy
Roman Empire in Central Europe. In 1756, the major powers shifted
their alliances and Prussia allied with Britain while France allied with
Austria, a change known as the diplomatic revolution.
In the historiography of some countries, the war is named after

combatants in its respective theaters, e.g. the French and Indian War
in the United States. In French-speaking Canada, it is known as the
War of the Conquest, while it is called the Seven Years' War in
English-speaking Canada (North America, 1754–1763), Pomeranian
War (with Sweden and Prussia, 1757–1762), Third Carnatic War (on
the Indian subcontinent, 1757–1763), and Third Silesian War (with
Prussia and Austria, 1756–1763).
All the participants of the Seven
Y ears' W ar: [ blue] Great Britain,
Prussia, Portugal, with allies; [ green]
France, Spain, Austria, Russia,
Sweden with allies.
The Seven Years' War is sometimes considered the first true world
war. It restructured not only the European political order, but also
affected events all around the world, paving the way for the
beginning of later British world supremacy in the 19th century, the
rise of Prussia in Germany, the beginning of tensions in British North
America, as well as a clear sign of France's eventual turmoil.
Europe
Realizing that war was imminent, Prussia preemptively struck
Saxony in 1756 and quickly overran it. The result caused uproar
across Europe. Because of Prussia's alliance with Britain, Austria
formed an alliance with France, seeing an opportunity to recapture
Silesia (lost in the War of the Austrian Succession). Reluctantly, by
following the imperial diet, most of the states of the empire joined
Austria's cause. The Anglo-Prussian alliance was joined by smaller
German states (especially Hanover, which remained in a personal
union with Britain). Sweden, fearing Prussia's expansionist
tendencies, went to war in 1757 to protect its Baltic dominions. Spain
intervened on behalf of France and together they launched an
unsuccessful invasion of Portugal in 1762. The Russian Empire was
originally aligned with Austria, fearing Prussia's ambition on the
Polish-Lithuanian Commonwealth, but switched sides upon the
succession of Tsar Peter III in 1762.
Despite the huge disparity in numbers, 1756 was successful for the
Prussian-led forces on the continent. In 1757, Frederick the Great
marched into the Kingdom of Bohemia. Although he won the bloody
Battle of Prague and laid siege to the city, he lost the Battle of Kolin,
which forced him to lift the siege and withdraw from Bohemia
altogether. Things were looking grim for Prussia now, with the
Austrians mobilizing to attack Prussian-controlled soil and a
combined French and Reichsarmee (German states)
army approaching from the west. However, at the end of 1757, the
whole situation in Germany was reversed. After winning the battles
of Rossbach and Leuthen, Frederick once again established himself
as Europe's premier general, but the Prussians were now facing the
prospect of four major powers attacking on four fronts (France from
the west, Austria from the south, Russia from the east, and Sweden
from the north).
In 1758, following a failed invasion of Moravia, Frederick ceased his

attempts to launch a major invasion of Austrian territory. The
Russians invaded East Prussia, where they would remain until 1762.
The years 1759 and 1760 saw several Prussian defeats, partly
because of the Prussian misjudgment of the Russians and partly as
a result of good cooperation between the Russian and Austrian
forces. The French planned to invade the British Isles during 1759
but were prevented by two sea defeats. By 1761, forces on both
sides were seriously depleted. In 1762, the Russian Empress
Elizabeth died and her successor, Peter III, recalled Russian armies
from Berlin and mediated Frederick's truce with Sweden. He also
placed a corps of his own troops under Frederick's command. This
turn of events has become known as "the Second Miracle of the
House of Brandenburg." Frederick was then able to muster a larger
army and concentrate it against Austria.
1762 brought two new countries into the war. Britain declared war
against Spain and Portugal then joined the conflict on Britain's side.
Spain, aided by the French, launched an invasion of Portugal and
succeeded in capturing Almeida. Eventually the Anglo-Portuguese
army chased the greatly reduced Franco-Spanish army back to
Spain, recovering almost all the lost towns. By 1763, the war in
central Europe was essentially a stalemate. Frederick had retaken
most of Silesia and Saxony but not the latter's capital, Dresden. The
Russian emperor was overthrown by his wife, Catherine, who ended
Russia's alliance with Prussia and withdrew from the war. Austria
was facing a severe financial crisis and had to decrease the size of
its army, which greatly affected its offensive power. In 1763, a peace
settlement was reached at the Treaty of Hubertusburg, ending the
war in central Europe.
B attle of Leuthen by Carl Rö chling,

date unknown.
Frederick the Great routed a vastly superior Austrian force at the
Battle of Leuthen on December 5, 1757. Frederick always called
Leuthen his greatest victory, an assessment shared by many as the
Austrian Army was considered a highly professional force.
The French and Indian W ar
In North America, the French and Indian War (1754–1763) pitted the
colonies of British America against those of New France, with both
sides supported by military units from their parent countries of Great
Britain and France as well as by American Indian allies. Fighting took
place primarily along the frontiers between New France and the
British colonies, from V irginia in the south to Newfoundland in the
north. British operations in 1755, 1756 and 1757 in the frontier areas
of Pennsylvania and New York all failed, due to a combination of
poor management, internal divisions, effective Canadian scouts,
French regular forces, and Indian warrior allies. In 1755, the British
captured Fort Beausé jour on the border separating Nova Scotia from
Acadia. The Acadians were expelled and American Indians driven off
their land to make way for settlers from New England. Between 1758
and 1760, the British military launched a campaign to capture the
Colony of Canada. They succeeded in capturing territory in
surrounding colonies and ultimately the city of Quebec (1759).
Though the British later lost the Battle of Sainte-Foy west of Quebec
(1760), the French ceded Canada in accordance with the Treaty of
Paris (1763).
Other Colonies
In the Fantastic War (1762-63) in South America, Spanish forces
conquered the Portuguese territories of Colonia do Sacramento and
Rio Grande de Sã o Pedro and forced the Portuguese to surrender
and retreat. Under the Treaty of Paris (1763), Spain had to return the
colony of Sacramento to Portugal, while the vast and rich territory of
the so-called “ Continent of S. Peter” (the present-day Brazilian state
of Rio Grande do Sul) would be retaken from the Spanish army
during the undeclared Hispano-Portuguese war of 1763–1777.
In India, the outbreak of the war in Europe renewed the long-running

conflict between the French and the British trading companies for
influence. The war spread beyond Southern India and into Bengal
and eventually eliminated French power in India.
In West Africa in 1758, the British captured Senegal and brought

home large amounts of captured goods. This success convinced the
British to launch two further expeditions to take the island of Goré e
and the French trading post on the Gambia. The loss of these
valuable colonies further weakened the French economy.

enormous areas of land and influence. They lost Minorca in the
Mediterranean to the French in 1756 but captured, additionally to
territories in Africa and North America, the French sugar colonies of
Guadeloupe in 1759 and Martinique in 1762 as well as the Spanish
cities of Havana in Cuba and Manila in the Philippines, both
prominent Spanish colonial cities. However, expansion into the
hinterlands of both cities met with stiff resistance. In the Philippines,
the British were confined to Manila until their agreed-upon
withdrawal at the war's end.
21.4.3: A Global W ar
Although the question of whether the Seven Years' War was the first
world war remains ambiguous, it marked a shift in the European
balance of power that shaped the world far beyond Europe.
Learning Objective
Assess the claim that the Seven Years' War was the first world war
Key Points
Because of its span and global impact, some historians have
argued that the Seven Years' War was the first world war, almost
160 years before World War I. However, this label has also been
given to various earlier and later conflicts. Regardless, the war
restructured not only the European political order, but also
events all around the world.
Although Frederick the Great's preemptive invasion of Saxony in
1756 marks the conventional beginning of the Seven Years'
War, key developments in the colonial rivalry between Britain
and France in North America preceded the outbreak of the war
in Europe.
The war preceded by events in North America and formally
started in Europe soon turned into a war for colonies outside of
North America: the British-French conflict over trading
influences reignited in India and in West Africa and the British
captured several French colonies. The triple Franco-Spanish
invasion of Portugal in Europe was followed by a Spanish
invasion of Portuguese territories in South America. Over the
course of the war in colonies, Great Britain gained enormous
areas of land and influence.
While the question of whether the Seven Years' War was indeed
the first world war remains ambiguous, the conflict certainly had
global impact and marked a shift in the European balance of
power. And as European empires continued their efforts to
colonize territories on other continents, the impact reached far
beyond Europe.
Although the war did not result in major territorial changes in
Europe, a new political order emerged. With Britain becoming
the main colonial power, Prussia confirming its position as a
military, economic, and political European power, and Austria
and Russia proving their growing military potential, France lost
its influence in Europe.
The war also ended the old system of alliances in Europe. In the
years after the war, European states now saw Britain as a
greater threat than France and thus did not rejoin old alliances.
Key Terms
upset the European balance of power and a prelude to the
Seven Years' War.
Second Hundred Years' War
A periodization or historical era term used by some historians to

describe the series of military conflicts between Great
Britain and France that occurred from about 1689 (or some say
1714) to 1815. It is named after the Hundred Years' War when
the England-France rivalry began in the 14th century. The term
appears to have been coined by J. R. Seeley in his influential
work The Ex pansion of England: Two Courses of
Lectures (1883).
The Seven Years' War
A 1763 treaty signed by Prussia, Austria, and Saxony. Together

Seven Y ears' W ar: The First
W orld W ar?
The Seven Years' War was fought between 1754 and 1763, the main
conflict occurring in the seven-year period from 1756 to 1763. It
Empire, spanning five continents and affecting Europe, the
Americas, West Africa, India, and the Philippines. The conflict split
Europe into two coalitions, led by Great Britain on one side and
France on the other. For the first time, aiming to curtail Britain and
Prussia's ever-growing might, France formed a grand coalition of its
own, which ended in failure as Britain rose as the world's
predominant power, altering the European balance of alliances.
Because of its span and global impact, some historians have argued
that the Seven Years' War was the first world war (almost 160 years
before World War I). However, this label has also been given to
various earlier conflicts, including the Eighty Years' War, the Thirty
Years' War, the War of the Spanish Succession and the War of the
Austrian Succession, and to later conflicts including the
Napoleonic Wars. The term "Second Hundred Years' War" has been
used in order to describe the almost continuous level of worldwide
conflict during the entire 18th century, reminiscent of the more
famous and compact struggle of the 14th century. The Seven Years'
War influenced many major events around the globe. The war
restructured not only the European political order, but also paved the
way for the beginning of later British world supremacy in the 19th
century, the rise of Prussia in Germany, the beginning of tensions in
British North America, and France's eventual turmoil.
A Global W ar
Although Frederick the Great's preemptive invasion of Saxony in
1756 marks the conventional beginning of the Seven Years' War, key
developments in North America preceded the outbreak of the conflict
in Europe. The boundary between British and French possessions in
North America was largely undefined in the 1750s. France had long
claimed the entire Mississippi River basin, which was disputed by
Britain. In the early 1750s, the French began constructing a chain of
forts in the Ohio River V alley to assert their claim and shield the
American Indian population from increasing British influence. The
most important French fort planned was intended to occupy a
position at "the Forks" where the Allegheny and Monongahela Rivers
meet to form the Ohio River (present day Pittsburgh, Pennsylvania).
British colonial militia from V irginia were sent to drive them out. Led
by George Washington, they ambushed a small French force at
Jumonville Glen in 1754. The French retaliated by attacking
Washington's army at Fort Necessity, forcing them to surrender.
News of these events arrived in Europe, where Britain and France

unsuccessfully attempted to negotiate a solution. The two nations
eventually dispatched regular troops to North America to enforce
their claims and engaged in military actions in 1755. Defeated
France prepared to attack Hanover, whose prince-elector was also
the King of Great Britain and Minorca. Britain concluded a treaty
whereby Prussia agreed to protect Hanover. In response, France
concluded an alliance with its long-time enemy Austria, an event
known as the diplomatic revolution.
The war preceded by events in North America and formally started in

Europe soon also turned into a war for colonies outside of North
America. In 1757, the British-French conflict over trading influences
reignited in India. By 1761, the British effectively eliminated French
power in India. In 1758 in West Africa, the British captured
Senegal and brought home large amounts of captured goods. This
success convinced them to launch two further expeditions to take the
island of Goré e and the French trading post on the Gambia. The loss
of these valuable colonies further weakened the French economy.
When the Seven Years' War between France and Great Britain
started in 1756, Spain and Portugal remained neutral, but everything
changed when Ferdinand V I died in 1759 and was succeeded by his
younger half-brother Charles III of Spain. One of the main objects of
Charles's policy was the survival of Spain as a colonial power and
thus as a power to be reckoned with in Europe. The triple Franco-
Spanish invasion of Portugal in Europe (main theater of the war,
which absorbed the lion's share of the Spanish war effort) in 1762
was followed by a Spanish invasion of Portuguese territories in
South America (a secondary theater of the war). While the first
ended in humiliating defeat, the second represented a stalemate:
Portuguese victory in Northern and Western Brazil, Spanish victory
in Southern Brazil and Uruguay.

enormous areas of land and influence. They lost Minorca in the
Mediterranean to the French in 1756 but captured territories in West
Africa and North America, the French sugar colonies of Guadeloupe
in 1759 and Martinique in 1762 as well as Havana in Cuba and
Manila in the Philippines, both prominent Spanish colonial cities.
All the participants of the Seven
Y ears' W ar: [ blue] Great Britain,
Prussia, Portugal, with allies; [ green]
France, Spain, Austria, Russia,
Sweden with allies
Many middle and small states in Europe, unlike in previous wars,
tried to steer clear away from the escalating conflict, even though
they had interests in the conflict or with the belligerents, like
Denmark-Norway. The Dutch Republic, a long-time British ally, kept
its neutrality intact. Naples, Sicily, and Savoy sided with the Franco-
Spanish alliance. Like Sweden, Russia concluded a separate peace
with Prussia before the war formally ended.
Global Impact
While the question of whether the Seven Years' War was indeed the
first world war remains ambiguous, the war had certainly global
impact and marked a shift in the European balance of power. And as
European empires continued their efforts to colonize territories on
other continents, the impact reached far beyond Europe. Faced with
the choice of retrieving either New France or its Caribbean island
colonies of Guadeloupe and Martinique, France chose the latter to
retain these lucrative sources of sugar. France also returned Minorca
to the British. Spain lost control of Florida to Great Britain, but it
received from the French the Î le d'Orlé ans and all of the former
French holdings west of the Mississippi River. In India, the British
retained the Northern Circars, but returned all the French trading
ports.
When later France went to war with Great Britain during the
American Revolution, the British found no support among the
European powers. Furthermore, France's defeat in the Seven Years'
War caused the French to embark upon major military reforms with
particular attention being paid to the artillery. The origins of the
famed French artillery that played a prominent role in the wars of the
French Revolutionary wars and beyond can be traced to military
reforms that started in 1763.
The Treaty of Hubertusburg between Austria, Prussia, and Saxony

simply restored the status quo of 1748, with Silesia and Glatz
reverting to Frederick and Saxony to its own elector. The only
concession that Prussia made to Austria was to consent to the
election of Archduke Joseph as Holy Roman Emperor. However,
Austria's military performance restored its prestige and the empire
secured its position as a major player in the European system.
Prussia emerged from the war as a great power whose importance
could no longer be challenged. Frederick the Great’s personal
reputation was enormously enhanced and after the Seven Years'
War, Prussia become one of the most imitated powers in Europe.
Russia, on the other hand, made one great invisible gain from the
war: the elimination of French influence in Poland. Although the war
ended in a draw, the performance of the Imperial Russian Army
against Prussia improved Russia's reputation as a factor in
European politics, as many had not expected the Russians to hold
their own against the Prussians in campaigns fought on Prussian
soil.
The war also ended the old system of alliances in Europe. In the
years after the war, European states such as Austria, The Dutch
Republic, Sweden, Denmark-Norway, Ottoman Empire, and Russia
now saw Britain as a greater threat than France and did not revert to
previous alliances, while the Prussians were angered by what they
considered a British betrayal in 1762. Consequently, when the
American War of Independence turned into a global war between
1778–83, Britain found itself opposed by a strong coalition of
European powers and lacking any substantial ally.
21.4.4: The Treaty of Paris ( 17 63)

The Treaty of Paris of 1763 between Great Britain, France, and
Spain, with Portugal in agreement, formally ended the Seven Years'
War and marked the beginning of an era of British dominance
outside Europe.
Learning Objective
Identify the provisions of the Treaty of Paris (1763)
Key Points
The Treaty of Paris of 1763 between Great Britain, France, and
Spain, with Portugal in agreement, formally ended the Seven
Years' War and marked the beginning of an era of British
dominance outside Europe.
During the war, Great Britain conquered a number French
colonies in North America and the Caribbean, French trading
posts in India, and French-controlled territories in West Africa. It
also captured the Spanish colonies of Manila and Havana.
France captured Minorca and British trading posts in Sumatra,
while Spain captured the border fortress of Almeida in Portugal
and Colonia del Sacramento in South America.
In the treaty, most of these territories were restored to their
original owners, although Britain made considerable gains.
The Treaty of Paris is sometimes noted as the point at which
France gave Louisiana to Spain. The transfer, however,
occurred with the Treaty of Fontainebleau (1762) but was not
publicly announced until 1764. The Treaty of Paris gave Britain
the east side of the Mississippi, with New Orleans remaining in
French hands.
The Treaty of Hubertusburg was signed five days later by
Prussia, Austria, and Saxony. Together with the Treaty of Paris,
it marked the end of the Seven Years' War. The treaty ended the
continental conflict with no significant changes in prewar
borders.
Key Terms
Treaty of Fontainebleau
A secret agreement of 1762 in which France ceded Louisiana to

Spain. The treaty followed the last battle in the French and
Indian War in North America, the Battle of Signal Hill in
September 1762. Having lost Canada, King Louis X V of
France proposed to King Charles III of Spain that France should
give Spain "the country known as Louisiana, as well as New
Orleans and the island in which the city is situated." Charles
accepted in November 1762.
A 1763 treaty signed by Prussia, Austria and Saxony. Together

The Treaty of Paris
Also known as the Treaty of 1763, signed by the kingdoms of

Great Britain, France, and Spain with Portugal in agreement
after Great Britain's victory over France and Spain during the
Seven Years' War. The signing of the treaty formally ended the
Seven Years' War and marked the beginning of an era of British
dominance outside Europe.
The Treaty of Paris

The Treaty of Paris, also known as the Treaty of 1763, was signed
on February 10, 1763 by the kingdoms of Great Britain, France, and
Spain with Portugal in agreement after Great Britain's victory over
France and Spain during the Seven Years' War. The signing of the
treaty formally ended the Seven Years' War, known as the French
and Indian War in the North American theater, and marked the
beginning of an era of British dominance outside Europe. The treaty
did not involve Prussia and Austria as they signed a separate
agreement, the Treaty of Hubertusburg, five days later.
Ex change of Territories
During the war, Great Britain conquered the French colonies of
Canada, Guadeloupe, Saint Lucia, Dominica, Grenada, Saint
V incent and the Grenadines, and Tobago, the French trading posts
in India, the slave-trading station at Goré e, the Sé né gal River and its
settlements, and the Spanish colonies of Manila in the Philippines
and Havana in Cuba. France captured Minorca and British trading
posts in Sumatra, while Spain captured the border fortress of
Almeida in Portugal and Colonia del Sacramento in South America.
In the treaty, most of these territories were restored to their original

owners, although Britain made considerable gains. France and
Spain restored all their conquests to Britain and Portugal. Britain
restored Manila and Havana to Spain, and Guadeloupe, Martinique,
Saint Lucia, Goré e, and the Indian trading posts to France. In return,
France ceded Canada, Dominica, Grenada, Saint V incent and the
Grenadines, and Tobago to Britain. France also ceded the eastern
half of French Louisiana to Britain (the area from the Mississippi
River to the Appalachian Mountains). In addition, while France
regained its trading posts in India, France recognized British clients
as the rulers of key Indian native states and pledged not to send
troops to Bengal. Britain agreed to demolish its fortifications in British
Honduras (now Belize), but retained a logwood-cutting colony there.
Although the Protestant British feared Roman Catholics, Great
Britain did not want to antagonize France through expulsion or
forced conversion. Also, it did not want French settlers to leave
Canada to strengthen other French settlements in North America.
Consequently, Great Britain decided to protect Roman Catholics
living in Canada.
The Treaty of Paris is sometimes noted as the point at which France

gave Louisiana to Spain. The transfer, however, occurred with the
Treaty of Fontainebleau (1762) but was not publicly announced until
1764. The Treaty of Paris was to give Britain the east side of the
Mississippi (including Baton Rouge, Louisiana, which was to be part
of the British territory of West Florida) – except for the Î le d'Orlé ans
(historic name for the New Orleans area), which was granted to
Spain, along with the territory to the west – the larger portion of
Louisiana. The Mississippi River corridor in modern-day Louisiana
was to be reunited following the Louisiana Purchase in 1803 and the
Adams-Onís Treaty in 1819.
" A new map of North America,"
produced following the Treaty of Paris
( 17 63) .
The Anglo-French hostilities ended in 1763 with Treaty of Paris,
which involved a complex series of land exchanges, the most
important being France's cession to Spain of Louisiana, and to Great
Britain the rest of New France except for the islands of St. Pierre and
Miquelon. Faced with the choice of retrieving either New France or
its Caribbean island colonies of Guadeloupe and Martinique, France
chose the latter to retain these lucrative sources of sugar, writing off
New France as an unproductive, costly territory.
The Treaty of Hubertusburg

The Treaty of Hubertusburg was signed on February 15, 1763 by
Prussia, Austria, and Saxony. Together with the Treaty of Paris, it
marked the end of the Seven Years' War. The treaty ended the
continental conflict with no significant changes in prewar borders.
Most notably, Silesia remained Prussian. The Treaty, although it
restored the prewar status quo, marked the ascendancy of Prussia
as a leading European power. Through the Treaty of Paris, Great
Britain emerged as the world’s chief colonial empire, which was its
primary goal in the war, and France lost most of its overseas
possessions. The phrase "Hubertsburg Peace" is sometimes used
as a description for any Treaty which restores the situation that
existed before conflict broke out.
Attributions
The Diplomatic Revolution
"Anglo-Prussian Convention."
https://en.wikipedia.org/wiki/Anglo-Prussian_Convention.
"Anglo-Prussian alliance (1756)."
Prussian_alliance_(1756). Wikipedia CC BY-SA 3.0.
"Seven Years' War."
"Diplomatic Revolution."
https://en.wikipedia.org/wiki/Diplomatic_Revolution.
Events of the Seven Years' War
"French and Indian War."
https://en.wikipedia.org/wiki/French_and_Indian_War.
"Treaty of Hubertusburg."
https://en.wikipedia.org/wiki/Treaty_of_Hubertusburg.
"Fantastic War." https://en.wikipedia.org/wiki/Fantastic_War.
"Miracle of the House of Brandenburg."
https://en.wikipedia.org/wiki/Miracle_of_the_House_of_Bran
denburg. Wikipedia CC BY-SA 3.0.
"Treaty of Paris (1763)."
https://en.wikipedia.org/wiki/Treaty_of_Paris_(1763).
"Seven Years' War."
"Batte_of_Leuthen.jpg."
https://en.wikipedia.org/wiki/Seven_Years%27_War# /media
/File:Batte_of_Leuthen.jpg. Wikipedia Public domain.
"SevenYearsWar.png."
/File:SevenYearsWar.png. Wikipedia CC BY-SA 3.0.
A Global War
"Second Hundred Years' War."
https://en.wikipedia.org/wiki/Second_Hundred_Years%27_
War. Wikipedia CC BY-SA 3.0.
"Seven Years' War."
"SevenYearsWar.png."
/File:SevenYearsWar.png. Wikipedia CC BY-SA 3.0.
The Treaty of Paris (1763)
"Treaty of Fontainebleau (1762)."
https://en.wikipedia.org/wiki/Treaty_of_Fontainebleau_(176
"Seven Years' War."
"New_Map_of_North_America_1763.JPG."
https://en.wikipedia.org/wiki/Treaty_of_Paris_(1763)# /media
/File:New_Map_of_North_America_(1763).JPG. Wikipedia
Public domain.
21.5 : Catherine the Great and
Russia
21.5 .1: The Triumphs of Tsarina
Eliz abeth I
Elizabeth's reign was marked by domestic reforms that continued the
efforts of her father, Peter the Great, strengthening Russia's position
as a major participant in the European imperial rivalry.
Learning Objective
Characterize Elizabeth I's two decades in power
Key Points
Elizabeth (1709 – 1762), the daughter of Peter the Great and his
second wife, Catherine I, was the Empress of Russia from 1741
until her death in 1762. She came to power as a result of a
daring coup that, amazingly, succeeded without bloodshed.
Elizabeth aimed to continue changes made by Peter the Great.
She reconstituted the senate as it had been under his reign, with
the chiefs of the departments of state attending. Her first task
after this was to address the war with Sweden. In 1743, the
Treaty of Å bo was signed, with Sweden ceding to Russia all of
southern Finland east of the Kymmene River.
The triumphs of Elizabeth's foreign policy were credited to the
diplomatic ability of Aleksey Bestuzhev-Ryumin, the head of
foreign affairs. Bestuzhev reconciled the Empress with the
courts of V ienna and London; enabled Russia to assert itself in
Poland, Turkey, and Sweden; and isolated the King of Prussia
by forcing him into hostile alliances. All this would have been
impossible without the steady support of Elizabeth.
The critical event of Elizabeth's later years was the Seven Years'
War (1756-1763). Elizabeth regarded the 1756 alliance between
Great Britain and Prussia as utterly subversive of the previous
conventions between Great Britain and Russia and sided
against Prussia over a personal dislike of Frederick the Great.
She therefore entered into an alliance with France and Austria
against Prussia.
A year before the Seven Years' War formally ended, Elizabeth
died. Her Prussophile successor, Peter III, at once recalled
Russian armies from Berlin and mediated Frederick's truce with
Sweden. This turn of events has become known as "the Second
Miracle of the House of Brandenburg."
Elizabeth was renowned throughout and beyond Russia for her
fierce commitment to the arts, particularly music, theater, and
architecture.
Key Terms
the Second Miracle of the House of Brandenburg

the Winter Palace
From 1732 to 1917, the official residence of the Russian

monarchs in Saint Petersburg.
Eliz abeth of Russia

Elizabeth Petrovna (1709 – 1762), the daughter of Peter the Great
and his second wife, Catherine I, was the Empress of Russia from
1741 until her death in 1762. After Peter died in 1725, his wife
succeeded him as the Empress of Russia but died only two years
later. Elizabeth's half-nephew Peter II (the son of her half-brother
from her father's first marriage) succeeded her mother. After his
death in 1730, Elizabeth's first cousin, Empress Anna (ruled 1730-
40), daughter of Peter the Great's elder brother Ivan V , ruled Russia.
During the reign of her cousin, Elizabeth was gathering support in
the background but after the death of Empress Anna, the regency of
Anna Leopoldovna (Empress Anna's niece) for the infant Ivan V I was
marked by high taxes and economic problems. As the daughter of
Peter the Great, Elizabeth enjoyed much support from the Russian
guards regiments. She often visited them, marking special events
with the officers and acting as godmother to their children. The
guards repaid her kindness when on the night of November 25,
1741, Elizabeth seized power with the help of the Preobrazhensky
Regiment. The regiment marched to the Winter Palace and arrested
the infant Emperor, his parents, and their own lieutenant-colonel,
Count von Munnich. It was a daring coup and, amazingly, succeeded
without bloodshed.
Portrait of Eliz abeth painted by
V igilius Eriksen in 17 5 7 .
Elizabeth remains one of the most popular Russian monarchs due to
her strong opposition to Prussian policies and her decision not to
execute a single person during her reign, an unprecedented one at
the time.
Domestic and Foreign Policies

The substantial changes made by Peter the Great had not exercised
a formative influence on the intellectual attitudes of the ruling classes
as a whole, and Elizabeth aimed to change that. Her domestic
policies allowed the nobles to gain dominance in local government
while shortening their terms of service to the state. She encouraged
Mikhail Lomonosov's establishment of the University of Moscow and
Ivan Shuvalov's foundation of the Imperial Academy of Arts in Saint
Petersburg. She abolished the cabinet council system used under
Anna and reconstituted the senate as it had been under Peter the
Great, with the chiefs of the departments of state attending. Her first
task after this was to address the war with Sweden. In 1743, the
Treaty of Å bo, by which Sweden ceded to Russia all of southern
Finland east of the Kymmene River, was signed.
This triumph was credited to the diplomatic ability of the new vice
chancellor, Aleksey Bestuzhev-Ryumin, the head of foreign affairs.
He represented the anti-Franco-Prussian portion of Elizabeth's
council and his object was to bring about an Anglo-Austro-Russian
alliance. By sheer tenacity of purpose, Bestuzhev not only extricated
his country from the Swedish imbroglio but also reconciled the
Empress with the courts of V ienna and London; enabled Russia to
assert itself in Poland, Turkey, and Sweden; and isolated the King of
Prussia by forcing him into hostile alliances. All this would have been
impossible without the steady support of Elizabeth, who trusted him
completely in spite of the Chancellor's many enemies, most of whom
were her personal friends. However, in 1758, Chancellor Bestuzhev
was removed from office, most likely because he attempted to sow
discord between the Empress and her heir and his consort.
Seven Y ears' W ar
The critical event of Elizabeth's later years was the Seven Years'
War (1756-1763). Elizabeth regarded the 1756 alliance between
Great Britain and Prussia as utterly subversive of the previous
conventions between Great Britain and Russia and sided against
Prussia over a personal dislike of Frederick the Great. She therefore
entered into an alliance with France and Austria against Prussia,
insisting that the King of Prussia must be rendered harmless to his
neighbors for the future by reducing him to the rank of Prince-
Elector. During the first six years of the war, Elizabeth focused on
diplomatic (both covert and overt) and military efforts that aimed to
deprive Frederick the Great and Prussia of their position as a the
major European ruler and power. However,Elizabeth died in 1762, a
year before the war formally ended. Her Prussophile successor,
Peter III, at once recalled Russian armies from Berlin and mediated
Frederick's truce with Sweden. He also placed a corps of his own
troops under Frederick's command. This turn of events has become
known as "the Second Miracle of the House of Brandenburg."
Arts and Culture

Elizabeth was renowned throughout and beyond Russia for her
fierce commitment to the arts, particularly music, theater, and
architecture. The Empress had a longstanding love of theater and
had a stage erected in the palace to enjoy the countless
performances she sanctioned. Although many domestic and foreign
works were shown, the French plays quickly became the most
popular. Music also gained importance in Russia under
Elizabeth. Many attribute its popularity to Elizabeth’s relationship
with Alexei Razumovsky, a Ukrainian Cossack and the supposed
husband of the Empress, who reportedly relished music. Elizabeth
turned her court into "the country’s leading musical center.” She
spared no expense, importing leading musical talents from Germany,
France, and Italy. The Empress also spent exorbitant sums of money
on the grandiose baroque projects of her favorite architect,
Bartolomeo Rastrelli. The Winter Palace and the Smolny Convent in
Saint Petersburg are among the chief monuments of her reign.
Although the original construction of the Palace started under Peter
the Great, Elizabeth commissioned an entirely new scheme (of the
current structure) and oversaw the construction but died before its
completion. The Convent, built when Elizabeth considered becoming
a nun, was one of the many religious buildings erected at her behest,
using the nation's funds rather than those of the church. The
Convent was one of many buildings erected for religious purposes
under Elizabeth's rule.
The W inter Palace, from Palace
Square
During the reign of Elizabeth, Rastrelli, still working to his original
plan, devised an entirely new scheme in 1753 on a colossal scale—
the present Winter Palace. The expedited completion of the palace
became a matter of honor to the Empress, who regarded the palace
as a symbol of national prestige. Work on the building continued
throughout the year, even in the severest months of the winter. The
deprivation to both the Russian people and the army caused by the
ongoing Seven Years' War were not permitted to hinder the
progress.
21.5 .2: The Brief Reign of Peter III

Peter III's decision to turn Russia from an enemy to an ally of
Prussia and his domestic reforms did not convince the Russian
nobility to support the unpopular emperor.
Learning Objective
Recall the events of Peter III's time as tsar
Key Points
Peter III was emperor of Russia for six months in 1762. It was
his aunt, Empress Elizabeth, that chose him as her successor.
Elizabeth invited her young nephew to Saint Petersburg, where
he was received into the Orthodox Church and proclaimed heir
in 1742.
Empress Elizabeth arranged for Peter to marry his second
cousin, Sophia Augusta Frederica (later Catherine the Great).
They married in 1745 but the union was unhappy. The
traditionally held view of Peter as a person of weak character
and many vices is mainly drawn from the memoirs of his wife
and successor.
After Peter succeeded to the Russian throne, the pro-Prussian
emperor withdrew Russian forces from the Seven Years' War
and concluded a peace treaty with Prussia. Russia thus
switched from an enemy of Prussia to an ally. The decision
proved to be extremely unpopular in his own court and greatly
contributed to Peter's quick demise.
One of Peter's most widely debated reforms was a manifesto
that exempted the nobility from obligatory state and military
service (established by Peter the Great) and gave them freedom
to travel abroad. Although the exemption from the obligatory
service was welcomed by the Russian elites, the overall reform
did not convince them to support their emperor, who was
generally considered as taking little interest in Russia and its
matters.
Catherine staged a coup and had her husband arrested, forcing
him to sign a document of abdication and leaving no one to
dispute her accession to the throne. On July 17, eight days after
the coup and just six months after his accession to the throne,
Peter III died at the hands of Alexei Orlov.
Key Terms
the Second Miracle of the House of Brandenburg

casus belli
A Latin expression meaning "an act or event that provokes or is

used to justify war" (literally, "a case of war").
Peter III
Peter III (1728 – 1762) was emperor of Russia for six months in
1762, chosen by his unmarried, childless aunt, Empress Elizabeth,
as her successor. Young Peter of Holstein-Gottorp lost his mother,
Elizabeth's sister Anna, at three months old and his father at the age
of 11. Elizabeth invited her young nephew to Saint Petersburg,
where he was received into the Orthodox Church and proclaimed
heir in 1742. Empress Elizabeth arranged for Peter to marry his
second cousin, Sophia Augusta Frederica (later Catherine the
Great). The young princess formally converted to Russian Orthodoxy
and took the name Ekaterina Alexeievna (Catherine). They married
in 1745 but the union was unhappy. The traditionally held view of
Peter as a person of weak character with many vices is mainly
drawn from the memoirs of his wife and successor. She described
him in extremely negative terms and this image of Peter has
dominated in historical works, although some recent biographers
painted a more positive picture of Peter's character and rule.
Peter III by Alex ei Antropov, 17 62
Peter III's temperament became quite unbearable for those who
resided in the palace. He would announce trying drills in the morning
to male servants, who later joined Catherine in her room to sing and
dance until late hours. Catherine became pregnant with her second
child, Anna, who only lived to four months, in 1759. Due to various
rumors of Catherine's promiscuity, Peter was led to believe he was
not the child's biological father, but Catherine angrily dismissed his
accusation. She spent much of this time alone in her own private
boudoir to hide away from Peter's abrasive personality.
Reign
After Peter succeeded to the Russian throne, the pro-Prussian
emperor withdrew Russian forces from the Seven Years' War and
concluded a peace treaty with Prussia, an event known as the
Second Miracle of the House of Brandenburg. It's sometimes simply
called the Miracle of the House of Brandenburg, which also refers to
a surprising development during the Seven Years' War, when
Russia and Austria failed to follow up their victory over Frederick the
Great at the Battle of Kunersdorf in 1759) He gave up Russian
conquests in Prussia and offered 12,000 troops to make an alliance
with Frederick the Great (1762). Russia thus switched from an
enemy of Prussia to an ally — Russian troops withdrew from Berlin
and marched against the Austrians. This dramatically shifted the
balance of power in Europe. Frederick recaptured southern Silesia
and subsequently forced Austria to the negotiating table. The
decision proved to be extremely unpopular in his own court and
greatly contributed to Peter's quick demise.
As Duke of Holstein-Gottorp, Peter planned war against Denmark to

restore parts of Schleswig to his Duchy. He focused on making
alliances with Sweden and England to ensure that they would not
interfere on Denmark's behalf, while Russian forces gathered at
Kolberg in Russian-occupied Pomerania. Alarmed at the Russian
troops concentrating near their borders, unable to find any allies to
resist Russian aggression, and short of money to fund a war, the
government of Denmark threatened in late June to invade the free
city of Hamburg in northern Germany to force a loan from it. Peter
considered this a casus belli and prepared for open warfare against
Denmark, but lost his throne before starting the war.
One of Peter's most widely debated reforms was a manifesto that

exempted the nobility from obligatory state and military service
(established by Peter the Great) and gave them freedom to travel
abroad. The manifesto obliged nobles to educate their children and
ostracized the nobility considered lazy and unproductive. Although
the exemption from the obligatory service was welcomed by the
Russian elites, the overall reform did not convince them to support
their emperor, who was generally considered as taking little interest
in Russia and its matters. A case of Peter's religious policies serves
as a demonstrative example of how the pro-Prussian emperor was
perceived in Russia. His pro-Lutheran stand has been interpreted by
some recent biographers as the introduction of religious freedom,
while Peter's contemporaries (and many historians) saw it as an anti-
Orthodox attitude proving Peter's lack of understanding of his own
empire.
Overthrow
In July 1762, barely six months after becoming emperor, Peter took a
holiday with his Holstein-born courtiers and relatives to
Oranienbaum, leaving his wife in Saint Petersburg. On the night of
July 8, Catherine the Great received the news that one of her co-
conspirators had been arrested by her estranged husband and that
all they had been planning had to take place at once. She left the
palace and departed for the Ismailovsky regiment, where Catherine
delivered a speech asking the soldiers to protect her from her
husband. Catherine left with the regiment to go to the Semenovsky
Barracks where the clergy was waiting to ordain her as the sole
occupant of the Russian throne. She had her husband arrested and
forced him to sign a document of abdication, leaving no one to
dispute her accession to the throne. On July 17, eight days after the
coup and just six months after his accession to the throne, Peter III
died at the hands of Alexei Orlov. Historians find no evidence for
Catherine's complicity in the supposed assassination.
21.5 .3: From German Princess to

Russian Tsarina
Born to the family of impoverished German aristocracy, Catherine
the Great's fate was decided when she was chosen to become wife
of her second cousin, the prospective tsar Peter III, whom she
eventually overthrew to become the Empress of Russia in 1762.
Learning Objective
Detail Catherine the Great's journey from German Princess to sole
ruler of Russia
Key Points
Catherine II of Russia reigned Russia from 1762 until her death
in 1796. Born Sophia Augusta Fredericka to Christian August,
Prince of Anhalt-Zerbst, and Princess Johanna Elisabeth of
Holstein-Gottorp in Stettin, Pomerania, her fate was decided
after she was chosen to become wife of her second cousin, the
prospective tsar Peter of Holstein-Gottorp (as Peter III).
Catherine spared no effort to ingratiate herself not only with the
Empress, but also with her husband and with the Russian
people. She applied herself to learning the language and wrote
that when she came to Russia she decided to do whatever was
required of her to become qualified to wear the crown.
Although Sophia's father, a devout German Lutheran, opposed
his daughter's conversion to Eastern Orthodoxy, in 1744 the
Russian Orthodox Church received Princess Sophia as a
member with the new name Catherine and the (artificial)
patronymic Alekseyevna (daughter of Aleksey). On the following
day, the formal betrothal took place in Saint Petersburg.
Count Andrei Shuvalov, chamberlain to Catherine, is credited as
the source of rumors regarding the monarch's intimate affairs.
These rumor led many, including Peter, to believe that her two
children were not fathered by her husband.
After the death of Empress Elizabeth in 1762, Peter succeeded
to the throne as Emperor Peter III and Catherine became
empress consort. The tsar's eccentricities and policies, including
a great admiration for Frederick the Great of Prussia, alienated
the same groups that Catherine cultivated.
Catherine staged a coup and had her husband arrested, then
forced him to sign a document of abdication, leaving no one to
dispute her accession to the throne. Eight days after the coup
and just six months after his accession to the throne, Peter III
died at the hands of Alexei Orlov. Historians find no evidence for
Catherine's complicity in the supposed assassination.
Key Terms

absolutism: a form of absolute monarchy or despotism inspired
the participles of rationality. Some of them fostered education,
whereby a despot was entrusted with the power to govern
through a social contract in lieu of any other governments.
involved every great European power of the time except the
Early Life
Catherine II of Russia (1729 – 1796) was the longest-ruling female
leader of Russia, reigning from 1762 until her death in 1796 at the
age of 67. Born Sophia Augusta Fredericka to Christian August,
Prince of Anhalt-Zerbst, and Princess Johanna Elisabeth of Holstein-
Gottorp in Stettin, Pomerania, she received education chiefly from a
French governess and from tutors. Although Sophia was born a
princess, her family had very little money. She came to power based
on her mother's relations to wealthy members of royalty.
The choice of Sophia as wife of her second cousin, the prospective

tsar Peter of Holstein-Gottorp (as Peter III), was a result of
diplomatic arrangements, most notably by Peter's aunt, Empress
Elizabeth. Catherine first met Peter at the age of 10. Based on her
writings, she found him detestable when they met, which did not
change after the two got married. Empress Elizabeth appreciated
and liked Sophia, who upon her arrival in Russia in 1744 spared no
effort to ingratiate herself not only with the Empress, but also with
her husband and with the Russian people. She applied herself to
learning the language with such zeal that she rose at night and
walked about her bedroom barefoot, repeating her lessons (she
mastered the language but she retained a foreign accent). This led
to a severe attack of pneumonia in March 1744. In her memoirs, she
wrote that when she came to Russia she decided to do whatever
was required of her to become qualified to wear the crown.
Y oung Catherine soon after her arrival
in Russia, by Louis Caravaque, ca.
17 45 .
The choice of Sophia as wife of her second cousin, the prospective
tsar Peter of Holstein-Gottorp, resulted from diplomatic management
in which Count Lestocq, Peter's aunt (the ruling Russian Empress
Elizabeth), and Frederick the Great of Prussia took part. Lestocq and
Frederick wanted to strengthen the friendship between Prussia and
Russia to weaken Austria's influence and ruin the Russian
chancellor Bestuzhev, on whom Empress Elizabeth relied and who
acted as a known partisan of Russo-Austrian co-operation.
Conversion and Marriage
Although Sophia's father, a devout German Lutheran, opposed his
daughter's conversion to Eastern Orthodoxy, in 1744 the Russian
Orthodox Church received Princess Sophia as a member with the
new name Catherine and the (artificial) patronymic Alekseyevna
(daughter of Aleksey). On the following day, the formal betrothal took
place in Saint Petersburg. Sophia was 16 and her father did not
travel to Russia for the wedding. The newlyweds settled in the
palace of Oranienbaum, which remained the residence of the "young
court" for many years to come.
Count Andrei Shuvalov, chamberlain to Catherine, is credited as the

source of information rumors regarding the monarchs' intimate
affairs. Peter was believed to have taken a mistress (Elizabeth
V orontsova), while Catherine carried on liaisons with Sergei
Saltykov, Grigory Grigoryevich Orlov, Alexander V asilchikov, Grigory
Potemkin, Stanisł aw August Poniatowski, Alexander V asilchikov, and
others. Some of these men eventually became her trusted political or
military advisors. She also became friends with Princess Ekaterina
V orontsova-Dashkova, the sister of her husband's mistress, who
introduced her to several powerful political groups that opposed her
husband.
Peter III's temperament became quite unbearable for those who

resided in the palace. He would announce trying drills in the morning
to male servants, who later joined Catherine in her room to sing and
dance until late hours. In 1754, Catherine and Peter welcomed a
son, the future tsar Paul I. There is considerable speculation as to
the actual paternity of Paul. It is suggested that his mother had
engaged in an affair—to which Empress Elizabeth consented—with
a young officer named Serge Saltykov and that he was Paul's father.
However, Peter never gave any indication that he believed Paul was
not his son. He also did not take any interest in parenthood, but
Empress Elizabeth,certainly did. She removed young Paul from his
mother by ordering the midwife to take the baby and follow her.
Catherine was not to see her child for another month and then only
briefly during the churching ceremony. Six months later Elizabeth let
Catherine see the child again. Paul had in effect become a ward of
the state and in a larger sense, the property of the state, to be
brought up by Elizabeth as she believed he should be — as a true
heir and great-grandson of her father, Peter the Great. Catherine
became pregnant with her second child, Anna, who died as an infant
in 1757. Due to the rumors of Catherine's promiscuity, Peter was led
to believe he was not the child's biological father.
The Coup
After the death of Empress Elizabeth in 1762, Peter succeeded to
the throne as Emperor Peter III and Catherine became empress
consort. The imperial couple moved into the new Winter Palace in
Saint Petersburg. The tsar's eccentricities and policies, including a
great admiration for Frederick the Great of Prussia, alienated the
same groups that Catherine cultivated. Furthermore, Peter
intervened in a dispute between his Duchy of Holstein and Denmark
over the province of Schleswig, which many at his court saw as a
step towards unnecessary war. Peter's shift in the official position of
Russia from the enemy to the ally of Prussia during the Seven Years'
War eroded much of his support among the nobility. Domestic
reforms, including a manifesto that exempted the nobility from
obligatory state and military service (established by Peter the Great),
did not convince the Russian elites to support their emperor.
In July 1762, barely six months after becoming emperor, Peter took a
holiday with his Holstein-born courtiers and relatives in
Oranienbaum, leaving his wife in Saint Petersburg. On the night of
July 8, Catherine received the news that one of her co-conspirators
had been arrested by her estranged husband and that all they had
been planning had to take place at once. She left the palace and
departed for the Ismailovsky regiment, where Catherine delivered a
speech asking the soldiers to protect her from her husband. She left
with the regiment to go to the Semenovsky Barracks where the
clergy was waiting to ordain her as the sole occupant of the Russian
throne. She had her husband arrested and forced him to sign a
document of abdication, leaving no one to dispute her accession to
the throne. On July 17—eight days after the coup and just six
months after his accession to the throne—Peter III died at the hands
of Alexei Orlov. Historians find no evidence for Catherine's complicity
in the supposed assassination.
Catherine, though not descended from any previous Russian

emperor of the Romanov Dynasty (she descended from the Rurik
Dynasty, which preceded the Romanovs), succeeded her husband
as empress regnant. She followed the precedent established when
Catherine I (born in the lower classes in the Swedish East Baltic
territories) succeeded her husband Peter the Great in 1725.
Historians debate Catherine's technical status, some seeing her as a
regent or as a usurper, tolerable only during the minority of her son,
Grand Duke Paul. In the 1770s, a group of nobles connected with
Paul considered a new coup to depose Catherine and transfer the
crown to Paul, whose power they envisaged restricting in a kind of
constitutional monarchy. However, the plan failed and Catherine
reigned until her death.
The period of Catherine's rule, the Catherinian Era, is often

considered the Golden Age of the Russian Empire and Russian
nobility. She enthusiastically supported the ideals of the
Enlightenment, thus earning the status of an enlightened despot. As
such, she believed that strengthening her authority had to occur by
improving the lives of her subjects. This philosophy of enlightened
despotism implied that the sovereign knew the interests of his or her
subjects better than they themselves did. The monarch taking
responsibility for the subjects precluded their political participation.
Catherine presided over the age of the Russian Enlightenment and
sought contact with and inspiration from the major philosophers of
the era. In one of her letters to Dennis Diderot, she referred to how
she saw her responsibility as the empress:
You philosophers are lucky men. You write on paper and paper
is patient. Unfortunate Empress that I am, I write on the
susceptible skins of living beings.
Catherine II of Russia visits Mikhail
Lomonosov in 17 64. 18 8 4 painting by
Ivan Feodorov.
As a patron of the arts and an advocate of Enlightenment ideals, she
presided over the age of the Russian Enlightenment, In this painting,
she is visiting Mikhail Lomonosov, a Russian polymath, scientist and
writer, who made important contributions to literature, education, and
science. Among his discoveries was the atmosphere of V enus and
the Law of Mass Conservation in chemical reactions. He was also a
poet and influenced the formation of the modern Russian literary
language.
21.5 .4: Catherine's Domestic Policies

Catherine the Great enthusiastically supported the ideals of the
Enlightenment, thus earning the status of an enlightened despot,
although her reforms benefited a small number of her subjects and
did not change the oppressive system of Russian serfdom.
Learning Objective
Evaluate Catherine the Great's domestic policies and to what extent
she can be considered an enlightened despot
Key Points
The period of Catherine's rule (1762-1796), the Catherinian Era,
is often considered the Golden Age of the Russian Empire and
Russian nobility. She enthusiastically supported the ideals of the
Enlightenment, thus earning the status of an enlightened
despot.
An admirer of Peter the Great, Catherine continued to
modernize Russia along Western European lines. However,
military conscription and economy continued to depend on
serfdom, and the increasing demands of the state and private
landowners led to increased levels of reliance on serfs.
Consequently, the unrest intensified and more than fifty peasant
revolts occurred between 1762 and 1769. These culminated in
Pugachev's Rebellion, the largest peasant revolt in Russia's
history.
Catherine believed a "new kind of person" could be created by
inculcating Russian children with European education. However,
despite the experts' recommendations to establish a general
system of education for all Russian Orthodox subjects from the
age of 5 to 18, excluding serfs, only modest action was taken.
An estimated 62,000 pupils were educated in some 549 state
institutions near the end of Catherine’s reign, a minuscule
number of people compared to the size of the Russian
population.
Catherine converted to the Russian Orthodoxy as part of her
immersion in the Russian matters but personally remained
largely indifferent to religion. Her religious policies aimed to
control populations and religious institutions in the multi-religious
empire and were not an expression of religious freedom.
Catherine did not advocate democratic reforms but addressed
some modernization trends, including dividing the country into
provinces and districts, further increasing the power of the
landed oligarchs, and issuing the Charter of the Towns, which
distributed all people into six groups as a way to limit the power
of nobles and create a middle estate.
Catherine had a reputation as a patron of the arts, literature, and
education. She cultivated and corresponded with French
encyclopedists but did not support a free-thinking spirit among
her own subjects as much as among famous French
philosophers.
Key Terms

absolutism, a form of absolute monarchy or despotism inspired
the participles of rationality. Some of them fostered education
whereby a despot was entrusted with the power to govern
through a social contract in lieu of any other governments.
Pugachev's Rebellion
A 1773-75 revolt in a series of popular rebellions that took place

in Russia after Catherine II seized power in 1762. It began as an
organized insurrection of Cossacks against a background of
profound peasant unrest and war with the Ottoman Empire. It
was the largest peasant revolt in Russia's history.
Hermitage Museum
A museum of art and culture in Saint Petersburg, Russia. One of

the largest and oldest museums in the world, it was founded in
1764 by Catherine the Great and has been open to the public
since 1852. Its collections, of which only a small part is on
permanent display, comprise over three million items.
Cossacks
A group of predominantly East Slavic-speaking people who

became known as members of democratic, self-governing,
semi-military communities, predominantly located in
Ukraine and in Russia. They inhabited sparsely populated areas
and islands in the lower Dnieper, Don, Terek, and Ural river
basins and played an important role in the historical and cultural
development of both Russia and Ukraine.
the Smolny Institute
Russia's first educational establishment for women, established

under Catherine the Great's rule, that continued to function
under the personal patronage of the Russian Empress until just
before the 1917 revolution.
Catherine II: Enlightened

Despot
The period of Catherine's rule (1762-1796), the Catherinian Era, is
often considered the Golden Age of the Russian Empire and the
Russian nobility. She enthusiastically supported the ideals of the
Enlightenment, thus earning the status of an enlightened despot. As
such, she believed that strengthening her authority had to occur by
improving the lives of her subjects. This philosophy of enlightened
despotism implied that the sovereign knew the interests of his or her
subjects better than they themselves did. The monarch taking
responsibility for the subjects precluded their political participation.
Portrait of Empress Catherine the

Great by Russian painter Fyodor
Rokotov, 17 63.
Catherine reformed the administration of Russian guberniyas and
many new cities and towns were founded on her orders. An admirer
of Peter the Great, she continued to modernize Russia along
Western European lines although her reforms did not benefit the
masses and military conscription and economy continued to depend
on serfdom.
Serfdom
An admirer of Peter the Great, Catherine continued to modernize
Russia along Western European lines. However, military conscription
and economy continued to depend on serfdom, and the increasing
demands of the state and private landowners led to increased levels
of reliance on serfs. Catherine confirmed the authority of the nobles
over the serfs in return for the nobles' political cooperation. This was
one of the chief reasons behind ongoing rebellions. The unrest
intensified as the 18th century wore on, with more than fifty peasant
revolts occurring between 1762 and 1769. These culminated in
Pugachev's Rebellion, when,between 1773 and 1775, Yemelyan
Pugachev rallied the peasants and Cossacks and promised the serfs
land of their own and freedom from their lords.
In the 18th century, the peasantry in Russia were no longer bound to

the land, but tied to their owners, which made Russian serfdom more
similar to slavery than any other system of forced labor that existed
at the time in Europe. A landowner could punish his serfs at his
discretion and under Catherine the Great gained the ability to
sentence his serfs to hard labor in Siberia, a punishment normally
reserved for convicted criminals. The only thing a noble could not do
to his serfs was to kill them. The life of a serf belonged to the state.
Historically, when the serfs faced problems they could not solve
(such as abusive masters), they appealed to the autocrat. They
continued doing so during Catherine’s reign though she signed
legislation prohibiting the practice. While she eliminated some ways
for people to become serfs, culminating in a 1775 manifesto that
prohibited a serf who had once been freed from becoming a serf
again, she also restricted the freedoms of many peasants. During
her reign, Catherine gave away many state-owned peasants to
become private serfs (owned by a landowner).
Pugachev launched the rebellion in mid-September 1773. He had a

substantial force composed of Cossacks, Russian peasants, factory
serfs, and non-Russians. Despite some victories, by late 1774 the
tide was turning, and the Russian army's victory at Tsaritsyn left
9,000 to 10,000 rebels dead. By early September, the rebellion was
crushed. Pugachev was betrayed by his own Cossacks when he
tried to flee and he was beheaded and dismembered in 1775 in
Moscow.
Education
Catherine believed a "new kind of person" could be created by
inculcating Russian children with European education. However,
despite the experts' recommendations to establish a general system
of education for all Russian Orthodox subjects from the age of 5 to
18, excluding serfs, only modest action was taken. The Moscow
Foundling Home (Moscow Orphanage), charged with admitting
destitute and extramarital children, was created to experiment with
new educational theories. However, due to extremely high mortality
rates, it failed to serve that purpose. Shortly after the Moscow
Foundling Home, Catherine established the Smolny Institute for
Noble Girls to educate females. The girls who attended the Smolny
Institute, Smolyanki, were often accused of being ignorant of
anything that went on outside the walls of the Smolny buildings.
Within the walls of the Institute, they were taught impeccable French,
musicianship, dancing, and complete awe of the Monarch.
The Smolny Institute, the first
Russian Institute for Noble
Maidens and the first European state
higher education institution for
women, by S.F. Galaktionov, 18 23.
The building was commissioned from Giacomo Quarenghi by the
Society for Education of Noble Maidens and constructed in 1806–08
to house the Smolny Institute for Noble Maidens, established at the
urging of Ivan Betskoy and in accordance with a decree of Catherine
in 1764. The establishment of the institute was a significant step in
making education available for females in Russia.
Catherine introduced some educational reforms despite the lack of a

national school system. The remodelling of the Cadet Corps in 1766
initiated many educational reforms. The Corps began to take
children from a very young age and educate them until the age of 21,
and the curriculum was broadened from the professional military
curriculum to include the sciences, philosophy, ethics, history, and
international law. In 1786, the Russian Statute of National Education
was promulgated. The statute established a two-tier network of high
schools and primary schools in guberniya capitals that were free of
charge, open to all of the free classes (not serfs), and co-
educational. Two years after the implementation of Catherine’s
program, a member of the National Commission inspected the
institutions established. Throughout Russia, the inspectors
encountered a patchy system. While the nobility put up appreciable
amounts of money for these institutions, they preferred to send their
children to private, more prestigious institutions. Also, the
townspeople tended to turn against the junior schools and their
pedagogical methods. An estimated 62,000 pupils were educated in
some 549 state institutions near the end of Catherine’s reign, a
minuscule number of people compared to the size of the Russian
population.
Religion
Catherine converted to the Russian Orthodoxy as part of her
immersion in the Russian matters but personally remained largely
indifferent to religion. Her religious policies largely aimed to control
populations and religious institutions in the multi-religious empire.
She nationalized all of the church lands to help pay for her wars,
largely emptied the monasteries, and forced most of the remaining
clergymen to survive as farmers or from fees for services. However,
in her anti-Ottoman policy, she promoted the protection and fostering
of Christians under Turkish rule. Although she placed strictures on
Roman Catholics in the Polish parts of her empire, Russia also
provided an asylum to the Jesuits following their suppression in most
of Europe in 1773.
Catherine took many approaches to Islam during her reign but her
pro-Islam policies were all an attempt to control Muslim populations
in the empire. After the Toleration of All Faiths Edict of 1773,
Muslims were permitted to build mosques and practice freely. In
1785, Catherine approved the subsidization of new mosques and
new town settlements for Muslims. By building new settlements with
mosques placed in them, Catherine attempted to ground many of the
nomadic people who wandered through southern Russia. In 1786,
she assimilated the Islamic schools into the Russian public school
system to be regulated by the government. The plan was another
attempt to force nomadic people to settle.
Russia often treated Judaism as a separate entity and Jews were

under a separate legal and bureaucratic system. After the
annexation of Polish territories, the Jewish population in the empire
grew significantly. Catherine levied additional taxes on the followers
of Judaism, but if a family converted to the Orthodox faith that
additional tax was lifted. In 1785, she declared Jewish populations to
be officially foreigners, with foreigners’ rights. Catherine’s decree
also denied them the rights of Orthodox or naturalized citizens of
Russia. Taxes doubled again for those of Jewish descent in 1794
and Catherine officially declared that Jews bore no relation to
Russians.
Administration and Intellectual

Life
Catherine did not advocate democratic reforms but addressed some
of the modernization trends. In 1775, she decreed a Statute for the
Administration of the Provinces of the Russian Empire. The statute
sought to efficiently govern Russia by increasing population and
dividing the country into provinces and districts. In 1785, she
conferred on the nobility the Charter to the Nobility, increasing further
the power of the landed oligarchs. Nobles in each district elected a
Marshal of the Nobility, who spoke on their behalf to the monarch on
issues of concern to them, mainly economic ones. In the same year,
Catherine issued the Charter of the Towns, which distributed all
people into six groups as a way to limit the power of nobles and
create a middle estate.
Catherine had a reputation as a patron of the arts, literature, and

education. The Hermitage Museum, which now occupies the whole
Winter Palace, began as Catherine's personal collection. Within a
few months of her accession in 1762, having heard the French
government threatened to stop the publication of the famous French
Encyclopé die on account of its irreligious spirit, Catherine proposed
to Diderot that he should complete his great work in Russia under
her protection. She wrote comedies, fiction, and memoirs while
cultivating the French encyclopedists, who later cemented her
reputation in their writings. Catherine enlisted V oltaire to her
cause,and corresponded with him for 15 years, from her accession
to his death in 1778. During Catherine's reign, Russians imported
and studied the classical and European influences that inspired the
Russian Enlightenment. She also became a great patron of Russian
opera. However, she did not support a free-thinking spirit among her
own subjects as much as among the famous French philosophers.
When Alexander Radishchev published his J ourney from St.
Petersburg to Moscow in 1790 (one year after the start of the French
Revolution) and warned of uprisings because of the deplorable
social conditions of the peasants held as serfs, Catherine exiled him
to Siberia.
Attributions
The Triumphs of Tsarina Elizabeth I
"Rulers of Russia family tree."
https://en.wikipedia.org/wiki/Rulers_of_Russia_family_tree#
Romanov_dynasty. Wikipedia CC BY-SA 3.0.
"Winter Palace."
https://en.wikipedia.org/wiki/Winter_Palace. Wikipedia CC
BY-SA 3.0.
"Elizabeth of Russia."
https://en.wikipedia.org/wiki/Elizabeth_of_Russia. Wikipedia
CC BY-SA 3.0.
"Seven Years' War."
"Winter_Palace_Panorama_2.jpg."
https://en.wikipedia.org/wiki/Winter_Palace# /media/File:Win
ter_Palace_Panorama_2.jpg. Wikipedia CC BY 4.0.
"Elizabeth_of_Russia_by_V .Eriksen.jpg."
https://en.wikipedia.org/wiki/Elizabeth_of_Russia# /media/Fil
e:Elizabeth_of_Russia_by_V .Eriksen.jpg. Wikipedia CC BY-
SA 3.0.
The Brief Reign of Peter III
"Casus belli." https://en.wikipedia.org/wiki/Casus_belli.
CC BY-SA 3.0.
"Peter III of Russia."
https://en.wikipedia.org/wiki/Peter_III_of_Russia. Wikipedia
CC BY-SA 3.0.
"Seven Years' War."
"Peter_III_by_Antropov_1753_Russian_museum.jpg."
https://en.wikipedia.org/wiki/Peter_III_of_Russia# /media/Fil
e:Peter_III_by_Antropov_(1753,_Russian_museum).jpg.
From German Princess to Russian Tsarina
"Mikhail Lomonosov."
https://en.wikipedia.org/wiki/Mikhail_Lomonosov. Wikipedia
CC BY-SA 3.0.
CC BY-SA 3.0.
"Peter III of Russia."
https://en.wikipedia.org/wiki/Peter_III_of_Russia. Wikipedia
CC BY-SA 3.0.
"Seven Years' War."
"Catherine II of Russia."
https://en.wikiquote.org/wiki/Catherine_II_of_Russia.
Wikiquote CC BY-SA 3.0.
"800px-Ekaterina_II_and_Lomonosov.jpg."
https://en.wikipedia.org/wiki/Mikhail_Lomonosov# /media/Fil
e:Ekaterina_II_and_Lomonosov.jpg. Wikipedia Public
domain.
"Grand_Duchess_Catherine_Alexeevna_by_L.Caravaque_
1745_Gatchina_museum.jpg."
le:Grand_Duchess_Catherine_Alexeevna_by_L.Caravaque
_(1745,_Gatchina_museum).jpg. Wikipedia Public domain.
Catherine's Domestic Policies
"Pugachev's Rebellion."
https://en.wikipedia.org/wiki/Pugachev%27s_Rebellion.
"Smolny Institute."
https://en.wikipedia.org/wiki/Smolny_Institute. Wikipedia CC
BY-SA 3.0.
"Cossacks." https://en.wikipedia.org/wiki/Cossacks.
"Hermitage Museum."
https://en.wikipedia.org/wiki/Hermitage_Museum. Wikipedia
CC BY-SA 3.0.
"Profile_portrait_of_Catherine_II_by_Fedor_Rokotov_1763
_Tretyakov_gallery.jpg."
le:Profile_portrait_of_Catherine_II_by_Fedor_Rokotov_(176
3,_Tretyakov_gallery).jpg. Wikipedia Public domain.
"Galaktionov_Smolny_institute_1823 1.jpg."
le:Galaktionov_Smolny_institute_1823.jpg. Wikipedia Public
domain.
22: The French Revolution
22.1: France under Louis X V
22.1.1: Catherine's Foreign Policy
Goals
During Catherine the Great's reign, Russia significantly extended its
borders by absorbing new territories, most notably from the Ottoman
Empires and the Commonwealth of Poland-Lithuania, as well as
attempted to serve as an international mediator in disputes that
could, or did, lead to war.
Learning Objective
Describe Catherine the Great's foreign policy efforts and to what
extent she achieved her goals
Key Points
During her reign, Catherine extended the borders of the Russian
Empire southward and westward to absorb New Russia,
Crimea, Northern Caucasus, Right-bank Ukraine, Belarus,
Lithuania, and Courland at the expense, mainly, of two powers –
the Ottoman Empire and the Polish–Lithuanian Commonwealth.
Under her rule, some 200,000 square miles (520,000 km2) were
added to Russian territory.
Catherine made Russia the dominant power in south-eastern
Europe after her first Russo-Turkish War against the Ottoman
Empire (1768–74), which saw some of the heaviest defeats in
Ottoman history. In 1786, Catherine conducted a triumphal
procession in the Crimea, which helped provoke the next
Russo–Turkish War. This war, catastrophic for the Ottomans,
legitimized the Russian claim to the Crimea.
Catherine's triumph in Crimea is linked to a concept of Potemkin
villages. In politics and economics, Potemkin villages refer to
any construction (literal or figurative) built solely to deceive
others into thinking that a situation is better than it really is.
Although the idea of partitioning the Commonwealth of Poland-
Lithuania came from Frederick the Great of Prussia, Catherine
took a leading role in carrying it out (in three separate partitions
of 1772, 1793, and 1795). Russia completed the partitioning of
Poland-Lithuania with Prussia and Austria and the
Commonwealth ceased to exist as an independent state.
Catherine longed for recognition as an enlightened sovereign.
She pioneered for Russia the role that Britain later played
through most of the 19th and early 20th centuries as an
international mediator in disputes that could, or did, lead to war.
In 1780, she established a League of Armed Neutrality,
designed to defend neutral shipping from the British Royal Navy
during the American Revolution. After establishing a league of
neutral parties, Catherine the Great attempted to act as a
mediator between the United States and Britain by submitting a
ceasefire plan.
Key Terms
Potemkin villages
In politics and economics, a term referring to any construction

(literal or figurative) built solely to deceive others into thinking
that a situation is better than it really is. The term comes from
stories of a fake portable village, supposedly built only to
impress Empress Catherine II during her journey to Crimea in
1787.
the Confederation of Bar
An association of Polish nobles formed at the fortress of Bar in

Podolia in 1768 to defend the internal and external
independence of the Polish–Lithuanian Commonwealth against
Russian influence and against King Stanisł aw II Augustus with
Polish reformers, who were attempting to limit the power of the
Commonwealth's wealthy magnates. Its creation led to a civil
war and contributed to the First Partition of the Polish–
Lithuanian Commonwealth.
League of Armed Neutrality
An alliance of European naval powers between 1780 and 1783,

which was intended to protect neutral shipping against the Royal
Navy's wartime policy of unlimited search of neutral shipping for
French contraband. Empress Catherine the Great of
Russia began the first League with her declaration of Russian
armed neutrality in 1780, during the War of American
Independence. She endorsed the right of neutral countries to
trade by sea with nationals of belligerent countries without
hindrance, except in weapons and military supplies.
Treaty of Jassy
A 1792 peace treaty signed at Jassy in Moldavia (presently in

Romania) by the Russian and Ottoman Empires that ended the
Russo-Turkish War of 1787–92 and confirmed Russia's
increasing dominance in the Black Sea. The treaty formally
recognized the Russian Empire's annexation of the Crimean
Khanate via the Treaty of Kü ç ü k Kaynarca of 1783 and
transferred Yedisan (the territory between Dniester and Bug
rivers) to Russia making the Dniester the Russo-Turkish frontier
in Europe and leaving the Asiatic frontier (Kuban River)
unchanged.
Treaty of Kü ç ü k Kaynarca
A 1774 peace treaty signed in Kü ç ü k Kaynarca (today

Kaynardzha, Bulgaria) between the Russian Empire and the
Ottoman Empire. Following the recent Ottoman defeat at the
Battle of Kozludzha, the document ended the Russo-Turkish
War of 1768–74 and marked a defeat of the Ottomans in their
struggle against Russia.
the Targowica Confederation
A confederation established by Polish and Lithuanian

magnates in 1792 in Saint Petersburg, with the backing of the
Russian Empress Catherine the Great. The confederation
opposed the progressive Polish Constitution of May 3rd, 1791,
especially the provisions limiting the privileges of the nobility.
Four days later after the proclamation of the confederation, two
Russian armies invaded the Polish-Lithuanian Commonwealth
without a formal declaration of war.
Catherine's Foreign Policy

During her reign, Catherine extended the borders of the Russian
Empire southward and westward to absorb New Russia (a region
north of the Black Sea; presently part of Ukraine), Crimea, Northern
Caucasus, Right-bank Ukraine, Belarus, Lithuania, and Courland at
the expense, mainly, of two powers – the Ottoman Empire and the
Polish–Lithuanian Commonwealth. Under her rule, some 200,000
square miles (520,000 km2) were added to Russian territory.
Catherine's foreign minister, Nikita Panin (in office 1763–81),
exercised considerable influence from the beginning of her reign but
eventually Catherine had him replaced with Ivan Osterman (in office
1781–97).
W ars with the Ottoman Empire

While Peter the Great had succeeded only in gaining a toehold in the
south on the edge of the Black Sea in the Azov campaigns,
Catherine completed the conquest of the south. Catherine made
Russia the dominant power in south-eastern Europe after her first
Russo-Turkish War against the Ottoman Empire (1768–74), which
saw some of the heaviest defeats in Ottoman history, including the
1770 Battles of Chesma and Kagul. The Russian victories allowed
Catherine's government to obtain access to the Black Sea and to
incorporate present-day southern Ukraine, where the Russians
founded several new cities. The Treaty of Kü ç ü k Kaynarca (1774)
gave the Russians territories at Azov, Kerch, Yenikale, Kinburn, and
the small strip of Black Sea coast between the rivers Dnieper and
Bug. The treaty also removed restrictions on Russian naval or
commercial traffic in the Azov Sea, granted to Russia the position of
protector of Orthodox Christians in the Ottoman Empire, and made
the Crimea a protectorate of Russia.
Catherine annexed the Crimea in 1783, nine years after the Crimean
Khanate had gained nominal independence—which had been
guaranteed by Russia—from the Ottoman Empire as a result of her
first war against the Turks. The palace of the Crimean khans passed
into the hands of the Russians. In 1786, Catherine conducted a
triumphal procession in the Crimea, which helped provoke the next
Russo–Turkish War. The Ottomans restarted hostilities in the second
Russo-Turkish War (1787–92). This war, catastrophic for the
Ottomans, ended with the Treaty of Jassy (1792), which legitimized
the Russian claim to the Crimea and granted the Yedisan region to
Russia.
Catherine's triumph in Crimea is linked to a concept of Potemkin

villages. In politics and economics, Potemkin villages refer to any
construction (literal or figurative) built solely to deceive others into
thinking that a situation is better than it really is. The term comes
from stories of a fake portable village, built only to impress Empress
Catherine II during her journey to Crimea in 1787. The purpose of
the trip was to impress Russia's allies. To help accomplish this in a
region devastated by war, Grigory Potemkin (Catherine's lover and
trusted advisor) set up "mobile villages" on the banks of the Dnieper
River. As soon as the barge carrying the Empress and ambassadors
arrived, Potemkin's men, dressed as peasants, would populate the
village. Once the barge left, the village was disassembled, then
rebuilt downstream overnight. Some modern historians, however,
claim accounts of this portable village are exaggerated and the story
is most likely a myth.
Partitions of Poland
In 1764, Catherine placed Stanisł aw Poniatowski, her former lover,
on the Polish throne. Although the idea of partitioning Poland came
from Frederick the Great of Prussia, Catherine took a leading role in
carrying it out (in three separate partitions of 1772, 1793, and 1795).
In 1768, she formally became protector of the Polish–Lithuanian
Commonwealth, which provoked an anti-Russian uprising in Poland,
the Confederation of Bar (1768–72). After the uprising broke down
due to internal politics in the Polish-Lithuanian Commonwealth, she
established a system of government fully controlled by the Russian
Empire through a Permanent Council, under the supervision of her
ambassadors and envoys.
After the French Revolution of 1789, Catherine rejected many

principles of the Enlightenment she had once viewed favorably.
Afraid the progressive May 3rd Constitution of Poland (1791) might
lead to a resurgence in the power of the Polish–Lithuanian
Commonwealth and the growing democratic movements inside the
Commonwealth might become a threat to the European monarchies,
Catherine decided to intervene in Poland. She provided support to a
Polish anti-reform group known as the Targowica Confederation.
After defeating Polish loyalist forces in the Polish–Russian War of
1792 and in the Koś ciuszko Uprising (1794), Russia completed the
partitioning of Poland, dividing all of the remaining Commonwealth
territory with Prussia and Austria (1795).
Partitions of the Polish-Lithuanian
Commonwealth in 17 7 2, 17 93 and
17 95
The Partitions of Poland were a series of three partitions of the
Polish–Lithuanian Commonwealth that took place towards the end of
the 18th century and ended the existence of the state, resulting in
the elimination of the sovereign Crown of the Kingdom of Poland and
Lithuania for 123 years. The partitions were conducted by the
Russian Empire, the Kingdom of Prussia and Habsburg Austria,
which divided up the Commonwealth lands among themselves
progressively in the process of territorial seizures.
Relations with W estern Europe

Catherine agreed to a commercial treaty with Great Britain in 1766,
but stopped short of a full military alliance. Although she could see
the benefits of Britain's friendship, she was wary of Britain's
increased power following its victory in the Seven Years War, which
threatened the European balance of power.
Catherine longed for recognition as an enlightened sovereign. She
pioneered for Russia the role that Britain later played through most
of the 19th and early 20th centuries as an international mediator in
disputes that could, or did, lead to war. She acted as mediator in the
War of the Bavarian Succession (1778–79) between the German
states of Prussia and Austria. In 1780, she established a League of
Armed Neutrality, designed to defend neutral shipping from the
British Royal Navy during the American Revolution. After
establishing a league of neutral parties, Catherine the Great
attempted to act as a mediator between the United States and
Britain by submitting a ceasefire plan.
A 17 91 British caricature of an
attempted mediation between
Catherine ( on the right, supported by
Austria and France) and Turkey, by
J ames Gillray, Library of Congress.
Cartoon shows Catherine II, faint and shying away from William Pitt
(British prime minister). Seated behind Pitt are the King of Prussia
and a figure representing Holland as Sancho Panza. Selim III kneels
to kiss the horse's tail. a gaunt figure representing the old order in
France and Leopold II (Holy Roman Emperor) render assistance to
Catherine by preventing her from falling to the ground.
From 1788 to 1790, Russia fought a war against Sweden, a conflict

instigated by Catherine's cousin, King Gustav III of Sweden, who
expected to simply overtake the Russian armies still engaged in war
against the Ottoman Turks, and hoped to strike Saint Petersburg
directly. But Russia's Baltic Fleet checked the Royal Swedish navy in
a tied battle of Hogland (1788), and the Swedish army failed to
advance. Denmark declared war on Sweden in 1788 (the Theater
War). After the decisive defeat of the Russian fleet at the Battle of
Svensksund in 1790, the parties signed the Treaty of V ä rä lä (1790),
returning all conquered territories to their respective owners.
22.1.2: Louis X V
Although Louis X V 's upbringing turned him into a great patron of arts
and sciences, his reign was marked by diplomatic, military, and
political failures that removed France from the position of one of the
most powerful and admired states in Europe.
Learning Objective
Detail Louis X V 's upbringing and his personality as king
Key Points
Louis X V (1710 – 1774) was a monarch of the House of
Bourbon who ruled as King of France from 1715 until his death.
Until he reached maturity in 1723, his kingdom was ruled by
Philippe d'Orlé ans, Duke of Orlé ans as Regent of France, and
Cardinal Fleury was his chief minister from 1726 until 1743.
Although Louis X IV was not born as the Dauphin, the death of
his great-grandfather Louis X V , his father, and his older brother
made him the heir to the throne of France at the age of five.
The young king received an excellent education that later
resulted in his patronage of arts and sciences. At the age of 15,
he was married to Marie Leszczyń ska, daughter of Stanisł aw I,
the deposed king of Poland. In 1729 his wife gave birth to a
male child, an heir to the throne. The birth of a long-awaited
heir, which ensured the survival of the dynasty for the first time
since 1712, was welcomed with tremendous joy and Louis X V
became extremely popular .
In 1723, the king's majority was declared by the Parlement of
Paris, which ended the regency. Louis X V appointed Louis
Henri, Duke of Bourbon, in charge of state affairs. The Duke
pursued policies that resulted in serious economic and social
problems in France, so the king dismissed him in 1726 and
selected Cardinal Fleury to replace him. From 1726 until his
death in 1743, Cardinal Fleury ruled France with the king's
assent. It was the most peaceful and prosperous period of the
reign of Louis X V , despite some unrest.
Historians agree that in terms of culture and art, France reached
a high point under Louis X V . However, he was blamed for the
many diplomatic, military, and economic reverses. His reign was
marked by ministerial instability and his reputation destroyed by
military losses that largely deprived France of its colonial
possessions.
Louis's X V 's reign sharply contrasts with Louis X IV 's reign.
Historians emphasize Louis X IV 's military and diplomatic
successes. Despite the fact that Louis X IV 's considerable
foreign, military, and domestic expenditure also impoverished
and bankrupted France, in comparison to his great predecessor,
Louis X V is commonly seen as one of the least effective rulers
of the House of Bourbon.
Key Term
Dauphin
The title given to the heir apparent to the throne of France from
1350 to 1791 and 1824 to 1830. The word is French for dolphin,
as a reference to the depiction of the animal on their coat of
arms.
Louis X V (1710 – 1774), known as Louis the Beloved, was a

monarch of the House of Bourbon who ruled as King of France from
1715 until his death. He succeeded his great-grandfather Louis
X IV at the age of five. Until he reached maturity in 1723, his kingdom
was ruled by Philippe d'Orlé ans, Duke of Orlé ans as Regent of
France (his maternal great-uncle and cousin twice
removed patrilineally). Cardinal Fleury was his chief minister from
1726 until the Cardinal's death in 1743, at which time the young king
took sole control of the kingdom.
Early Life
Louis X V was born during the reign of his great-grandfather Louis
X IV . His grandfather and Louis X IV 's son, Louis Le G rand Dauphin
(Dauphin being the title given to the heir apparent to the throne of
France), had three sons with his wife Marie Anne V ictoire of Bavaria:
Louis, Duke of Burgundy; Philippe, Duke of Anjou (who became King
of Spain); and Charles, Duke of Berry. Louis X V was the third son of
the Duke of Burgundy and his wife Marie Adé laï de of Savoy. At birth,
Louis X V received a customary title for younger sons of the French
royal family: Duke of Anjou. In April 1711, Louis Le G rand Dauphin
suddenly died, making Louis X V 's father, the Duke of Burgundy, the
new Dauphin. At that time, Burgundy had two living sons, Louis,
Duke of Brittany, and his youngest son, the future Louis X V .
A year later, Marie Adé laï de contracted smallpox or measles and

died. Her husband, said to be heartbroken by her death, died from
the disease the same week. Within a week of his death, it was clear
that the couple's two children had also been infected. Fearing that
the Dauphin (the older son) would die, the Court had both the
Dauphin and the Duke of Anjou baptized. The Dauphin died the
same day. The Duke of Anjou, and now after his brother's death the
Dauphin, survived the smallpox.
Louis X V as a child in coronation
robes, portrait by Hyacinthe Rigaud,
Metropolitan Museum of Art.
In September 1715, Louis X IV died of gangrene after a 72-year
reign. In August 1714, he made a will stipulating that the nation was
to be governed by a Regency Council made up of fourteen members
until the new king reached the age of majority. Philippe, Duke of
Orlé ans, nephew of Louis X IV , was named president of the council,
but all decisions were to be made by majority vote.
By French royal tradition, princes were put in the care of men when
they reached their seventh birthdays. Louis was taken from his
governess, Madame de V entadour, in 1717 and placed in the care of
Francois de V illeroy, who had been designated as his governor in
Louis X IV 's will. De V illeroy served under the formal authority of the
Duke of Maine, who was charged with overseeing the king's
education. He was aided by André -Hercule de Fleury (later to
become Cardinal Fleury), who served as the king's tutor. Fleury gave
the king an excellent education, including lessons from renowned
professors (e.g., Guillaume Delisle, a cartographer known for his
accurate maps of Europe and the newly explored Americas). Louis
X V had an inquisitive and open-minded nature. An avid reader, he
developed eclectic tastes. Later in life he advocated the creation of
departments in physics (1769) and mechanics (1773) at the Collè ge
de France.
In 1721, 11-year-old Louis X V was betrothed to his first cousin, the

Infanta Maria Anna V ictoria of Spain. The eleven-year-old king was
not interested in the arrival of his future wife, the three-year-old
Spanish Infanta. The king was quite frail as a boy and several
medical emergencies led to concern for his life. Many also assumed
that the Spanish Infanta, eight years younger than the king, was too
young to bear an heir in a timely way. To remedy this situation, the
Duke of Bourbon set about choosing a European princess old
enough to produce an heir. Eventually, 21-year-old Marie (Maria)
Leszczyń ska, daughter of Stanisł aw I, the deposed king of Poland,
was chosen to marry the king. The marriage was celebrated in 1725
when the king was 15, and the couple soon produced many children.
In September 1729, in her third pregnancy, the queen finally gave
birth to a male child, an heir to the throne, the Dauphin Louis (1729–
1765). The birth of a long-awaited heir, which ensured the survival of
the dynasty for the first time since 1712, was welcomed with
tremendous joy and celebration in all spheres of French society and
the young king became extremely popular.
Marie Lesz cz yń ska in 17 30, by Alex is
Simon Belle.
Marie was on a list of 99 eligible European princesses to marry the
young king, but she was far from the first choice on the list. She had
been placed there initially because she was a Catholic princess and
therefore fulfilled the minimum criteria, but was removed because
she was poor when the list was reduced from 99 to 17. However,
when the list of 17 was further reduced to four, the preferred choices
presented numerous problems and Marie emerged as the best
compromise. Queen Marie maintained the role and reputation of a
simple and dignified Catholic queen. She functioned as an example
of Catholic piety and was famed for her generosity to the poor and
needy through her philanthropy, which made her very popular among
the public her entire life as queen.
Towards the Personal Reign

In 1723, the king's majority was declared by the Parlement of Paris,
which ended the regency. Initially, Louis X V left the Duke of Orlé ans
in charge of state affairs. The Duke of Orlé ans was appointed first
minister upon the death of Cardinal Dubois in August 1723, but died
in December of the same year. Following the advice of Fleury, Louis
X V appointed his cousin Louis Henri, Duke of Bourbon, to replace
the late Duke of Orlé ans. The ministry of the Duke of Bourbon
pursued policies that resulted in serious economic and social
problems in France. These included the persecution of Protestants;
monetary manipulations; the creation of new taxes; and high grain
prices. As a result of Bourbon's rising unpopularity, the king
dismissed him in 1726 and selected Cardinal Fleury, his former tutor,
as a replacement.
From 1726 until his death in 1743, Cardinal Fleury ruled France with
the king's assent. It was the most peaceful and prosperous period of
the reign of Louis X V , despite some unrest. After the financial and
social disruptions suffered at the end of the reign of Louis X IV , the
rule of Fleury is seen by historians as a period of recovery. The
king's role in the decisions of the Fleury government is unclear, but
he did support Fleury against the intrigues of the court and the
conspiracies of the courtiers.
Louis X V , The King

Starting in 1743 with the death of Fleury, the king ruled alone without
a first minister. He had read many times the instructions of Louis X IV :
"Listen to the people, seek advice from your Council, but decide
alone." His political correspondence reveals his deep knowledge of
public affairs as well as the soundness of his judgement. Most
government work was conducted in committees of ministers that met
without the king. The king reviewed policy only in the High Council,
which was composed of the king, the Dauphin, the chancellor, the
finance minister, and the foreign minister. Created by Louis X IV , the
council was in charge of state policy regarding religion, diplomacy,
and war. There, he let various political factions oppose each other
and vie for influence and power.
Historians agree that in terms of culture and art, France reached a

high point under Louis X V . However, he was blamed for the many
diplomatic, military, and economic reverses. His reign was marked
by ministerial instability and his reputation destroyed by military
losses that largely deprived France of its colonial possessions.
Historians have also noted that the king left the country in the hands
of his advisors while he engaged in his favorite hobbies, including
hunting and womanizing. This sharply contrasts Louis X V 's reign
from that of his great-grandfather and predecessor Louis X IV .
Historians emphasize Louis X IV 's military and diplomatic successes,
particularly placing a French prince on the Spanish throne, which
ended the threat of an aggressive Spain that historically interfered in
French domestic politics. They also note the effect of Louis's wars in
expanding France's boundaries and creating more defensible
frontiers that preserved France from invasion until the Revolution.
Under Louis X IV , Europe came to admire France for its military and
cultural successes, power, and sophistication. Europeans began to
emulate French manners, values, goods, and deportment. French
became the universal language of the European elite. Despite the
fact that Louis X IV 's considerable foreign, military, and domestic
expenditure also impoverished and bankrupted France, in
comparison to his great predecessor, Louis X V is commonly seen as
one of the least effective rulers of the House of Bourbon.
22.1.3: The Ancien Regime

The Ancien Ré gime was the social and political system fin the
Kingdom of France from the 15th until the end of the 18th centuries.
It was based on the rigid division of the society into three
disproportionate and unequally treated classes.
Learning Objective
Describe the structure of the Ancien Ré gime and the societal rules at
play
Key Points
The Ancien Ré gime (Old Regime or Former Regime) was the
social and political system established in the Kingdom of France
from approximately the 15th century until the latter part of the
18th century under the late V alois and Bourbon dynasties.
The estates of the realm were the broad orders of social
hierarchy used in Christian Europe from the medieval period to
early modern Europe. Different systems for dividing society
members into estates evolved over time. The best-known
system is the three-estate system of the French Ancien Ré gime.
The First Estate comprised the entire clergy, traditionally divided
into "higher" (nobility) and "lower" (non-noble) clergy. In 1789, it
numbered around 130,000 (about 0.5% of the population).
The Second Estate was the French nobility and (technically,
although not in common use) royalty, other than the monarch
himself, who stood outside of the system of estates. It is
traditionally divided into "nobility of the sword" and "nobility of
the robe," the magisterial class that administered royal justice
and civil government. The Second Estate constituted
approximately 1.5% of France's population
The Third Estate comprised all of those who were not members
of the above and can be divided into two groups, urban and
rural, together making up 98% of France's population. The
urban included the bourgeoisie and wage-laborers. The rural
included peasants.
The French estates of the realm system was based on massive
social injustices that were one of the key factors leading up to
the French Revolution.
Key Terms
the gabelle
A very unpopular tax on salt in France that was established

during the mid-14th century and lasted, with brief lapses and
revisions, until 1946. Because all French citizens needed salt
(for use in cooking, for preserving food, for making cheese, and
for raising livestock), the tax propagated extreme regional
disparities in salt prices and stood as one of the most hated and
grossly unequal forms of revenue generation in the country’s
history.
estates of the realm
The broad orders of social hierarchy used in Christendom

(Christian Europe) from the medieval period to early modern
Europe. Different systems for dividing society members into
estates evolved over time. The best-known system is a three-
estate system of the French Ancien Ré gime used until the
French Revolution (1789–1799). This system was made up of
clergy (the First Estate), nobility (the Second Estate), and
commoners (the Third Estate).
the taille
A direct land tax on the French peasantry and non-nobles in

Ancien Ré gime France. The tax was imposed on each
household based on how much land it held.
Ancien Ré gime
The social and political system established in the Kingdom of
France from approximately the 15th century until the latter part
of the 18th century under the late V alois and Bourbon dynasties.
Ancien Ré gime
The Ancien Ré gime (Old Regime or Former Regime) was the social
and political system established in the Kingdom of France from
approximately the 15th century until the latter part of the 18th century
under the late V alois and Bourbon dynasties. The term is
occasionally used to refer to the similar feudal social and political
order of the time elsewhere in Europe. The administrative and social
structures of the Ancien Ré gime were the result of years of state-
building, legislative acts, internal conflicts, and civil wars, but they
remained a patchwork of local privilege and historic differences until
the French Revolution ended the system. Despite the notion of
absolute monarchy and the efforts by the kings to create a
centralized state, Ancien Ré gime France remained a country of
systemic irregularities. Administrative (including taxation), legal,
judicial, and ecclesiastic divisions and prerogatives frequently
overlapped (for example, French bishoprics and dioceses rarely
coincided with administrative divisions).
Estates of the Realm

The estates of the realm were the broad orders of social hierarchy
used in Christendom (Christian Europe) from the medieval period to
early modern Europe. Different systems for dividing society
members into estates evolved over time. The best-known system is
the three-estate system of the French Ancien Ré gime used until the
French Revolution (1789–1799). This system was made up of clergy
(the First Estate), nobility (the Second Estate), and commoners (the
Third Estate).
The First Estate comprised the entire clergy, traditionally divided into
"higher" and "lower" clergy. Although there was no formal
demarcation between the two categories, the upper clergy were
effectively clerical nobility from the families of the Second Estate. In
the time of Louis X V I, every bishop in France was a nobleman, a
situation that had not existed before the 18th century. At the other
extreme, the "lower clergy" (about equally divided between parish
priests and monks and nuns) constituted about 90 percent of the
First Estate, which in 1789 numbered around 130,000 (about 0.5%
of the population).
The Second Estate was the French nobility and (technically,

although not in common use) royalty, other than the monarch
himself, who stood outside of the system of estates. It is traditionally
divided into "nobility of the sword" and "nobility of the robe," the
magisterial class that administered royal justice and civil
government. The Second Estate constituted approximately 1.5% of
France's population and were exempt from the corvé e royale (forced
labor on the roads) and from most other forms of taxation such as
the gabelle (salt tax) and most important, the taille (the oldest form of
direct taxation). This exemption from paying taxes led to their
reluctance to reform.
The Third Estate comprised all who were not members of the above
and can be divided into two groups, urban and rural, together making
up 98% of France's population. The urban included the bourgeoisie
and wage-laborers. The rural included peasants who owned their
own land (and could be prosperous) and peasants who worked on
nobles' or wealthier peasants' land. The peasants paid
disproportionately high taxes compared to the other Estates and
simultaneously had very limited rights. In addition, the First and
Second Estates relied on the labor of the Third, which made the
latter's unequal status all the more unjust.
The Third Estate men and women shared the hard life of physical
labor and food shortages. Most were born within this group and died
as part of it. It was extremely rare for individuals of this status to
advance to another estate. Those who crossed the class lines did so
as a result of either being recognized for their extraordinary bravery
in a battle or entering religious life. Some commoners were able to
marry into the Second Estate, although that was very rare.
Caricature on the Third Estate
carrying the First and Second Estate
on its back, Bibliothè que Nationale de
France.
France under the Ancien Ré gime (before the French Revolution)
divided society into three estates: the First Estate (clergy); the
Second Estate (nobility); and the Third Estate (commoners). The
king was considered part of no estate.
Social Injustice
The population of France in the decade prior to the French
Revolution was about 26 million, of whom 21 million lived in
agriculture. Few of these owned enough land to support a family and
most were forced to take on extra work as poorly paid laborers on
larger farms. Despite regional differences and French peasants'
generally better economic status than that of their Eastern European
counterparts, hunger was a daily problem and the condition of most
French peasants was poor.
The fundamental issue of poverty was aggravated by social

inequality as all peasants were liable to pay taxes from which the
nobility could claim immunity, and feudal dues payable to a local
lord. Similarly, the tithes (a form of obligatory tax, at the time often
paid in kind), which the peasants were obliged to pay to their local
churches, were a cause of grievance as the majority of parish priests
were poor and the contribution was being paid to an aristocratic and
usually absentee abbot. The clergy numbered about 100,000 and yet
owned 10% of the land. The Catholic Church maintained a rigid
hierarchy as abbots and bishops were all members of the nobility
and canons were all members of wealthy bourgeois families. As an
institution, it was both rich and powerful. It paid no taxes and merely
contributed a grant to the state every five years, the amount of which
was self-determined. The upper echelons of the clergy also had
considerable influence over government policy.
Successive French kings and their ministers tried to suppress the

power of the nobles but did so with very limited success.
22.1.4: The Rise of the Nobility

Despite attempts to weaken the position of the nobility, Louis X V met
with avid resistance and largely failed to reform the system that
privileged the aristocracy.
Learning Objective
Explain how the nobility continued to gain power throughout the
reign of Louis X V .
Key Points
Louis X IV believed in the divine right of kings, which assert that
a monarch is above everyone except God. He continued his
predecessors' work of creating a centralized state governed
from Paris, sought to eliminate remnants of feudalism in France,
and subjugated and weakened the aristocracy.
Louis X IV eventually failed to reform the unjust tax system that
greatly favored the nobility, but instituted reforms in military
administration and compelled many members of the nobility,
especially the noble elite, to inhabit V ersailles. This created an
effective system of control as the king manipulated the nobility
with an elaborate system of pensions and privileges, minimizing
their influence and increasing his own power.
Although Louis X V attempted to continue his predecessor's
efforts to weaken the aristocracy, he failed to establish himself
as an absolute monarch of Louis X IV 's stature. He supported
the policy of fiscal justice, which created a tax on the twentieth
of all revenues that affected the privileged classes as well as
commoners. This breach in the privileged status of the
aristocracy and the clergy was another attempt to impose taxes
on the privileged, but the new tax was received with violent
protest from the upper classes.
Pressed and eventually won over by his entourage at court, the
king gave in and exempted the clergy from the twentieth in
1751. Eventually, the twentieth became a mere increase in the
already existing taille, the most important direct tax of the
monarchy from which privileged classes were exempted.
During the reign of Louis X V , the parlements repeatedly
challenged the crown for control over policy, especially
regarding taxes and religion, which strengthened the position of
the nobility and weakened the authority of the king.
Chancellor René Nicolas de Maupeou sought to reassert royal
power by suppressing the parlements in 1770. A furious battle
resulted and after King Louis X V died, the parlements were
restored.
Key Terms
Ancien Ré gime

lit de justice
A particular formal session of the Parlement of Paris, under the

presidency of the king, for the compulsory registration of the
royal edicts.
parlements
Provincial appellate courts in the France of the Ancien Ré gime,

i.e. before the French Revolution. They were not legislative
bodies but rather the court of final appeal of the judicial system.
They typically wielded much power over a wide range of subject
matter, particularly taxation. Laws and edicts issued by the
Crown were not official in their respective jurisdictions until
assent was given by publishing them. The members were
aristocrats who had bought or inherited their offices and were
independent of the King.
letters patent
A type of legal instrument in the form of a published written

order issued by a monarch, president, or other head of state,
generally granting an office, right, monopoly, title, or status to a
person or corporation.
taille
A direct land tax on the French peasantry and non-nobles

in Ancien Ré gime France. The tax was imposed on each
Background: The Nobility under

Louis X IV
Louis X IV believed in the divine right of kings, which assert that a
monarch is above everyone except God and therefore not
answerable to the will of his people, the aristocracy, or the Church.
Louis continued his predecessors' work of creating a centralized
state governed from Paris, sought to eliminate remnants of feudalism
in France, and subjugated and weakened the aristocracy.
The reign of Louis X IV marked the rise of France of as a military,

diplomatic, and cultural power in Europe. However, the ongoing
wars, the panoply of V ersailles, and the growing civil administration
required a great deal of money, and finance was always the weak
spot in the French monarchy. Tax-collecting methods were costly
and inefficient and the state always received far less than what the
taxpayers paid. But the main weakness arose from an old bargain
between the French crown and nobility: the king reigned with limited
or no opposition from the nobles if only he refrained from taxing
them. Only the commoners paid direct taxes and that meant the
peasants because many bourgeois obtained exemptions. The
system was outrageously unjust in throwing a heavy tax burden on
the poor and helpless.
Later after 1700, the French ministers supported by Madame De

Maintenon (Louis X IV 's second wife) were able to convince the King
to change his fiscal policy. Louis was willing enough to tax the nobles
but unwilling to fall under their control. Only towards the close of his
reign under extreme stress of war was he able, for the first time in
French history, to impose direct taxes on the aristocracy. This was a
step toward equality before the law and toward sound public finance,
but so many concessions and exemptions were won by nobles and
bourgeois that the reform lost much of its value.
Louis X IV also instituted reforms in military administration through

Michel le Tellier and his son Franç ois-Michel le Tellier, Marquis de
Louvois. They helped to curb the independent spirit of the nobility,
imposing order on them at court and in the army. Gone were the
days when generals protracted war at the frontiers while bickering
over precedence and ignoring orders from the capital and the larger
politico-diplomatic picture. The old military aristocracy ("the nobility of
the sword") ceased to have a monopoly over senior military positions
and rank.
Over time, Louis X IV also compelled many members of the nobility,

especially the noble elite, to inhabit V ersailles. Provincial nobles who
refused to join the V ersailles system were locked out of important
positions in the military or state offices. Lacking royal subsides and
thus unable to keep up a noble lifestyle, these rural nobles often
went into debt. This created an effective system of control as the
king manipulated the nobility with an elaborate system of pensions
and privileges, minimizing their influence and increasing his own
power.
French aristocrats, c. 17 7 4, by
Antoine-J ean Duclos.
In the political system of pre-Revolutionary France, the nobility made
up the Second Estate (with the Catholic clergy comprising the First
Estate and the bourgeoisie and peasants in the Third Estate).
Although membership in the noble class was mainly inherited, it was
not a closed order. New individuals were appointed to the nobility by
the monarchy, or could purchase rights and titles or join by marriage.
Sources differ about the actual number of nobles in France, but
proportionally it was among the smallest noble classes in Europe.
Louis X V : Attempts to Reform

Although Louis X V attempted to continue his predecessor's efforts to
weaken the aristocracy, he failed to establish himself as an absolute
monarch of Louis X IV 's stature. Following the advice of his mistress,
Marquise de Pompadour, Louis X V supported the policy of fiscal
justice designed by Machault d'Arnouville. In order to finance the
budget deficit, which amounted to 100 million livres in 1745,
Machault d'Arnouville created a tax on the twentieth of all revenues
that affected the privileged classes as well as commoners. This
breach in the privileged status of the aristocracy and the clergy,
normally exempt from taxes, was another attempt to impose taxes
on the privileged. However, the new tax was received with violent
protest from the privileged classes in the estates of the few
provinces that retained the right to decide taxation (most provinces
had long lost their provincial estates and the right to decide taxation).
The new tax was also opposed by the clergy and by the parlements
(provincial appellate court staffed by aristocrats). Members of these
courts bought their positions from the king, together with the right to
transfer their positions hereditarily through payment of an annual fee.
Membership in such courts and appointment to other public positions
often led to elevation to nobility (the so-called nobles of the robe, as
distinguished from the nobility of ancestral military origin, the nobles
of the sword.) While these two categories of nobles were often at
odds, both sought to retain their privileges.
The Role of Parlements

Pressed and eventually won over by his entourage at court, the king
gave in and exempted the clergy from the twentieth in 1751.
Eventually, the twentieth became a mere increase in the already
existing taille, the most important direct tax of the monarchy from
which privileged classes were exempted. It was another defeat in the
taxation war waged against the privileged classes. As a result of
these attempts at reform, the Parlement of Paris, using the quarrel
between the clergy and the Jansenists as a pretext, addressed
remonstrances to the king in April 1753. In these remonstrances, the
Parlement, made up of privileged aristocrats and ennobled
commoners, proclaimed itself the "natural defender of the
fundamental laws of the kingdom" against the arbitrariness of the
monarchy.
During the reign of Louis X V , the parlements repeatedly challenged

the crown for control over policy, especially regarding taxes and
religion. The parlements had the duty to record all royal edicts and
laws. Some, especially the Parlement of Paris, gradually acquired
the habit of refusing to register legislation with which they disagreed
until the king held a lit de justice or sent letters patent to force them
to act. Furthermore, the parlements could pass certain
regulations, which were laws that applied within their jurisdiction. In
the years immediately before the start of the French Revolution in
1789, their extreme concern to preserve Ancien Ré gime institutions
of noble privilege prevented France from carrying out many simple
reforms, especially in the area of taxation, even when those reforms
had the support of the king. Chancellor René Nicolas de Maupeou
sought to reassert royal power by suppressing the parlements in
1770. A furious battle resulted and after King Louis X V died, the
parlements were restored.
22.1.5 : France's Fiscal W oes

Under Louis X IV , France witnessed successful reforms and growth
as a global power, but financial strain imposed by multiple wars left
the state bankrupt. Under Louis X V , lost wars and limited reforms
reversed the gains of the initial years of economic recovery.
Learning Objective
Examine the excessive spending of Louis X IV and Louis X V and the
consequences of their actions for the French government.
Key Points
Louis X IV began his personal reign with effective fiscal reforms.
He chose Jean-Baptiste Colbert as Controller-General of
Finances in 1665, and Colbert reduced the national debt
through more efficient taxation. However, the gains were
insufficient to support Louis's policies. During his reign, France
fought three major wars and two lesser conflicts. In order to
weaken the power of the nobility, Louis attached nobles to his
court at V ersailles. These strategies to hold centralized power,
although effective, were very costly.
To support the reorganized and enlarged army, the panoply of
V ersailles, and the growing civil administration, the king needed
more money. Only towards the close of his reign under extreme
stress of war was he able to impose direct taxes on the
aristocratic population. However, so many concessions and
exemptions were won by nobles and bourgeois that the reform
lost much of its value.
Louis encouraged industry, fostered trade and commerce, and
sponsored the founding of an overseas empire, but the powerful
position of Louis X IV 's France came at a financial cost that
could not be balanced by his reforms. The considerable foreign,
military, and domestic expenditure impoverished and
bankrupted France.
Cardinal Fleury was Louis X V 's chief minister and his rule was
the most peaceful and prosperous period of the reign of Louis
X V . After the financial and social disruptions suffered at the end
of the reign of Louis X IV , the rule of Fleury is seen by historians
as a period of "recovery." Following Fleury's death, Louis failed
to continue his policies.
Louis X V attempted fiscal reforms that included the taxation of
the nobility but his foreign policy failures weakened France and
further strained its finances. As a result of lost wars, Louis was
forced to cede many territories, including lucrative overseas
colonies.
Lost wars and subsequent financial strains, ineffective reforms,
and religious feuds, combined with X V 's reputation as a man
interested more in women and hunting than in ruling France,
weakened the monarchy that was left in a state of economic
crisis.
Key Terms
parlements

Seven Years' War
one side and France on the other. For the first time, aiming to
curtail Britain and Prussia's ever-growing might, France formed
a grand coalition of its own, which ended with failure as Britain
rose as the world's predominant force, altering the European
balance of power.
Treaty of Aix-la-Chapelle of 1748
A treaty, sometimes called the Treaty of Aachen, that ended the

War of the Austrian Succession following a congress assembled
in 1748 at the Free Imperial City of Aachen and signed by Great
Britain, France, and the Dutch Republic.
taille

Louis X IV : Finance Reform vs.

High Spending
Louis X IV , known as the "Sun King," reigned over France from 1643
until 1715. He began his personal reign with effective fiscal reforms.
In 1661, the treasury verged on bankruptcy. To rectify the situation,
Louis chose Jean-Baptiste Colbert as Controller-General of Finances
in 1665. Colbert reduced the national debt through more efficient
taxation. Although his tax reform proved difficult, excellent results
were achieved and the deficit of 1661 turned into a surplus in 1666.
In 1667, the net receipts had risen to 20 million pounds sterling while
expenditure had fallen to 11 million, leaving a surplus of 9 million
pounds.
However, the gains were insufficient to support Louis's policies.

During his reign, France fought three major wars: the Franco-Dutch
War, the War of the League of Augsburg, and the War of the Spanish
Succession. There were also two lesser conflicts: the War of
Devolution and the War of the Reunions. Warfare defined the foreign
policies of Louis X IV , seen by the king as the ideal way to enhance
his glory. Even in peacetime, he concentrated on preparing for the
next war, including reforms that enlarged and modernized the French
military.
Furthermore, in order to centralize his power, Louis recognized that

he had to weaken the power of the nobility, which he achieved partly
by attaching nobles to his court at V ersailles and thus virtually
controlling their daily lives. Apartments were built to house those
willing to pay court to the king, but the pensions and privileges
necessary to live in a style appropriate to their rank were only
possible by waiting constantly on Louis. This strategy, although
effective, turned out to be very costly, particularly given the king's
extravagant choices and lavish lifestyle.
To support the reorganized and enlarged army, the panoply of

V ersailles, and the growing civil administration, the king needed
more money. Methods of collecting taxes were costly and inefficient.
Direct taxes passed through the hands of many intermediate
officials; indirect taxes were collected by private individuals called tax
farmers who made a substantial profit. The state always received far
less than what the taxpayers actually paid. Yet the main weakness
arose from an old bargain between the French crown and nobility:
the king could rule without much opposition from the nobility if only
he refrained from taxing them. Only the lowest classes paid direct
taxes and that meant mostly peasants since many bourgeois
obtained exemptions. Later after 1700, the French ministers who
were supported by Madame De Maintenon (the king's second wife)
were able to convince the King to change his fiscal policy. Louis was
willing to tax the nobles but unwilling to fall under their control, and
only towards the close of his reign under extreme stress of war was
he able, for the first time in French history, to impose direct taxes on
the aristocratic elements of the population. This was a step toward
equality before the law and sound public finance, but so many
concessions and exemptions were won by nobles and bourgeois that
the reform lost much of its value.
In addition to successful finance reforms, Louis encouraged industry,

fostered trade and commerce, and sponsored the founding of an
overseas empire. His political and military victories as well as
numerous cultural achievements helped raise France to a
preeminent position in Europe. Historians note, however, that the
powerful position of Louis X IV 's France came at a financial cost that
could not be balanced by his reforms. The considerable foreign,
military, and domestic expenditure impoverished and bankrupted
France.
Louis X IV in 1690, by J ean Nocret.
V oltaire's history, The Age of Louis X I V , named Louis's reign as not
only one of the four great ages in which reason and culture
flourished, but the greatest ever. The success, however, came at the
financial cost that bankrupted France.
Louis X V : The Disintegration of

the Empire
Louis X V succeeded his great-grandfather Louis X IV at the age of
five. Until he reached maturity in 1723, his kingdom was ruled by
Philippe d'Orlé ans, Duke of Orlé ans as Regent of France. Cardinal
Fleury was his chief minister from 1726 until the Cardinal's death in
1743, at which time the young king took sole control of the kingdom.
Fleury's rule was he most peaceful and prosperous period of the
reign of Louis X V . After the financial and social disruptions suffered
at the end of the reign of Louis X IV , the rule of Fleury is seen by
historians as a period of "recovery." Fleury stabilized the French
currency and balanced the budget in 1738. Economic expansion was
a major goal of the government. Communications were improved
with the completion of the Saint-Quentin canal in 1738 and the
systematic building of a national road network. By the middle of the
18th century, France had the most modern and extensive road
network in the world. Modern highways, which stretched from Paris
to the most distant borders of France, helped to advance trade. In
foreign relations, Fleury sought peace by trying to maintain alliance
with England and pursuing reconciliation with Spain.
After Fleury's death, Louis failed to continue his policies. Following

the advice of his mistress, Marquise de Pompadour, he supported
the policy of fiscal justice designed by Machault d'Arnouville. In order
to finance the budget deficit, Machault d'Arnouville created a tax on
the twentieth of all revenues that affected the privileged classes as
well as commoners. This breach in the privileged status of the
aristocracy and the clergy, normally exempt from taxes, was another
attempt to impose taxes on the privileged, but the new tax was
received with violent protest from the privileged classes. It was
opposed by the clergy and by the parlements (provincial appellate
court staffed by aristocrats). Pressed and eventually won over by his
entourage at court, the king gave in and exempted the clergy from
the twentieth in 1751. Eventually, the twentieth became a mere
increase in the already existing taille, the most important direct tax of
the monarchy from which privileged classes were exempted. It was
another defeat in the taxation war waged against the privileged
classes.
Louis's greatest failure was perhaps his foreign policy. As a result of

lost wars, Louis was forced to return the Austrian Netherlands
(modern-day Belgium) territory won at the Battle of Fontenoy of 1745
but returned to Austria by the terms of the Treaty of Aix-la-
Chapelle of 1748. He also ceded New France in North America to
Spain and Great Britain at the conclusion of the Seven Years' War in
1763. Although he incorporated the territories of Lorraine and
Corsica into the kingdom of France, the loss of colonies in North
America, the Caribbean, and West Africa as well as the weakening
of influence in India demonstrated that France was no longer a
colonial European power with access to lucrative overseas
opportunities (although France did maintain control over Guadeloupe
and Martinique, sources of profitable sugar).
Most historians argue that Louis X V 's decisions damaged the power
of France, weakened the treasury, discredited the absolute
monarchy, and made it more vulnerable to distrust and destruction.
Lost wars and financial strains that they imposed, ineffective
reforms, and religious feuds, combined with the king's reputation as
a man interested more in women and hunting than in ruling France,
weakened the monarchy that was left in a state of economic crisis.
Louis X V , by Louis Michel van Loo,
( Châ teau de V ersailles) , Library and
Archives Canada.
Under Louis X V , financial strain imposed by wars, particularly by the
disastrous for France Seven Years' War and by the excesses of the
royal court, contributed to fiscal problems and the national unrest
that in the end culminated in the French Revolution of 1789.
22.1.6: Tax es and the Three Estates

The taxation system under the Ancien Ré gime largely excluded the
nobles and the clergy from taxation while the commoners,
particularly the peasantry, paid disproportionately high direct taxes.
Learning Objective
Distinguish between the three Estates and their burdens of taxation.
Key Points
France under the Ancien Ré gime was divided society into three
estates: the First Estate (clergy); the Second Estate (nobility);
and the Third Estate (commoners). One critical difference
between the estates of the realm was the burden of taxation.
The nobles and the clergy were largely excluded from taxation
while the commoners paid disproportionately high direct taxes.
The desire for more efficient tax collection was one of the major
causes for French administrative and royal centralization. The
taille became a major source of royal income. Exempted from
the taille were clergy and nobles (with few exceptions). Different
kinds of provinces had different taxation obligations and some
among the nobility and the clergy paid modest taxes, but the
majority of taxes was always paid by the poorest. Moreover, the
church separately taxed the commoners and the nobles.
As the French state continuously struggled with the budget
deficit, some attempts to reform the skewed system took place
under both Louis X IV and Louis X V . The greatest challenge to
introduce any changes was an old bargain between the French
crown and the nobility: the king could rule without much
opposition from the nobility if only he refrained from taxing
them.
New taxes introduced under Louis X IV were a step toward
equality before the law and sound public finance, but so many
concessions and exemptions were won by nobles and
Although Louis X V also attempted to impose new taxes on the
First and Second Estates, with all the exemptions and
reductions won by the privileged classes the burden of the new
tax once again fell on the poorest citizens.
Historians consider the unjust taxation system, continued under
Louis X V I, to be one of the causes of the French Revolution.
Key Terms
the estates of the realm

estates evolved over time. The best known system is a three-
estate system of the French Ancien Ré gime used until the
French Revolution (1789–1799). This system was made up of
clergy (the First Estate), nobility (the Second Estate), and
commoners (the Third Estate).
parlements

Ancien Ré gime

taille
household and was based on how much land it held.
tithe
A one-tenth part of something, paid as a contribution to a

religious organization or compulsory tax to government. Today,
the fee is voluntary and paid in cash, checks, or stocks, whereas
historically it was required and paid in kind, such as with
agricultural products.
Estates of the Realm and

Tax ation
France under the Ancien Ré gime (before the French Revolution)
divided society into three estates: the First Estate (clergy); the
Second Estate (nobility); and the Third Estate (commoners). The
king was not considered part of any estate. One critical difference
between the estates of the realm was the burden of taxation. The
nobles and the clergy were largely excluded from taxation (with the
exception of a modest quit-rent, an ad valorem tax on land) while the
commoners paid disproportionately high direct taxes. In practice, this
meant mostly the peasants because many bourgeois obtained
exemptions. The system was outrageously unjust in throwing a
heavy tax burden on the poor and powerless.
Tax ation Structure

The desire for more efficient tax collection was one of the major
causes for French administrative and royal centralization. The taille,
a direct land tax on the peasantry and non-nobles, became a major
source of royal income. Exempted from the taille were clergy and
nobles (except for non-noble lands they held in "pays d'é tat;" see
below), officers of the crown, military personnel, magistrates,
university professors and students, and certain cities ("villes
franches") such as Paris. Peasants and nobles alike were required
to pay one-tenth of their income or produce to the church (the tithe).
Although exempted from the taille, the church was required to pay
the crown a tax called the "free gift," which it collected from its office
holders at roughly 1/20 the price of the office.
There were three kinds of provinces: the "pays d'é lection," the "pays
d'é tat," and the "pays d'imposition." In the "pays d'é lection" (the
longest held possessions of the French crown) the assessment and
collection of taxes were originally trusted to elected officials, but later
these positions were bought. The tax was generally "personal,"
which meant it was attached to non-noble individuals. In the "pays
d'é tat" (provinces with provincial estates), tax assessment was
established by local councils and the tax was generally "real," which
meant that it was attached to non-noble lands (nobles possessing
such lands were required to pay taxes on them). "Pays d'imposition"
were recently conquered lands that had their own local historical
institutions, although taxation was overseen by the royal
administrator.
In the decades leading to the French Revolution, peasants paid a

land tax to the state (the taille) and a 5% property tax (the vingtiè me;
see below). All paid a tax on the number of people in the family
(capitation), depending on the status of the taxpayer (from poor to
prince). Further royal and seigneurial obligations might be paid in
several ways: in labor, in kind, or rarely, in coin. Peasants were also
obligated to their landlords for rent in cash, a payment related to their
amount of annual production, and taxes on the use of the nobles'
mills, wine-presses, and bakeries.
Caricature showing the Third Estate
carrying the First and Second Estates
on its back, Bibliothè que Nationale de
France, c. 17 8 8 .
The tax system in pre-revolutionary France largely exempted the
nobles and the clergy from taxes. The tax burden therefore devolved
to the peasants, wage-earners, and the professional and business
classes, also known as the Third Estate. Further, people from less-
privileged walks of life were blocked from acquiring even petty
positions of power in the regime, which caused further resentment.
Attempts at Reform
As the French state continuously struggled with the budget deficit,
attempts to reform the skewed system took place under both Louis
X IV and Louis X V . The greatest challenge to systemic change was
an old bargain between the French crown and the nobility: the king
could rule without much opposition from the nobility if only he
refrained from taxing them. Consequently, attempts to impose taxes
on the privileged -- both the nobility and the clergy -- were a great
source of tension between the monarchy and the First and the
Second Estates.
Already in 1648, when Louis X IV was still a minor and his mother
Queen Anne acted as a regent and Cardinal Mazarin as her chief
minister, the two attempted to tax members of the Parlement de
Paris. The members not only refused to comply, but also ordered all
of Mazarin's earlier financial edicts burned. The later wars of Louis
X IV , although successful politically and militarily, exhausted the
state's budget, which eventually led the King to accept reform
proposals. Only towards the end of Louis's reign did the French
ministers supported by Madame De Maintenon (the King's second
wife) convince the King to change his fiscal policy. Louis was willing
to tax the nobles but unwilling to fall under their control, and only
under extreme stress of war was he able, for the first time in French
history, to impose direct taxes on the aristocracy. Several additional
tax systems were created, including the "capitation" (begun in 1695),
which touched every person including nobles and the clergy
(although exemption could be bought for a large one-time sum) and
the "dixiè me" (1710–17, restarted in 1733), enacted to support the
military, which was a true tax on income and property value. This
was a step toward equality before the law and sound public finance,
but so many concessions and exemptions were won by nobles and
Louis X V continued the tax reform initiated by his predecessor.

Following the advice of his mistress, Marquise de Pompadour, he
supported the policy of fiscal justice designed by Machault
d'Arnouville. In order to finance the budget deficit, in 1749 Machault
d'Arnouville created a tax on the twentieth of all revenues that
affected the privileged classes as well as commoners. Known as the
"vingtiè me" (or "one-twentieth"), it was enacted to reduce the royal
deficit. This tax continued throughout the Ancien Ré gime. It was
based solely on revenues, requiring 5% of net earnings from land,
property, commerce, industry, and official offices. It was meant to
touch all citizens regardless of status. However, the clergy, the
regions with "pays d'é tat," and the parlements protested.
Consequently, the clergy won exemption, the "pays d'é tat" won
reduced rates, and the parlements halted new income statements,
effectively making the "vingtiè me" a far less efficient tax than it was
designed to be. The financial needs of the Seven Years' War led to a
second (1756–1780) and then a third (1760–1763) "vingtiè me" being
created. With all the exemptions and reductions won by the
privileged classes, however, the burden of the new tax once again
fell on the poorest.
Historians consider the unjust taxation system continued under Louis

X V I to be one of the causes of the French Revolution.
22.1.7 : Territorial Losses

Louis X V 's controversial decision following the War of the Austrian
Succession and his loss in the Seven Years' War weakened the
international position of France and lost most of its colonial holdings.
Learning Objective
Describe the land lost under Louis X V
Key Points
Louis X V inherited a country with a reputation of a military,
political, colonial, and cultural power. By the end of his reign,
however, the international opinion of France changed
dramatically, largely because of Louis's controversial foreign
policy.
Louis X V entered the War of the Austrian Succession in 1741 on
the side of Prussia in hopes of pursuing its own anti-Austrian
foreign policy goals. In Germany, the French were forced back
to the Rhine and their Bavarian allies were decisively defeated.
In the Netherlands, France experienced much military success.
By 1748, France occupied the entire Austrian Netherlands
(modern-day Belgium) as well as some parts of the northern
Netherlands, then the wealthiest area of Europe.
Despite his victory, Louis X V , who wanted to appear as an
arbiter and not as a conqueror, agreed to restore all his
conquests back to the defeated enemies with chivalry at the
Treaty of Aix-la-Chapelle in 1748. The attitude was
internationally hailed, but at home the king became unpopular.
In what is known as diplomatic revolution, the king overruled his
ministers and signed the Treaty of V ersailles with Austria in
1756. The new Franco-Austrian alliance would last intermittently
for the next thirty-five years. In 1756, Frederick the Great
invaded Saxony without a declaration of war, initiating the Seven
Years' War, and Britain declared war on France.
The French military successes of the War of the Austrian
Succession were not repeated in the Seven Years' War, except
for a few temporary victories.
The Treaty of Paris forced France to cede Canada, Dominica,
Grenada, Saint V incent and the Grenadines, and Tobago to
Britain. France also ceded the eastern half of French Louisiana
to Britain. In addition, while France regained its trading posts in
India, it recognized British clients as the rulers of key Indian
native states and pledged not to send troops to Bengal.
Key Terms
A 1754–1763 conflict that comprised the North American

theater of the worldwide Seven Years' War of 1756-1763. The
war pitted the colonies of British America against those of New
France, with both sides supported by military units from their
parent countries of Great Britain and France as well as by
American Indian allies.
Treaty of Paris of 1763
A 1763 treaty signed by the kingdoms of Great Britain, France,

and Spain with Portugal in agreement, after Great Britain's
signing of the treaty formally ended the Seven Years' War and
marked the beginning of an era of British dominance outside
Europe. Great Britain and France each returned much of the
territory they had captured during the war, but Great Britain
gained much of France's possession in North America.
Additionally, Great Britain agreed to protect Roman Catholicism
in the New World. The treaty did not involve Prussia and Austria
as they signed a separate agreement, the Treaty of
Hubertusburg.
A war (1740–1748) that involved most of the powers of Europe

over the question of Maria Theresa's succession to the realms
of the House of Habsburg. The war included King George's War
in North America, the War of Jenkins' Ear, the First Carnatic War
in India, the Jacobite rising of 1745 in Scotland, and the First
and Second Silesian Wars. It began under the pretext that Maria
Theresa was ineligible to succeed to the Habsburg thrones of
her father, Charles V I.
Seven Years' War
Treaty of Aix-la-Chape
A 1748 treaty, sometimes called the Treaty of Aachen, that

ended the War of the Austrian Succession following a
congress assembled at the Free Imperial City of Aachen. The
treaty was signed by Great Britain, France, and the Dutch
Republic. Two implementation treaties were signed at Nice in
1748 and 1749 by Austria, Spain, Sardinia, Modena, and
Genoa.

upset the European balance of power.
Background
The reign of Louis X IV left the French state financially troubled but
politically triumphant. Louis's political and military victories as well as
numerous cultural achievements helped raise France to a
preeminent position in Europe. Europe came to admire France for its
military and cultural successes, power, and sophistication.
Europeans generally began to emulate French manners, values, and
goods, and French became the universal language of the European
elite. Louis X IV 's successor and great-grandson, Louis X V , inherited
a country with a reputation of a military, political, colonial, and
cultural power. By the end of his reign, however, the international
opinion of France changed dramatically, largely because of Louis's
controversial foreign policy.
The W ar of the Austrian
Succession
In 1740, the death of Emperor Charles V I and his succession by his
daughter Maria Theresa started the War of the Austrian Succession.
Sensing the vulnerability of Maria Theresa's position, King Frederick
the Great of Prussia invaded the Austrian province of Silesia in
hopes of annexing it permanently. The elderly Cardinal Fleury had
little energy left to oppose the war, which was strongly supported by
the anti-Austrian party at court. Renewing the cycle of conflicts
typical of Louis X IV 's reign, the king entered the war in 1741 on the
side of Prussia in hopes of pursuing its own anti-Austrian foreign
policy goals. The war would last seven years and Fleury did not live
to see its end. After Fleury's death in 1743, the king followed his
predecessor's example of ruling without a first minister. In Germany,
the French were forced back to the Rhine and their Bavarian allies
were decisively defeated. At one point Austria even considered
launching an offensive against Alsace, before being compelled to
retreat due to a Prussian offensive. In north Italy, the war stalled and
did not produce significant results.
These fronts were of lesser importance than the front in the

Netherlands. Here, France experienced much military success
despite the king's loss of his trusted advisor. Against an army
composed of British, Dutch, and Austrian forces, the French were
able to savor a series of major victories at the Battles of Fontenoy
(1745), Rocoux (1746), and Lauffeld (1747). In 1746, French forces
besieged and occupied Brussels, which Louis entered in triumph. By
1748, France occupied the entire Austrian Netherlands (modern-day
Belgium) as well as some parts of the northern Netherlands, then the
wealthiest area of Europe.
Despite his victories, Louis X V , who wanted to appear as an arbiter

and not as a conqueror, agreed to restore all his conquests back to
the defeated enemies with chivalry at the Treaty of Aix-la-Chapelle in
1748, arguing that he was "king of France, not a shopkeeper." He
thought it better to cultivate the existing borders of France rather
than trying to expand them. The attitude was internationally hailed
and he became known as the "arbiter of Europe." At home, however,
this decision, largely misunderstood by his generals and by the
French people, made the king unpopular. The news that the king had
restored the Southern Netherlands to Austria was met with disbelief
and bitterness. Louis's popularity was also threatened by public
exposure of his marital infidelities, which likely could have been kept
concealed had France not entered the War of the Austrian
Succession (when taking personal command of his armies, the king
brought along one of his mistresses). The military successes of the
War of the Austrian Succession inclined the French public to
overlook Louis's adulteries, but after 1748, in the wake of the anger
over the terms of the Treaty of Aix-la-Chapelle, pamphlets against
the king's mistresses became increasingly widely published and
read.
Europe in the years after the Treaty of
Aix -la-Chapelle in 17 48
In the aftermath of the War of Austrian Succession in France, there
was a general resentment at what was seen as a foolish throwing
away of advantages (particularly in the Austrian Netherlands, which
had largely been conquered by the brilliant strategy of Marshal
Saxe), and the phrases Bê te comme la paix ("Stupid as the peace")
and La guerre pour le roi de Prusse ("The war for the king of
Prussia") became popular in Paris.
Seven Y ears' W ar
By 1755, a new European conflict was brewing. The Treaty of Aix-la-
Chapelle turned out to be only a short-lived truce in the conflict
between Austria and Prussia over the province of Silesia, while
France and Britain were in conflict over colonial possessions.
Indeed, the French and British were fighting without a declaration of
war in the French and Indian War of 1754-1763. In 1755, the British
seized 300 French merchant ships in violation of international law. A
few months later, Great Britain and Prussia, enemies in the War of
the Austrian Succession, signed a 1756 treaty of "neutrality."
Frederick the Great had abandoned his French ally during the War of
Austrian Succession by signing a separate peace treaty with Austria
in 1745. At the same time, French officials realized that the
Habsburg Empire of Maria Theresa of Austria was no longer the
formidable challenge it had been when they controlled Spain and
much of the rest of Europe. The new dangerous power looming on
the horizon was Prussia. In what is known as diplomatic revolution,
the king overruled his ministers and signed the Treaty of V ersailles
with Austria in 1756, putting an end to more than 200 years of
conflict with the Habsburgs. The new Franco-Austrian alliance would
last intermittently for the next thirty-five years. In 1756, Frederick the
Great invaded Saxony without a declaration of war, initiating the
Seven Years' War, and Britain declared war on France.
The French military successes of the War of the Austrian Succession

were not repeated in the Seven Years' War, except for a few
temporary victories. A French invasion of Hanover in 1757 resulted
in a counter-attack that saw them driven out of the electorate. Plans
for an invasion of Britain in 1759 were never carried out due to
catastrophic naval defeats. French forces suffered disaster after
disaster against the British in North America, the Caribbean, India,
and Africa.
Map showing the 17 5 0 possessions of
Britain ( pink) , France ( blue) , and
Spain ( green) in North America and
the Caribbean
In the aftermath of the lost Seven Years' War, France lost most of its
colonial holdings in North America and some, although not all, of its
colonies in the Caribbean.
Treaty of Paris
During the war, Great Britain conquered the French colonies of
Canada, Guadeloupe, Saint Lucia, Dominica, Grenada, Saint
V incent and the Grenadines, and Tobago, the French trading posts
in India, the slave-trading station at Goré e, the Sé né gal River and its
settlements, and the Spanish colonies of Manila in the Philippines
and Havana in Cuba. France captured Minorca and British trading
posts in Sumatra while Spain captured the border fortress of Almeida
in Portugal and Colonia del Sacramento in South America.
In the Treaty of Paris of 1763, which ended the Seven Years' War,
most of these territories were restored to their original owners,
although Britain made considerable gains. France and Spain
restored all their conquests to Britain and Portugal. Britain restored
Manila and Havana to Spain, and Guadeloupe, Martinique, Saint
Lucia, Goré e, and the Indian trading posts to France. In return,
France ceded Canada, Dominica, Grenada, Saint V incent and the
Grenadines, and Tobago to Britain. France also ceded the eastern
half of French Louisiana to Britain. In addition, while France regained
its trading posts in India, it recognized British clients as the rulers of
key Indian native states and pledged not to send troops to Bengal.
The Treaty is sometimes noted as the point at which France gave
Louisiana to Spain. The transfer, however, occurred with the Treaty
of Fontainebleau (1762) but was not publicly announced until 1764.
The Treaty of Paris was to give Britain the east side of the
Mississippi. New Orleans on the east side remained in French hands
(albeit temporarily). The Mississippi River corridor in what is modern
day Louisiana was to be reunited following the Louisiana
Purchase in 1803 and the Adams-Onís Treaty in 1819.
Territorial Gains
Although Louis X V failed to expand the French frontier, the large
acquisition of Lorraine through diplomacy in 1766 contributed to his
legacy. Furthermore, after a short period of Corsican sovereignty,
France conquered the island but it was not incorporated into the
French state until 1789.
22.1.8 : The American Revolution

France supported the rebellious colonies (eventually the United
States) during the American Revolution because it perceived the
revolt as the embodiment of Enlightenment ideals and as an
opportunity to curb British ambitions.
Learning Objective
Connect the American Revolution and French politics
Key Points
The origins of the French involvement in the American
Revolution go back to the British victory in the French and
Indian War. France's loss in that war weakened its international
position at the time when Britain was becoming the most
powerful European empire. The outbreak of the American
Revolution was thus seen in France as an opportunity to curb
British ambitions.
From the spring of 1776, France (together with Spain) was
informally involved in the American Revolutionary War by
providing supplies, ammunition, and guns. The 1777 capture of
a British army at Saratoga encouraged the French to formally
enter the war in support of Congress.
Benjamin Franklin negotiated a permanent military alliance in
early 1778 and thus France became the first country to officially
recognize the Declaration of Independence. In 1778, the Treaty
of Amity and Commerce and the Treaty of Alliance were signed
between the United States and France.
France supported the United States in North America but as the
enemy of Britain, it was also involved in the Caribbean and
Indian theaters of the American Revolution.
France's material gains in the aftermath of the American
Revolution were minimal, but its financial losses huge. The
treaty with France was mostly about exchanges of captured
territory (France's only net gains were the islands of Tobago and
Senegal in Africa). Historians link the disastrous post-war
financial state of the French state to the subsequent French
Revolution.
The American Revolution also serves as an example of the
transatlantic flow of ideas. At its ideological roots were the ideals
of the Enlightenment, many of which emerged in France and
were developed by French philosophers. Conversely, the
American Revolution became the first in a series of upheavals in
the Atlantic that embodied the ideals of the Enlightenment and
thus inspired others to follow the revolutionary spirit, including
the French during their 1789 Revolution.
Key Terms
Enlightenment
An intellectual movement which dominated the world of ideas in

Europe in the 18th century. It included a range of ideas centered
on reason as the primary source of authority and legitimacy, and
came to advance ideals such as liberty, progress, tolerance,
fraternity, constitutional government, and separation of church
and state.
A 1754-1763 conflict that comprised the North American

theater of the worldwide Seven Years' War of 1756-1763. The
war pitted the colonies of British America against those of New
France, with both sides supported by military units from their
parent countries of Great Britain and France as well as by
American Indian allies.
A 1763 treaty signed by the kingdoms of Great Britain, France

and Spain with Portugal in agreement, after Great Britain's
signing of the treaty formally ended the Seven Years' War and
marked the beginning of an era of British dominance outside
Europe. Great Britain and France each returned much of the
territory that they had captured during the war, but Great Britain
gained much of France's possession in North America.
Additionally, Great Britain agreed to protect Roman Catholicism
in the New World. The treaty did not involve Prussia and Austria
as they signed a separate agreement, the Treaty of
Hubertusburg.
Second Anglo-Mysore War
A 1780-1784 conflict between the Kingdom of Mysore and the

British East India Company. At the time, Mysore was a key
French ally in India, and the Franco-British war sparked Anglo-
Mysorean hostilities in India. The great majority of soldiers on
the company side were raised, trained, paid, and commanded
by the company, not the British government.
New France
The area colonized by France in North America during a period

beginning with the exploration of the Saint Lawrence River by
Jacques Cartier in 1534 and ending with the cession to
Spain and Great Britain in 1763. At its peak in 1712, the territory
extended from Newfoundland to the Rocky Mountains and from
Hudson Bay to the Gulf of Mexico, including all the Great Lakes
of North America.
France and the American

Revolution: Background
The origins of the French involvement in the American Revolution go
back to the British victory in the French and Indian War (1754–1763;
the American theater in the Seven Years' War). The war pitted the
colonies of British America against those of New France, with both
sides supported by military units from their parent countries as well
as by American Indians. As a result of the war, France ceded most of
the territories of New France, except the islands of Saint Pierre and
Miquelon, to Great Britain and Spain at the Treaty of Paris of 1763.
Britain received Canada, Acadia, and the parts of French Louisiana
which lay east of the Mississippi River – except for New Orleans,
which was granted to Spain, along with the territory to the west – the
larger portion of Louisiana. Consequently, France lost its position as
a major player in North American affairs.
France's loss in the war weakened its international position at the

time when Britain began turning into the most powerful European
empire. The outbreak of the American Revolution was thus seen in
France as an opportunity to curb British ambitions. Furthermore,
both the French general population and the elites supported the
revolutionary spirit that many perceived as the incarnation of the
Enlightenment ideals against the "English tyranny." In political terms,
the Revolution was seen in France as an opportunity to strip Britain
of its North American possessions in retaliation for France's loss a
decade before.
French Involvement
From the spring of 1776, France and Spain were informally involved
in the American Revolutionary War, with French admiral Latouche
Tré ville leading the process of providing supplies, ammunition, and
guns from France. In 1777, the British sent an invasion force from
Canada to seal off New England as part of a grand strategy to end
the war. The British army in New York City went to Philadelphia,
capturing it from Washington. The invasion army under John
Burgoyne waited in vain for reinforcements from New York and
became trapped in northern New York state. It surrendered after the
Battle of Saratoga in October 1777.
S urrender of General B urgoyne at the
Battle of Saratoga, by J ohn Trumbull,
18 22.
A British army was captured at the Battle of Saratoga in late 1777
and in its aftermath, the French openly entered the war as allies of
the United States. Estimates place the percentage of French-
supplied arms to the Americans in the Saratoga campaign at up to
90%.
The capture of a British army at Saratoga encouraged the French to

formally enter the war in support of Congress. Benjamin Franklin
negotiated a permanent military alliance in early 1778 , making
France the first country to officially recognize the Declaration of
Independence. In 1778, the Treaty of Amity and Commerce and the
Treaty of Alliance were signed between the United States and
France. William Pitt, former British prime minister and Britain's
political leader during the Seven Years' War, spoke out in parliament
urging Britain to make peace in America and unite with America
against France, while other British politicians who previously
sympathized with colonial grievances now turned against the
Americans for allying with Britain's international rival and enemy.
Later, Spain (in 1779) and the Dutch (1780) became allies of the
French, leaving the British Empire to fight a global war without major
international support.
The American theater became only one front in Britain's war. The
British were forced to withdraw troops from continental America to
reinforce the valuable sugar-producing Caribbean colonies, which
were considered more important. British commander Sir Henry
Clinton evacuated Philadelphia to reinforce New York City because
of the alliance with France and the deteriorating military situation.
General Washington attempted to intercept the retreating column,
resulting in the Battle of Monmouth Court House, the last major
battle fought in the north. After an inconclusive engagement, the
British successfully retreated to New York City. The northern war
subsequently became a stalemate, as the focus of attention shifted
to the smaller southern theater.
The northern, southern, and naval theaters of the war converged in

1781 at Yorktown, V irginia. The British army under Cornwallis
marched to Yorktown, where they expected to be rescued by a
British fleet. The fleet was there but so was a larger French fleet.
The British returned to New York for reinforcements after the Battle
of the Chesapeake, leaving Cornwallis trapped. In October 1781, the
British surrendered their second invading army of the war under a
siege by the combined French and Continental armies under
Washington.
S urrender of C ornwallis at
Y ork town, by J ohn Trumbull, 17 97 .
In 1781, British forces moved through V irginia and settled at
Yorktown, but their escape was blocked by a French naval victory in
September. A combined Franco-American army launched a siege at
Yorktown and captured more than 8,000 British troops in October.
The defeat at Yorktown finally turned the British Parliament against
the war and in early 1782 they voted to end offensive operations in
North America.
France was also involved in the Caribbean and Indian theaters of the
American Revolutionary War. Although France lost St. Lucia early in
the war, its navy dominated the Caribbean, capturing Dominica,
Grenada, Saint V incent, Montserrat, Tobago, St. Kitts, and Turks and
Caicos between 1778 and 1782. Dutch possessions in the
Caribbean and South America were captured by Britain but later
recaptured by France and restored to the Dutch Republic. When
word reached India in 1778 that France had entered the war, the
British East India Company moved quickly to capture French trading
outposts there. The capture of the French-controlled port of Mahé on
India's west coast motivated Mysore's ruler, Hyder Ali, to start the
Second Anglo-Mysore War in 1780. The French support was weak,
however, and the status q uo ante bellum ("the state existing before
the war") 1784 Treaty of Mangalore ended the war. France's trading
posts in India were returned after the war.
Aftermath of the American

Revolution for France
France's material gains in the aftermath of the American Revolution
were minimal but its financial losses huge. The treaty with France
was mostly about exchanges of captured territory (France's only net
gains were the islands of Tobago and Senegal in Africa), but it also
reinforced earlier treaties, guaranteeing fishing rights off
Newfoundland. France, already in financial trouble, was
economically exhausted by borrowing to pay for the war and using
up all its credit. Its participation in the war created the financial
disasters that marked the 1780s. Historians link those disasters to
the coming of the French Revolution. Ironically, while the peace in
1783 left France on the verge of an economic crisis, the British
economy boomed thanks to the return of American business.
The American Revolution also serves as an example of the

transatlantic flow of ideas. At its ideological roots were the ideals of
the Enlightenment, many of which emerged in France and were
developed by French philosophers. Conversely, the American
Revolution became the first in a series of upheavals in the Atlantic
that embodied the ideals of the Enlightenment and thus inspired
others to follow the revolutionary spirit, including the French during
their 1789 Revolution. The American Revolution was a powerful
example of overthrowing an old regime for many Europeans who
were active during the era of the French Revolution, and the
American Declaration of Independence influenced the French
Declaration of the Rights of Man and the Citizen of 1789.
Attributions
Catherine's Foreign Policy Goals
"Partitions of Poland."
https://en.wikipedia.org/wiki/Partitions_of_Poland.
"Potemkin village."
https://en.wikipedia.org/wiki/Potemkin_village. Wikipedia
CC BY-SA 3.0.
"Bar Confederation."
https://en.wikipedia.org/wiki/Bar_Confederation. Wikipedia
CC BY-SA 3.0.
"Treaty of Kü ç ü k Kaynarca."
https://en.wikipedia.org/wiki/Treaty_of_K%C3%BC%C3%A
7%C3%BCk_Kaynarca. Wikipedia CC BY-SA 3.0.
"Russia and the American Revolution."
https://en.wikipedia.org/wiki/Russia_and_the_American_Re
volution# Russian_Diplomacy_during_the_War. Wikipedia
CC BY-SA 3.0.
"Novorossiya." https://en.wikipedia.org/wiki/Novorossiya.
"Treaty of Jassy."
https://en.wikipedia.org/wiki/Treaty_of_Jassy. Wikipedia CC
BY-SA 3.0.
"Targowica Confederation."
https://en.wikipedia.org/wiki/Targowica_Confederation.
"First League of Armed Neutrality."
https://en.wikipedia.org/wiki/First_League_of_Armed_Neutr
ality. Wikipedia CC BY-SA 3.0.
"Catherine the Great ."
"1280px-Taming-of-the-Shrew-Gillray.jpeg."
le:Taming-of-the-Shrew-Gillray.jpeg. Wikipedia Public
domain.
"Rzeczpospolita_Rozbiory_3.png."
https://en.wikipedia.org/wiki/Partitions_of_Poland# /media/Fi
le:Rzeczpospolita_Rozbiory_3.png. Wikipedia Public
domain.
Louis X V
"Dauphin of France."
https://en.wikipedia.org/wiki/Dauphin_of_France. Wikipedia
CC BY-SA 3.0.
"Louis X V of France."
https://en.wikipedia.org/wiki/Louis_X V _of_France.
"Marie Leszczyń ska."
https://en.wikipedia.org/wiki/Marie_Leszczy%C5%84ska.
"Guillaume Delisle."
https://en.wikipedia.org/wiki/Guillaume_Delisle. Wikipedia
CC BY-SA 3.0.
"MariaLeszczynska02.jpg."
https://en.wikipedia.org/wiki/Marie_Leszczy%C5%84ska# /m
edia/File:MariaLeszczynska02.jpg. Wikipedia Public
domain.
"800px-Hyacinthe_Rigaud_009.jpg."
https://en.wikipedia.org/wiki/Louis_X V _of_France# /media/Fi
le:Hyacinthe_Rigaud_009.jpg. Wikipedia CC BY-SA 3.0.
The Ancien Regime
"Ancien Ré gime."
"Gabelle of salt."
https://en.wikipedia.org/wiki/Gabelle_of_salt. Wikipedia CC
BY-SA 3.0.
"Taille." https://en.wikipedia.org/wiki/Taille. Wikipedia CC
BY-SA 3.0.
"Estates of the realm."
https://en.wikipedia.org/wiki/Estates_of_the_realm.
"Causes of the French Revolution."
https://en.wikipedia.org/wiki/Causes_of_the_French_Revolu
tion. Wikipedia CC BY-SA 3.0.
"800px-Troisordres.jpg."
https://en.wikipedia.org/wiki/Estates_General_(France)# /me
dia/File:Troisordres.jpg. Wikipedia Public domain.
The Rise of the Nobility
"Letters patent." https://en.wikipedia.org/wiki/Letters_patent.
https://en.wikipedia.org/wiki/Estates_of_the_realm# Kingdo
m_of_France. Wikipedia CC BY-SA 3.0.
"French nobility."
https://en.wikipedia.org/wiki/French_nobility. Wikipedia CC
BY-SA 3.0.
"Ancien Ré gime."
BY-SA 3.0.
"Lit de justice." https://en.wikipedia.org/wiki/Lit_de_justice.
"History of France."
https://en.wikipedia.org/wiki/History_of_France. Wikipedia
CC BY-SA 3.0.
"Parlement." https://en.wikipedia.org/wiki/Parlement.
"Le_bal_paré .jpg."
https://en.wikipedia.org/wiki/Nobility# /media/File:Le_bal_par
%C3%A9.jpg. Wikipedia Public domain.
France's Fiscal Woes
BY-SA 3.0.
"Seven Years' War."
"Louis_X V _France_by_Louis-Michel_van_Loo_002.jpg."
https://en.wikipedia.org/wiki/Louis_X V _of_France# /media/Fi
le:Louis_X V _France_by_Louis-Michel_van_Loo_002.jpg.
"Louis14-F.jpg."
ile:Louis14-F.jpg. Wikipedia Public domain.
Taxes and the Three Estates
"Economic history of France."
https://en.wikipedia.org/wiki/Economic_history_of_France.
"Tithe." https://en.wikipedia.org/wiki/Tithe. Wikipedia CC
BY-SA 3.0.
"Ancien Ré gime."
BY-SA 3.0.
"Taxation in France."
https://en.wikipedia.org/wiki/Taxation_in_France. Wikipedia
CC BY-SA 3.0.
"800px-Troisordres.jpg."
https://en.wikipedia.org/wiki/Estates_General_(France)# /me
dia/File:Troisordres.jpg. Wikipedia Public domain.
Territorial Losses
"Corsica." https://en.wikipedia.org/wiki/Corsica. Wikipedia
CC BY-SA 3.0.
"Seven Years' War."
"North_America_1748 1.PNG."
https://en.wikipedia.org/wiki/French_and_Indian_War# /medi
a/File:North_America_1748.PNG. Wikipedia Public domain.
"1024px-Europe_1748-1766_en 1.png."
Chapelle_(1748)# /media/File:Europe_1748-1766_en.png.
The American Revolution
"American Revolution."
https://en.wikipedia.org/wiki/American_Revolution.
"France in the American Revolutionary War."
https://en.wikipedia.org/wiki/France_in_the_American_Revo
lutionary_War. Wikipedia CC BY-SA 3.0.
"Second Anglo-Mysore War."
https://en.wikipedia.org/wiki/Second_Anglo-Mysore_War.
"New Orleans." https://en.wikipedia.org/wiki/New_Orleans.
"American Revolutionary War."
https://en.wikipedia.org/wiki/American_Revolutionary_War.
"1280px-Surrender_of_General_Burgoyne.jpg."
https://en.wikipedia.org/wiki/France_in_the_American_Revo
lutionary_War# /media/File:Surrender_of_General_Burgoyn
e.jpg. Wikipedia Public domain.
"1024px-Surrender_of_Lord_Cornwallis.jpg."
https://en.wikipedia.org/wiki/American_Revolutionary_War# /
media/File:Surrender_of_Lord_Cornwallis.jpg. Wikipedia
Public domain.
22.2: Louis X V I's Early Y ears
22.2.1: Louis X V I
Louis X V I, although highly educated and intellectually gifted, was
seen by his contemporaries and is largely remembered as an
individual of unimaginative and indecisive personality.
Learning Objective
Recall Louis X V I's childhood and describe his character
Key Points
Louis X V I (1754 – 1793), born Louis-Auguste, was King of
France from 1774 until his deposition in 1792, although his
formal title after 1791 was King of the French. During his
childhood, Louis-Auguste was neglected by his parents who
favored his older brother, Louis, duc de Bourgogne. Considered
brighter and more handsome than his little brother, Louis, duc
de Bourgogne died at the age of nine in 1761.
A strong and healthy but very shy Louis-Auguste was an
intellectually curious and gifted student. Upon the death of his
father, he became the new Dauphin. The strict and conservative
education he received from the Duc de La V auguyon, however,
did not prepare him for the throne that he was to inherit in 1774.
In 1770, at age 15, Louis-Auguste married 14-year-old
Habsburg Archduchess Maria Antonia, the youngest daughter of
the Holy Roman Emperor Francis I and his wife Empress Maria
Theresa of the Habsburg dynasty. The French public was hostile
towards the marriage that confirmed the Franco-Austrian
alliance.
Over time the couple became closer, although their marriage
was not consummated until 1777. The created a strain upon
their marriage and the failure to produce children alerted the
French public.
When Louis X V I succeeded to the throne in 1774, he had an
enormous responsibility as the government was deeply in debt
and resentment of "despotic" monarchy was on the rise. While
none doubted Louis's intellectual ability to rule France, it was
quite clear that, although raised as the Dauphin since 1765, he
lacked firmness and decisiveness.
Historians note the king had a rather dull personality. In addition
to the extreme lack of decisiveness demonstrated by his
decisions regarding both domestic and foreign policies, he has
been described as quiet and shy but also conventional and
unimaginative.
Key Terms
parlements

assent was given by publication. The members were aristocrats
who had bought or inherited their offices and were independent
of the King.
Seven Years' War
Dauphin
1350 to 1791 and 1824 to 1830.
Louis X V I: Childhood
Louis X V I (1754 – 1793), born Louis-Auguste, was King of
France from 1774 until his deposition in 1792, although his formal
title after 1791 was King of the French. Out of seven children, he
was the second son of Louis, the Dauphin of France, and thus the
grandson of Louis X V and Maria Leszczyń ska. His mother was
Marie-Josè phe of Saxony, the daughter of Frederick Augustus II of
Saxony, Prince-Elector of Saxony and King of Poland. During his
childhood, Louis-Auguste was neglected by his parents who favored
his older brother, Louis, duc de Bourgogne. Considered brighter and
more handsome than his little brother, the eldest son died at the age
of nine in 1761.
A strong and healthy but very shy Louis-Auguste excelled at Latin,

history, geography, and astronomy, and became fluent in Italian and
English. Upon the death of his father, who died of tuberculosis in
1765, the eleven-year-old Louis-Auguste became the new Dauphin.
His mother never recovered from the loss of her husband and died in
1767, also from tuberculosis. The strict and conservative education
he received from the Duc de La V auguyon, "gouverneur des Enfants
de France" (governor of the Children of France), from 1760 until his
marriage in 1770, did not prepare him for the throne that he was to
inherit in 1774 after the death of his grandfather, Louis X V .
Marriage
In 1770 at age 15, Louis-Auguste married 14-year-old Habsburg
Archduchess Maria Antonia (better known by the French form of her
name, Marie Antoinette), the youngest daughter of the Holy Roman
Emperor Francis I and his wife, Empress Maria Theresa of the
Habsburg dynasty. The French public was hostile towards the
marriage. France's alliance with Austria pulled the country into the
disastrous Seven Years' War, in which it was defeated by the British
both in Europe and in North America. By the time Louis-Auguste and
Marie Antoinette were married, the French people were generally
critical of the Franco-Austrian alliance and Marie-Antoinette was
seen as an unwelcome foreigner.
For the young couple, the marriage was initially amiable but distant.
Over time, the couple became closer, although their marriage was
not consummated until 1777. The royal couple thus failed to produce
children for several years after their wedding, which created a strain
upon their marriage. The contemporary French public fervently
debated why the royal couple failed to produce an heir for so long,
and historians have tried to identify the cause of why they failed to
consummate their marriage for years. Eventually, in spite of their
earlier difficulties, the royal couple became the parents of four
children.
Louis X V I at the age of 20, by J oseph
Duplessis, ca. 17 7 5 .
Louis's indecisiveness and conservatism led some to view him as a
symbol of the perceived tyranny of the Ancien Ré gime and his
popularity deteriorated progressively, despite the king's many
decisions triggered by his desire to be loved by the public.
Louis X V I's Personality

When Louis X V I succeeded to the throne in 1774, he was 19 years
old. He had an enormous responsibility as the government was
deeply in debt and resentment of "despotic" monarchy was on the
rise. He felt woefully unqualified to resolve the situation. As king,
Louis focused primarily on religious freedom and foreign policy.
While none doubted Louis's intellectual ability to rule France, it was
quite clear that although raised as the Dauphin since 1765, he
lacked firmness and decisiveness. His desire to be loved by his
people is evident in the prefaces of many of his edicts, which often
explained that his actions were intended to benefit the population.
He aimed to earn the love of his people by reinstating the
parlements. When questioned about his decision, he said, "It may be
considered politically unwise, but it seems to me to be the general
wish and I want to be loved." Louis X V I believed that to be a good
king, he had to, in his own words, "always consult public opinion; it is
never wrong."
Historians note the king had a rather dull personality. In addition to

the extreme lack of decisiveness demonstrated by king's decisions
regarding both domestic and foreign policies, he has been described
as quiet and shy but also conventional and unimaginative. His
interest in locksmithing and carpentry as well as commitment to
deepening his education (he had an impressive library) were seen as
hobbies that he was more passionate about than about ruling
France. Even the long period when the royal couple did not produce
children was interpreted in light of Louis's unimpressive personality.
Contemporary pamphlets mocked the king's perceived infertility and
inability to satisfy his wife, who in turn was accused of extramarital
affairs.
22.2.2: Marriage to Marie-Antoinette

Louis X V I and Marie Antoinette's marriage confirmed and
strengthened the Franco-Austrian alliance, which had many
opponents among French elites and commoners.
Learning Objective
Explain the political reasons for the marriage of Marie-Antoinette and
Louis X V I
Key Points
Maria Antonia (1755 – 1793), commonly known as Marie
Antoinette, was born in V ienna as the youngest daughter of
Empress Maria Theresa, ruler of the Habsburg Empire, and her
husband Francis I, Holy Roman Emperor. Her family
connections made her the primary candidate for the wife of the
Dauphin of France at the time of the Franco-Austrian alliance.
Following the Seven Years' War and the Diplomatic Revolution
of 1756, Maria Theresa and Louis X V 's common desire to
destroy the ambitions of Prussia and Great Britain and help
secure a definitive peace between them led them to seal their
alliance with a marriage: in 1770, Louis X V formally asked the
hand of Maria Antonia for his eldest surviving grandson, future
Louis X V I.
The French public was hostile towards the marriage. France's
alliance with Austria had pulled the country into the disastrous
Seven Years' War, in which it was defeated by the British, both
in Europe and in North America. By the time that Louis and
Marie Antoinette were married, the French were generally
critical of the Austrian alliance, and many saw Marie Antoinette
as an unwelcome foreigner.
At the outset of the reign of Louis X V I, Marie Antoinette had
limited political influence with her husband although she played
an important role in introducing French meditation in the process
of ending the War of Bavarian Succession.
Later, the queen's political impact rose significantly. She played
a key role in supporting the American Revolution and influenced
nominations for critical state positions.
Maria Theresa died in 1780 and Marie Antoinette feared that the
death of her mother would jeopardize the Franco-Austrian
alliance (as well as, ultimately, herself), but her brother, Joseph
II, Holy Roman Emperor, assured her that he had no intention of
breaking the alliance.
Key Terms
Seven Years' War
Diplomatic Revolution of 1756

upset the European balance of power.
War of the Bavarian Succession
A 1778 – 1779 conflict between a Saxon-Prussian alliance and

Austria to prevent the Habsburgs from acquiring the Electorate
of Bavaria. Although the war consisted of only a few minor
skirmishes, thousands of soldiers died from disease and
starvation, earning the conflict the name K artoffelkrieg (Potato
War) in Prussia and Saxony.
Dauphin
1350 to 1791 and 1824 to 1830.
Maria Antonia: Childhood

Maria Antonia (1755 – 1793), commonly known as Marie Antoinette,
was born in V ienna as the youngest daughter of Empress Maria
Theresa, ruler of the Habsburg Empire, and her husband Francis I,
Holy Roman Emperor. Shortly after her birth, she was placed under
the care of the Governess of the Imperial children, Countess von
Brandeis. Despite the private tutoring she received, results of her
schooling were less than satisfactory. At the age of ten, she could
not write correctly in German or in any language commonly used at
court, such as French and Italian. Conversations with her were
stilted although she became a good musician. She played the harp,
the harpsichord, and the flute, had a beautiful singing voice,
and excelled at dancing.
Political Marriage
Following the Seven Years' War and the Diplomatic Revolution of
1756, Empress Maria Theresa decided to end hostilities with her
longtime enemy, King Louis X V of France. Their common desire to
destroy the ambitions of Prussia and Great Britain and help secure a
definitive peace between them led them to seal their alliance with a
marriage: in 1770, Louis X V formally asked the hand of Maria
Antonia for his eldest surviving grandson, future Louis X V I. Maria
Antonia formally renounced all her rights to the Habsburg domains
and was married to the Dauphin of France the same year. Upon her
arrival in France, she adopted the French version of her name: Marie
Antoinette.
The couple's failure to produce children for several years placed a

strain upon their marriage, exacerbated by the publication of
obscene pamphlets mocking their infertility. The reasons behind the
couple's initial failure to have children were debated at that time and
have been since. The marriage was reportedly consummated in
1773 but historians have concluded it did not take place until 1777.
Eventually, in spite of their early difficulties, the royal couple became
the parents of four children.
The French public was hostile towards the marriage. France's

alliance with Austria pulled the country into the disastrous Seven
Years' War, in which it was defeated by the British both in Europe
and in North America. By the time that Louis and Marie Antoinette
were married, the French were generally critical of the Austrian
alliance and many saw Marie Antoinette as an unwelcome foreigner.
Simultaneously, the Dauphine was beautiful, personable, and well-
liked by the common people. Her first official appearance in Paris in
1773 was a resounding success.
In 1770, Madame du Barry, Louis X V 's mistress with considerable

political influence, was instrumental in ousting É tienne Franç ois, duc
de Choiseul, who had helped orchestrate the Franco-Austrian
alliance and Marie Antoinette's marriage, and exiling his sister the
duchesse de Gramont, one of Marie Antoinette's ladies-in-waiting.
Marie Antoinette was persuaded by her husband's aunts to refuse to
even acknowledge du Barry, but some saw this as a political blunder
that jeopardized Austria's interests at the French court. However,
Marie Antoinette's mother and the Austrian ambassador to France
who was sending the Empress secret reports on Marie-Antoinette's
behavior, put Marie Antoinette under pressure and she grudgingly
agreed to speak to Madame du Barry. Two days after the death of
Louis X V in 1774, Louis X V I exiled Madame du Barry, pleasing his
wife and aunts.
Marie Antoinette in a court dress worn
over ex tremely wide panniers, Louise
É lisabeth V igé e Le Brun ( 17 7 8 ) .
The queen spent heavily on fashion, luxuries, and gambling,
although the country was facing a grave financial crisis. For her,
Rose Bertin created dresses, hair styles such as poufs up to three
feet high and the panache (bundle of feathers). She and her court
also adopted the English fashion of dresses made of indienne (a
material banned in France from 1686 until 1759), percale, and
muslin. By the time of the Flour War of 1775, a series of riots against
the high price of flour and bread, her reputation among the general
public was damaged.
Political Influence
Upon the death of Louis X V in 1774, the Dauphin ascended the
throne as King Louis X V I of France and Navarre, and Marie
Antoinette became Queen of France and Navarre. At the outset, the
new queen had limited political influence with her husband. Marie
Antoinette's first child, Marie-Thé rè se Charlotte, was born in 1778,
but in the middle of the queen's pregnancy her brother made claims
on the throne of Bavaria (the War of the Bavarian Succession). Marie
Antoinette pleaded with her husband for the French to intercede on
behalf of Austria. The Peace of Teschen (1779) ended the brief
conflict, with the queen imposing French mediation on the demand of
her mother and Austria's gaining a territory of at least 100,000
inhabitants, a strong retreat from the early French position of hostility
toward Austria with the impression, partially justified, that the queen
sided with Austria against France.
The queen played a very important role in supporting the American

Revolution by securing Austrian and Russian support for France,
which resulted in the establishment of a neutral league that stopped
Great Britain's attack and by weighing in decisively for the
nomination of Philippe Henri, marquis de Sé gur, as Minister of War
and Charles Eugè ne Gabriel de La Croix, marquis de Castries,
Secretary of the Navy in 1780. The two helped George Washington
in defeating the British in the American Revolutionary War, which
ended in 1783.
In 1783, the queen also played a decisive role in the nomination of

Charles Alexandre de Calonne as Controller-General of Finances,
and of the baron de Breteuil as the Minister for the Maison du Roi
(Minister of the Royal Household), making him perhaps the strongest
and most conservative minister of the reign. As a result of these
nominations, Marie Antoinette's influence became paramount in
government, and the new ministers rejected any major change to the
structure of the old regime. More than that, the decree by de Sé gur
requiring four quarterings of nobility as a condition for the
appointment of officers blocked the access of commoners to
important positions in the armed forces.
Empress Maria Theresa died in 1780 and Marie Antoinette feared

the death of her mother would jeopardize the Franco-Austrian
alliance, but her brother, Joseph II, Holy Roman Emperor, assured
her that he had no intention of breaking the alliance. Joseph II visited
his sister in 1781 to reaffirm the Franco-Austrian alliance, but his visit
was tainted with rumors that Marie Antoinette was sending money
from the French treasury to Austria. In the same year, Marie
Antoinette gave birth to her second child, Louis Joseph X avier
Franç ois, Dauphin of France. Despite the general celebration over
the birth of the Dauphin, Marie Antoinette's political influence, such
as it was, did greatly benefit Austria. This together with the queen's
extravagant and expensive lifestyle contributed to her growing
unpopularity.
22.2.3: The New Royals and Their

People
Despite the initial sympathy of the commoners, Marie Antoinette
quickly lost the approval of the French as her lavish lifestyle and pro-
Austrian stance combined with Louis X V I's failed reforms turned both
the elites and the masses hostile towards the royals.
Learning Objective
Characterize the relationship between the royals and the French
people at the beginning of Louis X V I's reign
Key Points
Although nearly all royal marriages in Europe were
traditionally arranged around the political interests of
involved families, the marriage of Louis-Auguste and Maria
Antonia provoked very strong and ambiguous reactions in
France. It aimed to strengthen the union between France and
Austria, but the French public was highly critical of the political
alliance.
Despite the common skepticism towards the Franco-Austrian
alliance, Marie Antoinette's arrival in Paris provoked excitement.
She was beautiful, personable, and well-liked by the common
people. Her first official appearance in Paris in 1773 was a
resounding success. However, the popularity of the queen did
not last long.
The queen's extravagant lifestyle soon discouraged many,
particularly in light of the country's financial crisis and mass
poverty. She spent heavily on fashion, luxuries, and gambling.
By the time of the Flour War of 1775, a series of riots against the
high price of flour and bread, her reputation among the general
public was damaged.
Similarly, the queen's role in French politics contributed to the
loss of initial popularity as Marie Antoinette was consistently
accused of influencing her husband's decisions to
disproportionately benefit Austria.
The wealth and lavish lifestyle that the royal couple provided for
their favorites outraged most aristocratic families, who resented
the influence of the selected few, and also fueled the increasing
popular disapprobation toward Marie Antoinette, mostly in Paris.
The queen's lifestyle continued to fuel her increasingly negative
public image. Her husband's seeming approval of Marie
Antoinette's choices, combined with his failed reforms and
declining mental health, only worsened the already hostile
attitude of both the elites and masses.
Key Terms
Seven Years' War
War of the Bavarian Succession
A 1778 – 1779 conflict between a Saxon-Prussian alliance and

Austria to prevent the Habsburgs from acquiring the Electorate
of Bavaria. Although the war consisted of only a few minor
skirmishes, thousands of soldiers died from disease and
starvation, earning the conflict the name Kartoffelkrieg (Potato
War) in Prussia and Saxony.
Kettle War
A military confrontation between the troops of the Holy Roman

Empire and the Republic of the Seven Netherlands on October
8, 1784. Its name relates to the fact that the only shot fired hit a
soup kettle.
the Flour War
A wave of riots arising from April to May 1775 in France that

followed an increase in grain prices and subsequently bread
prices. The riots started after the police withheld grain from the
royal stores but were also triggered by poor harvests in the
summers of 1773 and 1774.
Dauphin
1350 to 1791 and 1824 to 1830.
The French Public and the
Political Marriage
Although nearly all royal marriages in Europe were
traditionally arranged around the political interests of
involved families, the marriage of fifteen-year-old Louis-Auguste and
fourteen-year-old Maria Antonia (better known by the French form of
her name Marie Antoinette) provoked very strong and ambiguous
reactions in France. As a daughter of the Holy Roman Emperor
Francis I and Empress Maria Theresa, the head of the Habsburg
Empire, Maria Antonia belonged to one of the most powerful royal
families in Europe. Her marriage to the heir to the French throne
aimed to strengthen the ongoing if still rather recent union between
two empires that were at the time seen as the weaker players in the
European balance of power. Louis X V and Maria Theresa's common
desire to destroy the ambitions of Prussia and Great Britain and help
secure a definitive peace between the two old enemies were at the
foundation of the marriage, but many among the French public were
skeptical about the union. The alliance with Austria pulled France
into the disastrous Seven Years' War, in which it was defeated by the
British both in Europe and in North America. By the time Louis-
Auguste and Maria Antonia were married, the French people were
generally critical of the Franco-Austrian alliance.
The Loss of Popularity

Despite the common skepticism towards the Franco-Austrian
alliance, Marie Antoinette's arrival in Paris provoked excitement. She
was beautiful, personable, and well-liked by the common people. Her
first official appearance in Paris in 1773 was a resounding success.
However, the popularity of the queen did not last long. Her
extravagant lifestyle soon discouraged many, particularly in light of
the country's financial crisis and poverty of the masses. She spent
heavily on fashion, luxuries, and gambling, including custom
dresses, hair styles such as poufs up to three feet high, and the
panache (bundle of feathers), all made by Rose Bertin. She and her
court also adopted the English fashion of dresses made of indienne
(a material banned in France from 1686 until 1759), percale, and
muslin. By the time of the Flour War of 1775, a series of riots against
the high price of flour and bread, her reputation among the general
public was damaged.
Similarly, the queen's role in French politics contributed to the loss of

initial popularity as Marie Antoinette was consistently accused of
influencing her husband's decisions to disproportionately benefit
Austria. In 1778, her brother and the Holy Roman Emperor Joseph II
made claims on the throne of Bavaria (the War of the Bavarian
Succession). Marie Antoinette pleaded with her husband for the
French to intercede on behalf of Austria. The Peace of Teschen
(1779) ended the brief conflict, with the queen imposing French
mediation on the demand of her mother, and Austria gaining a
territory of at least 100,000 inhabitants -- a strong retreat from the
early French position of hostility toward Austria with the impression,
partially justified, that the queen sided with Austria against France.
Empress Maria Theresa died in 1780 and Marie Antoinette feared

that the death of her mother would jeopardize the Franco-Austrian
alliance, but her brother assured her that he had no intention of
breaking the alliance. Joseph II visited his sister in 1781 to reaffirm
the Franco-Austrian alliance, but his visit was tainted with rumors
that Marie Antoinette was sending money from the French treasury
to Austria. In the same year, Marie Antoinette gave birth to her
second child, Louis Joseph X avier Franç ois, Dauphin of France.
Despite the general celebration over the birth of the Dauphin, Marie
Antoinette's political influence continued to benefit Austria, which
contributed to her growing unpopularity. During the Kettle War, in
which her brother Joseph attempted to open the Scheldt River for
naval passage, Marie Antoinette succeeded in obtaining a huge
financial compensation to Austria. The queen was also able to get
her brother's support against Great Britain in the American
Revolution and neutralized French hostility to his alliance with
Russia.
Marie A ntoinette dans son salon,
J ean-Baptiste André Gautier-Dagoty,
17 7 4.
France's financial problems were the result of a combination of
factors: expensive wars; a large royal family whose expenditures
were paid for by the state; and the unwillingness of the privileged
classes to help defray the costs of the government out of their own
pockets by relinquishing some of their financial privileges. Yet the
public perception was that Marie Antoinette had ruined the national
finances. She was even given the nickname of "Madame Dé ficit."
While sole fault for the financial crisis did not lie with her, Marie
Antoinette played a decisive role in the failure of radical reforms.
In 1782, after the governess of the royal children, the princesse de
Gué mé né , went bankrupt and resigned, Marie Antoinette appointed
her favorite, the duchesse de Polignac, to the position. The decision
met with disapproval from the court as the duchess was considered
to be of too modest birth to occupy such an exalted position. On the
other hand, both the king and the queen trusted de Polignac
completely and gave her a thirteen-room apartment in V ersailles and
a generous salary. The entire Polignac family benefited greatly from
the royal favor in titles and positions, but its sudden wealth and
lavish lifestyle outraged most aristocratic families (who resented the
Polignacs' dominance at court) and fueled the increasing popular
disapprobation toward Marie Antoinette, mostly in Paris.
The queen's lifestyle continued to fuel her increasingly negative

public image. Her husband's seeming approval of Marie Antoinette's
choices, combined with his failed reforms and declining mental
health, only worsened the already hostile attitude of both the elites
and the masses. The aristocracy was angered by the king's failed
attempts to impose taxes on them while the masses, already in
poverty, continued to carry the unjust burden of taxation. In 1783, the
queen began to create her "hamlet," a rustic retreat built by her
favored architect Richard Mique. Its creation caused another uproar
when the cost became widely known. A year later, Louis X V I bought
the Châ teau de Saint-Cloud from the duc d'Orlé ans in the name of
his wife. The decision was unpopular, particularly with some factions
of the nobility who disliked the queen but also with a growing
percentage of the population who disapproved the idea of the queen
owning a private residence independent of the king. The purchase of
Saint-Cloud damaged the queen's image even further. In the eyes of
public opinion, the lavish spending of the royal family could not be
disconnected from France's disastrous financial condition.
The portrait of Marie Antoinette and
her three surviving children: Marie
Thé rè se, Louis Charles ( on her lap) ,
and Louis J oseph holding up the
drape of an empty bassinet signifying
the recent death of Marie's fourth
child, Louise É lisabeth V igé e-
Lebrun ( 17 8 7 ) .
The queen attempted to fight back her critics with propaganda
portraying her as a caring mother, most notably in the painting by
É lisabeth V igé e Le Brun exhibited at the Royal Acadé mie Salon de
Paris in August 1787.
22.2.4: Efforts at Financial Reform

Facing severe financial crisis, Louis X V I appointed three ministers
who tried progressive reforms but failed under the pressure of
opposition from the privileged classes of the society.
Learning Objective
Compare the efforts made by French finance ministers under Louis
X V I to revitalize the French treasury
Key Points
While the later years of Louis X V 's reign saw serious economic
setbacks, it was not until 1775 that the French economy began
to enter a true crisis. With the government deeply in debt, Louis
X V I was forced to permit radical reforms. He felt unqualified to
resolve the situation and surrounded himself with experienced
finance ministers.
Anne Robert Jacques Turgot was appointed Controller-General
of Finances in 1774. His radical reforms met with fierce
opposition although they were praised by intellectuals. His
attacks on privilege won him the hatred of the nobles and the
parlements; his attempted reforms in the royal household, that
of the court; his free trade legislation, that of the financiers; and
his views on religious tolerance that of the clergy.
Marie Antoinette disliked Turgot for opposing the granting of
favors to her proteges, which played a key role in the end of his
career.
In 1777, Jacques Necker was made director-general of the
finances. His greatest financial measures were the use of loans
to help fund the French debt and increasing interest rather than
taxes. In 1781, he gave the first-ever public record of royal
finances, but the statistics were completely false. In light of the
opposition to reforms, Louis forced Necker to resign. Although
he was recalled twice, he failed to introduce effective reforms.
In 1783, Louis replaced Necker with Charles Alexandre de
Calonne, who increased public spending to buy the country way
out of debt. Knowing the Parlement of Paris would veto a single
land tax payable by all landowners, Calonne persuaded Louis
X V I to call the Assembly of Notables to vote on his referendum.
Calonne's eventual reform package consisted of five major
points: cut government spending; create a revival of free trade
methods; authorize the sale of Church property; equalize salt
and tobacco taxes; and establish a universal land value tax. All
the proposed measures failed because of the powerlessness of
the crown to impose them. Under the pressure of the opposition,
Louis X V I dismissed Calonne in 1787.
Key Terms
Assembly of Notables
A group of high-ranking nobles, ecclesiastics, and state

functionaries convened by the King of France on extraordinary
occasions to consult on matters of state.

estates evolved over time. The best-known system is the French
Ancien Ré gime (Old Regime), a three-estate system used until
the French Revolution (1789–1799). It was made up of clergy
(the First Estate), nobility (the Second Estate), and commoners
(the Third Estate).
Seven Years' War

parlements

Crown were not official in their respective jurisdictions until they
gave assent by publication. The members were aristocrats who
had bought or inherited their offices and were independent of
the King.
Flour War
A wave of riots arising from April to May 1775 in France that

followed an increase in grain prices and subsequently bread
prices. The riots started after the police withheld grain from the
royal stores but were also triggered by poor harvests in the
summers of 1773 and 1774.
Estates-General
A general assembly representing the French estates of the

realm: the clergy (First Estate), the nobles (Second Estate), and
the common people (Third Estate).
Financial Crisis under Louis

X V I
When Louis X V I succeeded to the throne in 1774, he was 19 years
old. At the time, the government was deeply in debt and resentment
of monarchy was on the rise. While the later years of Louis X V 's
reign saw serious economic setbacks and the Seven Years' War
(1756–1763) led to an increase in the royal debt and the loss of
nearly all of France's North American possessions, it was not until
1775 that the French economy began enter a true state of crisis. An
extended reduction in agricultural prices over the previous twelve
years, with dramatic crashes in 1777 and 1786, and climatic events
such as the disastrous winters of 1785-1789, contributed to the
problem. With the government deeply in debt, Louis X V I was forced
to permit radical reforms. He felt unqualified to resolve the situation
and surrounded himself with experienced finance ministers.
Turgot: Radical Reform

Approach
Anne Robert Jacques Turgot was appointed Controller-General of
Finances in 1774. His first act was to submit to the king a statement
of his guiding principles: "No bankruptcy, no increase of taxation, no
borrowing." Turgot's policy, in face of the desperate financial
position, was to enforce the most rigid economy in all departments.
All departmental expenses were to be submitted for the approval of
the controller-general, while Turgot appealed personally to the king
against the lavish giving of places and pensions. He also imposed
certain conditions on leases as they were renewed or annulled,
including those for the manufacture of gunpowder and the
administration of the royal mails.
Turgot's measures succeeded in considerably reducing the deficit

and raised the national credit to such an extent that in 1776, just
before his fall, he was able to negotiate a loan with Dutch bankers at
4% interest. Nonetheless, the deficit was still so large that it
prevented him from substituting for indirect taxation a single tax on
land. He suppressed, however, a number of octrois (a local
tax collected on various articles brought into a district for
consumption) and minor duties, and opposed on grounds of
economy, the participation of France in the American Revolutionary
War, although without success. Turgot also set to work to establish
free trade in grain, but his edict (1774) met with strong opposition
although it won the praise of intellectuals. Turgot was hated by those
who were interested in speculations in grain, but his worst enemy
was the poor harvest of 1774, which led to a rise in the price of
bread in the winter and early spring of 1774–1775. The so-called
Flour War of 1775, a series of riots against the high price of flour and
bread, followed. Turgot showed great firmness in repressing the riots
and the king loyally supported his decisions.
Portrait of Turgot by Antoine
Graincourt, now in V ersailles.
Turgot, originally considered a physiocrat, is today best remembered
as an early advocate for economic liberalism.
All this time Turgot had been preparing his famous Six Edicts, which
were finally presented in 1776. Two of them met with violent
opposition: the edict suppressing forced unpaid labor and the edict
suppressing certain rules by which the craft guilds maintained their
privileges. In the preamble to the former, Turgot boldly announced
the abolition of privilege and the subjection of all three estates to
taxation (although the clergy were afterwards excepted). Soon nearly
everybody was against Turgot. His attacks on privilege won him the
hatred of the nobles and the parlements; his attempted reforms in
the royal household, that of the court; his free trade legislation, that
of the financiers; and his views on tolerance and his agitation for the
suppression of the phrase that was offensive to Protestants in the
king's coronation oath, that of the clergy. The queen disliked him for
opposing the grant of favors to her proteges, which played a key role
in the end of his career. With all his enemies, Turgot's fall was
certain. In 1776, he was ordered to resign.
Necker: Loans and Debt

In 1777, Jacques Necker was made director-general of the finances
since he could not be controller because of his Protestant faith. He
gained popularity by regulating the finances through modest tax and
loan reforms. His greatest financial measures were his use of loans
to help fund the French debt and raisin interest rates rather than
taxes. He also advocated loans to finance French involvement in the
American Revolution. From 1777 to 1781, Necker was essentially in
control of all of France's wealth. In 1781, he published a work
(Compte rendu), in which he summarized governmental income and
expenditures, giving the first-ever public record of royal finances. It
was meant to create a well-informed, interested
populace. However, the statistics presented by Necker were
completely false and misleading. He wanted to show France in a
strong financial position when the reality was actually bleak. France
was suffering financially and Necker was blamed for the high debt
accrued from the American Revolution. While at court, Necker made
many enemies because of his reforming policies. Marie Antoinette
was his most formidable enemy and following his wife's pressure,
Louis would become a factor in Necker's resignation. The king would
not reform taxation to bring in more money to cover debts, nor would
he allow Necker to be a special adviser because this was strongly
opposed by the ministers.
Yet in 1788, the country had been struck by both economic and
financial crises, and Necker was called back to the office to stop the
deficit and save France from financial ruin. He was seen as the
savior of France while the country stood on the brink of ruin, but his
actions could not stop the French Revolution. He put a stop to the
rebellion in the Dauphiné by legalizing its assembly and then set to
work to arrange for the summons of the Estates-General of 1789. He
advocated doubling the representation of the Third Estate to satisfy
the people. But he failed to address the matter of voting – rather than
voting by head count, which is what the people wanted, voting
remained as one vote for each estate. Necker was dismissed on July
11, 1789, three days before the storming of the Bastille. The king
recalled him on July 19 and Necker stayed in office until 1790, but
his efforts to keep the financial situation afloat were ineffective. His
popularity vanished and he resigned with a broken reputation.
J acques Necker by J oseph Duplessi.
Original was ex hibited at the Salon of
17 8 3, now in the Châ teau de Coppet.
When Necker was criticized by his enemies for the Compte rendu,
he made public his "Financial Summary for the King," which
appeared to show that France had fought the war in America, paid
no new taxes, and still had a massive credit of 10 million livres of
revenue.
Callone: Reform Package

In 1783, Louis replaced Necker with Charles Alexandre de Calonne,
who increased public spending to buy the country's way out of debt.
He took office when France was 110 million livres in debt, partly
because of its involvement in the American Revolution, and had no
means of paying it. At first he attempted to obtain credit and support
the government through loans to maintain public confidence in its
solvency. In 1785, he reissued the gold coinage and developed
reductions to a basic price of goods or services. Knowing the
Parlement of Paris would veto a single land tax payable by all
landowners, Calonne persuaded Louis X V I to call the Assembly of
Notables to vote on his referendum. Calonne's eventual reform
package consisted of five major points: cut government spending;
create a revival of free trade methods; authorize the sale of Church
property; equalize salt and tobacco taxes; and establish a universal
land value tax. While Turgot and Necker had attempted
similar reforms, Calonne attributed their failure to the opposition of
the parlements. Therefore, he called the Assembly of Notables in
1787, to which he presented his plan and the deficit in the treasury.
Composed of the old regime's social and political elite, the Assembly
balked at the deficit presented to them and despite Calonne's plan
for reform and his backing from the king, they accused the controller-
general of being responsible for the enormous financial strains. All
the proposed measures failed because of the powerlessness of the
crown to impose them. As a last resort, Calonne proposed to the
king the suppression of internal customs duties and argued in favor
of the taxation of the property of nobles and clergy. Under the
pressure of the opposition, Louis X V I dismissed Calonne in 1787
and exiled him to Lorraine.
Portrait of de Calonne by É lisabeth-
Louise V igé e-Le Brun ( 17 8 4; London,
Royal Collection) .
Louis X V I dismissed Calonne in 1787 and exiled him to Lorraine.
The joy was general in Paris where Calonne, accused of wishing to
raise taxes, was known as Monsieur Dé ficit. Calonne soon
afterwards left for Great Britain, and during his residence there kept
up a polemical correspondence with Necker. After his dismissal,
Calonne stated, "The King, who assured me a hundred times that he
would support me with unshakable firmness, abandoned me, and I
succumbed.”
Attributions
Louis X V I
CC BY-SA 3.0.
"Louis X V I of France."
https://en.wikipedia.org/wiki/Louis_X V I_of_France.
"Seven Years' War."
"800px-Louis16-1775.jpg."
https://en.wikipedia.org/wiki/Louis_X V I_of_France# /media/F
ile:Louis16-1775.jpg. Wikipedia Public domain.
Marriage to Marie-Antoinette
CC BY-SA 3.0.
"War of the Bavarian Succession."
https://en.wikipedia.org/wiki/War_of_the_Bavarian_Success
ion. Wikipedia CC BY-SA 3.0.
"Marie Antoinette."
https://en.wikipedia.org/wiki/Marie_Antoinette. Wikipedia
CC BY-SA 3.0.
"Seven Years' War."
"Marie_Antoinette_Adult.jpg."
https://en.wikipedia.org/wiki/Marie_Antoinette# /media/File:
Marie_Antoinette_Adult.jpg. Wikipedia Public domain.
The New Royals and Their People
CC BY-SA 3.0.
"Kettle War." https://en.wikipedia.org/wiki/Kettle_War.
"Flour War." https://en.wikipedia.org/wiki/Flour_War.
"Marie Antoinette."
CC BY-SA 3.0.
"Seven Years' War."
"800px-Marie_Antoinette_Young7.jpg."
Marie_Antoinette_Young7.jpg. Wikipedia Public domain.
"Marie_Antoinette_and_her_Children_by_É lisabeth_V igé e-
Lebrun.jpg."
Marie_Antoinette_and_her_Children_by_%C3%89lisabeth_
V ig%C3%A9e-Lebrun.jpg. Wikipedia Public domain.
Efforts at Financial Reform
"Economic history of France."
https://en.wikipedia.org/wiki/Economic_history_of_France#
Eighteenth_century. Wikipedia CC BY-SA 3.0.
"Anne Robert Jacques Turgot."
https://en.wikipedia.org/wiki/Anne_Robert_Jacques_Turgot.
"Assembly of Notables."
https://en.wikipedia.org/wiki/Assembly_of_Notables.
"Flour War." https://en.wikipedia.org/wiki/Flour_War.
"Estates-General of 1789."
https://en.wikipedia.org/wiki/Estates-General_of_1789.
"Octroi." https://en.wikipedia.org/wiki/Octroi. Wikipedia CC
BY-SA 3.0.
"Discounts and allowances."
https://en.wikipedia.org/wiki/Discounts_and_allowances.
"Jacques Necker."
https://en.wikipedia.org/wiki/Jacques_Necker. Wikipedia CC
BY-SA 3.0.
"Charles Alexandre de Calonne."
https://en.wikipedia.org/wiki/Charles_Alexandre_de_Calonn
"Seven Years' War."
"Turgot_oval_painting.jpg."
https://en.wikipedia.org/wiki/Anne_Robert_Jacques_Turgot
# /media/File:Turgot_oval_painting.jpg. Wikipedia Public
domain.
"800px-Charles-Alexandre_de_Calonne_-_V igé e-
Lebrun_1784.jpg."
https://en.wikipedia.org/wiki/Charles_Alexandre_de_Calonn
e# /media/File:Charles-Alexandre_de_Calonne_-
_V ig%C3%A9e-Lebrun_1784.jpg. Wikipedia Public domain.
"Necker_Jacques_-_Duplessis.jpg."
https://en.wikipedia.org/wiki/Jacques_Necker# /media/File:N
ecker,_Jacques_-_Duplessis.jpg. Wikipedia Public domain.
22.3: The Beginning of
Revolution
22.3.1: Calling the Estates-General
The Estates-General of 1789 was a general assembly representing
the French estates of the realm summoned by Louis X V I to propose
solutions to France's financial problems. It ended when the Third
Estate formed into a National Assembly, signaling the outbreak of
Learning Objective
Analyze the reasons why Louis X V I called the Estates-General.
Key Points
The Estates-General of 1789 was the first meeting since 1614 of
the French Estates-General, a general assembly representing
the French estates of the realm. Summoned by King Louis
X V I to propose solutions to his government's financial problems,
the Estates-General convened for several weeks in May and
June 1789.
In 1787, pressured by France's desperate financial situation, the
King convened an Assembly of Notables. France's finance
minister, Charles Alexandre de Calonne, hoped that if the
Assembly supported proposed finance
reforms, parlements would be forced to register them. The plan
failed but the Assembly insisted that the proposed reforms
should be presented to the Estates-General.
Louis X V I convoked the Estates-General for May 1789. The
King agreed to retain many of the divisive customs which had
been the norm in 1614 but were intolerable to the Third Estate.
The most controversial and significant decision remained the
nature of voting.
On May 5, 1789, the Estates-General convened. The following
day, the Third Estate discovered that the royal decree granting
double representation also upheld traditional voting by orders.
By trying to avoid the issue of representation and focus solely
on taxes, the King and his ministers gravely misjudged the
situation.
On June 17, with the failure of efforts to reconcile the three
estates, the Third Estate declared themselves redefined as the
National Assembly, an assembly not of the estates but of the
people. They invited the other orders to join them, but made it
clear that they intended to conduct the nation's affairs with or
without them.
The King tried to resist but after failed attempts to sabotage the
Assembly and keep the three estates separate, the Estates-
General ceased to exist, becoming the National Assembly.
Key Terms
Tennis Court Oath
An oath taken on June 20, 1789, by the members of the French

Estates-General for the Third Estate who had begun to call
themselves the National Assembly, vowing "not to separate, and
to reassemble wherever circumstances require, until the
constitution of the kingdom is established." It was a pivotal event
in the early days of the French Revolution.
parlements

assent was given by publication. The members were aristocrats
who had bought or inherited their offices and were independent
of the King.

(the Third Estate).
Estates-General

Assembly of Notables
A group of high-ranking nobles, ecclesiastics, and state

functionaries convened by the King of France on extraordinary
occasions to consult on matters of state.
The Estates-General (or States-General) of 1789 was the first

meeting since 1614 of the general assembly representing the French
estates of the realm: the clergy (First Estate), the nobles (Second
Estate), and the common people (Third Estate). Summoned by King
Louis X V I to propose solutions to his government's financial
problems, the Estates-General sat for several weeks in May and
June 1789.
Assembly of Notables of 17 8 7
An Assembly of Notables was a group of high-ranking nobles,
ecclesiastics, and state functionaries convened by the King of
France on extraordinary occasions to consult on matters of state.
Throughout the history of modern France, such an assembly was
convened only several times, serving a consultative purpose. Unlike
the States-General, whose members were elected by the subjects of
the realm, the assemblymen were selected by the king and were
prominent men, usually of the aristocracy. In 1787, pressured by
France's desperate financial situation, the King convened an
assembly. Repeated attempts to implement tax reform failed due to
lack of the Parlement of Paris support, as parlement judges felt that
any increase in tax would have a direct negative effect on their own
income. In response to this opposition, the finance minister Charles
Alexandre de Calonne suggested that Louis X V I call an Assembly of
Notables. While the Assembly had no legislative power in its own
right, Calonne hoped that if it supported the proposed reforms,
parlement would be forced to register them. Most historians argue
that the plan failed because the assemblymen, whose privileges the
plan aimed to curb, refused to bear the burden of increased taxation,
although some have noted that the nobles were quite open to
changes but rejected the specifics of Calonne's proposal. In addition,
the Assembly insisted that the proposed reforms should actually be
presented to a representative body such as the Estates-General.
Estates-General of 17 8 9
Louis X V I convened the Estates-General in 1788, setting the date of
its opening for May 1, 1789. Because it had been so long since the
Estates-General had been brought together, there was a debate as
to which procedures should be followed. The King agreed to retain
many of the divisive customs which were the norm in 1614 but
intolerable to the Third Estate at a time when the concept of equality
was central to public debate. The most controversial and significant
decision remained that of the nature of voting. If the estates voted by
order, the nobles and the clergy could together outvote the commons
by 2 to 1. If, on the other hand, each delegate was to have one vote,
the majority would prevail.
The number of delegates elected was about 1,200, half of whom

formed the Third Estate. The First and Second Estates had 300
each. But French society had changed since 1614, and these
Estates-General were not like those of 1614. Members of the nobility
were not required to stand for election to the Second Estate and
many were elected to the Third Estate. The total number of nobles in
the three Estates was about 400. Noble representatives of the Third
Estate were among the most passionate revolutionaries, including
Jean Joseph Mounier and the comte de Mirabeau.
On May 5, 1789, the Estates-General convened. The following day,

the Third Estate discovered that the royal decree granting double
representation also upheld the traditional voting by orders. The
apparent intent of the King and his advisers was for everyone to get
directly to the matter of taxes, but by trying to avoid the issue of
representation they had gravely misjudged the situation. The Third
Estate wanted the estates to meet as one body and for each
delegate to have one vote. The other two estates, while having their
own grievances against royal absolutism, believed – correctly, as
history would prove – that they would lose more power to the Third
Estate than they stood to gain from the King. Necker sympathized
with the Third Estate in this matter but lacked astuteness as a
politician. He decided to let the impasse play out to the point of
stalemate before he would enter the fray. As a result, by the time the
King yielded to the demand of the Third Estate, it seemed to to be a
concession wrung from the monarchy rather than a gift that would
have convinced the populace of the King's goodwill.
Painting by Auguste Couder showing
the opening of the Estates-General,
ca. 18 38 .
The suggestion to summon the Estates General came from the
Assembly of Notables installed by the King in February 1787. It had
not met since 1614. The usual business of registering the King's
edicts as law was performed by the Parlement of Paris. In 1787, it
refused to cooperate with Charles Alexandre de Calonne's program
of badly needed financial reform, due to the special interests of its
noble members.
On June 17, with the failure of efforts to reconcile the three estates,
the Communes - or the Commons, as the Third Estate called itself
now - declared themselves redefined as the National Assembly, an
assembly not of the estates but of the people. They invited the other
orders to join them but made it clear that they intended to conduct
the nation's affairs with or without them. The King tried to resist. On
June 20, he ordered to close the hall where the National Assembly
met, but deliberations moved to a nearby tennis court, where they
proceeded to swear the Tennis Court Oath by which they agreed not
to separate until they had settled the constitution of France. Two
days later, removed from the tennis court as well, the Assembly met
in the Church of Saint Louis, where the majority of the
representatives of the clergy joined them. After a failed attempt to
keep the three estates separate, that part of the deputies of the
nobles who still stood apart joined the National Assembly at the
request of the King. The Estates-General ceased to exist, becoming
the National Assembly.
22.3.2: Establishment of the National

Assembly
Following the storming of the Bastille on July 14, the National
Assembly became the effective government and constitution drafter
that ruled until passing the 1791 Constitution, which turned France
into a constitutional monarchy.
Learning Objective
Critique the National Assembly, its establishment, and its goals
Key Points
After the Third Estate discovered that the royal decree granting
double representation upheld the traditional voting by orders, its
representatives refused to accept the imposed rules and
proceeded to meet separately. On June 17, with the failure of
efforts to reconcile the three estates, the Third Estate declared
themselves redefined as the National Assembly, an assembly
not of the estate but of the people.
After Louis X V I's failed attempts to sabotage the Assembly and
to keep the three estates separate, the Estates-General ceased
to exist, becoming the National Assembly. It renamed itself the
National Constituent Assembly on July 9 and began to function
as a governing body and constitution-drafter. Following the
storming of the Bastille on July 14, the National Assembly
became the effective government of France.
The leading forces of the Assembly at this time were the
conservative foes of the revolution ("The Right");
the Monarchiens inclined toward arranging France along lines
similar to the British constitution model; and "the Left," a group
still relatively united in support of revolution and democracy. A
critical figure in the Assembly was Abbé Emmanuel Joseph
Sieyè s, who authored a pamphlet called "What Is the Third
Estate? "
In August 1789, the National Constituent Assembly abolished
feudalism and published the Declaration of the Rights of Man
and of the Citizen, but the financial crisis continued largely
unaddressed and the deficit only increased.
In November, the Assembly suspended the old judicial system
and declared the property of the Church to be "at the disposal of
the nation." In 1790, religious orders were dissolved and the
Civil Constitution of the Clergy, which turned the remaining
clergy into employees of the state, was passed.
In the turmoil of the revolution, the Assembly members gathered
the various constitutional laws they had passed into a single
constitution and submitted it to recently restored Louis X V I, who
accepted it. Under the Constitution of 1791, France would
function as a constitutional monarchy.
Key Terms
What Is the Third Estate?
A political pamphlet written in January 1789, shortly before the

outbreak of the French Revolution, by French thinker and
clergyman Abbé Emmanuel Joseph Sieyè s. The pamphlet was
Sieyè s' response to finance minister Jacques Necker's invitation
for writers to state how they thought the Estates-General should
be organized.
Declaration of the Rights of Man and of the Citizen

A fundamental document of the French Revolution and in the
history of human and civil rights, passed by France's National
Constituent Assembly in August 1789. It was influenced by the
doctrine of natural right, stating that the rights of man are held to
be universal. It became the basis for a nation of free individuals
protected equally by law.
Tennis Court Oath
An oath taken on June 20, 1789, by the members of the French

Estates-General for the Third Estate, who had begun to call
themselves the National Assembly, vowing "not to separate, and
to reassemble wherever circumstances require, until the
constitution of the kingdom is established." It was a pivotal event
in the early days of the French Revolution.

(the Third Estate).
Estates-General

From Estates General to

National Assembly
The Estates-General, convened by Louis X V I to deal with France's
financial crisis, assembled on May 5, 1789. Its members were
elected to represent the estates of the realm: the First Estate (the
clergy), the Second Estate (the nobility), and the Third Estate (the
commoners) but the Third Estate had been granted "double
representation" (twice as many delegates as each of the other
estates). However, the following day, the Third Estate discovered
that the royal decree granting double representation also upheld the
traditional voting by orders. That meant that the nobles and the
clergy could together outvote the commoners by 2 to 1. If, on the
other hand, each delegate was to have one vote, the majority would
prevail. As a result, double representation was meaningless in terms
of power. The Third Estate refused to accept the imposed rules and
proceeded to meet separately, calling themselves the Communes
("Commons").
On June 17, with the failure of efforts to reconcile the three estates,
the Third Estate declared themselves redefined as the National
Assembly, an assembly not of the estates but of the people. They
invited the other orders to join them, but made it clear that they
intended to conduct the nation's affairs with or without them. The
King tried to resist. On June 20, he ordered to close the hall where
the National Assembly met, but the deliberations were moved to a
nearby tennis court, where they proceeded to swear the Tennis
Court Oath by which they agreed not to separate until they had
settled the constitution of France. After Louis X V I's failed attempts to
sabotage the Assembly and keep the three estates separate, the
Estates-General ceased to exist, becoming the National Assembly.
Drawing by J acques-Louis David of
the Tennis Court Oath.
The oath was both a revolutionary act and an assertion that political
authority derived from the people and their representatives rather
than from the monarch himself. Their solidarity forced Louis X V I to
order the clergy and the nobility to join with the Third Estate in the
National Assembly to give the illusion that he controlled the National
Assembly. The Oath signified for the first time that French citizens
formally stood in opposition to Louis X V I, and the National
Assembly's refusal to back down forced the king to make
concessions.
National Constituent Assembly

The Assembly renamed itself the National Constituent Assembly on
July 9 and began to function as a governing body and a constitution-
drafter. Following the storming of the Bastille on July 14, the National
Assembly (sometimes called the Constituent Assembly) became the
effective government of France. The number of delegates increased
significantly during the election period, but many deputies took their
time arriving, some of them reaching Paris as late as 1791. The
majority of the Second Estate had a military background and the
Third Estate was dominated by men of legal professions. This
suggests that while the Third Estate was referred to as the
commoners, its delegates belonged largely to the bourgeoisie and
not the most-oppressed lower classes.
The leading forces of the Assembly were the conservative foes of

the revolution (later known as "The Right"); the Monarchiens
("Monarchists," also called "Democratic Royalists") allied with
Jacques Necker and inclined toward arranging France along lines
similar to the British constitution model; and "the Left" (also called
"National Party"), a group still relatively united in support of
revolution and democracy, representing mainly the interests of the
middle classes but strongly sympathetic to the broader range of the
common people.
A critical figure in the Assembly and eventually for the French

Revolution was Abbé Emmanuel Joseph Sieyè s, who for a time
managed to bridge the differences between those who wanted a
constitutional monarchy and those who wished to move in more
democratic (or even republican) directions. In January 1789, Sieyè s
authored a pamphlet W hat I s the Third Estate? , a response to
finance minister Jacques Necker's invitation for writers to state how
they thought the Estates-General should be organized. In it he
argues that the Third Estate – the common people of France –
constituted a complete nation within itself and had no need for the
"dead weight" of the two other orders, the clergy and aristocracy.
Sieyè s stated that the people wanted genuine representatives in the
Estates-General, equal representation to the other two orders taken
together, and votes taken by heads and not by orders. These ideas
had an immense influence on the course of the French Revolution.
W ork of the Assembly

On August 4, 1789, the National Constituent Assembly abolished
feudalism (action triggered by numerous peasant revolts), sweeping
away both the seigneurial rights of the Second Estate and the tithes
(a 10% tax for the Church) collected by the First Estate. During the
course of a few hours, nobles, clergy, towns, provinces, companies,
and cities lost their special privileges. Originally the peasants were
supposed to pay for the release of seigneurial dues, but the majority
refused to pay and in 1793 the obligation was cancelled.
On August 26, 1789, the Assembly published the Declaration of the

Rights of Man and of the Citizen, which comprised a statement of
principles rather than a constitution with legal effect. Influenced by
the doctrine of natural right, it stated that the rights of man were held
to be universal, becoming the basis for a nation of free individuals
protected equally by law. Simultaneously, the Assembly continued to
draft a new constitution. Amid the Assembly's preoccupation with
constitutional affairs (many competing ideas were debated), the
financial crisis continued largely unaddressed and the deficit only
increased. The Assembly gave Necker complete financial
dictatorship.
The old judicial system, based on the 13 regional parliaments, was

suspended in November 1789 and officially abolished in September
1790.
In an attempt to address the financial crisis, the Assembly declared,

on November 2, 1789, that the property of the Church was "at the
disposal of the nation." Thus the nation had now also taken on the
responsibility of the Church, which included paying the clergy and
caring for the poor, the sick, and the orphaned. In December, the
Assembly began to sell the lands to the highest bidder to raise
revenue. Monastic vows were abolished, and in February 1790 all
religious orders were dissolved. Monks and nuns were encouraged
to return to private life. The Civil Constitution of the Clergy, passed in
July 1790, turned the remaining clergy into employees of the state.
In the turmoil of the revolution, the Assembly members gathered the

various constitutional laws they had passed into a single constitution
and submitted it to recently restored Louis X V I, who accepted it,
writing "I engage to maintain it at home, to defend it from all attacks
from abroad, and to cause its execution by all the means it places at
my disposal." The King addressed the Assembly and received
enthusiastic applause from members and spectators. With this
capstone, the National Constituent Assembly adjourned in a final
session on September 30, 1791. Under the Constitution of 1791,
France would function as a constitutional monarchy.
22.3.3: The Storming of the Bastille

The medieval fortress, armory, and political prison in Paris known as
the Bastille became a symbol of the abuse of the monarchy. Its fall
on July 14, 1789 was the flashpoint of the French Revolution.
Learning Objective
Explain the swell of popular emotion that led to the storming of the
Bastille
Key Points
During the reign of Louis X V I, France faced a major economic
crisis, exacerbated by a regressive system of taxation. On May
5, 1789, the Estates-General convened to deal with this issue,
but were held back by archaic protocols that disadvantaged the
Third Estate (the commoners). On June 17, 1789, the Third
Estate reconstituted themselves as the National Assembly, a
body whose purpose was the creation of a French constitution.
Paris, close to insurrection, showed wide support for the
Assembly. The press published the Assembly's debates while
political discussions spread into the public squares and halls of
the capital. The Palais-Royal and its grounds became the site of
an ongoing meeting. The crowd, on the authority of the meeting
at the Palais-Royal, broke open the prisons of the Abbaye to
release some grenadiers of the French guards, reportedly
imprisoned for refusing to fire on the people.
On July 11, 1789, with troops distributed across the Paris area,
Louis X V I dismissed and banished his finance minister, Jacques
Necker, who had been sympathetic to the Third Estate. News of
Necker's dismissal reached Paris on July 12. Crowds gathered
throughout Paris, including more than ten thousand at the
Palais-Royal.
Among the troops under the royal authority, there were foreign
mercenaries, most notably Swiss and German regiments, that
were seen as less likely to be sympathetic to the popular cause
than ordinary French soldiers. By early July, approximately half
of the 25,000 regular troops in Paris and V ersailles were drawn
from these foreign regiments.
On the morning of July 14, 1789, the city of Paris was in a state
of alarm. At this point, the Bastille was nearly empty, housing
only seven prisoners. Amid the tensions of July 1789, the
building remained as a symbol of royal tyranny.
The crowd gathered outside around mid-morning, calling for the
surrender of the prison, the removal of the cannon, and the
release of the arms and gunpowder. Following failed mediation
efforts, gunfire began, apparently spontaneously, turning the
crowd into a mob. Governor de Launay opened the gates to the
inner courtyard, and the conquerors swept in to liberate the
fortress at 5:30.
Key Terms
National Assembly
A revolutionary assembly formed by the representatives of the

Third Estate (the common people) of the Estates-General that
existed from June 13 to July 9, 1789. After July 9, it was known
as the National Constituent Assembly although popularly the
shorter form persisted.
Estates-General
Storming of the Bastille:

Background
During the reign of Louis X V I, France faced a major economic crisis,
partially initiated by the cost of intervening in the American
Revolution and exacerbated by a regressive system of taxation. On
May 5, 1789, the Estates-General convened to deal with this issue,
but were held back by archaic protocols that disadvantaged the Third
Estate (the commoners). On June 17, 1789, the Third Estate
reconstituted themselves as the National Assembly, a body whose
purpose was the creation of a French constitution. The king initially
opposed this development, but was forced to acknowledge the
authority of the assembly, which subsequently renamed itself the
National Constituent Assembly on July 9.
Paris, close to insurrection, showed wide support for the Assembly.

The press published the Assembly's debates while political
discussions spread into the public squares and halls of the capital.
The Palais-Royal and its grounds became the site of an ongoing
meeting. The crowd, on the authority of the meeting at the Palais-
Royal, broke open the prisons of the Abbaye to release some
grenadiers of the French guards, reportedly imprisoned for refusing
to fire on the people. The Assembly recommended the imprisoned
guardsmen to the clemency of the king, They returned to prison and
received pardon. The rank and file of the regiment now leaned
toward the popular cause.
Social Unrest
On July 11, 1789, with troops distributed across the Paris area, Louis
X V I, acting under the influence of the conservative nobles of his
privy council, dismissed and banished his finance minister, Jacques
Necker, who had been sympathetic to the Third Estate. News of
Necker's dismissal reached Paris on July 12. The Parisians
generally presumed that the dismissal marked the start of a coup by
conservative elements. Liberal Parisians were further enraged by the
fear that royal troops would attempt to shut down the National
Constituent Assembly, which was meeting in V ersailles. Crowds
gathered throughout Paris, including more than ten thousand at the
Palais-Royal. Among the troops under the royal authority were
foreign mercenaries, most notably Swiss and German regiments,
that were seen as less likely to be sympathetic to the popular cause
than ordinary French soldiers. By early July, approximately half of
the 25,000 regular troops in Paris and V ersailles were drawn from
these foreign regiments.
During the public demonstrations that started on July 12, the

multitude displayed busts of Necker and Louis Philippe II, Duke of
Orlé ans (of the House of Bourbon, the ruling dynasty of France, who
actively supported the French Revolution). The crowd clashed with
royal troops and unrest grew. The people of Paris expressed their
hostility against state authorities by attacking customs posts blamed
for causing increased food and wine prices, and started to plunder
any place where food, guns, and supplies could be hoarded. That
night, rumors spread that supplies were being hoarded at Saint-
Lazare, a huge property of the clergy, which functioned as convent,
hospital, school, and even a jail. An angry crowd broke in and
plundered the property, seizing 52 wagons of wheat which were
taken to the public market. That same day, multitudes of people
plundered many other places, including weapon arsenals. The royal
troops did nothing to stop the spreading of social chaos in Paris
during those days.
Storming of the Bastille

On the morning of July 14, 1789, the city of Paris was in a state of
alarm. The partisans of the Third Estate in France, now under the
control of the Bourgeois Militia of Paris (soon to become
Revolutionary France's National Guard), earlier stormed the Hô tel
des Invalides without significant opposition with the intention of
gathering weapons held there. The commandant at the Invalides had
in the previous few days taken the precaution of transferring 250
barrels of gunpowder to the Bastille for safer storage.
At this point, the Bastille was nearly empty, housing only seven
prisoners. The cost of maintaining a garrisoned medieval fortress for
so limited a purpose led to a decision, made shortly before the
disturbances began, to replace it with an open public space. Amid
the tensions of July 1789, the building remained as a symbol of royal
tyranny.
The crowd gathered outside around mid-morning, calling for the

surrender of the prison, the removal of the cannon, and the release
of the arms and gunpowder. Two representatives of the crowd
outside were invited into the fortress and negotiations began.
Another was admitted around noon with definite demands. The
negotiations dragged on while the crowd grew and became
impatient. Around 1:30 p.m., the crowd surged into the undefended
outer courtyard. A small party climbed onto the roof of a building next
to the gate to the inner courtyard and broke the chains on the
drawbridge. Soldiers of the garrison called to the people to withdraw
but in the noise and confusion these shouts were misinterpreted as
encouragement to enter. Gunfire began, apparently spontaneously,
turning the crowd into a mob.
" The Storming of the Bastille" by
J ean-Pierre Houë l, Bibliothè que
Nationale de France.
A 2013 analysis of the Bastille dimensions showed that it did not
tower over the neighborhood as was depicted in the paintings but
was a comparable height.
The firing continued and a substantial force of Royal Army troops

encamped on the Champs de Mars did not intervene. With the
possibility of mutual carnage suddenly apparent, Governor de
Launay ordered a cease-fire at 5 p.m.. A letter offering his terms was
handed out to the besiegers through a gap in the inner gate. His
demands were refused, but de Launay nonetheless capitulated as
he realized that with limited food stocks and no water supply his
troops could not hold out much longer. He accordingly opened the
gates to the inner courtyard, and the conquerors swept in to liberate
the fortress at 5:30 p.m. The king first learned of the storming only
the next morning through the Duke of La Rochefoucauld. "Is it a
revolt? " asked Louis X V I. The duke replied: "No sire, it's not a revolt;
it's a revolution."
22.3.4: The Declaration of the Rights
of Man
The Declaration of the Rights of Man and of the Citizen, passed by
France's National Constituent Assembly in August 1789, is a
fundamental document of the French Revolution that granted civil
rights to some commoners, although it excluded a significant
segment of the French population.
Learning Objective
Identify the main points in the Declaration of the Rights of Man
Key Points
The Declaration of the Rights of Man and of the Citizen (1791) is
a fundamental document of the French Revolution and in the
history of human and civil rights. The inspiration and content of
the document emerged largely from the ideals of the American
Revolution. The key drafts were prepared by General Lafayette,
working at times with his close friend Thomas Jefferson.
The concepts in the Declaration come from the tenets of
the Enlightenment, including individualism, the social contract as
theorized by Jean-Jacques Rousseau, and the separation of
powers espoused by Montesquieu. The spirit of secular natural
law rests at the foundations of the Declaration.
At the time of writing, the rights contained in the declaration
were only awarded to men. Furthermore, the declaration was a
statement of vision rather than reality as it was not deeply
rooted in the practice of the West or even France at the time. It
embodied ideals toward which France pledged to aspire in the
future.
While the French Revolution provided rights to a larger portion
of the population, there remained a distinction between those
who obtained the political rights in the Declaration of the Rights
of Man and Citizen and those who did not. Those who were
deemed to hold these rights were called active citizens, a
designation granted to men who were French, at least 25 years
old, paid taxes equal to three days of work, and could not be
defined as servants.
Tensions arose between active and passive citizens throughout
the Revolution and the question of women’s rights emerged as
particularly prominent. The Declaration did not recognize
women as active citizens. The absence of women’s rights
prompted Olympe de Gouges to publish the Declaration of the
Rights of Woman and the Female Citizen in September 1791.
The Declaration did not revoke the institution of slavery, as
lobbied for by Jacques-Pierre Brissot's Les Amis des Noirs and
defended by the group of colonial planters called the Club
Massiac. However, it played an important rhetorical role in the
Haitian Revolution.
Key Terms
social contract
A theory or model that originated during the Age of

Enlightenment that typically addresses the questions of the
origin of society and the legitimacy of the authority of the
state over the individual. Its arguments typically posit that
individuals have consented, either explicitly or tacitly, to
surrender some of their freedoms and submit to the authority of
the ruler or magistrate (or to the decision of a majority) in
exchange for protection of their remaining rights. The question
of the relation between natural and legal rights, therefore, is
often an aspect of this theory. The term comes from a 1762
book by Jean-Jacques Rousseau which discussed this concept.
separation of powers
A model for the governance of a state (or who controls the state)
first developed in ancient Greece. Under this model, the state is
divided into branches, each with separate and independent
powers and areas of responsibility so that the powers of one
branch are not in conflict with the powers associated with the
other branches. The typical division of branches is legislative,
executive, and judiciary.
natural law
A philosophy that certain rights or values are inherent by virtue

of human nature and can be universally understood through
human reason. Historically, natural law refers to the use of
reason to analyze both social and personal human nature to
deduce binding rules of moral behavior. Although it is often
conflated with common law, the two are distinct. Common law is
not based on inherent rights, but is the legal tradition whereby
certain rights or values are legally recognized by virtue of
already having judicial recognition or articulation.
March on V ersailles
A march began during the French Revolution among women in

the marketplaces of Paris who, on the morning of October 5,
1789, were near rioting over the high price and scarcity of
bread. Their demonstrations quickly became intertwined with the
activities of revolutionaries, who were seeking liberal political
reforms and a constitutional monarchy for France. The market
women and their various allies grew into a crowd of thousands.
Encouraged by revolutionary agitators, they ransacked the city
armory for weapons and marched to the Palace of V ersailles.
The Declaration of the Rights of Man and of the Citizen

history of human and civil rights passed by France's National
Intellectual Contex t
The Declaration of the Rights of Man and of the Citizen (August
1791) is a fundamental document of the French Revolution and in
the history of human and civil rights. The inspiration and content of
the document emerged largely from the ideals of the American
Revolution. The key drafts were prepared by General Lafayette,
working at times with his close friend Thomas Jefferson, who drew
heavily upon The V irginia Declaration of Rights drafted in May 1776
by George Mason (which was based in part on the English Bill of
Rights 1689), as well as Jefferson's own drafts for the American
Declaration of Independence. In August 1789, Honoré Mirabeau
played a central role in conceptualizing and drafting the Declaration
of the Rights of Man and of the Citizen.
The Declaration emerged from the tenets of the Enlightenment,

including individualism, the social contract as theorized by Jean-
Jacques Rousseau, and the separation of powers espoused by
Montesquieu. The spirit of secular natural law rests at the
foundations of the Declaration. Unlike traditional natural law theory,
secular natural law does not draw from religious doctrine or authority.
The document defines a single set of individual and collective rights
for all men. Influenced by the doctrine of natural rights, these rights
are held to be universal and valid in all times and places.
Correspondingly, the role of government, carried on by elected
representatives, is to recognize and secure these rights.
Thomas Jefferson — the primary author of the U.S. Declaration of

Independence —was in France as a U.S. diplomat and worked
closely with Lafayette on designing a bill of rights for France. In the
ratification by the states of the U.S. Constitution in 1788, critics
demanded a written Bill of Rights. In response, James Madison's
proposal for a U.S. Bill of Rights was introduced in New York in June
1789, 11 weeks before the French declaration. Considering the 6 to
8 weeks it took news to cross the Atlantic, it is possible that the
French knew of the American text, which emerged from the same
shared intellectual heritage. The same people took part in shaping
both documents: Lafayette admired Jefferson, and Jefferson, in turn,
found Lafayette an important political and intellectual partner.
Natural Rights
At the time of writing, the rights contained in the declaration were
only awarded to men. Furthermore, the declaration was a statement
of vision rather than reality as it was not deeply rooted in the practice
of the West or even France at the time. It embodied ideals toward
which France aspired to struggle in the future.
In the second article, "the natural and imprescriptible rights of man"

are defined as "liberty, property, security and resistance to
oppression." It demanded the destruction of aristocratic privileges by
proclaiming an end to feudalism and exemptions from taxation. It
also called for freedom and equal rights for all human beings
(referred to as "Men") and access to public office based on talent.
The monarchy was restricted and all citizens had the right to take
part in the legislative process. Freedom of speech and press were
declared and arbitrary arrests outlawed. The Declaration also
asserted the principles of popular sovereignty, in contrast to the
divine right of kings that characterized the French monarchy, and
social equality among citizens, eliminating the special rights of the
nobility and clergy.
The Declaration of the Rights of Man
and of the Citiz en of 17 8 9 by J ean-
J acques-Franç ois Le Barbier.
The Declaration is included in the preamble of the constitutions of
both the Fourth French Republic (1946) and Fifth Republic (1958)
and is still current. Inspired by the American Revolution and also by
the Enlightenment philosophers, the Declaration was a core
statement of the values of the French Revolution and had a major
impact on the development of freedom and democracy in Europe
and worldwide.
Limitations
While the French Revolution provided rights to a larger portion of the
population, there remained a distinction between those who obtained
the political rights in the Declaration of the Rights of Man and Citizen
and those who did not. Those who were deemed to hold these
political rights were called active citizens, a designation granted to
men who were French, at least 25 years old, paid taxes equal to
three days of work, and could not be defined as servants. This
meant that at the time of the Declaration only male property owners
held these rights. The category of passive citizens was created to
encompass those populations that the Declaration excluded from
political rights. In the end, the vote was granted to approximately 4.3
out of 29 million Frenchmen. Women, slaves, youth, and foreigners
were excluded.
Tensions arose between active and passive citizens throughout the

Revolution and the question of women’s rights emerged as
particularly prominent. The Declaration did not recognize women as
active citizens despite the fact that after the March on V ersailles on
October 5, 1789, women presented the Women's Petition to the
National Assembly, in which they proposed a decree giving women
equal rights. In 1790, Nicolas de Condorcet and Etta Palm d'Aelders
unsuccessfully called on the National Assembly to extend civil and
political rights to women. The absence of women’s rights prompted
Olympe de Gouges to publish the Declaration of the Rights of
Woman and the Female Citizen in September 1791. Modeled on the
Declaration of the Rights of Man and of the Citizen, it exposes the
failure of the French Revolution, which had been devoted to
equality.
The Declaration did not revoke the institution of slavery, as lobbied

for by Jacques-Pierre Brissot's Les Amis des Noirs and defended by
the group of colonial planters called the Club Massiac. Thousands of
slaves in Saint-Domingue, the most profitable slave colony in the
world, engaged in uprisings (with critical attempts beginning also in
August 1791) that would be known as the first successful slave revolt
in the New World. Slavery in the French colonies was abolished by
the Convention dominated by the Jacobins in 1794. However,
Napoleon reinstated it in 1802. In 1804, the colony of Saint-
Domingue became an independent state, the Republic of Haiti.
Legacy
The Declaration, together with the American Declaration of
Independence, Constitution, and Bill of Rights, inspired in large part
the 1948 United Nations Universal Declaration of Human Rights. It
has also influenced and inspired rights-based liberal democracy
throughout the world. It was translated as soon as 1793–1794 by
Colombian Antonio Nariñ o, who published it despite the Inquisition
and was sentenced to be imprisoned for ten years for doing so. In
2003, the document was listed on UNESCO's Memory of the World
register.
22.3.5 : The March on V ersailles

Concerned over the high price and scarcity of bread, women from
the marketplaces of Paris led the March on V ersailles on October 5,
1789. This became one of the most significant events of the French
Revolution, eventually forcing the royals to return to Paris.
Learning Objective
Describe the March on V ersailles
Key Points
The Women's March on V ersailles was one of the earliest and
most significant events of the French Revolution. On the
morning of October 5, 1789, women were near rioting in the
Paris marketplace over the high price and scarcity of bread.
Their demonstrations quickly became intertwined with the
activities of revolutionaries, who were seeking liberal political
reforms and a constitutional monarchy for France.
At the end of the Ancien Ré gime, the fear of famine became an
ever-present dread for the lower strata of the Third Estate.
Rumors swirled that foods, especially grain, were purposely
withheld from the poor for the benefit of the privileged. While the
march turned into a more general revolutionary upsurge, this
fear remained at its roots.
Despite its post-revolutionary mythology, the march was not a
spontaneous event. Speakers at the Palais-Royal mentioned it
regularly, but the final trigger was a royal banquet on October 1
at which the officers at V ersailles welcomed the officers of new
troops, a customary practice when a unit changed its garrison.
The lavish banquet was reported in newspapers as nothing
short of a gluttonous orgy, which outraged the commoners.
On the morning of October 5, a young woman struck a marching
drum at the edge of a group of market women who were
infuriated by the chronic shortage and high price of bread. As
more and more women and men arrived, the crowd grew to
more than 7,000 individuals. One of the men was Stanislas-
Marie Maillard, a prominent conqueror of the Bastille who by
unofficial acclamation was given a leadership role.
Although the fighting ceased quickly and the royal troops had
cleared the palace attacked by the revolutionaries, the crowd
was still everywhere outside. Lafayette convinced the king and
later the queen to address the crowd, which calmed the
participants of the march. However, the revolutionaries forced
the royals to return to Paris.
As a result of the march, the monarchist faction in the Assembly
effectively lost its significance, Robespierre raised his public
profile considerably, Lafayette found himself tied too closely to
the king; Maillard returned to Paris with his status as a local
hero made permanent. For the women of Paris, the march
became the climax of revolutionary hagiography. The royals
were effectively trapped in Paris.
Key Terms
Pacte de Famine
A conspiracy theory adopted by many in France during the 18th

century. The theory held that foods, especially grain, were
purposely withheld for the benefit of privileged interest
groups. During this period, French citizens obtained much of
their nourishment from grain.
flight to V arennes
An attempted escape from Paris during the night of June 20-21,

1791 by King Louis X V I of France, his queen Marie Antoinette,
and their immediate family in order to initiate a counter-
revolution at the head of loyal troops under royalist officers
concentrated at Montmé dy near the frontier.
Great Fear
A general panic that took place between July 17 and August 3,

1789, at the start of the French Revolution. Rural unrest had
been present in France since the worsening grain shortage of
the spring. Fueled by rumors of an aristocratic "famine plot" to
starve or burn out the population, both peasants and
townspeople mobilized in many regions.
Taking place on October 5, 1789, one of the earliest and most

significant events of the French Revolution. Women in the
marketplaces of Paris were near rioting over the high price and
scarcity of bread. Their demonstrations quickly became
intertwined with the activities of revolutionaries, who were
seeking liberal political reforms and a constitutional
monarchy for France.
National Assembly
A revolutionary assembly that existed from June 13 to July 9,
1789, and was formed by the representatives of the Third Estate
(the common people) of the Estates-General.
March on V ersailles: Background

The Women's March on V ersailles, also known as The October
March, The October Days, or simply The March on V ersailles, was
one of the earliest and most significant events of the French
Revolution. On the morning of October 5, 1789, women in the
marketplaces of Paris were near rioting over the high price and
scarcity of bread. Their demonstrations quickly became intertwined
with the activities of revolutionaries seeking liberal political reforms
and a constitutional monarchy for France.
At the end of the Ancien Ré gime, the fear of famine became an ever-
present dread for the lower strata of the Third Estate. Rampant
rumors of a conspiracy theory held that foods, especially grain, were
purposely withheld from the poor for the benefit of the privileged (the
Pacte de Famine). Stories of a plot to destroy wheat crops in order to
starve the population provoked the so-called Great Fear in the
summer of 1789.
Despite its post-revolutionary mythology, the march was not a

spontaneous event. Speakers at the Palais-Royal mentioned it
regularly and the idea of a march on V ersailles had been
widespread. The final trigger came from a royal banquet held on
October 1 at which the officers at V ersailles welcomed the officers of
new troops, a customary practice when a unit changed its garrison.
The royal family briefly attended the affair. The lavish banquet was
reported in newspapers as nothing short of a gluttonous orgy. Worst
of all, the papers dwelt scornfully on the reputed desecration of the
tricolor cockade; drunken officers were said to have stamped upon
this symbol of the nation and professed their allegiance solely to the
white cockade of the House of Bourbon. This embellished tale of the
royal banquet became the source of intense public outrage.
The Day of the March
On the morning of October 5, a young woman struck a marching
drum at the edge of a group of market women who were infuriated
by the chronic shortage and high price of bread. From their starting
point in the markets of the eastern section of Paris, the angry women
forced a nearby church to toll its bells. More women from other
nearby marketplaces joined in, many bearing kitchen blades and
other makeshift weapons. As more women and men arrived, the
crowd outside the city hall reached between 6,000 and 7,0000 and
perhaps as high as 10,000. One of the men was Stanislas-Marie
Maillard, a prominent conqueror of the Bastille, who by unofficial
acclamation was given a leadership role.
When the crowd finally reached V ersailles, members of the National

Assembly greeted the marchers and invited Maillard into their hall.
As he spoke, the restless Parisians came pouring into the Assembly
and sank exhausted on the deputies' benches. Hungry, fatigued, and
bedraggled from the rain, they seemed to confirm that the siege was
mostly a demand for food. With few other options available, the
President of the Assembly, Jean Joseph Mounier, accompanied a
deputation of market-women into the palace to see the king. A group
of six women were escorted into the king's apartment, where they
told him of the crowd's privations. The king responded
sympathetically and after this brief but pleasant meeting,
arrangements were made to disburse some food from the royal
stores with more promised. Some in the crowd felt that their goals
had been satisfactorily met.
However, at about 6 a.m., some of the protesters discovered a small

gate to the palace was unguarded. Making their way inside, they
searched for the queen's bedchamber. The royal guards fired their
guns at the intruders, killing a young member of the crowd.
Infuriated, the rest surged towards the breach and streamed inside.
Although the fighting ceased quickly and the royal troops cleared the
palace, the crowd was still everywhere outside. Lafayette
(commander-in-chief of the National Guard), who had earned the
court's indebtedness, convinced the king to address the crowd.
When the two men stepped out on a balcony an unexpected cry
went up: "V ive le Roi! " The relieved king briefly conveyed his
willingness to return to Paris. After the king withdrew, the exultant
crowd would not be denied the same accord from the queen and her
presence was demanded loudly. Lafayette brought her to the same
balcony, accompanied by her young son and daughter. However
pleased it may have been by the royal displays, the crowd insisted
that the king come back with them to Paris. At about 1 p.m. on
October 6, the vast throng escorted the royal family and a
complement of 100 deputies back to the capital, this time with the
armed National Guards leading the way.
An illustration of the W omen's March

on V ersailles, October 5 , 17 8 9, author
unknown.
The march symbolized a new balance of power that displaced the
ancient privileged orders of the French nobility and favored the
nation's common people, collectively termed the Third Estate.
Bringing together people representing sources of the Revolution in
their largest numbers yet, the march on V ersailles proved to be a
defining moment of that Revolution.
Consequences of the March
The rest of the National Constituent Assembly followed the king
within two weeks to new quarters in Paris, excepting 56 pro-
monarchy deputies. Thus, the march effectively deprived the
monarchist faction of significant representation in the Assembly as
most of these deputies retreated from the political scene.
Conversely, Robespierre's impassioned defense of the march raised
his public profile considerably. Lafayette, though initially acclaimed,
found he had tied himself too closely to the king. As the Revolution
progressed, he was hounded into exile by the radical leadership.
Maillard returned to Paris with his status as a local hero made
permanent. For the women of Paris, the march became the source
of apotheosis in revolutionary hagiography. The "Mothers of the
Nation" were highly celebrated upon their return and would be
praised and solicited by successive Parisian governments for years
to come.
Louis attempted to work within the framework of his limited powers

after the women's march but won little support, and he and the royal
family remained virtual prisoners in the Tuileries. Desperate, he
made his abortive flight to V arennes in June 1791. Attempting to
escape and join with royalist armies, the king was once again
captured by a mixture of citizens and national guardsmen who
hauled him back to Paris.
Attributions
Calling the Estates-General
"National Assembly (French Revolution)."
https://en.wikipedia.org/wiki/National_Assembly_(French_R
evolution). Wikipedia CC BY-SA 3.0.
"Tennis Court Oath."
https://en.wikipedia.org/wiki/Tennis_Court_Oath. Wikipedia
CC BY-SA 3.0.
"Assembly of Notables."
https://en.wikipedia.org/wiki/Assembly_of_Notables.
"Couder_Stati_generali.jpg."
https://en.wikipedia.org/wiki/Estates-
General_of_1789# /media/File:Couder_Stati_generali.jpg.
Establishment of the National Assembly
"Emmanuel Joseph Sieyè s."
https://en.wikipedia.org/wiki/Emmanuel_Joseph_Siey%C3
%A8s. Wikipedia CC BY-SA 3.0.
"French Revolution."
https://en.wikipedia.org/wiki/French_Revolution. Wikipedia
CC BY-SA 3.0.
"Tennis Court Oath."
https://en.wikipedia.org/wiki/Tennis_Court_Oath. Wikipedia
CC BY-SA 3.0.
"Declaration of the Rights of Man and of the Citizen."
https://en.wikipedia.org/wiki/Declaration_of_the_Rights_of_
Man_and_of_the_Citizen. Wikipedia CC BY-SA 3.0.
"National Constituent Assembly."
https://en.wikipedia.org/wiki/National_Constituent_Assembl
"What Is the Third Estate? ."
https://en.wikipedia.org/wiki/What_Is_the_Third_Estate%3F
"1280px-Le_Serment_du_Jeu_de_paume.jpg."
https://en.wikipedia.org/wiki/Tennis_Court_Oath# /media/File
:Le_Serment_du_Jeu_de_paume.jpg. Wikipedia Public
domain.
The Storming of the Bastille
CC BY-SA 3.0.
"Louis Philippe II, Duke of Orlé ans."
https://en.wikipedia.org/wiki/Louis_Philippe_II,_Duke_of_Orl
%C3%A9ans. Wikipedia CC BY-SA 3.0.
"Storming of the Bastille."
https://en.wikipedia.org/wiki/Storming_of_the_Bastille.
"Prise_de_la_Bastille.jpg."
https://en.wikipedia.org/wiki/Storming_of_the_Bastille# /med
ia/File:Prise_de_la_Bastille.jpg. Wikipedia Public domain.
The Declaration of the Rights of Man
"Separation of powers."
https://en.wikipedia.org/wiki/Separation_of_powers.
"Natural law." https://en.wikipedia.org/wiki/Natural_law.
"Social contract."
BY-SA 3.0.
"Women's March on V ersailles."
https://en.wikipedia.org/wiki/Women%27s_March_on_V ersa
illes. Wikipedia CC BY-SA 3.0.
"Declaration_of_the_Rights_of_Man_and_of_the_Citizen_i
n_1789.jpg."
Man_and_of_the_Citizen# /media/File:Declaration_of_the_R
ights_of_Man_and_of_the_Citizen_in_1789.jpg. Wikipedia
Public domain.
The March on V ersailles
"Flight to V arennes."
https://en.wikipedia.org/wiki/Flight_to_V arennes. Wikipedia
CC BY-SA 3.0.
"Pacte de Famine."
https://en.wikipedia.org/wiki/Pacte_de_Famine. Wikipedia
CC BY-SA 3.0.
"Great Fear." https://en.wikipedia.org/wiki/Great_Fear.
"Women's_March_on_V ersailles01.jpg."
illes# /media/File:Women%27s_March_on_V ersailles01.jpg.
22.4: Constitutional Monarchy
22.4.1: The Constitution of 17 91
The Constitution of 1791, the first written constitution of France,
turned the country into a constitutional monarchy following the
collapse of the absolute monarchy of the Ancien Ré gime.
Learning Objective
Deconstruct the government established by the Constitution of 1791
Key Points
One of the stated goals of the National Assembly formed by the
Third Estate on June 13, 1789, was to write a constitution. A
twelve-member Constitutional Committee was convened on July
14, 1789, to draft most of the articles of the constitution. Many
proposals for redefining the French state were floated.
The main early controversies surrounded the level of power to
be granted to the king of France and the form the legislature
would take. Another critical question was whether every subject
of the French Crown would be given equal rights as the
Declaration of Rights of Man and Citizen theoretically promised.
A second body, the Committee of Revisions, was created in
September 1790. Because the National Assembly was both a
legislature and a constitutional convention, this committee was
formed to sort out whether its decrees were constitutional
articles or mere statutes. The committee became very important
in the days after the Champs de Mars Massacre, when one of
its members used his position to preserve a number of powers
of the Crown.
A new constitution was reluctantly accepted by Louis X V I in
September 1791. It abolished many institutions defined as
"injurious to liberty and equality of rights." The National
Assembly was the legislative body, the king and royal ministers
made up the executive branch, and the judiciary was
independent of the other two branches. On a local level,
previous feudal geographic divisions were formally abolished
and the territory of the French state was divided into several
administrative units with the principle of centralism. The king
was allowed a suspensive veto to balance out the interests of
the people.
The constitution was not egalitarian by today's standards. It
distinguished between the active citizens (male property owners
of certain age) and the passive citizens. All women were
deprived of rights and liberties, including the right to education
and freedom to speak, write, print, and worship.
Following the onset of French Revolutionary Wars and the
August 10 Insurrection, a National Convention declared France
a republic on September 22, 1792, which meant that France
needed a new constitution a year after agreeing on the 1791
Constitution.
Key Terms
National Assembly
A revolutionary assembly formed by the representatives of the

Third Estate (the common people) of the Estates-General that
existed from June 13 to July 9, 1789. After July 9, it was known
as the National Constituent Assembly although popularly the
shorter form persisted.
French Revolutionary Wars
A series of sweeping military conflicts from 1792 until 1802,

resulting from the French Revolution. They pitted the French
First Republic against Britain, Austria and several other
monarchies. They are divided into two periods: the War of the
First Coalition (1792–1797) and the War of the Second
Coalition (1798–1802). Initially confined to Europe, the fighting
gradually assumed a global dimension as the political ambitions
of the Revolution expanded.
August 10 Insurrection
One of the defining events in the history of the French

Revolution, the storming of the Tuileries Palace by the National
Guard of the insurrectional Paris Commune and revolutionary
fé dé ré s from Marseilles and Brittany resulted in the fall of the
French monarchy. King Louis X V I and the royal family took
shelter with the Legislative Assembly, which was suspended.
The formal end of the monarchy that occurred six weeks later
was one of the first acts of the new National Convention.
Champs de Mars Massacre
A massacre that took place on July 17, 1791, in Paris in the

midst of the French Revolution. Two days before, the National
Constituent Assembly issued a decree that Louis X V I would
remain king under a constitutional monarchy. This decision
came after Louis X V I and his family unsuccessfully tried to flee
France in the Flight to V arennes the month before. Later that
day, leaders of the republicans in France rallied against this
decision, eventually leading royalist Lafayette to order the
massacre.
Paris Commune
During the French Revolution, the government of Paris from

1789 until 1795. Established in the Hô tel de V ille just after the
storming of the Bastille, it consisted of 144 delegates elected by
the 48 divisions of the city. It became insurrectionary in the
summer of 1792, essentially refusing to take orders from the
central French government. It took charge of routine civic
functions but is best known for mobilizing extreme views. It lost
much of its power in 1794 and was replaced in 1795.
Feuillants
A political group that emerged during the French Revolution and

consisted of monarchists and reactionaries who sat on the right
of the Legislative Assembly of 1791. It came into existence
when the left-wing Jacobins split between moderates who
sought to preserve the position of the king and supported the
proposed plan of the National Assembly for a constitutional
monarchy and radicals (Jacobins) who wished to press for a
continuation of direct democratic action to overthrow Louis X V I.
March on V ersaille
A march that started on the morning of October 5, 1789, among

women in the marketplaces of Paris who were near rioting over
the high price and scarcity of bread. Their demonstrations
quickly became intertwined with the activities of revolutionaries,
who were seeking liberal political reforms and a constitutional
monarchy for France. The market women and their various
allies grew into a crowd of thousands. Encouraged by
revolutionary agitators, they ransacked the city armory for
weapons and marched to the Palace of V ersailles.
Declaration of Rights of Man and Citizen

Constitution of 17 91: Drafting
Process
One of the stated goals of the National Assembly formed by the
Third Estate on June 13, 1789, was to write a constitution. A 12-
member Constitutional Committee was convened on July 14, 1789
(coincidentally the day of the Storming of the Bastille) to draft most of
the articles of the constitution. It originally included two members
from the First Estate, two from the Second, and four from the Third.
Many proposals for redefining the French state were floated,
particularly in the days after the remarkable sessions of August 4
and 5 when feudalism was abolished. For instance, the Marquis de
Lafayette proposed a combination of the American and British
systems, a bicameral parliament with the king having the suspensive
veto power over the legislature modeled on the authority then
recently vested in the President of the United States.
The main early controversies surrounded the level of power that

should be granted to the king of France and the form the legislature
would take (i.e.: unicameral or bicameral). The Constitutional
Committee proposed a bicameral legislature, but the motion was
defeated in favor of one house. They also proposed an absolute
veto, but were again defeated in favor of a suspensive veto, which
could be overridden by three consecutive legislatures.
A second Constitutional Committee quickly replaced the first one. It

included three members from the original group as well as five new
members, all of the Third Estate. The greatest controversy faced by
the new committee surrounded citizenship. The critical question was
whether every subject of the French Crown would be given equal
rights, or would there be some restrictions? The March on V ersailles
(October 5-6), led by women from marketplaces around Paris,
rendered the question even more complicated. In the end, a
distinction between active citizens who held political rights (males
over the age of 25 who paid direct taxes equal to three days' labor)
and passive citizens, who had only civil rights, was drawn. Some
radical deputies, such as Maximilien Robespierre, could not accept
the distinction.
A second body, the Committee of Revisions, was created in

September 1790. Because the National Assembly was both a
legislature and a constitutional convention, the Committee of
Revisions was required to sort out whether its decrees were
constitutional articles or mere statutes. It was the task of the
Committee of Revisions to sort it out. The committee became very
important in the days after the Champs de Mars Massacre (July 17,
1791), when a wave of opposition against popular movements swept
France and resulted in a renewed effort to preserve powers of the
Crown. The result was the rise of the Feuillants, a new political
faction led by Antoine Barnave, one of the Committee's members
who used his position to preserve a number of powers of the Crown,
including the nomination of ambassadors, military leaders, and
ministers.
Acceptance and Administration

After very long negotiations, a new constitution was reluctantly
accepted by Louis X V I in September 1791. Redefining the
organization of the French government, citizenship, and the limits to
the powers of government, the National Assembly set out to
represent the interests of the public. It abolished many institutions
defined as "injurious to liberty and equality of rights." The National
Assembly asserted its legal presence as part of the French
government by establishing its permanence in the Constitution and
forming a system of recurring elections. The National Assembly was
the legislative body, the king and royal ministers made up the
executive branch, and the judiciary was independent of the other two
branches. On a local level, previous feudal geographic divisions
were formally abolished and the territory of the French state was
divided into several administrative units (Dé partements), but with the
principle of centralism.
As framers of the constitution, the Assembly was concerned that if
only representatives governed France, they were likely to be
motivated by their own self-interests. Therefore, the king was
allowed a suspensive veto to balance out the interests of the people.
By the same token, representative democracy weakened the king’s
executive authority. However, the constitution was not egalitarian by
today's standards. It distinguished between the active citizens (male
property owners of certain age) and the passive citizens. All women
were deprived of rights and liberties, including the right to education,
freedom to speak, write, print, and worship.
The first page of the French
Constitution of 17 91, Archives
Nationales.
The short-lived French Constitution of 1791 was the first written
constitution in France, created after the collapse of the absolute
monarchy of the Ancien Ré gime. One of the basic precepts of the
revolution was adopting constitutionality and establishing popular
sovereignty.
Effectiveness
With the onset of French Revolutionary Wars and the involvement of
foreign powers in the conflict, radical Jacobin and ultimately
republican conceptions grew enormously in popularity, increasing the
influence of Robespierre, Danton, Marat and the Paris Commune.
When the King used his veto powers to protect non-juring priests
and refused to raise militias in defense of the revolutionary
government, the constitutional monarchy proved unacceptable to
radical revolutionaries and was effectively ended by the August 10
Insurrection. A National Convention was called, electing Robespierre
as its first deputy. It was the first assembly in France elected by
universal male suffrage. The convention declared France a republic
on September 22, 1792, which meant that France needed a new
constitution.
22.4.2: Politics within the

Revolutionaries
Over the course of the Revolution, the original revolutionary
movement known as the Jacobins split into more and less radical
factions, the most important of which were the Feuillants (moderate;
pro-royal), the Montagnards (radical) and the Girondins (moderate;
pro-republic).
Learning Objective
Distinguish between the different blocs within the new government
Key Points
The Legislative Assembly consisted of 745 members, mostly
from the middle class. The rightists within the assembly
consisted of about 260 Feuillants, who were staunch
constitutional monarchists firm in their defense of the King
against the popular agitation. The leftists were about 136
Jacobins and Cordeliers. They favored the idea to spread the
new ideals of liberty and equality and to put the king's loyalty to
the test. The remainder of the House, 345 deputies, belonged to
no definite party. They were committed to the ideals of the
Revolution and thus inclined to side with the left but would also
occasionally back proposals from the right.
The Feuillants came into existence when the Jacobins split
between moderates, who sought to preserve the position of the
king and supported the proposed plan of the National Assembly
for a constitutional monarchy, and radicals (Jacobins). Labelled
by their opponents as royalists, they were targeted after the fall
of the monarchy.
The National Convention was a single-chamber assembly in
France from September 20, 1792, to October 26, 1795, that
succeeded the Legislative Assembly. It fractured into even more
extreme factions than its predecessor. A result of the increasing
divide within the Jacobins was the split between the more
radical Montagnards and the Girondins.
The Jacobin Club was distinguished by its left-wing
revolutionary politics. They were thus closely allied to the sans-
culottes, a popular force of working-class Parisians that played a
pivotal role in the development of the revolution. The Jacobins
were dubbed "the Mountain" (French: la montagne) for their
seats in the uppermost part of the chamber and aimed for a
more repressive form of government.
The two most significant factors in the consequential split
between the Montagnards and the Girondins were the
September Massacres and the trial of Louis X V I, both in 1792.
The terms "left" and "right" used to refer to political parties is
one of the lasting legacies of the French Revolution. Members
of the National Assembly divided into supporters of the king to
the president's right and supporters of the revolution to his left.
Key Terms
Feuillants
when the left-wing Jacobins split between moderates, who
monarchy, and radicals (Jacobins), who wished to press for a
Jacobins
Members of a revolutionary political movement that was the

most famous political club during the French Revolution,
distinguished by its left-wing, revolutionary politics. Unlike other
sects like the Girondins, they were closely allied to the sans-
pivotal role in the development of the revolution. They had a
significant presence in the National Convention and were
dubbed "the Mountain" for their seats in the uppermost part of
the chamber.
National Convention
A single-chamber assembly in France from September 20,

1792, to October 26, 1795, during the French Revolution. It
succeeded the Legislative Assembly and founded the First
Republic after the insurrection of August 10, 1792. It was the
first French assembly elected by universal male suffrage,
without distinctions of class.
Girondins
A political group operating in France from 1791 to 1795 during

the French Revolution, active within the Legislative Assembly
and the National Convention. They emerged from the Jacobin
movement and campaigned for the end of the monarchy, but
resisted the spiraling momentum of the Revolution. They came
into conflict with The Mountain (Montagnards), a radical faction
within the Jacobin Club.
sans-culottes
The common people of the lower classes in late 18th century

France, a great many of whom became radical and militant
partisans of the French Revolution in response to their poor
quality of life under the Ancien Ré gime.
Montagnards
A political group during the French Revolution who sat on the

highest benches in the Assembly. They were the most radical
group and opposed the Girondists. The term, first used during a
session of the Legislative Assembly, came into general use in
1793. Led by Maximilien Robespierre, they unleashed the Reign
of Terror in 1794.
Legislative Assembly
The legislature of France from October 1, 1791, to September

20, 1792, during the years of the French Revolution. It provided
the focus of political debate and revolutionary law-making
between the periods of the National Constituent Assembly and
National Convention.
Factions at the Legislative

Assembly
The National Constituent Assembly dissolved itself on September
30, 1791. Upon Robespierre's motion, it decreed that none of its
members would be eligible to the next legislature. Its successor
body, the Legislative Assembly operating under the Constitution of
1791, lasted until September 20, 1792. The Legislative Assembly
first met on October 1, 1791, and consisted of 745 members, mostly
from the middle class. The members were generally young, and
since none had sat in the previous Assembly, they largely lacked
national political experience. They tended to be people with
successful careers in local politics.
The rightists within the assembly consisted of about 260 Feuillants,

whose chief leaders, Gilbert du Motier de La Fayette and Antoine
Barnave, remained outside the House because of their ineligibility for
re-election. They were staunch constitutional monarchists, firm in
their defense of the King against the popular agitation. The leftists
were of 136 Jacobins (still including the party later known as the
Girondins or Girondists) and Cordeliers (a populist group, whose
many members would later become the radical Montagnards).
The left drew its inspiration from the more radical tendency of the
Enlightenment, regarded the é migré nobles as traitors, and
espoused anticlericalism. They were suspicious of Louis X V I, some
favoring a general European war, both to spread the new ideals of
liberty and equality and to put the king's loyalty to the test.
The remainder of the House, 345 deputies, belonged to no definite

party. They were called "the Marsh" (Le Marais) or "the Plain" (La
Plaine). They were committed to the ideals of the Revolution,
generally inclined to side with the left but would also occasionally
back proposals from the right. Some historians dispute these
numbers and estimate that the Legislative Assembly consisted of
about 165 Feuillants (the right), about 330 Jacobins (including
Girondins; the left), and about 350 deputies, who did not belong to
any definite party but voted most often with the left. The differences
emerge from how historians approach data in primary sources,
where numbers reported by the clubs do not overlap with analyses of
club membership conducted independently by name.
The J acobins in 17 91, author
unknown
The Jacobins were known for creating a strong government that
could deal with the needs of war, economic chaos, and internal
rebellion. They supported the rights of property and favored free
trade and a liberal economy much like the Girondins, but their
relationship to the people made them more willing to adapt
interventionist economic policies.
The illustration depicts a session at the Jacobin Club. Alexandre de

Lameth presides while Mirabeau gives a speech.
The Feuillants came into existence when the Jacobins split between
moderates (Feuillants), who sought to preserve the position of the
king and supported the proposed plan of the National Assembly for a
constitutional monarchy, and radicals (Jacobins), who wished to
press for a continuation of direct democratic action to overthrow
Louis X V I. Labelled by their opponents as royalists, they were
targeted after the fall of the monarchy. In August 1792, a list of 841
members was published and all were arrested and tried for treason.
The name survived for a few months as an insulting label for
moderates, royalists, and aristocrats.
Factions at the National
Convention
The National Convention was a single-chamber assembly in France
from September 20, 1792, to October 26, 1795, succeeding the
Legislative Assembly. It was fractured into factions even more
extreme than those of the Legislative Assembly. The Jacobin Club,
gathering members with republican beliefs and aspiring to establish
a French democratic republic, experienced political tensions
beginning in 1791 .There were conflicting viewpoints in response to
several revolutionary events and how to best achieve a democratic
republic. A result of the increasing divide within the Jacobins was the
split between the more radical Montagnards and the Girondins.
The Jacobin Club was one of several organizations that grew out of
the French Revolution, distinguished by its left-wing, revolutionary
politics. Because of this, the Jacobins, unlike other sects like the
Girondins, were closely allied to the sans- culottes, a popular force of
working-class Parisians that played a pivotal role in the development
of the revolution. The Jacobins had a significant presence in the
National Convention and were dubbed "the Mountain" (French: la
montagne) for their seats in the uppermost part of the chamber. In
addition to siding with sans- culottes, the Montagnards aimed for a
more repressive form of government that would institute a price
maximum on essential consumer goods and punish all traitors and
enemies of the Republic. The Montagnards also believed war and
other political differences required emergency solutions. They had
302 members in 1793 and 1794, including committee members and
deputies who voted with the faction. Most members of the club came
from the middle class and tended to represent the Parisian
population. Its leaders included Maximilien Robespierre, Jean-Paul
Marat, and Georges Danton. This faction eventually gained
overwhelming power in the Convention and governed France during
the Reign of Terror.
Possibly the two most significant factors in the consequential split
between the Montagnards and the Girondins were the September
Massacres and the trial of Louis X V I, both in 1792. The official fall of
the monarchy came on August 10, 1792, after Louis X V I refused to
rescind his veto of the National Assembly's constitution. The
Montagnards argued for immediate execution of the king by military
court-martial, insisting that he was undermining the Revolution.
Because a trial would require the "presumption of innocence," such a
proceeding would contradict the mission of the National Convention.
The Girondins, in contrast, agreed that the king was guilty of treason
but argued for his clemency and favored the option of exile or
popular referendum as his sentence. However, the trial progressed
and Louis X V I was executed by guillotine in January 1793.
The second key factor in the split between the Montagnards and the
Girondins was the September Massacres of 1792. Radical Parisians
and members of the National Guard were angry with the poor
progress in the war against Austria and Prussia and the forced
enlistment of 30,000 volunteers. On August 10, radicals went on a
killing spree, slaughtering roughly 1,300 inmates in various Paris
prisons, many of whom were simply common criminals, not the
treasonous counter-revolutionaries condemned by the Montagnards.
The Girondins did not tolerate the massacres, but neither the
Montagnards of the Legislative Assembly nor the Paris Commune
took any action to stop or condemn the killings. Members of the
Girondins later accused Marat, Robespierre, and Danton of inciting
the massacres to further their dictatorial power. The conflict between
the Montagnards and the Girondins eventually led to the fall of the
Girondins and their mass execution.
The Girondins in the La Force
Prison after their arrest. W oodcut
from 18 45 .
The Girondins campaigned for the end of the monarchy but then
resisted the spiraling momentum of the Revolution. They came into
conflict with The Mountain (Montagnards), a radical faction within the
Jacobin Club. The Girondins comprised a group of loosely affiliated
individuals rather than an organized political party.
Left v. Right
The terms "left" and "right" to refer to political parties is one of the
lasting legacies of the French Revolution. Members of the National
Assembly divided into supporters of the king to the president's right
and supporters of the revolution to his left. One deputy, the Baron de
Gauville, explained, "We began to recognize each other: those who
were loyal to religion and the king took up positions to the right of the
chair so as to avoid the shouts, oaths, and indecencies that enjoyed
free rein in the opposing camp." However, the right opposed the
seating arrangement because they believed that deputies should
support private or general interests but not form factions or political
parties. The contemporary press occasionally used the terms "left"
and "right" to refer to the opposing sides.
When the National Assembly was replaced in 1791 by the

Legislative Assembly comprising entirely new members, the
divisions continued. "Innovators" sat on the left, "moderates"
gathered in the center, and the "conscientious defenders of the
constitution" found themselves sitting on the right, where the
defenders of the Ancien Ré gime had previously gathered. When the
succeeding National Convention met in 1792, the seating
arrangement continued, but following the arrest of the Girondins, the
right side of the assembly was deserted, and any remaining
members who had sat there moved to the center.
22.4.3: Foreign Intervention

Several Europeans monarchies, notably Austria, Prussia, and Great
Britain, engaged in military conflicts with revolutionary France to take
advantage of the political chaos and stop the spread of the
revolutionary, anti-royal spirit across the globe.
Learning Objective
State the reasons why other European states got involved in
France's political turmoil
Key Points
During the French Revolution, European monarchs watched the
developments in France and considered whether they should
intervene in support of Louis X V I or to take advantage of the
chaos in France. The Holy Roman Emperor Leopold II, brother
to the French Queen Marie Antoinette, initially looked on the
Revolution calmly, but he and other European monarchs soon
feared that the revolutionary spirit might expand across the
continent and in colonies.
In August 1791, Leopold and King Frederick William II of
Prussia, in consultation with emigrant French nobles, issued the
Declaration of Pillnitz, which declared the interest of the
monarchs of Europe in the well-being of Louis and his family
and threatened vague but severe consequences if anything
should befall them.
Many in France wanted to wage war, including the King, many
of the Feuillants, and the Girondins, although for very different
reasons. The forces opposing war were much weaker. The
Austrian emperor Leopold II, brother of Marie Antoinette, wished
to avoid war but died in March 1792. France preemptively
declared war on Austria (April 20, 1792) and Prussia joined on
the Austrian side a few weeks later.
What followed was a series of sweeping military conflicts lasting
from 1792 until 1802 that would become known as the French
Revolutionary Wars. They pitted the French First Republic
against several monarchies, most notably Britain and Austria,
and are divided in two periods: the War of the First Coalition
(1792–1797) and the War of the Second Coalition (1798–1802).
In July 1792, Charles William Ferdinand, Duke of Brunswick,
commander of the mostly Prussian army, issued a proclamation
called the Brunswick Manifestol Written by the French king's
cousin, Louis Joseph de Bourbon, Prince de Condé , the leader
of an é migré corps within the Allied army, it declared the Allies'
intent to restore the king to his full powers and to treat any
person or town who opposed them as rebels to be condemned
to death by martial law.
The Revolutionary Wars ended with great success for France
and revealed the talent of a new military leader, Napoleon
Bonaparte. After a decade of constant warfare and aggressive
diplomacy, France had succeeded in seizing and conquering a
wide array of territories, from the Italian Peninsula and the Low
Countries in Europe to the Louisiana Territory in North America.
French success in these conflicts ensured the spread of
revolutionary principles over much of Europe.
Key Terms
Declaration of Pillnitz
A statement issued on August 27, 1791, at Pillnitz Castle near

Dresden (Saxony) by Frederick William II of Prussia and the
Habsburg Holy Roman Emperor Leopold II, Marie
Antoinette's brother. It declared the joint support of the Holy
Roman Empire and of Prussia for King Louis X V I of
France against the French Revolution.
Brunswick Manifesto
A proclamation issued by Charles William Ferdinand, Duke of

Brunswick, commander of the Allied Army (principally Austrian
and Prussian), on July 25, 1792, to the population of Paris,
France during the War of the First Coalition. It threatened that if
the French royal family were harmed, then French civilians
would be harmed. It was a measure intended to intimidate Paris,
but instead, it helped further spur the increasingly radical French
Revolution.
Jacobins
Members of a revolutionary political movement that was the

most famous political club during the French Revolution,
distinguished by its left wing, revolutionary politics. Unlike other
sects like the Girondins, they were closely allied to the sans-
pivotal role in the development of the revolution. They had a
significant presence in the National Convention and were
dubbed 'the Mountain' for their seats in the uppermost part of
the chamber.
A series of sweeping military conflicts from 1792 until 1802,

resulting from the French Revolution. They pitted the French
First Republic against Britain, Austria, and several other
monarchies. They are divided in two periods: the War of the
War of the First Coalition
A 1792–1797 military conflict that was the first attempt by the

European monarchies to defeat the French First Republic.
France declared war on the Habsburg Monarchy of Austria on
April 20, 1792, and the Kingdom of Prussia joined the Austrian
side a few weeks later. The two monarchies were joined by
Great Britain and several smaller European states.
War of the Second Coalition
A 1798–1802 conflict that was the second war on revolutionary

France by the European monarchies, led by Britain, Austria, and
Russia and including the Ottoman Empire, Portugal, and
Naples. Their goal was to contain the spread of chaos from
France, but they failed to overthrow the revolutionary regime
and French territorial gains since 1793 were confirmed.
Girondins
A political group operating in France from 1791 to 1795 during
the French Revolution, active within the Legislative Assembly
and the National Convention. They emerged from the Jacobin
movement and campaigned for the end of the monarchy, but
then resisted the spiraling momentum of the Revolution. They
came into conflict with The Mountain (Montagnards), a radical
faction within the Jacobin Club.
Feuillants

when the left-wing Jacobins split between moderates, who
monarchy, and radicals (Jacobins), who pressed for a
The Fear of Revolution Among

European Monarchs
During the French Revolution, European monarchs watched the
developments in France and considered whether they should
intervene in support of Louis X V I or to take advantage of the chaos
in France. The Holy Roman Emperor Leopold II, brother to the
French Queen Marie Antoinette, initially looked on the Revolution
calmly. He became disturbed as the Revolution became more
radical, although he still hoped to avoid war. In August 1791, Leopold
and King Frederick William II of Prussia, in consultation with
emigrant French nobles, issued the Declaration of Pillnitz, which
declared the interest of the monarchs of Europe in the well-being of
Louis and his family and threatened vague but severe consequences
if anything should befall them. Although Leopold saw the Pillnitz
Declaration as a way of taking action that would enable him to avoid
actually doing anything about France for the moment, Paris saw the
Declaration as a serious threat and the revolutionary leaders
denounced it.
The meeting at Pillnitz Castle in 17 91,

oil painting by J ohann Heinrich
Schmidt.
The National Assembly of France interpreted the declaration to
mean that Leopold was going to declare war. Radical Frenchmen
who called for war used it as a pretext to gain influence and declare
war on April 20, 1792, leading to the campaigns of 1792 in the
French Revolutionary Wars.
The King, many of the Feuillants, and the Girondins wanted to wage
war. Louis X V I and many Feuillants expected war would increase his
personal popularity. He also foresaw an opportunity to exploit any
defeat; either result would make him stronger. The Girondins, on the
other hand, wanted to export the Revolution throughout Europe and,
by extension defend the Revolution within France.
The forces opposing war were much weaker. Some Feuillants

believed France had little chance to win and feared a loss might lead
to greater radicalization of the revolution. On the other end of the
political spectrum, Robespierre opposed a war on two grounds: he
was concerned it would strengthen the monarchy and military at the
expense of the revolution and that it would incur the anger of
ordinary people in Austria and elsewhere. The Austrian emperor
Leopold II, brother of Marie Antoinette, wished to avoid war but died
in March 1792. In addition to the ideological differences between
France and the monarchical powers of Europe, disputes continued
over the status of imperial estates in Alsace and the French
authorities became concerned about the agitation of emigré nobles
abroad, especially in the Austrian Netherlands and the minor states
of Germany. France preemptively declared war on Austria (April 20,
1792) and Prussia joined on the Austrian side a few weeks later.
French Revolutionary W ars

What followed was a series of sweeping military conflicts lasting from
1792 until 1802 that would become known as the French
Revolutionary Wars. They pitted the French First Republic against
several monarchies, most notably Britain and Austria, and are
divided in two periods: the War of the First Coalition (1792–1797)
and the War of the Second Coalition (1798–1802). Initially confined
to Europe, the fighting gradually assumed a global dimension as the
political ambitions of the Revolution expanded.
First Coalition
While the revolutionary government frantically raised fresh troops
and reorganized its armies, a mostly Prussian Allied army under
Charles William Ferdinand, Duke of Brunswick assembled at
Koblenz on the Rhine. In July the invasion commenced, with
Brunswick's army easily taking the fortresses of Longwy and V erdun.
The duke then issued a proclamation called the Brunswick
Manifesto (July 1792), written by the French king's cousin, Louis
Joseph de Bourbon, Prince de Condé , the leader of an é migré corps
within the Allied army. This document declared the Allies' intent to
restore the king to his full powers and treat any person or town who
opposed them as rebels to be condemned to death by martial law.
This, however, strengthened the resolve of the revolutionary army
and government to oppose them by any means necessary. On
August 10, a crowd stormed the Tuileries Palace, seizing the king
and his family.
Anonymous caricature depicting the

treatment given to the Brunswick
Manifesto by the French population.
The Brunswick Manifesto, rather than intimidate the populace into
submission, sent it into furious action and created fear and anger
towards the Allies. It also spurred revolutionaries to take further
action, organizing an uprising. On August 10, the Tuileries Palace
was stormed in a bloody battle with Swiss Guards protecting it, the
survivors of which were massacred by the mob.
The War of the First Coalition began with French victories, which
rejuvenated the nation and emboldened the National Convention to
abolish the monarchy. In 1793, the new French armies experienced
numerous defeats, which allowed the Jacobins to rise to power and
impose the Reign of Terror as a method of attempting to unify the
nation. In 1794, the situation improved dramatically for the French.
By 1795, they had captured the Austrian Netherlands and knocked
Spain and Prussia out of the war with the Peace of Basel. A hitherto
unknown general Napoleon Bonaparte began his first campaign in
Italy in April 1796. In less than a year, French armies under
Napoleon decimated the Habsburg forces and evicted them from the
Italian peninsula, winning almost every battle and capturing 150,000
prisoners. With French forces marching towards V ienna, the
Austrians sued for peace and agreed to the Treaty of Campo Formio,
ending the First Coalition against the Republic.
Second Coalition
The War of the Second Coalition (1798–1802) included an alliance
of Britain, Austria, Russia, the Ottoman Empire, Portugal, and
Naples. Their goal was to contain the spread of chaos from France
but they failed to overthrow the revolutionary regime, and French
territorial gains since 1793 were confirmed. The Coalition did very
well in 1799, but Russia pulled out. Napoleon took charge in France
in late 1799 and he and his generals defeated the Coalition. In the
Treaty of Luné ville in 1801, France held all of its previous gains and
obtained new lands in Tuscany, Italy, while Austria was granted
V enetia and the Dalmatian coast. Britain and France signed the
Treaty of Amiens in March 1802, bringing an interval of peace in
Europe that lasted for 14 months.
After a decade of constant warfare and aggressive diplomacy,

France seized and conquered a wide array of territories, from the
Italian Peninsula and the Low Countries in Europe to the Louisiana
Territory in North America. French success in these conflicts ensured
the spread of revolutionary principles over much of Europe.
22.4.4: Louis X V I and Marie-

Antoinette's Attempts to Escape
The Flight to V arennes, or the royal family's unsuccessful escape
from Paris during the night of June 20-21, 1791, undermined the
credibility of the king as a constitutional monarch and eventually led
to the escalation of the crisis and the execution of Louis X V I and
Marie Antoinette.
Learning Objective
Analyze the consequences of the royal family's attempted escapes
Key Points
Following the Women's March on V ersailles, the royal family
was forced to return to Paris. They remained virtual prisoners in
the Tuileries, the official residence of the king. Louis X V I
became emotionally paralyzed, leaving most important
decisions to the queen. At her insistence, Louis committed
himself and his family to a disastrous attempt of escape from the
capital to the eastern frontier on June 21, 1791.
Due to the cumulative effect of a host of errors that in and of
themselves would not have condemned the mission to failure,
the royal family was thwarted in its escape after Jean-Baptiste
Drouet, the postmaster of Sainte-Menehould, recognized the
king from his portrait. The king and his family were eventually
arrested in the town of V arennes, 31 miles from their ultimate
destination, the heavily fortified royalist citadel of Montmé dy.
The intended goal of the unsuccessful flight was to provide the
king with greater freedom of action and personal security than
was possible in Paris. At Montmé dy, General Franç ois Claude
de Bouillé concentrated a force of 10,000 regulars of the old
royal army who were still considered loyal to the monarchy. The
long-term political objectives of the royal couple and their
closest advisers remain unclear.
The credibility of the king as a constitutional monarch had been
seriously undermined. However, on July 15, 1791 the National
Constituent Assembly agreed that he could be restored to power
if he agreed to the constitution, although some factions opposed
the proposal. The decision led to the Champ de Mars Massacre
two days later.
From the autumn of 1791 on, the king tied his hopes of political
salvation to the dubious prospects of foreign intervention.
Prompted by Marie Antoinette, Louis rejected the advice of the
moderate constitutionalists, led by Antoine Barnave, to fully
implement the Constitution of 1791 he had sworn to maintain.
The outbreak of the war with Austria in April 1792 and the
publication of the Brunswick Manifesto led to the storming of the
Tuileries by Parisian radicals on August 10, 1792. This attack
led in turn to the suspension of the king's powers by the
Legislative Assembly and the proclamation of the First French
Republic on September 21. Some republicans called for the
king's deposition, others for his trial for alleged treason and
intended defection to the enemies of the French nation.
Convicted, Louis was sent to the guillotine on January 21, 1793.
Nine months later, Marie Antoinette was also convicted of
treason and beheaded on October 16.
Key Terms
Flight to V arennes
An unsuccessful attempt to escape Paris by King Louis X V I of

France, his wife Marie Antoinette, and their immediate family
during the night of June 20-21, 1791 to initiate a counter-
revolution at the head of loyal troops under royalist officers
concentrated at Montmé dy near the frontier. They escaped only
as far as the small town of V arennes, where they were arrested
after having been recognized at their previous stop in Sainte-
Menehould.
Brunswick Manifesto
A proclamation issued on July 25, 1792, by Charles William

Ferdinand, Duke of Brunswick, commander of the Allied Army
(principally Austrian and Prussian) to the population of Paris
during the War of the First Coalition. It threatened that if the
French royal family were harmed, then French civilians would be
harmed. It was a measure intended to intimidate Paris, but
instead, it helped further spur the increasingly radical French
Revolution.
Champ de Mars Massacre
A massacre that took place on July 17, 1791, in Paris in the

midst of the French Revolution. Two days earlier, the National
Constituent Assembly issued a decree that Louis X V I would
remain king under a constitutional monarchy. This decision
came after King Louis X V I and his family unsuccessfully tried to
flee France in the Flight to V arennes the month before. Later
that day, leaders of the republicans in France rallied against this
decision, eventually leading royalist Lafayette to order the
massacre.
A march on October 5, 1789, during the French Revolution

among women in the marketplaces of Paris who were near
rioting over the high price and scarcity of bread. Their
demonstrations quickly became intertwined with the activities of
revolutionaries, who were seeking liberal political reforms and a
constitutional monarchy for France. The market women and
their various allies grew into a crowd of thousands. Encouraged
by revolutionary agitators, they ransacked the city armory for
weapons and marched to the Palace of V ersailles.
Flight to V arennes
Following the Women's March on V ersailles, the royal family was
forced to return to Paris. Louis X V I attempted to work within the
framework of his limited powers but won little support. He and the
royal family remained virtual prisoners in the Tuileries, a royal and
imperial palace in Paris that served as the residence of most French
monarchs. For the next two years, the palace remained the official
residence of the king.
Louis X V I became emotionally paralyzed, leaving most important

decisions to the queen. Prodded by the queen, Louis committed the
family to a disastrous escape attempt from the capital to the eastern
frontier on June 21, 1791. With the dauphin's governess the
Marquise de Tourzel taking on the role of a Russian baroness, the
queen pretending to be a governess, the king's sister, Madame
É lisabeth a nurse, the king a valet, and the royal children the alleged
baroness' daughters, the royal family made their escape leaving the
Tuileries around midnight. The escape was largely planned by the
queen's favorite, the Swedish Count Axel von Fersenand the Baron
de Breteuil, who had garnered support from Swedish King Gustavus
III. Fersen had urged the use of two light carriages, which would
have made the 200-mile journey to Montmé dy relatively quickly.
However this would have involved splitting up the royal family and
Louis and Marie-Antoinette decided on the use of a heavy,
conspicuous coach drawn by six horses.
Due to the cumulative effect of a host of errors, which in and of

themselves would not have condemned the mission to failure, the
royal family was thwarted in its escape after Jean-Baptiste Drouet,
the postmaster of Sainte-Menehould, recognized the king from his
portrait. The king and his family were eventually arrested in the town
of V arennes, 31 miles from their ultimate destination, the heavily
fortified royalist citadel of Montmé dy.
The arrest of Louis X V I and his family
at the house of the registrar of
passports, at V arennes in J une 17 91
by Thomas Falcon Marshall.
The king's flight was traumatic for France. The realization that the
king had effectually repudiated the revolutionary reforms made to
that point came as a shock to people who until then had seen him as
a fundamentally decent king who governed as a manifestation of
God's will. They felt betrayed. Republicanism burst out of the
coffeehouses and became the dominant ideal of revolutionary
leaders.
The Question of Goals

The intended goal of the unsuccessful flight was to provide the king
with greater freedom of action and personal security than was
possible in Paris. At Montmé dy, General Franç ois Claude de Bouillé
concentrated a force of 10,000 regulars of the old royal army who
were still considered loyal to the monarchy. The long-term political
objectives of the royal couple and their closest advisers remain
unclear. A detailed document entitled Declaration to the French
People prepared by Louis for presentation to the National Assembly
and left behind in the Tuileries indicates that his personal goal was a
return to the concessions and compromises contained in the
declaration of the Third Estate in June 1789, immediately prior to the
outbreak of violence in Paris and the storming of the Bastille. Private
correspondence from Marie Antoinette takes a more reactionary line
of restoration of the old monarchy without concessions, although
referring to pardons for all but the revolutionary leadership and the
city of Paris.
The Champ de Mars Massacre

When the royal family finally returned under guard to Paris, the
revolutionary crowd met the royal carriage with uncharacteristic
silence and the royal family was again confined to the Tuileries
Palace. From this point forward, the abolition of the monarchy and
the establishment of a republic became an ever-increasing
possibility. The credibility of the king as a constitutional monarch had
been seriously undermined. However, on July 15, 1791, the National
Constituent Assembly agreed that the king could be restored to
power if he agreed to the constitution, although some factions
opposed the proposal.
Later that day, Jacques Pierre Brissot, editor and main writer of Le
Patriote franç ais and president of the Comité des Recherches of
Paris, drew up a petition demanding the removal of the king. A crowd
of 50,000 people gathered at the Champ de Mars on July 17 to sign
the petition, and about 6,000 had already signed. But earlier that
day, two suspicious people hidigg at the Champ de Mars were
hanged by those who found them. Jean Sylvain Bailly, the mayor of
Paris, used this incident to declare martial law. The Marquis de
Lafayette and the National Guard, which was under his command,
were temporarily able to disperse the crowd but even more people
returned later that afternoon. Lafayette again tried to disperse the
crowd, who in response threw stones at the National Guard. After
firing unsuccessful warning shots, the National Guard opened fire
directly on the crowd, an event known as the Champ de Mars
Massacre. The exact numbers of dead and wounded are unknown;
estimates range from 12 to 50 dead.
Ex ecution of Louis and Marie

Antoinette
From the autumn of 1791 on, the king tied his hopes of political
salvation to the dubious prospects of foreign intervention. Prompted
by Marie Antoinette, Louis rejected the advice of the moderate
constitutionalists, led by Antoine Barnave, to fully implement the
Constitution of 1791 he had sworn to maintain. He instead secretly
committed himself to covert counter-revolution. At the same time, the
king's failed escape attempt alarmed many other European
monarchs, who feared that the revolutionary fervor would spread to
their countries and result in instability outside France. Relations
between France and its neighbors, already strained because of the
revolution, deteriorated even further, with some foreign ministries
calling for war against the revolutionary government.
The outbreak of the war with Austria in April 1792 and the publication
of the Brunswick Manifesto led to the storming of the Tuileries by
Parisian radicals on August 10, 1792. This attack led in turn to the
suspension of the king's powers by the Legislative Assembly and the
proclamation of the First French Republic on September 21. In
November, proof of Louis X V I's dealings with the deceased
revolutionary politician Mirabeau and of his counterrevolutionary
intrigues with foreigners was found in a secret iron chest in the
Tuileries. It was now no longer possible to pretend that the reforms
of the French Revolution had been made with the free consent of the
king. Some republicans called for his deposition, others for his trial
for alleged treason and intended defection to the enemies of the
French nation. On December 3, it was decided that Louis X V I, who
together with his family had been imprisoned since August, should
be brought to trial for treason. He appeared twice before the National
Convention. Convicted, Louis was sent to the guillotine on January
21, 1793. Nine months later, Marie Antoinette was also convicted of
treason and beheaded on October 16.
Attributions
The Constitution of 1791
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https://en.wikipedia.org/wiki/Feuillant_(political_group).
"Champ de Mars Massacre."
https://en.wikipedia.org/wiki/Champ_de_Mars_Massacre.
"Paris Commune (French Revolution)."
https://en.wikipedia.org/wiki/Paris_Commune_(French_Rev
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"10 August (French Revolution)."
https://en.wikipedia.org/wiki/10_August_(French_Revolution
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"French Revolutionary Wars."
https://en.wikipedia.org/wiki/French_Revolutionary_Wars.
"French Constitution of 1791."
https://en.wikipedia.org/wiki/French_Constitution_of_1791.
"Constitution_de_1791._Page_1_-_Archives_Nationales_-
_AE-I-10-1.jpg."
https://commons.wikimedia.org/wiki/File:Constitution_de_17
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Politics within the Revolutionaries
"National Convention."
https://en.wikipedia.org/wiki/National_Convention.
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"Sans-culottes." https://en.wikipedia.org/wiki/Sans-culottes.
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https://en.wikipedia.org/wiki/Jacobin_(politics). Wikipedia
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"Left–right politics."
https://en.wikipedia.org/wiki/Left%E2%80%93right_politics.
"Cordeliers." https://en.wikipedia.org/wiki/Cordeliers.
"Legislative Assembly (France)."
https://en.wikipedia.org/wiki/Legislative_Assembly_(France)
CC BY-SA 3.0.
"The Mountain." https://en.wikipedia.org/wiki/The_Mountain.
"GirondistsForce.jpg."
https://commons.wikimedia.org/wiki/File:GirondistsForce.jpg
. Wikimedia Commons Public domain.
"800px-Club-des-jacobins.jpg."
https://commons.wikimedia.org/wiki/File:Club-des-
jacobins.jpg. Wikimedia Commons CC BY-SA 3.0.
Foreign Intervention
CC BY-SA 3.0.
"Brunswick Manifesto."
https://en.wikipedia.org/wiki/Brunswick_Manifesto.
"Girondins." https://en.wikipedia.org/wiki/Girondins.
"Jacobin (politics)."
https://en.wikipedia.org/wiki/Jacobin_(politics). Wikipedia
CC BY-SA 3.0.
"War of the Second Coalition."
https://en.wikipedia.org/wiki/War_of_the_Second_Coalition.
"War of the First Coalition."
https://en.wikipedia.org/wiki/War_of_the_First_Coalition.
"Declaration of Pillnitz."
https://en.wikipedia.org/wiki/Declaration_of_Pillnitz.
"Pillnitzer_Deklaration.jpg."
https://commons.wikimedia.org/wiki/File:Pillnitzer_Deklarati
on.jpg. Wikimedia Commons Public domain.
"Manifeste_de_Brunswick_caricature_1792.jpg."
https://commons.wikimedia.org/wiki/File:Manifeste_de_Brun
swick_caricature_1792.jpg. Wikimedia Commons Public
domain.
Louis X V I and Marie-Antoinette's Attempts to Escape
CC BY-SA 3.0.
"Flight to V arennes."
https://en.wikipedia.org/wiki/Flight_to_V arennes. Wikipedia
CC BY-SA 3.0.
"Champ de Mars Massacre."
https://en.wikipedia.org/wiki/Champ_de_Mars_Massacre.
"Tuileries Palace."
https://en.wikipedia.org/wiki/Tuileries_Palace# Louis_X V I.
"Arrest_of_Louis_X V I_and_his_Family_V arennes_1791.jpg.
"
https://commons.wikimedia.org/wiki/File:Arrest_of_Louis_X
V I_and_his_Family,_V arennes,_1791.jpg. Wikimedia
22.5 : The Reign of Terror
22.5 .1: The Legislative Assembly
The Legislative Assembly, the legislature of revolutionary
France from October 1, 1791 to September 20, 1792, provided the
focus of political debate and revolutionary law-making. However, its
tenure overlapped with a period of extreme political and social
chaos.
Learning Objective
Explain the structure and role of the Legislative Assembly
Key Points
The Legislative Assembly first met on October 1, 1791, under
the Constitution of 1791, consisting of 745 members. Few were
nobles, very few were clergymen, and the majority came from
the middle class. The members were generally young, and since
none had sat in the previous Assembly they largely lacked
national political experience.
From the beginning, relations between the king and the
Legislative Assembly were hostile. Louis repeatedly vetoed
decrees proposed by the Assembly and the war against Austria
(soon joined by Prussia) intensified tensions. Soon, the King
dismissed Girondins from the Ministry.
When the king formed a new cabinet mostly of Feuillants, the
breach with the king and the Assembly on one side and the
majority of the common people of Paris on the other. Events
came to a head in June when Lafayette sent a letter to the
Assembly recommending the suppression of the "anarchists"
and political clubs in the capital. The Demonstration of June 20
followed.
The Girondins made a last advance to Louis, offering to save
the monarchy if he would accept them as ministers. His refusal
united all the Jacobins in the project of overturning the
monarchy by force. The local leaders of this new stage of the
revolution were assisted in their work by the fear of invasion by
the allied army.
On the night of August 10, 1792, insurgents and popular militias,
supported by the revolutionary Paris Commune, assailed the
Tuileries Palace and massacred the Swiss Guards assigned for
the protection of the king. The royal family became prisoners
and a rump session of the Legislative Assembly suspended the
monarchy.
Chaos persisted until the National Convention, elected by
universal male suffrage and charged with writing a new
constitution, met on September 20, 1792, and became the
new de facto government of France. By the same token, the
Legislative Assembly ceased to exist.
Key Terms
September Massacres
A wave of killings in Paris (September 2-7, 1792) and other

cities in late summer 1792, during the French Revolution. They
were partly triggered by a fear that foreign and royalist armies
would attack Paris and that the inmates of the city's prisons
would be freed and join them. Radicals called for preemptive
action, which was undertaken by mobs of National
Guardsmen and some fé dé ré s. It was tolerated by the city
government, the Paris Commune, which called on other cities to
follow suit.
Brunswick Manifesto
A proclamation issued by Charles William Ferdinand, Duke of
Brunswick, commander of the Allied Army (principally Austrian
and Prussian), on July 25, 1792, to the population of Paris
during the War of the First Coalition. It threatened that if the
French royal family were harmed, French civilians would be
harmed. This measure was intended to intimidate Paris,but
instead helped further spur the increasingly radical French
Revolution.
Demonstration of June 20
The last peaceful attempt (1792) made by the people of Paris

during the French Revolution to persuade King Louis X V I of
France to abandon his current policy and attempt to follow what
they believed to be a more empathetic approach to governing.
Its objectives were to convince the government to enforce the
Legislative Assembly's rulings, defend France against foreign
invasion, and preserve the spirit of the French Constitution of
1791. The demonstrators hoped that the king would withdraw
his veto and recall the G irondin ministers. It was the last phase
of the unsuccessful attempt to establish a constitutional
monarchy in France.
Paris Commune

much power in 1794 and was replaced in 1795.

the National Convention.
Political Power at the

The Legislative Assembly first met on October 1, 1791 under the
Constitution of 1791, and consisted of 745 members. Few were
nobles, very few were clergymen, and the majority came from the
middle class. The members were generally young, and since none
had sat in the previous Assembly, largely lacked national political
experience.
The rightists within the assembly consisted of about 260 Feuillants

(constitutional monarchists), whose chief leaders, Gilbert du Motier
de La Fayette and Antoine Barnave, remained outside the Assembly
because of their ineligibility for re-election. They were staunch
constitutional monarchists, firm in their defense of the King against
the popular agitation. The leftists were 136 Jacobins (still including
the party later known as the Girondins or Girondists) and Cordeliers
(a populist group, whose many members would later become the
radical Montagnards). Its most famous leaders were Jacques Pierre
Brissot, the philosopher Condorcet, and Pierre V icturnien V ergniaud.
The Left drew its inspiration from the more radical tendency of the
Enlightenment, regarded the é migré nobles as traitors, and
espoused anticlericalism. They were suspicious of Louis X V I, some
favoring a general European war both to spread the new ideals of
liberty and equality and to put the king's loyalty to the test. The
remainder of the House, 345 deputies, belonged to no definite party
and were called the Marsh (Le Marais) or the Plain (La Plaine). They
were committed to the ideals of the Revolution and thus generally
inclined to side with the left but would also occasionally back
proposals from the right.
Some historians dispute these numbers and estimate that the
Legislative Assembly consisted of about 165 Feuillants (the right),
about 330 Jacobins (including Girondins; the left), and about 350
deputies, who did not belong to any definite party but voted most
often with the left. The differences emerge from how historians
approach data in primary sources, where numbers reported by the
clubs do not overlap with analyses of club membership conducted
independently by name.
Medal of the First French Legislative
Assembly ( 17 91-17 92) , Augustin
Challamel, Histoire-musé e de la
ré publique Franç aise, depuis
l'assemblé e des notables, Paris,
Delloye, 18 42.
The Legislative Assembly was driven by two opposing groups. The
first were conservative members of the bourgeoisie (wealthy middle
class in the Third Estate) that favored a constitutional monarchy,
represented by the Feuillants, who felt that the revolution had
already achieved its goal. The other group was the democratic
faction for whom the king could no longer be trusted, represented by
the new members of the Jacobin club that claimed that more
revolutionary measures were necessary.
Louis X V I's Relationship with the

Assembly
From the beginning, relations between the king and the Legislative
Assembly were hostile. Louis vetoed two decrees proposed in
November: that the é migré s assembled on the frontiers should be
liable to the penalties of death and confiscation if they remained so
assembled and that every non-juring clergyman must take the civic
oath on pain of losing his pension and potential deportation.
The war declared on April 20, 1792, against Austria (soon joined by
Prussia) started as a disaster for the French. Tensions between
Louis X V I and the Legislative Assembly intensified and the blame for
war failures was thrown first upon the king and his ministers and the
Girondins party. The Legislative Assembly passed decrees
sentencing any priest denounced by 20 citizens to immediate
deportation, dissolving the King's guard on the grounds that it was
manned by aristocrats, and establishing a camp of 20,000 national
guardsmen (Fé dé ré s) near Paris. The King vetoed the decrees and
dismissed Girondins from the Ministry. When the king formed a new
cabinet mostly of Feuillants, the breach between the king on the one
hand and the Assembly and the majority of the common people of
Paris on the other widened. Events came to a head in June when
Lafayette sent a letter to the Assembly recommending the
suppression of the "anarchists" and political clubs in the capital. The
Demonstration of June 20, 1792, followed as the last peaceful
attempt made by the people of Paris to persuade King Louis X V I of
France to abandon his current policy and attempt to follow what they
believed to be a more empathetic approach to governing .
The People Storming the Tuileries on
20 J une, 17 92, J acques-Antoine
Dulaure, Esquisses historiques des
principaux é vé nemens de la
ré volution, v. 2, Paris, Baudouin
frè res, 18 23.
The King's veto of the Legislative Assembly's decrees was published
on June 19, just one day before the 3rd anniversary of the Tennis
Court Oath that inaugurated the Revolution. The popular
demonstration of June 20, 1792, was organized to put pressure on
the King.
Events of August 10
The Girondins made a last advance to Louis offering to save the
monarchy if he would accept them as ministers. His refusal united all
the Jacobins in the project of overturning the monarchy by force. The
local leaders of this new stage of the revolution were assisted in their
work by the fear of invasion by the allied army. The Assembly
declared the country in danger and the Brunswick Manifesto,
combined with the news that Austrian and Prussian armies had
marched into French soil, heated the republican spirit to fury.
On the night of August 10, 1792, insurgents and popular militias

supported by the revolutionary Paris Commune assailed the Tuileries
Palace and massacred the Swiss Guards assigned for the protection
of the king. The royal family became prisoners and a rump session
of the Legislative Assembly suspended the monarchy. Little more
than a third of the deputies were present, almost all of them
Jacobins. What remained of a national government depended on the
support of the insurrectionary Commune. With enemy troops
advancing, the Commune looked for potential traitors in Paris and
sent a circular letter to the other cities of France inviting them to
follow this example. In Paris and many other cities, the massacres of
prisoners and priests (known as September Massacres) followed.
The Assembly could offer only feeble resistance. In October,
however, there was a counterattack accusing the instigators of being
terrorists. This led to a political contest between the more moderate
Girondists and the more radical Montagnards inside the Convention,
with rumor used as a weapon by both sides. The Girondists lost
ground when they seemed too conciliatory, but the pendulum swung
again after the men who endorsed the massacres were denounced
as terrorists.
Chaos persisted until the National Convention, elected by universal

male suffrage and charged with writing a new constitution, met on
September 20, 1792, and became the new de facto government of
France. The Legislative Assembly ceased to exist. The next day, the
Convention abolished the monarchy and declared a republic.
22.5 .2: The First French Republic and

Regicide
The execution of Louis X V I on January 21, 1793, radicalized the
French Revolution at home and united European monarchies against
revolutionary France.
Learning Objective
Evaluate the decision to execute the king and queen
Key Points
The Insurrection of August 10, 1792, led to the creation of the
National Convention, elected by universal male suffrage and
charged with writing a new constitution. On September 20, the
Convention became the new de facto government of France,
and the next day it abolished the monarchy and declared a
republic.
A commission was established to examine evidence against the
King while the Convention's Legislation Committee considered
legal aspects of any future trial. Most Montagnards (radical
republicans) favored judgement and execution, while the
Girondins (moderate republicans) were divided concerning
Louis's fate.
The trial began on December 3. The following day, the
Convention's president Bertrand Barè re de V ieuzac presented it
with the indictment and decreed the interrogation of Louis X V I.
Louis X V I heard 33 charges.
Given overwhelming evidence of Louis' collusion with the
invaders during the ongoing war with Austria and Prussia, the
verdict was a foregone conclusion. Ultimately, 693 deputies
voted "yes" in favor of a guilty verdict. Not a single deputy voted
"no," although 26 attached some condition to their votes. For
punishment, 361 voted for death without conditions, just carrying
the vote by a marginal majority.
On January 21, 1793, the former Louis X V I, now simply
named Citoyen Louis Capet (Citizen Louis Capet), was
executed by guillotine. Marie Antoinette was tried separately,
after Louis's death. She was guillotined on October 16, 1793.
In France, the Reign of Terror followed. Across Europe,
conservatives were horrified and monarchies called for war
against revolutionary France. The execution of Louis X V I united
all European governments, including Spain, Naples, and the
Netherlands, against the Revolution.
Key Terms
Paris Commune

summer of 1792, refusing to take orders from the central French
government. It took charge of routine civic functions but is best
known for mobilizing extreme views. It lost much power in 1794
and was replaced in 1795.
Insurrection of August 10, 1792

Guard of the insurrectional Paris Commune and
revolutionary fé dé ré s from Marseilles and Brittany resulted in
the fall of the French monarchy. King Louis X V I and the royal
family took shelter with the Legislative Assembly, which was
suspended. The formal end of the monarchy six weeks later was
one of the first acts of the new National Convention.

the National Convention.
The Aftermath of August 10

The Insurrection of August 10, 1792, was one of the defining events
in the history of the French Revolution. The storming of the Tuileries
Palace by the National Guard of the insurrectional Paris
Commune and revolutionary fé dé ré s (federates) from Marseilles and
Brittany resulted in the fall of the French monarchy. King Louis
X V I and the royal family took shelter with the Legislative Assembly,
which was suspended. Chaos persisted until the National
Convention, elected by universal male suffrage and charged with
writing a new constitution, met on September 20, 1792, and became
the new de facto government of France. The next day the
Convention abolished the monarchy and declared a republic.
The Convention's unanimous declaration of a French Republic on

September 21, 1792, left open the fate of the King. A commission
was established to examine evidence against him while the
Convention's Legislation Committee considered legal aspects of any
future trial. Most Montagnards (radical republicans) favored
judgement and execution, while the Girondins (moderate
republicans) were divided concerning Louis's fate, with some arguing
for royal inviolability, others for clemency, and still others for either
lesser punishment or death. On November 20, opinion turned
sharply against Louis following the discovery of a secret cache of
726 documents of his personal communications. Most of the pieces
of correspondence in the cabinet involved ministers of Louis X V I, but
others involved most of the big players of the Revolution. These
documents, despite the likely gaps and pre-selection showed the
duplicity of advisers and ministers—at least those that Louis X V I
trusted—who had set up parallel policies.
The Trial
The trial began on December 3. The following day, the Convention's
president Bertrand Barè re de V ieuzac presented it with the
indictment and decreed the interrogation of Louis X V I. The
Convention's secretary read the charges: "the French people"
accused Louis of committing "a multitude of crimes in order to
establish [ his] tyranny by destroying its liberty." Louis X V I heard 33
charges.
Louis X V I sought the most illustrious legal minds in France as his

defense team. The task of lead counsel eventually fell to Raymond
Desè ze, assisted by Franç ois Denis Tronchet and Guillaume-
Chré tien de Lamoignon de Malesherbes. Although he had only two
weeks to prepare his defense arguments, on December 26 Desè ze
pleaded the king's case for three hours, arguing eloquently yet
discreetly that the revolution spare his life.
Given overwhelming evidence of Louis's collusion with the invaders

during the ongoing war with Austria and Prussia, the verdict was a
foregone conclusion. Ultimately, 693 deputies voted "yes" for a guilty
verdict. Not a single deputy voted "no," although 26 attached some
condition to their votes. 26 deputies were absent from the vote, most
on official business. 23 deputies abstained for various reasons,
several because they felt they had been elected to make laws rather
than to judge.
For the king's sentence, deputy Jean-Baptiste Mailhe proposed

"Death, but (...) I think it would be worthy of the Convention to
consider whether it would be useful to policy to delay the execution."
This "Mailhe amendment," supported by 26 deputies, was regarded
by some of Mailhe's contemporaries as a conspiracy to save the
king's life. It was even suggested that Mailhe had been paid,
perhaps by Spanish gold. Paris voted overwhelmingly for death, 21
to 3. Robespierre voted first and said "The sentiment that led me to
call for the abolition of the death penalty is the same that today
forces me to demand that it be applied to the tyrant of my country."
Philippe É galité , formerly the Duke of Orlé ans and Louis' own
cousin, voted for his execution, a cause of much future bitterness
among French monarchists.
There were 721 voters in total. 34 voted for death with attached
conditions (23 of whom invoked the Mailhe amendment), 2 voted for
life imprisonment in irons, 319 voted for imprisonment until the end
of the war (to be followed by banishment). and 361 voted for death
without conditions, just carrying the vote by a marginal majority.
Louis was to be put to death.
Ex ecution
On January 21, 1793, Louis X V I awoke at 5 a.m. and heard his last
Mass. Upon Father Edgeworth's advice, he avoided a farewell scene
with his family. His royal seal was to go to the Dauphin and his
wedding ring to the Queen. At 10 a.m., a carriage with the king
arrived at Place de la Ré volution and proceeded to a space
surrounded by guns and drums and a crowd carrying pikes and
bayonets, which had been kept free at the foot of the scaffold. The
former Louis X V I, now simply named Citoyen Louis Capet (Citizen
Louis Capet), was executed by guillotine.
Marie Antoinette was tried separately, after Louis's death. She was
guillotined on October 16, 1793.
E xecution of Louis X VI, German
copperplate engraving, 17 93, by
Georg Heinrich Sieveking.
The body of Louis X V I was immediately transported to the old
Church of the Madeleine (demolished in 1799), since the legislation
in force forbade burial of his remains beside those of his father, the
Dauphin Louis de France, at Sens. On January 21, 1815 Louis X V I
and his wife's remains were reburied in the Basilica of Saint-Denis
where in 1816 his brother, King Louis X V III, had a funerary
monument erected by Edme Gaulle.
Aftermath of the Ex ecution

In April 1793, members of the Montagnards went on to establish the
Committee of Public Safety under Robespierre, which would be
responsible for the Terror (September 5, 1793 – July 28, 1794), the
bloodiest and one of the most controversial phases of the French
Revolution. The time between 1792 and 1794 was dominated by the
radical ideology until the execution of Robespierre in July 1794.
Across Europe, conservatives were horrified and monarchies called

for war against revolutionary France. The execution of Louis X V I
united all European governments, including Spain, Naples, and the
Netherlands, against the Revolution. France declared war against
Britain and the Netherlands on February 1, 1793, and soon
afterwards against Spain. In the course of 1793, the Holy Roman
Empire, the kings of Portugal and Naples, and the Grand-Duke of
Tuscany declared war against France. Thus, the First Coalition was
formed.
22.5 .3: Robespierre and the

Committee of Public Safety
The period of the Jacobin rule known as the Reign of Terror, under
the leadership of Maximilien Robespierre, was the first time in history
that terror became an official government policy with the stated aim
to use violence to achieve a higher political goal.
Learning Objective
Break down the politics of fear and how Robespierre used them to
control France
Key Points
The Reign of Terror (September 5, 1793 – July 28, 1794), also
known as The Terror, was a period of violence during the French
Revolution incited by conflict between two rival political factions,
the Girondins (moderate republicans) and the Jacobins (radical
republicans), and marked by mass executions of "the enemies
of the revolution."
The foundation of the Terror was centered around the April 1793
creation of the Committee of Public Safety. As a wartime
measure, the Committee was given broad supervisory powers
over military, judicial, and legislative efforts. Its power peaked
between August 1793 and July 1794 under the leadership of
Robespierre, who established a virtual dictatorship.
In June 1793, Paris sections took over the Convention, calling
for administrative and political purges, a low fixed price for
bread, and a limitation of the electoral franchise to sans-culottes
alone. The Jacobins identified themselves with the popular
movement and the sans-culottes, who in turn saw popular
violence as a political right. The sans-culottes, exasperated by
the inadequacies of the government, invaded the Convention
and overthrew the Girondins. In their place they endorsed the
political ascendancy of the Jacobins.
On June 24, the Convention adopted the first republican
constitution of France, the French Constitution of 1793. It was
ratified by public referendum, but never put into force. Like other
laws, it was indefinitely suspended and in October, it was
announced that the government of France would be
"revolutionary until the peace."
Although the Girondins and the Jacobins were both on the
extreme left and shared many of the same radical republican
convictions, the Jacobins were more brutally efficient in setting
up a war government. The year of Jacobin rule was the first time
in history that terror became an official government policy, with
the stated aim to use violence to achieve a higher political goal.
In June 1794, Robespierre, who favored deism over atheism,
recommended that the Convention acknowledge the existence
of his god. The next day, the worship of the deistic Supreme
Being was inaugurated as an official aspect of the revolution. As
a result of Robespierre's insistence on associating terror with
virtue, his efforts to make the republic a morally united patriotic
community became equated with the endless bloodshed.
Shortly after that, following a decisive military victory over
Austria at the Battle of Fleurus, Robespierre was overthrown on
July 27, 1794.
Key Terms
sans-culottes
A committee created in April 1793 by the National

Convention and then restructured in July 1793 to form the de
facto executive government in France during the Reign of
Terror (1793–94), a stage of the French Revolution.
Reign of Terror
A period of violence during the French Revolution incited by

conflict between two rival political factions, the Girondins and
the Jacobins, and marked by mass executions of "the enemies
of the revolution." The death toll ranged in the tens of
thousands, with 16,594 executed by guillotine and another
25,000 in summary executions across France.
National Convention

Republic after the insurrection of August 10, 1792.
The Reign of Terror (September 5, 1793 – July 28, 1794), also

known as The Terror, was a period of violence during the French
Revolution incited by conflict between two rival political factions, the
Girondins (moderate republicans) and the Jacobins (radical
republicans), and marked by mass executions of "the enemies of the
revolution." The death toll ranged in the tens of thousands, with
16,594 executed by guillotine and another 25,000 in summary
executions across France.
The Committee of Public Safety
The foundation of the Terror was the April 1793 creation of the
Committee of Public Safety. The National Convention believed that
the Committee needed to rule with "near dictatorial power" and gave
it new and expansive political powers to respond quickly to popular
demands. The Committee—composed at first of nine and later of 12
members—assumed its role of protecting the newly established
republic against foreign attacks and internal rebellion. As a wartime
measure, the Committee was given broad supervisory powers over
military, judicial, and legislative efforts. It was formed as an
administrative body to supervise and expedite the work of the
executive bodies of the Convention and the government ministers
appointed by the Convention. As the Committee tried to meet the
dangers of a coalition of European nations and counter-revolutionary
forces within the country, it became more and more powerful.
In July 1793, following the defeat at the Convention of the Girondists,

the prominent leaders of the radical Jacobins—Maximilien
Robespierre and Saint-Just —were added to the Committee. The
power of the Committee peaked between August 1793 and July
1794 under the leadership of Robespierre. In December 1793, the
Convention formally conferred executive power upon the Committee
and Robespierre established a virtual dictatorship.
Portrait of Max imilien de Robespierre
( 17 5 8 -17 94) by an unknown artist.
Influenced by 18th-century Enlightenment philosophes such as
Rousseau and Montesquieu, Robespierre was a capable articulator
of the beliefs of the left-wing bourgeoisie and a deist. He opposed
the dechristianization of France during the French Revolution. His
steadfast adherence and defense of the views he expressed earned
him the nickname l'I ncorruptible (The Incorruptible).
The Terror
In June 1793, Paris sections took over the Convention, calling for
administrative and political purges, a low fixed price for bread, and a
limitation of the electoral franchise to sans-culottes alone. The
Jacobins identified themselves with the popular movement and the
sans-culottes, who in turn saw popular violence as a political right.
The sans-culottes, exasperated by the inadequacies of the
government, invaded the Convention and overthrew the Girondins.
In their place they endorsed the political ascendancy of the Jacobins.
Robespierre came to power on the back of street violence.
Meanwhile, on June 24, the Convention adopted the first republican

constitution of France, the French Constitution of 1793. It was ratified
by public referendum but never put into force. Like other laws, it was
indefinitely suspended and in October, it was announced that the
government of France would be "revolutionary until the peace." In an
attempt to make their stance known to the world, the National
Convention, led by Robespierre, also released a statement of French
foreign policy. It served to further highlight the convention’s fear of
enemies of the Revolution. Because of this fear, several other pieces
of legislation passed that furthered the Jacobin domination of the
Revolution. This led to the consolidation, extension, and application
of emergency government devices to maintain what the Revolution
considered control.
Although the Girondins and the Jacobins were both on the extreme
left and shared many of the same radical republican convictions, the
Jacobins were more brutally efficient in setting up a war government.
The year of Jacobin rule was the first time in history that terror
became an official government policy, with the stated aim to use
violence to achieve a higher political goal. The Jacobins were
meticulous in maintaining a legal structure for the Terror, so clear
records exist for official death sentences. However, many more were
murdered without formal sentences pronounced in a court of law.
The Revolutionary Tribunal summarily condemned thousands of
people to death by guillotine, while mobs beat other victims to death.
Sometimes people died for their political opinions or actions, but
many for little reason beyond mere suspicion or because others had
a stake in getting rid of them. Among people who were condemned
by the revolutionary tribunals, about 8% were aristocrats, 6% clergy,
14% middle class, and 72% were workers or peasants accused of
hoarding, evading the draft, desertion, or rebellion.
The ex ecution of the Girondins,

moderate republicans, enemies of the
more radical J acobins. Author
unknown; source: " La Guillotine en
17 93" by Hector Fleischmann ( 1908 ) .
The passing of the Law of Suspects stepped political terror up to a
much higher level of cruelty. Anyone who ‘ by their conduct, relations,
words or writings showed themselves to be supporters of tyranny
and federalism and enemies of freedom’ was targeted and
suspected of treason. This created a mass overflow in the prison
systems. As a result, the prison population of Paris increased from
1,417 to 4,525 people over a three months.
The Republic of V irtue and the
Fall of Robespierre
In October 1793, a new law made all suspected priests and persons
who harbored them liable to summary execution. The climax of
extreme anti-clericalism was reached with the celebration of the
goddess Reason in Notre Dame Cathedral in November. In June
1794, Robespierre, who favored deism over atheism and had
previously condemned the Cult of Reason, recommended that the
convention acknowledge the existence of his god. On the next day,
the worship of the deistic Supreme Being was inaugurated as an
official aspect of the revolution. This austere new religion of virtue
was received with signs of hostility by the Parisian public. As a result
of Robespierre's insistence on associating Terror with V irtue, his
efforts to make the republic a morally united patriotic community
became equated with the endless bloodshed.
Following a decisive military victory over Austria at the Battle of

Fleurus, Robespierre was overthrown on July 27, 1794. His fall was
brought about by conflicts between those who wanted more power
for the Committee of Public Safety (and a more radical policy than he
was willing to allow) and moderates who completely opposed the
revolutionary government. Robespierre tried to commit suicide
before his execution by shooting himself, although the bullet only
shattered his jaw. He was guillotined on July 28. The reign of the
standing Committee of Public Safety was ended. New members
were appointed the day after Robespierre's execution and term limits
were imposed. The Committee's powers were reduced piece by
piece.
22.5 .4: The National Convention

The National Convention (1792-95), the first French assembly
elected by universal male suffrage, transitioned from being paralyzed
by factional conflicts to becoming the legislative body overseeing the
Reign of Terror and eventually accepting the Constitution of 1795.
Learning Objective
Recall the composition and role of the National Convention
Key Points
The National Convention was a single-chamber assembly in
France from September 20, 1792, to October 26, 1795, during
the French Revolution. It succeeded the Legislative
Assembly and founded the First Republic after the Insurrection
of August 10, 1792. It was the first French assembly elected by
universal male suffrage without distinctions of class.
Most historians divide the National Convention into two main
factions: the Girondins and the Montagnards. The Girondins
represented the more moderate elements of the Convention and
protested the vast influence held in the Convention by Parisians.
The Montagnards were much more radical and held strong
connections to the sans-culottes of Paris. Traditionally,
historians have also identified a centrist faction called the Plain,
but many historians tend to blur the line between the Plain and
the Girondins.
Within days, the Convention was overtaken by factional
conflicts.The political deadlock, which had repercussions all
over France, eventually drove both major factions to accept
dangerous allies. In June 1792, under the pressure of armed
sans-culottes, the Girondins ceased to be a political force.
Throughout the winter of 1792 and spring of 1793, Paris was
plagued by food riots and mass hunger. The new Convention,
occupied mostly with matters of war, did little to remedy the
problem until late spring of 1793. In April 1793, the Convention
created the Committee of Public Safety. Its dominance marked
the Reign of Terror.
In June, the Convention drafted the Constitution of 1793, which
was ratified by popular vote but not enacted. Simultaneously,
the Committee of Public Safety carried out thousands of
executions against supposed enemies of the young republic. Its
laws and policies took the revolution to unprecedented heights
—they introduced the revolutionary calendar in 1793, closed
churches in and around Paris as a part of a movement of
dechristianization, tried and executed Marie Antoinette, and
instituted the Law of Suspects, among other initiatives.
Members of various revolutionary factions and groups were
executed.
In July 1794, Robespierre was overthrown, the Jacobin club was
closed, and the surviving Girondins were reinstated. A year
later, the National Convention adopted the Constitution of 1795.
They reestablished freedom of worship, began releasing large
numbers of prisoners, and initiated elections for a new
legislative body. On November 3, 1795, a bicameral parliament
called the Directory was established and the National
Convention ceased to exist.
Key Terms
Law of Suspects
A decree passed by the Committee of Public Safety in

September 1793 during the Reign of Terror of the French
Revolution. It marked a significant weakening of individual
freedoms leading to "revolutionary paranoia" that swept the
nation. The law ordered the arrest of all avowed enemies and
likely enemies of the Revolution, which included nobles,
relatives of é migré s, officials removed from office, officers
suspected of treason, and hoarders of goods.
Reign of Terror

Declaration of the Rights of Man and Citizen

Insurrection of August 10, 1792

Guard of the insurrectional Paris Commune and
revolutionary fé dé ré s from Marseilles and Brittany resulted in
the fall of the French monarchy. King Louis X V I and the royal
family took shelter with the Legislative Assembly, which was
suspended. The formal end of the monarchy six weeks later was
one of the first acts of the new National Convention.
Thermidorian Reaction
A 1794 coup d'é tat within the French Revolution against the
leaders of the Jacobin Club that dominated the Committee of
Public Safety. It was triggered by a vote of the National
Convention to execute Maximilien Robespierre, Louis Antoine
de Saint-Just, and several other leading members of the
revolutionary government. It ended the most radical phase of

Convention and then restructured in July 1793 that formed
the de facto executive government in France during the Reign of
National Convention

Republic after the Insurrection of August 10, 1792.
sans-culottes

The National Convention was a single-chamber assembly in France

from September 20, 1792, to October 26, 1795, during the French
Revolution. It succeeded the Legislative Assembly and founded the
First Republic after the Insurrection of August 10, 1792. The
Legislative Assembly decreed the provisional suspension of King
Louis X V I and the convocation of a National Convention which was
to draw up a constitution. At the same time, it was decided that
deputies to that convention should be elected by all Frenchmen ages
25 and older domiciled for a year and living by the product of their
labor. The National Convention was therefore the first French
assembly elected by universal male suffrage, without distinctions of
class.
The election took place in September 1792. Owing to the abstention

of aristocrats and anti-republicans and the fear of victimization, the
voter turnout was low – 11.9% of the electorate. The universal male
suffrage had thus very little impact and the voters elected the same
sort of men that the active citizens had chosen in 1791. 75 members
sat in the National Constituent Assembly and 183 in the Legislative
Assembly. The full number of deputies was 749, not counting 33
from the French colonies, of whom only some arrived in Paris.
According to its own ruling, the Convention elected its President,

who was eligible for re-election, every fortnight. For both legislative
and administrative purposes, the Convention used committees, with
powers regulated by successive laws.
Girondins v. Montagnards
Most historians divide the National Convention into two main
factions: the Girondins and the Mountain or the Montagnards (in this
context, also referred to as Jacobins). The Girondins represented the
more moderate elements of the Convention and protested the vast
influence held in the Convention by Parisians. The Montagnards,
representing a considerably larger portion of the deputies, were
much more radical and held strong connections to the sans-culottes
of Paris. Traditionally, historians have identified a centrist faction
called the Plain, but many historians tend to blur the line between the
Plain and the Girondins.
Within days, the Convention was overtaken by factional conflicts.

Girondins were convinced that their opponents aspired to a bloody
dictatorship, while the Montagnards believed that Girondins were
ready for any compromise with conservatives and royalists that
would guarantee their remaining in power. The bitter enmity soon
paralyzed the Convention. The political deadlock, which had
repercussions all over France, eventually drove both major factions
to accept dangerous allies, royalists in the case of Girondins and the
sans-culottes in that of the Montagnards. In June 1792, 80,000
armed sans-culottes surrounded the Convention. After deputies who
attempted to leave were met with guns, they resigned themselves to
declare the arrest of 29 leading Girondins. Thus, the Girondins
ceased to be a political force.
Throughout the winter of 1792 and spring of 1793, Paris was
plagued by food riots and mass hunger. The new Convention,
occupied mostly with matters of war, did little to remedy the problem
until April 1793 when they created the Committee of Public Safety.
Eventually headed by Maximilien Robespierre, this committee was
given the monumental task of dealing with radical movements, food
shortages, riots and revolts (most notably in the V endé e and
Brittany), and recent defeats of its armies. In response, the
Committee of Public Safety instated a policy of terror and perceived
enemies of the republic were persecuted at an ever-increasing rate.
The period of the Committee's dominance during the Revolution is
known today as the Reign of Terror.
The Marseillais volunteers departing,
sculpted on the Arc de Triomphe.
"La Marseillaise" is the national anthem of France. The song was
written in 1792 by Claude Joseph Rouget de Lisle in Strasbourg after
the declaration of war by France against Austria. The National
Convention adopted it as the Republic's anthem in 1795. It acquired
its nickname after being sung in Paris by volunteers from Marseille
marching on the capital.
Despite growing discontent with the National Convention as a ruling
body, in June the Convention drafted the Constitution of 1793, which
was ratified by popular vote in early August. However, the
Committee of Public Safety was seen as an "emergency"
government and the rights guaranteed by the 1789 Declaration of
the Rights of Man and Citizen and the new constitution were
suspended under its control. The Committee carried out thousands
of executions against supposed enemies of the young Republic. Its
laws and policies took the revolution to unprecedented heights—they
introduced the revolutionary calendar in 1793, closed churches in
and around Paris as a part of a movement of dechristianization, tried
and executed Marie Antoinette, and instituted the Law of Suspects,
among others. Members of various revolutionary factions and groups
were executed including the Hé bertists and the Dantonists.
Shortly after a decisive military victory over Austria at the Battle of

Fleurus, Robespierre was overthrown in July 1794 and the reign of
the standing Committee of Public Safety was ended. After the arrest
and execution of Robespierre, the Jacobin club was closed, and the
surviving Girondins were reinstated (Thermidorian Reaction). A year
later, the National Convention adopted the Constitution of 1795.
They reestablished freedom of worship, began releasing large
numbers of prisoners, and most importantly, initiated elections for a
new legislative body. On November 3, 1795, the Directory - a
bicameral parliament - was established and the National Convention
ceased to exist.
22.5 .5 : The Thermidorian Reaction

The Thermidorian Reaction was a coup d'é tat during the French
Revolution resulting in a Thermidorian regime characterized by the
violent elimination of its perceived opponents.
Learning Objective
Describe the events of the Thermidorian Reaction
Key Points
The Thermidorian Reaction was a coup d'é tat within the French
Revolution against the leaders of the Jacobin Club who
dominated the Committee of Public Safety. It was triggered by a
vote of the National Convention to execute Maximilien
Robespierre, Louis Antoine de Saint-Just, and several other
leading members of the revolutionary government.
With Robespierre the sole remaining strongman of the
Revolution, his apparent total grasp on power became
increasingly illusory. In addition to widespread reaction to the
Reign of Terror, Robespierre's tight personal control of the
military, distrust of military might and banks, and opposition to
supposedly corrupt individuals in government made him the
subject of a number of conspiracies.
The conspiracies came together on Thermidor 9 (July 27) when
members of the national bodies of the revolutionary government
arrested Robespierre and the leaders of the Paris city
government. Not all of the conspiratorial groupings were
ideologically motivated.
The prime mover for the events was a Montagnard conspiracy,
which was gradually coalescing and came to pass when the
Montagnards finally swayed the deputies of the right over to
their side. In the end, Robespierre himself united his enemies
when he gave a speech to the Convention in which he railed
against enemies and conspiracies, some within the powerful
committees. As he did not give the names of the "traitors," all in
the Convention had reason to fear that they were the targets.
The Thermidorian regime that followed proved unpopular, facing
many rebellions after the execution of Robespierre and his
allies. The people who were involved with Robespierre became
the target, including many members of the Jacobin club, their
supporters, and individuals suspected of being past
revolutionaries. In addition, the sans-culottes were violently
suppressed by the Muscadin, a group of street fighters
organized by the new government. The massacre of these
groups became known as the White Terror.
Meanwhile, French armies overran the Netherlands and
established the Batavian Republic, occupied the left bank of the
Rhine and forced Spain, Prussia and several German states to
sue for peace, enhancing the prestige of the National
Convention. A new constitution was drawn up, which eased
back some of the democratic elements of the Constitution of
1793 and the Thermidorian regime ended.
Key Terms
de Saint-Just, and several other leaders of the revolutionary
government. It ended the most radical phase of the French
Revolution.
Reign of Terror

White Terror
A period of political violence during the French

Revolution following the death of Robespierre and the end of the
Reign of Terror. It was started by a group in the south of France
calling themselves The Companions of Jehu. They planned a
double uprising to coincide with invasions by Great Britain in the
west and Austria in the east.
Paris Commune

much power in 1794 and was replaced in 1795.
National Convention


Convention and then restructured in July 1793. It formed the de
The Thermidorian Reaction was a coup d'é tat within the French
Revolution against the leaders of the Jacobin Club who dominated
the Committee of Public Safety. It was triggered by a vote of the
National Convention to execute Maximilien Robespierre, Louis
Antoine de Saint-Just, and several other leaders of the revolutionary
government. The name Thermidorian refers to Thermidor 9, Year II
(July 27, 1794), the date according to the French Republican
Calendar when Robespierre and other radical revolutionaries came
under concerted attack in the National Convention. Thermidorian
Reaction also refers to the period until the National Convention was
superseded by the Directory (also called the era of the Thermidorian
Convention).
Conspiracies against
Robespierre
With Robespierre the sole remaining strongman of the Revolution
following the assassination of Jean-Paul Marat and the executions of
Jacques Hé bert, Georges Danton, and Camille Desmoulins, his
apparent total grasp on power became increasingly illusory,
especially support from factions to his right. Robespierre's only real
political power at the time lay in the Jacobin Club, which had
extended itself beyond the borders of Paris and into the country. In
addition to widespread reaction to the Reign of Terror, Robespierre's
tight personal control of the military, distrust of military might and of
banks, and opposition to supposedly corrupt individuals in
government made him the subject of a number of conspiracies. The
conspiracies came together on Thermidor 9 (July 27) when members
of the national bodies of the revolutionary government arrested
Robespierre and the leaders of the Paris city government. Not all the
conspiratorial groupings were ideological in motivation. Many who
conspired against Robespierre did so for strong practical and
personal reasons, most notably self-preservation. The left was
opposed to Robespierre because he rejected atheism and was not
sufficiently radical.
The prime mover, however, for the events of Thermidor 9 was a

Montagnard conspiracy led by Jean-Lambert Tallien and Bourdon de
l'Oise, which was gradually coalescing and came to pass when the
Montagnards finally swayed the deputies of the right over to their
side (Robespierre and Saint-Just were themselves Montagnards).
Joseph Fouché also played an important role as instigator of the
events. In the end, iRobespierre himself united his enemies. On
Thermidor 8 (July 26), he gave a speech to the Convention in which
he railed against enemies and conspiracies, some within the
powerful committees. As he did not give the names of the "traitors,"
all in the Convention had reason to fear that they were the targets.
Robespierre was declared an outlaw and condemned without judicial
process. The following day, Thermidor 10 (July 28, 1794), he was
executed with 21 of his closest associates.
The Closing of the J acobin Club,

during the night of J uly 27 -28 , 17 94.
Print by Claude Nicolas Malapeau
( 17 5 5 -18 03) after an etching by J ean
Duplessis-Bertaux ( 17 47 -18 19) .
For historians of revolutionary movements, the term Thermidor has
come to mean the phase in some revolutions when power slips from
the hands of the original revolutionary leadership and a radical
regime is replaced by a more conservative regime, sometimes to the
point at which the political pendulum swings back towards something
resembling a pre-revolutionary state.
Thermidorian Regime
The Thermidorian regime that followed proved unpopular, facing
many rebellions after the execution of Robespierre and his allies
along with 70 members of the Paris Commune. This was the largest
mass execution that ever took place in Paris and led to a fragile
situation in France. The hostility towards Robespierre did not just
vanish with his execution. Instead, the people involved with
Robespierre became the target, including many members of the
Jacobin club, their supporters, and individuals suspected of being
past revolutionaries. In addition, the sans-culottes faced violent
suppression by the Muscadin, a group of street fighters organized by
the new government. The massacre of these groups became known
as the White Terror. Often members of targeted groups were the
victims of prison massacres or put on trial without due process,
similar conditions to those provided to the counter-revolutionaries
during the Reign of Terror. The Thermidorian regime excluded the
remaining Montagnards from power, even those who had joined in
conspiring against Robespierre and Saint-Just. The White Terror of
1795 resulted in numerous imprisonments and several hundred
executions, almost exclusively of people on the political left.
Meanwhile, French armies overran the Netherlands and established

the Batavian Republic, occupied the left bank of the Rhine, and
forced Spain, Prussia and several German states to sue for peace,
enhancing the prestige of the National Convention. A new
constitution called the Constitution of the Year III (1795) was drawn
up, which eased back some of the democratic elements of the
Constitution of 1793. On October 25, the Convention declared itself
dissolved and was replaced by the French Directory on November 2.
22.5 .6: Structure of the Directory

The Directory, a five-member committee that governed France from
November 1795 to November 1799, failed to reform the disastrous
economy, relied heavily on army and violence, and represented
another turn towards dictatorship during the French Revolution.
Learning Objective
Explain the structure and role of the Directory
Key Points
The Constitution of 1795 created the Directory with a bicameral
legislature consisting of the Council of Five Hundred (lower
house) and the Council of Ancients (upper house). Besides
functioning as legislative bodies, the Council of Five Hundred
proposed the list from which the Council of Ancients chose five
directors who jointly held executive power. The new Constitution
sought to create a separation of powers, but in reality power
was in the hands of the five members of the Directory.
In October 1795, the elections for the new Councils decreed by
the new constitution took place, with the universal male suffrage
of 1793 replaced by limited suffrage based on property. 379
members of the National Convention, for the most part
moderate republicans, were elected to the new legislature. To
assure that the Directory did not abandon the Revolution
entirely, the Council required all members of the Directory to be
former members of the Convention and regicides, those who
had voted for the execution of Louis X V I.
On October 31, 1795, the members of the Council of Five
Hundred submitted a list of candidates to the Council of
Ancients, which chose the first Directory. Only one out of the five
original members served on the Directory throughout its entire
existence.
State finances were in total disarray. The government could only
cover its expenses through the plunder and the tribute of foreign
countries. The Directory was continually at war with foreign
coalitions. The wars exhausted the state budget but if peace
were made, the armies would return home and the directors
would have to face the exasperation of the rank-and-file who
had lost their livelihood, as well as the ambition of generals who
could, in a moment, brush them aside.
The Directory denounced the arbitrary executions of the Reign
of Terror, but it also engaged in large-scale illegal repressions
and even massacres of civilians. Although committed to
republicanism, it distrusted the existing, albeit limited,
democracy. It also increasingly depended on the Army in foreign
and domestic affairs, including finance. The patronage of the
directors was ill-bestowed and the general maladministration
heightened their unpopularity.
On November 9, 1799 (18 Brumaire of the Year V III), Napoleon
Bonaparte staged the Coup of 18 Brumaire which installed the
Consulate. This effectively led to Bonaparte's dictatorship and in
1804 to his proclamation as emperor, which ended the
specifically republican phase of the French Revolution.
Key Terms
The Directory
A five-member committee that governed France from November

1795, when it replaced the Committee of Public Safety, until it
was overthrown by Napoleon Bonaparte in the Coup of 18
Brumaire (November 8-9, 1799) and replaced by the Consulate.
It gave its name to the final four years of the French Revolution.
Coup of 18 Fructidor
A seizure of power by members of the French Directory on

September 4, 1797, when their opponents, the Royalists, were
gaining strength.
Council of Ancients
The upper house of the legislature of France during the period

commonly known (from the name of the executive branch during
this time) as the Directory, from August 22, 1795 until November
9, 1799, roughly the second half of the French Revolution.
Reign of Terror

Coup of 18 Brumaire
A bloodless coup d'é tat under the leadership of Napoleon

Bonaparte that overthrew the Directory, replacing it with the
French Consulate. It took place on November 9, 1799, 18
Brumaire, Year V III under the French Republican Calendar.
War in the V endé e
A 1793-1796 uprising in the V endé e region of France during the

French Revolution. Initially, the war was similar to the 14th-
century Jacquerie peasant uprising, but quickly acquired themes
considered by the Paris government to be counter-revolutionary
and Royalist.
Council of Five Hundred
The lower house of the legislature of France during the period

commonly known (from the name of the executive branch during
this time) as the Directory, from August 22, 1795, until
November 9, 1799, roughly the second half of the French
Revolution.
National Convention

The New Legislature and the
Government
The Constitution of 1795 created the Directory with a bicameral
legislature consisting of the Council of Five Hundred (lower house)
and the Council of Ancients (upper house). Besides functioning as
legislative bodies, the Council of Five Hundred proposed the list from
which the Council of Ancients chose five Directors who jointly held
executive power. The new Constitution sought to create a separation
of powers: the Directors had no voice in legislation or taxation, nor
could Directors or Ministers sit in either house. In essence, however,
power was in the hands of the five members of the Directory.
In October 1795, immediately after the suppression of a royalist

uprising in Paris, the elections for the new Councils decreed by the
new constitution took place. The universal male suffrage of 1793
was replaced by limited suffrage based on property. 379 members of
the National Convention, for the most part moderate republicans,
were elected to the new legislature. To assure that the Directory did
not abandon the Revolution entirely, the Council required all the
members of the Directory to be former members of the Convention
and regicides, those who had voted for the execution of Louis X V I.
Due to the rules established by the National Convention, a majority
of members of the new legislature had served in the Convention and
were ardent republicans, but many new deputies were royalists: 118
versus 11 from the left. The members of the upper house, the
Council of Ancients, were chosen by lot from among all of the
deputies.
On October 31, 1795, the members of the Council of Five Hundred

submitted a list of candidates to the Council of Ancients, which
chose the first Directory. It consisted of Paul Franç ois Jean Nicolas
(commonly known as Paul Barras; the dominant figure in the
Directory known for his skills in political intrigue), Louis Marie de La
Ré velliè re-Lé peaux (a fierce republican and anti-Catholic), Jean-
Franç ois Rewbell (expert in foreign relations and a firm moderate
republican), É tienne-Franç ois Le Tourneur (a specialist in military
and naval affairs), and Lazare Nicolas Marguerite Carnot (an
energetic and efficient manager who restructured the French
military). Out of the five members, only Barras served during the
entire time the Directory existed.
Administration of the Directory

State finances were in total disarray. The government could only
cover its expenses through the plunder and tribute of foreign
countries. The Directory was continually at war with foreign
coalitions, which at different times included Britain, Austria, Prussia,
the Kingdom of Naples, Russia, and the Ottoman Empire. It annexed
Belgium and the left bank of the Rhine, while Napoleon Bonaparte
conquered a large part of Italy. The Directory established six short-
lived sister republics modeled after France in Italy, Switzerland, and
the Netherlands. The conquered cities and states were required to
send to France huge amounts of money as well as art treasures,
which were used to fill the new Louvre museum in Paris. An army led
by Bonaparte conquered Egypt and marched as far as Saint-Jean-
d'Acre in Syria. The Directory defeated a resurgence of the War in
the V endé e, the royalist-led civil war in the V endé e region, but failed
in its venture to support the Irish Rebellion of 1798 and create an
Irish Republic. The wars exhausted the state budget but if peace
was made, the armies would return home and the directors would
have to face the exasperation of the rank-and-file who had lost their
livelihoods and the ambition of generals who could at any moment
brush them aside.
The Directory denounced the arbitrary executions of the Reign of

Terror, but also engaged in large-scale illegal repressions and even
massacres of civilians (War in the V endé e). The failing economy and
high cost of food especially hurt the poor. Although committed to
republicanism, the Directory distrusted the existing, albeit limited,
democracy. When the elections of 1798 and 1799 were carried by
the opposition, it used the Army to imprison and exile opposition
leaders and close opposition newspapers. It also
increasingly depended on the Army in foreign and domestic affairs,
including finance. Barras and Rewbell were notoriously corrupt and
screened corruption in others. The patronage of the directors was ill-
bestowed and the general maladministration heightened their
unpopularity.
Public Discord
With the establishment of the Directory, contemporary observers
might have assumed that the Revolution was finished. Citizens of the
war-weary nation wanted stability, peace, and an end to conditions
that at times bordered on chaos. Those on the right who wished to
restore the monarchy by putting Louis X V III on the throne, and those
on the left who would have renewed the Reign of Terror tried but
failed to overthrow the Directory. The earlier atrocities had made
confidence or goodwill between parties impossible.
The new ré gime met opposition from Jacobins on the left and
Royalists (secretly subsidized by the British government) on the
right. The army suppressed riots and counter-revolutionary activities,
but the rebellion and in particular Napoleon gained massive power.
In the elections of 1797 for one-third of the seats, the Royalists won
the great majority and were poised to take control of the Directory in
the next election. The Directory reacted by purging all the winners in
the Coup of 18 Fructidor, banishing 57 leaders to certain death in
Guiana and closing 42 newspapers. By the same token, it rejected
democratic elections and kept its old leaders in power.
Sent by Napoleon from Italy, Pierre
Augereau and his troops storm
Tuileries and capture Generals
Charles Pichegru and W illot. Coup
d'é tat of 18 Fructidor, year V
( September 4, 17 97 ) . Engraving by
Berthault, based on a drawing by
Girardet.
On September 4, 1797, with the army in place, the Coup d'é tat of 18
Fructidor, Year V was set in motion. General Augereau's soldiers
arrested Pichegru, Barthé lemy, and the leading royalist deputies of
the Councils. The next day, the Directory annulled the elections of
about two hundred deputies in 53 departments. 65 deputies were
deported to Guiana, 42 royalist newspapers were closed, and 65
journalists and editors were deported.
On November 9, 1799 (18 Brumaire of the Year V III) Napoleon

Bonaparte staged the Coup of 18 Brumaire, which installed the
Consulate. This effectively led to Bonaparte's dictatorship and in
1804 to his proclamation as emperor. This ended the specifically
republican phase of the French Revolution.
Historians have assessed the Directory as a government of self-

interest rather than virtue that lost any claim on idealism. It never
had a strong base of popular support. When elections were held,
most of its candidates were defeated. Its achievements were minor
and the approach reflected another turn towards dictatorship and the
failure of liberal democracy. V iolence, arbitrary and dubious forms of
justice, and heavy-handed repression were methods commonly
employed by the Directory.
22.5 .7 : Napoleon's Rise to Power

Napoleon's Italian victories overshadowed his Egyptian defeats
during the French Revolutionary Wars, while his position at home
strengthened after the Directory became dependent on the military.
This made Napoleon the greatest enemy of the same government
that relied on his protection.
Learning Objective
Review Napoleon's career from the military to the Directory
Key Points
Upon graduating from the prestigious É cole Militaire (military
academy) in Paris in September 1785, Bonaparte was
commissioned as a second lieutenant in an artillery regiment.
He spent the early years of the Revolution in Corsica, fighting in
a complex three-way struggle among royalists, revolutionaries,
and Corsican nationalists. He supported the republican Jacobin
movement and was promoted to captain in 1792, despite
exceeding his leave of absence and leading a riot against a
French army in Corsica.
Bonaparte was promoted to brigadier general at the age of 24.
Catching the attention of the Committee of Public Safety, he was
put in charge of the artillery of France's Army of Italy.
Following the fall of Robespierre and the Thermidorian Reaction
in July 1794, Napoleon, although closely associated with
Robespierre, was released from the arrest within two weeks and
asked to draw up plans to attack Italian positions in the context
of France's war with Austria.
In October 1795, royalists in Paris declared a rebellion against
the National Convention. Under the leadership of Napoleon, the
attackers were repelled on October 5, 1795 (13 V endé miaire).
1,400 royalists died and the rest fled. The defeat of the royalist
insurrection earned Bonaparte sudden fame, wealth, and the
patronage of the new government, the Directory.
During the French Revolutionary Wars, Napoleon was
successful in a daring invasion of Italy although he failed to
seize Egypt and thereby undermine Britain's access to its trade
interests in India. After the victories in the Italian campaign and
despite the defeats in the Egyptian campaign, Napoleon was
welcomed in France as a hero.
Napoleon drew together an alliance with a number of prominent
political figures and they overthrew the Directory by a coup
d'é tat on November 9, 1799 (Coup of 18th Brumaire). His power
was confirmed by the new Constitution of 1799, which
preserved the appearance of a republic but in reality established
a dictatorship.
Key Terms
de Saint-Just, and several other leaders of the revolutionary
government. It ended the most radical phase of the French
Revolution.

Convention and restructured in July 1793 that formed the de
13 V endé miaire
A name given to an October 5, 1795, battle between the French

Revolutionary troops and royalist forces in the streets of Paris.
The battle was largely responsible for the rapid advancement of
Republican General Napoleon Bonaparte's career. The name
comes from the date of the battle according to the French
Republican Calendar.
Directory

National Convention

Coup of 18th Brumaire

A series of sweeping military conflicts lasting from 1792 until

1802, resulting from the French Revolution. They pitted the
French First Republic against Britain, Austria, and several other
Coup of 18 Fructidor
A seizure of power by members of the French Directory on

September 4, 1797, when their opponents, the Royalists, were
gaining strength.
Napoleon Bonaparte (1769 – 1821) was a French military and

political leader who rose to prominence during the French
Revolution and led several successful campaigns during the
Revolutionary Wars. As Napoleon I, he was emperor of the
French from 1804 until 1814, and again in 1815. He dominated
European and global affairs for more than a decade while leading
France against a series of coalitions in the Napoleonic Wars. He
remains one of the most celebrated and controversial political figures
in human history.
Early Career
Upon graduating from the prestigious É cole Militaire (military
academy) in Paris in September 1785, Bonaparte was
commissioned as a second lieutenant in an artillery regiment. He
served in V alence and Auxonne until after the outbreak of the
Revolution in 1789 and took nearly two years' leave in Corsica
(where he was born and spent his early years) and Paris during this
period. At this time, he was a fervent Corsican nationalist. He spent
the early years of the Revolution in Corsica, fighting in a complex
three-way struggle among royalists, revolutionaries, and Corsican
nationalists. He was a supporter of the republican Jacobin
movement, organizing clubs in Corsica, and was given command
over a battalion of volunteers. He was promoted to captain in the
regular army in 1792, despite exceeding his leave of absence and
leading a riot against a French army in Corsica.
He returned to Corsica and came into conflict with the Corsican

leader Pasquale Paoli, who decided to split with France and
sabotage the French assault on the Sardinian island of La
Maddalena. Bonaparte and his family fled to the French mainland in
June 1793 because of the conflict with Paoli.
Napoleon Bonaparte, aged 23,
lieutenant-colonel of a battalion of
Corsican Republican volunteers,
paitning by Henri Fé lix Emmanuel
Philippoteaux , ca. 18 34.
Born and raised in Corsica, Napoleon's first language was Corsican
and he always spoke French with a marked Corsican accent . The
Corsican Buonapartes were descended from minor Italian nobility of
Tuscan origin, who had come to Corsica from Liguria in the 16th
century. His father Carlo Buonaparte was named Corsica's
representative to the court of Louis X V I in 1777.
Bonaparte was promoted to brigadier general at the age of 24.

Catching the attention of the Committee of Public Safety, he was put
in charge of the artillery of France's Army of Italy. He devised plans
for attacking the Kingdom of Sardinia as part of France's campaign
against the First Coalition. The French army carried out Bonaparte's
plan in the Battle of Saorgio in April 1794 and then advanced to
seize Ormea in the mountains. From Ormea, they headed west to
outflank the Austro-Sardinian positions around Saorge. After this
campaign, he was sent on a mission to the Republic of Genoa to
determine that country's intentions towards France.
Rise as a Military Leader

Following the fall of Robespierre and the Thermidorian Reaction in
July 1794, Napoleon, although closely associated with Robespierre,
was released from the arrest within two weeks. He was asked to
draw up plans to attack Italian positions in the context of France's
war with Austria. He also took part in an expedition to take back
Corsica from the British, but the French were repelled by the British
Royal Navy.
In October 1795, royalists in Paris declared a rebellion against the

National Convention. Paul Barras, a leader of the Thermidorian
Reaction, knew of Bonaparte's earlier military exploits and gave him
command of the improvised forces in defense of the Convention in
the Tuileries Palace. Napoleon had seen the massacre of the King's
Swiss Guard there three years earlier and realized that artillery
would be the key to its defense. He ordered a young cavalry officer
named Joachim Murat to seize large cannons and used them to
repel the attackers on October 5, 1795 (13 V endé miaire in the
French Republican Calendar). 1,400 royalists died and the rest fled.
The defeat of the royalist insurrection extinguished the threat to the
Convention and earned Bonaparte sudden fame, wealth, and the
patronage of the new government, the Directory. He was promoted
to Commander of the Interior and given command of the Army of
Italy.
Conquest of Italy
During the French Revolutionary Wars, Napoleon was successful in
a daring invasion of Italy. In the Montenotte Campaign, he separated
the armies of Sardinia and Austria, defeating each one in turn, and
then forced a peace on Sardinia. Following this, his army captured
Milan and started the Siege of Mantua. Bonaparte defeated
successive Austrian armies under three different leaders while
continuing the siege.
The next phase of the conflict featured the French invasion of the
Habsburg heartlands. In the first encounter between the two armies,
Napoleon pushed back his opponents and advanced deep into
Austrian territory. The Austrians were alarmed by the French thrust
that reached all the way to Leoben, not very far from V ienna, and
finally decided to sue for peace. The Treaty of Leoben, followed by
the more comprehensive Treaty of Campo Formio, gave France
control of most of northern Italy and the Low Countries, and a secret
clause promised the Republic of V enice to Austria. Bonaparte
marched on V enice and forced its surrender, ending 1,100 years of
independence. He also authorized the French to loot treasures.
In the Italian campaign, Bonaparte's army captured 150,000

prisoners, 540 cannons, and 170 standards. The French army fought
67 actions and won 18 pitched battles through superior artillery
technology and Bonaparte's tactics. During the campaign, Bonaparte
became increasingly influential in French politics. The royalists
attacked Bonaparte for looting Italy and warned that he might
become a dictator. Bonaparte also sent General Pierre Augereau to
Paris to lead a coup d'é tat and purge the royalists on September 4
(Coup of 18 Fructidor). This left Barras and his republican allies in
control again but dependent on Bonaparte, who proceeded to peace
negotiations with Austria. These negotiations resulted in the Treaty
of Campo Formio, and Bonaparte returned to Paris in December as
a hero. He met Talleyrand, France's new Foreign Minister—who
served in the same capacity for Emperor Napoleon—and they began
to prepare for an invasion of Britain.
Ex pedition to Egypt
Bonaparte decided on a military expedition to seize Egypt and
thereby undermine Britain's access to its trade interests in India.
Bonaparte wished to establish a French presence in the Middle East,
with the ultimate dream of linking with Tipu Sultan, a Muslim enemy
of the British in India. In May 1798, Bonaparte was elected a
member of the French Academy of Sciences. His Egyptian
expedition included a group of 167 scientists, with mathematicians,
naturalists, chemists, and geodesists among them (their discoveries
included the Rosetta Stone).
General Bonaparte and his expedition eluded pursuit by the Royal

Navy and landed at Alexandria in July. In August, the British fleet
under Horatio Nelson captured or destroyed all but two French
vessels in the Battle of the Nile, defeating Bonaparte's goal to
strengthen the French position in the Mediterranean. In early 1799,
he moved an army into the Ottoman province of Damascus (Syria
and Galilee). Bonaparte led 13,000 French soldiers in the conquest
of the coastal towns of Arish, Gaza, Jaffa, and Haifa. The attack on
Jaffa was particularly brutal. Bonaparte discovered that many of the
defenders were former prisoners of war, ostensibly on parole, so he
ordered the garrison and 1,400 prisoners to be executed by bayonet
or drowning to save bullets. Men, women, and children were robbed
and murdered for three days.
Bonaparte began with an army of 13,000 men: 1,500 were reported

missing, 1,200 died in combat, and thousands perished from
disease. He failed to reduce the fortress of Acre, so he marched his
army back to Egypt in May. To speed up the retreat, Bonaparte
ordered plague-stricken men to be poisoned with opium. The
number who died remains disputed, ranging from a low of 30 to a
high of 580. He also brought out 1,000 wounded men.
The 18 th Brumaire
Despite the failures in Egypt, Napoleon returned to a hero's
welcome. He allied with a number of prominent political figures
tooverthrew the Directory by a coup d'é tat on November 9, 1799
(Coup of 18th Brumaire, according to the revolutionary calendar),
closing down the Council of Five Hundred. Napoleon became "first
consul" for ten years, and appointed two consuls who had
consultative voices only. His power was confirmed by the new
Constitution of 1799, which preserved the appearance of a republic
but in reality established a dictatorship.
Attributions
The Legislative Assembly
CC BY-SA 3.0.
"Louis X V I and the Legislative Assembly."
https://en.wikipedia.org/wiki/Louis_X V I_and_the_Legislative
_Assembly. Wikipedia CC BY-SA 3.0.
"September Massacres."
https://en.wikipedia.org/wiki/September_Massacres.
"Paris Commune."
https://en.wikipedia.org/wiki/Paris_Commune. Wikipedia CC
BY-SA 3.0.
"Demonstration of 20 June 1792."
https://en.wikipedia.org/wiki/Demonstration_of_20_June_17
"LegislativeAssemblyMedal.jpg."
https://commons.wikimedia.org/wiki/File:LegislativeAssembl
yMedal.jpg. Wikimedia Commons Public domain.
"PeopleStormingTuileries.jpg."
https://commons.wikimedia.org/wiki/File:PeopleStormingTuil
eries.jpg. Wikimedia Commons Public domain.
The First French Republic and Regicide
CC BY-SA 3.0.
"Maximilien Robespierre."
https://en.wikipedia.org/wiki/Maximilien_Robespierre.
"Paris Commune."
https://en.wikipedia.org/wiki/Paris_Commune. Wikipedia CC
BY-SA 3.0.
"Execution of Louis X V I."
https://en.wikipedia.org/wiki/Execution_of_Louis_X V I.
"Armoire de fer."
https://en.wikipedia.org/wiki/Armoire_de_fer. Wikipedia CC
BY-SA 3.0.
"Trial of Louis X V I."
https://en.wikipedia.org/wiki/Trial_of_Louis_X V I. Wikipedia
CC BY-SA 3.0.
"Marie Antoinette."
CC BY-SA 3.0.
CC BY-SA 3.0.
"Hinrichtung_Ludwig_des_X V I.png."
https://commons.wikimedia.org/wiki/File:Hinrichtung_Ludwi
g_des_X V I.png. Wikimedia Commons Public domain.
Robespierre and the Committee of Public Safety
"Reign of Terror."
https://en.wikipedia.org/wiki/Reign_of_Terror. Wikipedia CC
BY-SA 3.0.
CC BY-SA 3.0.
"Maximilien Robespierre."
https://en.wikipedia.org/wiki/Maximilien_Robespierre.
"Committee of Public Safety."
https://en.wikipedia.org/wiki/Committee_of_Public_Safety.
"La_fourné e_des_Girondins_10-11-1793.jpg."
https://commons.wikimedia.org/wiki/File:La_fourn%C3%A9
e_des_Girondins_10-11-1793.jpg. Wikimedia Commons
Public domain.
"Robespierre_crop.jpg."
https://en.wikipedia.org/wiki/Reign_of_Terror# /media/File:R
obespierre_crop.jpg. Wikipedia Public domain.
The National Convention
"Reign of Terror."
BY-SA 3.0.
"Thermidorian Reaction."
https://en.wikipedia.org/wiki/Thermidorian_Reaction.
"La Marseillaise."
https://en.wikipedia.org/wiki/La_Marseillaise. Wikipedia CC
BY-SA 3.0.
"Law of Suspects."
https://en.wikipedia.org/wiki/Law_of_Suspects. Wikipedia
CC BY-SA 3.0.
"French First Republic."
https://en.wikipedia.org/wiki/French_First_Republic.
"800px-
Le_Dé part_des_V olontaires_La_Marseillaise_par_Rude_Ar
c_de_Triomphe_Etoile_Paris.jpg."
https://commons.wikimedia.org/wiki/File:Le_D%C3%A9part
_des_V olontaires_(La_Marseillaise)_par_Rude,_Arc_de_Tri
omphe_Etoile_Paris.jpg. Wikimedia Commons CC BY 1.0
Generic.
The Thermidorian Reaction
"Reign of Terror."
BY-SA 3.0.
"First White Terror."
https://en.wikipedia.org/wiki/First_White_Terror. Wikipedia
CC BY-SA 3.0.
"Paris Commune (French Revolution)."
https://en.wikipedia.org/wiki/Paris_Commune_(French_Rev
olution). Wikipedia CC BY-SA 3.0.
"800px-Clô ture_de_la_salle_des_Jacobins_1794.jpg."
https://commons.wikimedia.org/wiki/File:Cl%C3%B4ture_de
_la_salle_des_Jacobins_1794.jpg. Wikimedia Commons
Public domain.
Structure of the Directory
"Council of Ancients."
https://en.wikipedia.org/wiki/Council_of_Ancients. Wikipedia
CC BY-SA 3.0.
"Reign of Terror."
BY-SA 3.0.
CC BY-SA 3.0.
"War in the V endé e."
https://en.wikipedia.org/wiki/War_in_the_V end%C3%A9e.
"French Directory."
https://en.wikipedia.org/wiki/French_Directory. Wikipedia
CC BY-SA 3.0.
"Paul Barras." https://en.wikipedia.org/wiki/Paul_Barras.
"Coup of 18 Fructidor."
https://en.wikipedia.org/wiki/Coup_of_18_Fructidor.
"Council of Five Hundred."
https://en.wikipedia.org/wiki/Council_of_Five_Hundred.
"Coup of 18 Brumaire."
https://en.wikipedia.org/wiki/Coup_of_18_Brumaire.
"Augereau_Coup_d_etat_18_Fructidor_in_Tuileries.jpg."
https://commons.wikimedia.org/wiki/File:Augereau_Coup_d
_etat_18_Fructidor_in_Tuileries.jpg. Wikimedia Commons
Public domain.
Napoleon's Rise to Power
"French Directory."
CC BY-SA 3.0.
"13 V endé miaire."
https://en.wikipedia.org/wiki/13_V end%C3%A9miaire.
"Napoleon." https://en.wikipedia.org/wiki/Napoleon.
"Coup of 18 Fructidor."
https://en.wikipedia.org/wiki/Coup_of_18_Fructidor.
"Napoleon_-_2.jpg."
https://commons.wikimedia.org/wiki/File:Napoleon_-_2.jpg.
23: Napoleon
23.1: The Transition to
Dictatorship
23.1.1: Napoleon's Upbringing
Napoleon came from a noble and moderately affluent Corsican
family, which afforded him opportunities to gain quality education and
marked his youth with commitment to Corsican nationalism.
Learning Objective
Summarize Napoleon's childhood and the effects it had on him
Key Points
Napoleon was born in 1769 to Carlo Maria di Buonaparte and
Maria Letizia Ramolino, in his family's ancestral home Casa
Buonaparte in Ajaccio, the capital of the island of Corsica. This
was a year after the island was transferred to France by the
Republic of Genoa. The Corsican origins and Corsica's history
would play a very important role in Napoleon's upbringing and
shape his first political fascinations and activism. His first
language was Corsican and he always spoke French with a
marked Corsican accent.
Napoleon's father Nobile Carlo Buonaparte, an attorney, was
named Corsica's representative to the court of Louis X V I in
1777. The dominant influence of Napoleon's childhood was his
mother, Letizia Ramolino, whose firm discipline restrained a
rambunctious child. Napoleon was piously raised as a Catholic
but never developed much faith.
Napoleon's noble, moderately affluent background afforded him
greater opportunities to study than available to a typical
Corsican of the time. In 1779, he was enrolled at a religious
school in Autun but the same year, he was admitted to a military
academy at Brienne-le-Châ teau. On completion of his studies at
Brienne in 1784, Napoleon was admitted to the elite É cole
Militaire in Paris.
Upon graduating in 1785, Bonaparte was commissioned a
second lieutenant in La Fè re artillery regiment. He served in
V alence and Auxonne until after the outbreak of the Revolution
in 1789, and took nearly two years' leave in Corsica and Paris
during this period. At this time, he was a fervent Corsican
nationalist.
He returned to Corsica and came into conflict with Paoli, who
had decided to split with France and sabotage the French
assault on the Sardinian island of La Maddalena. Bonaparte and
his family fled to the French mainland in 1793 because of the
split with Paoli.
Historians emphasize the strength of the ambition that took
Napoleon from an obscure village in Corsica to command of
most of Europe. He was famously not very tall and thus not a
physically imposing man, but his personality was described as
"hypnotic." Napoleon maintained strict, efficient work habits,
prioritizing what needed to be done.
Key Terms
deist
An advocate of a theological/philosophical position that

combines the rejection of revelation and authority as a source of
religious knowledge with the conclusion that reason and
observation of the natural world are sufficient to determine the
existence of a single creator of the universe.
Corsica
An island in the Mediterranean Sea and one of the 18 regions of

France. It is located west of the Italian Peninsula, southeast of
the French mainland, and north of the Italian island of Sardinia.
After being ruled by the Republic of Genoa since 1284, it was
briefly independent from 1755 until it was conquered by France
in 1769. Due to its historical ties with the Italian peninsula, the
island retains many elements of Italian culture.
Napoleon's Family and

Corsican Roots
Napoleon Bonaparte (1769 – 1821) was a French military and
political leader who rose to prominence during the French Revolution
and led several successful campaigns during the Revolutionary
Wars. As Napoleon I, he was Emperor of the French from 1804 until
1814, and again in 1815.
Napoleon was born in 1769 to Carlo Maria di Buonaparte and Maria

Letizia Ramolino, in his family's ancestral home Casa Buonaparte in
Ajaccio, the capital of the island of Corsica. He was their fourth child
and third son. This was a year after the island was transferred to
France by the Republic of Genoa. The Corsican origins and
Corsica's history would play a very important role in Napoleon's
upbringing and shape his first political fascinations and activism. His
first language was Corsican and he always spoke French with a
marked Corsican accent.
Portrait of Carlo Maria Buonaparte,
father of Napoleon Bonaparte, by an
unknown artist. This is one of few
portraits of Napoleon's father. In this
half– length posthumous portrait,
Carlo Maria ( 17 46-17 8 5 ) is dressed as
a gentleman of the Ancien Ré gime
with powdered wig and a coat laced
with gold.
Carlo was a Corsican lawyer and politician who briefly served as a
personal assistant of the revolutionary leader Pasquale Paoli and
eventually rose to become Corsica's representative to the court of
Louis X V I. After his death, while Napoleon became Emperor of the
French, several of his other children received royal titles from their
brother.
The Corsican Buonapartes descended from minor Italian nobility of

Tuscan origin who had come to Corsica from Liguria in the 16th
century. Napoleon's father Nobile Carlo Buonaparte was an attorney
and was named Corsica's representative to the court of Louis X V I in
1777. The dominant influence of Napoleon's childhood was his
mother, Letizia Ramolino, whose firm discipline restrained a
rambunctious child. He had an elder brother, Joseph, and six
younger siblings; two other siblings who died in infancy were born
before Joseph. Napoleon was baptized as a Catholic. He was
christened Napoleone di Buonaparte and adopted the more French-
sounding Napolé on Bonaparte in his 20s. He was piously raised as a
Catholic but never developed much faith. As an adult, Napoleon was
a deist and his deity was an absent and distant God. However, he
had a keen appreciation of the power of organized religion in social
and political affairs and paid a great deal of attention to bending it to
his purposes. He later noted the influence of Catholicism's rituals
and splendors in his life.
Letiz ia Ramolino by Robert Lefè vre,
18 13.
Letizia was reportedly a harsh mother and down-to-earth woman.
When most European mothers bathed children perhaps once a
month, she had her children bathed every other day. Letizia spoke
Italian and Corsican and never learned French. When she was 35,
her husband died of cancer. She was decreed "Madam, the Mother
of His Imperial Majesty The Emperor" (Madame Mè re de
l'Empereur), Imperial Highness in 1804 or 1805.
Childhood and Early Y ears
greater opportunities to study than available to a typical Corsican of
the time. In 1779, he was enrolled at a religious school in Autun but
the same year, he was admitted to a military academy at Brienne-le-
Châ teau. Because of his Corsican origin, he was teased by other
students for his accent, which inspired him to apply himself to
reading. An examiner observed that Napoleon "has always been
distinguished for his application in mathematics. He is fairly well
acquainted with history and geography... This boy would make an
excellent sailor."
On completion of his studies at Brienne in 1784, Napoleon was

admitted to the elite É cole Militaire in Paris. He trained to become an
artillery officer and completed the two-year course in one year when
his father's death reduced his income. He was the first Corsican to
graduate from the É cole Militaire.
Upon graduating in 1785, Bonaparte was commissioned a second

lieutenant in La Fè re artillery regiment. He served in V alence and
Auxonne until after the outbreak of the Revolution in 1789, and took
nearly two years' leave in Corsica and Paris during this period. At
this time, he was a fervent Corsican nationalist and wrote to
Corsican leader Pasquale Paoli in 1789, "As the nation was
perishing I was born. Thirty thousand Frenchmen were vomited on to
our shores, drowning the throne of liberty in waves of blood. Such
was the odious sight which was the first to strike me." He spent the
early years of the Revolution in Corsica, fighting in a complex three-
way struggle among royalists, revolutionaries, and Corsican
nationalists. He was a supporter of the republican Jacobin
movement, organizing clubs in Corsica, and was given command
over a battalion of volunteers. He was promoted to captain in the
regular army in July 1792, despite exceeding his leave of absence
and leading a riot against a French army in Corsica.
He returned to Corsica and came into conflict with Paoli, who
decided to split with France and sabotage the French assault on the
Sardinian island of La Maddalena. Bonaparte and his family fled to
the French mainland in 1793 because of the split with Paoli.
Personality
Historians emphasize the strength of the ambition that took
Napoleon from an obscure village in Corsica to command of most of
Europe. He was famously not very tall and thus not a physically
imposing man, but his personality was described as "hypnotic."
Napoleon maintained strict, efficient work habits, prioritizing what
needed to be done. He had to win at everything he attempted. He
kept relays of staff and secretaries at work. Unlike many generals,
Napoleon did not examine history to see what great leaders might
have done in a similar situation. Historians also note that while he
understood military technology, he was not an innovator in that
regard and some of his victories heightened his sense of self-
grandiosity and left him certain of his destiny and invincibility. In
terms of influence on events, it was more than Napoleon's
personality that took effect. He reorganized France to supply the
men and money needed for wars and was reportedly an incredibly
inspiring leader on the battlefield.
23.1.2: Napoleon's Military Record

Napoleon rose to prominence as a military leader during the French
Revolutionary Wars. His 20-year military career earned him
remembrance as one of the finest commanders in world history and
a military genius.
Learning Objective
Criticize Napoleon's military record and examine the extent to which
he was a hero of the Republic.
Key Points
Upon graduating from the prestigious É cole Militaire in Paris in
1785, Bonaparte was commissioned a second lieutenant in an
artillery regiment. He served in V alence and Auxonne until after
the outbreak of the Revolution in 1789. He spent the early years
of the Revolution in Corsica, fighting in a complex three-way
struggle among royalists, revolutionaries, and Corsican
nationalists. He was promoted to captain in the regular army in
1792.
Napoleon would witness the effects of Parisian mob violence
against trained troops and became an exemplary officer in
defense of revolutionary ideals. His firm beliefs would lead him
to fight his own people, initially at the Siege of Toulon, where he
would play a major role in crushing the royalist rebellion.
Promoted to general in 1795, Napoleon was sent to fight the
Austro-Piedmontese armies in Northern Italy the following year.
In less than a year, French armies under Napoleon decimated
the Habsburg forces and evicted them from the Italian
peninsula. With French forces marching towards V ienna, the
Austrians agreed to the Treaty of Campo Formio, ending the
First Coalition against the Republic.
The War of the Second Coalition began with the French invasion
of Egypt, headed by Napoleon in 1798. His forces annihilated a
series of Egyptian and Ottoman armies at the battles of the
Pyramids, Mount Tabor, and Abukir. These victories and the
conquest of Egypt further enhanced Napoleon's popularity back
in France. He returned in the fall of 1799 to cheering throngs in
the streets despite the Royal Navy's critical triumph at the Battle
of the Nile in 1798.
Napoleon's arrival from Egypt led to the fall of the Directory in
the Coup of 18 Brumaire, with Napoleon installing himself as
Consul. He then reorganized the French army and launched a
new assault against the European Coalition In 1802, with
Austria and Russia out of the war, the United Kingdom found
itself increasingly isolated and agreed to the Treaty of Amiens,
concluding the Revolutionary Wars. The lingering tensions
proved too difficult to contain, however, and the Napoleonic
Wars began a few years later with the formation of the Third
Coalition.
The military career of Napoleon Bonaparte lasted more than 20
years. He is widely regarded as a military genius and one of the
finest commanders in world history. He fought 60 battles and
lost just seven, most at the end of his career.
Key Terms
Coup of 18 Brumaire

Directory


Siege of Toulon
A military siege of republican forces over a royalist rebellion in

the southern French city of Toulon that took place between
September 8 and December 19, 1793. The royalists were
supported by British, Spanish, Neapolitan, and
Piedmontese troops.
Early Military Career: The

Revolution
greater opportunities to study than available to a typical Corsican of
the time. Upon graduating from the prestigious É cole Militaire
(military academy) in Paris in 1785, Bonaparte was commissioned
as a second lieutenant in an artillery regiment. He served in V alence
and Auxonne until after the outbreak of the Revolution in 1789 and
took nearly two years' leave in Corsica (where he was born and
spent his early years) and Paris during this period. At this time, he
was a fervent Corsican nationalist. He spent the early years of the
Revolution in Corsica, fighting in a complex three-way struggle
among royalists, revolutionaries, and Corsican nationalists. He was a
supporter of the republican Jacobin movement, organizing clubs in
Corsica, and was given command over a battalion of volunteers. He
was promoted to captain in the regular army in 1792, despite
exceeding his leave of absence and leading a riot against a French
army in Corsica.
Napoleon would witness the effects of Parisian mob violence against

trained troops and became an exemplary officer in defense of
revolutionary ideals. His firm beliefs would lead him to fight his own
people, initially at the Siege of Toulon where he played a major role
in crushing the royalist rebellion by expelling an English fleet and
securing the valuable French harbor. Almost two years later, he
faced an uprising in the heart of Paris, again utilizing his skills as a
gunner. Promoted to general in 1795, Napoleon was sent to fight the
Austro-Piedmontese armies in Northern Italy the following year. After
defeating both armies, he became France's most distinguished field
commander.
French Revolutionary W ars

The French Revolutionary Wars began from increasing political
pressure on King Louis X V I of France to prove his loyalty to the
country's new direction. In the spring of 1792, France declared war
on Prussia and Austria, who responded with a coordinated invasion
of the country. By 1795, the French monarchy had failed and the
French army had recorded both triumphs and failures, but the
French had captured the Austrian Netherlands and knocked Spain
and Prussia out of the war with the Peace of Basel. Hitherto
unknown general Napoleon Bonaparte began his first campaign in
Italy in April 1796. In less than a year, French armies under
Napoleon decimated the Habsburg forces and evicted them from the
Italian peninsula, winning almost every battle and capturing 150,000
prisoners. With French forces marching towards V ienna, the
Austrians sued for peace and agreed to the Treaty of Campo Formio,
ending the First Coalition against the Republic.
The War of the Second Coalition began with the French invasion of
Egypt, headed by Napoleon in 1798. The Allies took the opportunity
presented by the French strategic effort in the Middle East to regain
territories lost from the First Coalition. Napoleon's forces annihilated
a series of Egyptian and Ottoman armies at the battles of the
Pyramids, Mount Tabor, and Abukir. These victories and the
conquest of Egypt further enhanced Napoleon's popularity back in
France. He returned in the fall of 1799 to cheering throngs in the
streets despite the Royal Navy's critical triumph at the Battle of the
Nile in 1798. This humiliating defeat further strengthened British
control of the Mediterranean.
B attle of the Pyram ids on J uly 21,

17 98 by Louis-Franç ois, Baron
Lejeune, 18 08 .
The Egyptian campaign ended in what some in France believed was
a failure, with 15,000 French troops killed in action and 15,000 by
disease. However, Napoleon's reputation as a brilliant military
commander remained intact and even rose higher despite his
failures during the campaign. This was due to his expert propaganda
designed to bolster the expeditionary force and improve its morale.
That propaganda even spread back to France, where news of
defeats such as at sea in Aboukir Bay and on land in Syria were
suppressed.
Napoleon's arrival from Egypt led to the fall of the Directory in the
Coup of 18 Brumaire, with Napoleon installing himself as Consul.
Napoleon then reorganized the French army and launched a new
assault against the Austrians in Italy during the spring of 1800. This
latest effort culminated in a decisive French victory at the Battle of
Marengo in June 1800, after which the Austrians withdrew from the
peninsula once again. Another crushing French triumph at
Hohenlinden in Bavaria forced the Austrians to seek peace for a
second time, leading to the Treaty of Luné ville in 1801. With Austria
and Russia out of the war, the United Kingdom found itself
increasingly isolated and agreed to the Treaty of Amiens with
Napoleon's government in 1802, concluding the Revolutionary Wars.
The lingering tensions proved too difficult to contain, however, and
the Napoleonic Wars began a few years later with the formation of
the Third Coalition, continuing the series of Coalition Wars.
Napoleon as a Leader
The military career of Napoleon Bonaparte lasted more than 20
years. He is widely regarded as a military genius and one of the
finest commanders in world history. He fought 60 battles and lost
only seven, most of these at the end of his career.
In the field of military organization, Napoleon borrowed from previous

theorists and reforms of preceding French governments, developing
much of what was already in place. He continued the policy that
emerged from the Revolution of promotion based primarily on merit.
Corps replaced divisions as the largest army units, mobile artillery
was integrated into reserve batteries, the staff system became more
fluid, and cavalry returned as an important formation in French
military doctrine. These methods are now referred to as essential
features of Napoleonic warfare.
Napoleon's biggest influence was in the conduct of warfare. Antoine-

Henri Jomini explained Napoleon's methods in a widely used
textbook that influenced all European and American armies.
Influential military theorist Carl von Clausewitz regarded Napoleon
as a genius in the operational art of war and historians rank him as
a great military commander. Under Napoleon, a new emphasis
towards the destruction, not just outmaneuvering, of enemy armies
emerged. Invasions of enemy territory occurred over broader fronts,
which made wars costlier and more decisive. The political effect of
war increased. Defeat for a European power meant more than the
loss of isolated enclaves, intensifying the Revolutionary
phenomenon of total war.
23.1.3: Napoleon's Marriage to
J osephine
Napoleon's marriage to Josephine was based on love and passion
rather than political gain. However, it was ended for political reasons
when it became clear that Josephine was unable to bear an heir.
Learning Objective
Explain the reasons behind Napoleon's marriage to Josephine
Key Points
Marie Josè phe Rose Tascher de La Pagerie was born in 1763
in Martinique to a wealthy white Creole family that owned a
sugarcane plantation. In 1779, she married Alexandre de
Beauharnais, with whom she had two children. The marriage
was not a happy one, leading to a court-ordered separation. In
1794, during the Reign of Terror, Alexandre was executed but
Josephine was freed thanks to the fall and execution of
Robespierre.
Josephine met Napoleon, six years her junior, in 1795.
Napoleon was enamored with Josephine, with whom he had a
passionate affair. In January 1796, Bonaparte proposed to
Josephine and they married in March. Until meeting Bonaparte,
Josephine was known as Rose, but Bonaparte preferred to call
her Josephine, the name she adopted from then on.
The marriage was not well received by Napoleon's family, who
were shocked that he had married an older widow with two
children. Two days after the wedding, Bonaparte left to lead the
French army in Italy. During their separation he sent her many
love letters, but both spouses also had lovers. Despite his own
affairs, their relationship was never the same after he learnt
about hers.
The coronation ceremony, officiated by Pope Pius V II, took
place at Notre Dame de Paris in December 1804. Following
prearranged protocol, Napoleon first crowned himself, then put
the crown on Josephine's head, proclaiming her empress.
When after a few years it became clear Josephine could not
have a child, Napoleon, though he still loved his wife, began to
think seriously about the possibility of divorce and created lists
of eligible princesses. In November 1809, he let Josephine know
that in the interest of France he must find a wife who could
produce an heir. Despite her anger, Josephine agreed to the
divorce so the Emperor could remarry in the hope of having an
heir.
Despite his divorce from Josephine, he showed his dedication to
her for the rest of his life. When he heard the news of her death
while on exile in Elba, he locked himself in his room and would
not come out for two days. Her name would also be his final
word on his deathbed in 1821.
Key Term
Reign of Terror

J osephine de Beauharnais
Marie Josephe Rose Tascher de La Pagerie was born in 1763
in Martinique to a wealthy white Creole family that owned a
sugarcane plantation. The family struggled financially after
hurricanes destroyed their estate in 1766. Josephine's aunt arranged
the advantageous marriage of Josephine's younger sister,
Catherine-Dé siré e, to Alexandre de Beauharnais, a member of an
influential and wealthy family. However, when Catherine died in
1777, she was replaced by her older sister, Josephine, who married
Alexandre in 1779 in France. The couple had two children. The
marriage was an unhappy one, leading to a court-ordered
separation. In 1794, during the Reign of Terror, Alexandre was
arrested and jailed and Josephine, considered too close to the
counter-revolutionary financial circles, was also imprisoned. She was
freed five days after Alexandre's execution thanks to the fall and
execution of Robespierre, which ended the Reign of Terror.
Marriage of Napoleon and

J osephine
Josephine met Napoleon, six years her junior, in 1795. Prior to that,
she had had affairs with several leading political figures, including
Paul Franç ois Jean Nicolas Barras. Napoleon was enamored with
Josephine, with whom he had a passionate affair. In a letter to her
from December 1795, he wrote, "I awake full of you. Your image and
the memory of last night’s intoxicating pleasures has left no rest to
my senses." In January 1796 Bonaparte proposed to Josephine,
and they married in March. Until meeting Bonaparte, Josephine was
known as Rose, but Bonaparte preferred to call her Josephine, the
name she adopted from then on.
The marriage was not well received by Napoleon's family, who were
shocked that he had married an older widow with two children. His
mother and sisters were especially resentful of Josephine as they felt
clumsy and unsophisticated in her presence. Two days after the
wedding, Bonaparte left to lead the French army in Italy. During their
separation, he sent her many love letters. In February 1797, he
wrote: “ You to whom nature has given spirit, sweetness, and beauty,
you who alone can move and rule my heart, you who know all too
well the absolute empire you exercise over it! ”
During Napoleon's absence, Josephine had lovers, including
lieutenant Hippolyte Charles. A letter Charles wrote about the affair
was intercepted by the British and published widely in order to
embarrass Napoleon. The relationship between Josephine and
Napoleon was never the same after this. His letters became less
loving. No subsequent lovers of Josephine are recorded, but
Napoleon had sexual affairs with several other women.
Miniature portrait of the Empress by
J ean Baptiste Isabey on a gold snuff
box crafted by the Imperial goldsmith
Adrien-J ean-Max imilien V achette,
circa 18 10.
Josephine was a renowned spendthrift and Barras may have
encouraged the relationship with Napoleon to get her off his hands.
Napoleon reportedly said that the only thing to come between them
was her debts. Despite the affairs of both spouses and the eventual
divorce, evidence suggests that Napoleon and Josephine loved each
other deeply throughout their lives.
Emperor and Empress of the
French
The coronation ceremony, officiated by Pope Pius V II, took place at
Notre Dame de Paris in December 1804. Following prearranged
protocol, Napoleon first crowned himself, then put the crown on
Josephine's head proclaiming her empress. Shortly before their
coronation, Josephine caught Napoleon in the bedroom of her lady-
in-waiting, Elisabeth de V audey, and Napoleon threatened to divorce
her as she had not produced an heir. Eventually, through the efforts
of Josephine's daughter Hortense, the two reconciled.
Divorce
When it became clear Josephine could not have a child, Napoleon
began to think seriously about the possibility of divorce. The final die
was cast when Josephine's grandson Napoleon Charles Bonaparte,
who had been declared Napoleon's heir, died of croup in 1807.
Napoleon began to create lists of eligible princesses. In November
1809, he let Josephine know that—in the interest of France—he
must find a wife who could produce an heir. Despite her anger,
Josephine agreed to the divorce so the Emperor could remarry in the
hope of having an heir. The divorce ceremony took place in January
1810 and was a grand but solemn social occasion. Both Josephine
and Napoleon read a statement of devotion to the other.
In March 1810, Napoleon married Marie-Louise of Austria by proxy

and the formal ceremony took place at the Louvre in April. Napoleon
once remarked after marrying Marie-Louise that despite her quick
infatuation with him "he had married a womb." Even after their
separation, Napoleon insisted Josephine retain the title of empress.
Despite his divorce from Josephine, he showed his dedication to her
for the rest of his life. When he heard the news of her death while on
exile in Elba, he locked himself in his room and would not come out
for two days. Her name would also be his final word on his deathbed
in 1821.
23.1.4: The First Consul

Napoleon's consolidation of power was initiated by a coup and
continued in a series of political maneuvers, but his rise as the sole
ruler of France was linked with the power and popularity he gained
as the foremost military leader.
Learning Objective
Describe how Napoleon became First Consul and consolidated
power
Key Points
After Habsburg-controlled Austria declared war in 1799, France
returned to a war footing. With Napoleon and the republic's best
army engaged in the Egypt and Syria campaign, France
suffered a series of reverses in Europe. The Coup of 30 Prairial
V II (June 18) ousted the Jacobins and left Emmanuel Joseph
Sieyè s as the dominant figure in the government. As France's
military situation improved, the Jacobins feared a revival of the
pro-peace Royalist faction. When Napoleon returned to France
in October, both factions hailed him as the country's savior.
welcome, which convinced Sieyè s he had found the general
indispensable to his planned coup. However, from the moment
of his return, Napoleon plotted a coup within the coup, ultimately
gaining power for himself rather than Sieyè s.
On the 18 of Brumaire, three of the five Directors resigned,
which prevented a quorum and thus practically abolished the
Directory. The two remaining Directors protested, but were
arrested and forced to give up their resistance. Both Councils
resisted but eventually succumbed to the demands of the
plotters.
The plotters convened two commissions that they intimidated
into declaring a provisional government, the first form of the
Consulate with Napoleon, Sieyè s, and Ducos as Consuls. The
commissions then drew up the Constitution of the Year V III
(1799). Originally devised by Sieyè s to give Napoleon a minor
role but rewritten by Napoleon and accepted by direct popular
vote, the Constitution preserved the appearance of a republic
but in reality established a dictatorship.
Bonaparte completed his coup within a coup by the adoption of
a constitution under which the First Consul, a position he was
sure to hold, had greater power than the other two consuls.
Under the new constitution, The Sé nat conservateur verified the
draft bills and directly advised the First Consul; Conseil
d'É tat drafted bills; Tribunat debated bills but could not vote on
them; and Corps lé gislatif voted on laws deliberated before the
Tribunat.
Military victories, elimination of political opponents, and internal
reforms continued to strengthen Napoleon's position and
popularity. Finally, the 1802 Peace of Amiens gave the
peacemaker a pretext for endowing himself with a Consulate,
not for ten years but for life, as a recompense from the nation.
The decision was approved in a referendum.
Key Terms
the Consulate
The government of France from the fall of the Directory in the

Coup of 18 Brumaire (1799) until the start of the Napoleonic
Empire in 1804. By extension, the term also refers to this period
of French history. During this period, Napoleon Bonaparte, as
First Consul, established himself as the head of a more liberal,
authoritarian, autocratic, and centralized republican government
in France while not declaring himself head of state.
Tribunat
One of the four assemblies set up in France by the Constitution

of Year V III (the other three were the Council of State, the Corps
lé gislatif and the Sé nat conservateur). It was set up officially in
1800 at the same time as the Corps lé gislatif. It assumed some
of the functions of the Council of Five Hundred, but its role
consisted only of deliberating projected laws before their
adoption by the Corps lé gislatif, with the legislative initiative
remaining with the Council of State.
Sé nat conservateur
An advisory body established in France during the

Consulate following the French Revolution. It was established in
1799 under the Constitution of the Year V III following the
Napoleon Bonaparte-led Coup of 18 Brumaire. It lasted until
1814 when Napoleon Bonaparte was overthrown and the
Bourbon monarchy was restored, and was a key element in
Napoleon's regime.
Coup of 30 Prairial
A bloodless coup, also known as the Revenge of the Councils,

that occurred in France on June 18, 1799—30 Prairial Year V II
by the French Republican Calendar. It left Emmanuel-Joseph
Sieyè s as the dominant figure of the French government and
prefigured the Coup of 18 Brumaire that brought Napoleon
Bonaparte to power.
Corps lé gislatif
A part of the French legislature during the French Revolution

and beyond. During the period of the French Directory beginning
in 1795, the Corps lé gislatif referred to the bicameral legislature
of the Council of Five Hundred and the Council of Ancients.
Under Napoleon's Consulate, this was the law-making body of
the three-part government apparatus (alongside the Tribunat
and the Sé nat Conservateur). At the time, its role consisted
solely of voting on laws deliberated before the Tribunat.
Conseil d'É tat
(French: Council of State): A body of the French national

government that acts both as legal adviser of the executive
branch and as the supreme court for administrative justice.
Originally established in 1799 by Napoleon Bonaparte as a
successor to the King's Council and a judicial body mandated to
adjudicate claims against the State and assist in the drafting of
important laws.
Directory

1795 when it replaced the Committee of Public Safety until it
Coup of 18 Brumaire

French Consulate. It took place on November 9, 1799, which
was 18 Brumaire, Year V III under the French Republican
Calendar.
Coup of 18 Brumaire
After Habsburg-controlled Austria declared war in 1799, France
returned to a war footing. Emergency measures were adopted and
the pro-war Jacobin faction triumphed in the election. With Napoleon
and the republic's best army engaged in the Egypt and Syria
campaign, France suffered a series of reverses in Europe. The Coup
of 30 Prairial V II (June 18) ousted the Jacobins and left Emmanuel
Joseph Sieyè s, a member of the five-man ruling Directory, the
dominant figure in the government. As France's military situation
improved, the Jacobins feared a revival of the pro-peace Royalist
faction. When Napoleon returned to France in October, both factions
hailed him as the country's savior.

welcome, which convinced Sieyè s he had found the general
indispensable to his planned coup. However, from the moment of his
return, Napoleon plotted a coup within the coup, ultimately gaining
power for himself rather than Sieyè s. Prior to the coup, troops were
conveniently deployed around Paris. The plan was first to persuade
the Directors to resign, then to get the Council of Ancients and the
Council of Five Hundred (the upper and lower houses of the
legislature) to appoint a pliant commission that would draw up a new
constitution to the plotters' specifications.
The plan succeeded. On the morning of 18 Brumaire, Lucien

Bonaparte falsely persuaded the Councils that a Jacobin coup was
at hand in Paris and induced them to depart for the safety in the
suburbs, while Napoleon was charged with the safety of the two
Councils and given command of all available local troops. On the
same day, three of the five Directors resigned, which prevented a
quorum and thus practically abolished the Directory. The two
remaining Directors protested but were arrested and forced to give
up their resistance.
By the following day, the deputies of the Councils realized that they
were facing an attempted coup rather than being protected from a
Jacobin rebellion. Faced with their recalcitrance, Napoleon stormed
into the chambers, which proved to be the coup within the coup: from
this point, it was a military affair. Both chambers resisted but under
the pressure of the events, they succumbed to the demands of the
plotters.
Consolidation of Power: The
Consulate
The Directory was crushed, but the coup within the coup was not yet
complete. The use of military force had certainly strengthened
Napoleon's hand vis à vis Sieyè s and the other plotters. With the
Council routed, the plotters convened two commissions, each
consisting of 25 deputies from the two Councils. The plotters
essentially intimidated the commissions into declaring a provisional
government, the first form of the Consulate with Napoleon, Sieyè s,
and Roger Ducos as Consuls. The lack of reaction from the streets
proved that the revolution was indeed over. Resistance by Jacobin
officeholders in the provinces was quickly crushed. The commissions
then drew up the Constitution of the Year V III (1799), the first of the
constitutions since the Revolution without a Declaration of Rights.
Originally devised by Sieyè s to give Napoleon a minor role but
rewritten by Napoleon and accepted by direct popular vote, the
Constitution preserved the appearance of a republic but in reality
established a dictatorship.
A portrait of the three Consuls, J ean
J acques Ré gis de Cambacé rè s,
Napoleon Bonaparteand Charles-
Franç ois Lebrun ( left to right) by
Henri-Nicolas V an Gorp.
Sieyè s and Ducos survived only two months as members of the
Consulate. In December 1799, two new members (in the portrait
above) joined Napoleon. As the years would progress, he would
move to consolidate his own power as First Consul and leave the
two other consuls, Jean Jacques Ré gis de Cambacé rè s and
Charles-Franç ois Lebrun, duc de Plaisance, as well as the
Assemblies, weak and subservient. By consolidating power,
Bonaparte was able to transform the aristocratic constitution of
Sieyè s into a dictatorship.
Bonaparte thus completed his coup within a coup by the adoption of

a constitution under which the First Consul, a position he was sure to
hold, had greater power than the other two. In particular, he
appointed the Senate and the Senate interpreted the constitution.
The Sé nat conservateur (Conservative Senate, which verified the
draft bills and directly advised the First Consul on the implications of
such bills) allowed him to rule by decree, so the more independent
Conseil d'É tat (Council of State, which drafted bills) and Tribunat
(debated bills but could not vote on them) were relegated to
unimportant roles. The legislature known as Corps lé gislatif also
partly replaced the Council of Five Hundred under the new
constitution, but its role consisted solely of voting on laws deliberated
before the Tribunat.
Napoleon, at least in theory, still shared the executive power with the
two other Consuls. He now aspired to get rid of Sieyè s and those
republicans who had no desire to hand over the republic to one man.
Military victories in the ongoing war increased his popularity and
royalist plots served as an excuse to eliminate political opponents,
usually by deportation, even if they were innocent. The 1801 Treaty
of Luné ville with Austria restored peace in Europe, gave nearly the
whole of Italy to France, and permitted Bonaparte to eliminate from
the assemblies all the leaders of the opposition. The Concordat of
1801, drawn up not in the Church's interest but in that of Napoleon's
own policy, allowed him to put down the constitutional democratic
Church, rally round him the consciences of the peasants, and above
all, deprive the royalists of their best weapon. The 1802 Peace of
Amiens with the United Kingdom, of which France's allies, Spain and
the Batavian Republic, paid all the costs, gave the peacemaker a
pretext for endowing himself with a Consulate, not for ten years but
for life, as a recompense from the nation. The same year, a second
national referendum was held, this time to confirm Napoleon as "First
Consul for Life."
23.1.5 : Early W ars with Austria and

Britain
Napoleon's early wars with Austria and Britain confirmed the French
dominance over Austria, failed to stop British dominance in the
Mediterranean, and ended with a precarious peace broken only a
year after signing the final treaty of the French Revolutionary Wars.
Learning Objective
Discuss Napoleon's early military successes against Austria and
Britain
Key Points
The War of the First Coalition (1792–1797) was the first attempt
by the European monarchies to defeat the French First
Republic. France declared war on the Habsburg Monarchy of
Austria in April 1792 and the Kingdom of Prussia joined the
Austrian side a few weeks later. A number of other European
states, including Britain, joined the First Coalition over the
course of the war.
Napoleon did not enter the war as the leader of the French army
until 1796, although he faced the British forces at the 1793
Siege of Toulon, where he played a major role in crushing the
royalist rebellion by expelling an English fleet and securing the
valuable French harbor. Promoted to general in 1795, he was
sent to the battlefields of the French Revolutionary Wars to fight
the Austro-Piedmontese armies in Northern Italy the following
year.
Napoleon was successful in a daring invasion of Italy, a victory
that contributed to Austria's decision to sign the Treaty of
Campo Formio, ceding Belgium to France and recognizing
French control of the Rhineland and much of Italy. The ancient
Republic of V enice was partitioned between Austria and France.
This ended the War of the First Coalition, although Great Britain
and France remained at war.
The Mediterranean campaign of 1798 was a series of major
naval operations surrounding a French expeditionary force sent
to Egypt under Napoleon Bonaparte that serves as a bridge
between the War of the First Coalition and the War of the
Second Coalition. The French Republic sought to capture Egypt
as the first stage in an effort to threaten British India and thus
force Great Britain to make peace. The campaign was initially
Napoleon's success but he failed to stop the British dominance
once it moved to Egypt.
The War of the Second Coalition (1798–1802) was the second
war on revolutionary France by the European monarchies, led
by Britain, Austria and Russia, and including the Ottoman
Empire, Portugal, and Naples. Their goal was to contain the
spread of chaos from France.
In the end, the Austrians negotiated the Treaty of Luné ville,
basically accepting the terms of the previous Treaty of Campo
Formio. In Egypt, the Ottomans and British invaded and finally
compelled the French to surrender after the fall of Cairo and
Alexandria. In 1802, the British and French signed the Treaty of
Amiens but the peace did not last long.
Key Terms
Siege of Toulon
A military siege of republican forces over a royalist rebellion in

the southern French city of Toulon that took place between
September 8 and December 19, 1793. The royalists were
supported by British, Spanish, Neapolitan, and
Piedmontese troops.
Mediterranean campaign of 1798
A series of major naval operations surrounding a French

expeditionary force sent to Egypt under Napoleon
Bonaparte during the French Revolutionary Wars. The French
Republic sought to capture Egypt as the first stage in an effort to
threaten British India and thus force Great Britain to make
peace.

War of the First Coalition
The 1792–1797 conflict of the French Revolutionary Wars that

was the first attempt by the European monarchies to defeat the
French First Republic. France declared war on the Habsburg
Monarchy of Austria in April 1792 and the Kingdom of Prussia
joined the Austrian side a few weeks later. A number of smaller
states, including Spain, Portugal, and the Dutch Republic, also
joined the anti-French coalition.
War of the Second Coalition
The 1798–1802 conflict that was the second war on

revolutionary France by the European monarchies, led by
Britain, Austria, and Russia and including the Ottoman Empire,
Portugal, and Naples. Their goal was to contain the spread of
chaos from France.
Napoleon vs. the First Coalition

The War of the First Coalition (1792–1797), one of the conflicts of
the French Revolutionary Wars, was the first attempt by the
European monarchies to defeat the French First Republic. France
declared war on the Habsburg Monarchy of Austria in April 1792 and
the Kingdom of Prussia joined the Austrian side a few weeks later.
These powers made several invasions of France by land and sea,
with Prussia and Austria attacking from the Austrian Netherlands and
the Rhine and the Kingdom of Great Britain supporting revolts in
provincial France and laying siege to Toulon. A number of smaller
states, including Spain, Portugal, and the Dutch Republic, were also
part of the First Coalition over the course of the war.
Napoleon did not enter the war as the leader of the French army until
1796, although he faced the British forces at the 1793 Siege of
Toulon, where he played a major role in crushing the royalist
rebellion by expelling an English fleet and securing the valuable
French harbor. Promoted to general in 1795, Napoleon was sent to
the battlefields of the French Revolutionary Wars to fight the Austro-
Piedmontese armies in Northern Italy the following year. Napoleon's
was one of three French armies sent with the aim to eventually reach
V ienna (two other engaged in the campaign on the Rhine). He was
successful in a daring invasion of Italy. In the Montenotte Campaign,
he separated the armies of Sardinia and Austria, defeating each one
in turn, and then forced a peace on Sardinia. His army then captured
Milan and started the Siege of Mantua. Bonaparte defeated
successive Austrian armies sent against him while continuing the
siege.
In February, Napoleon finally captured Mantua, with the Austrians

surrendering 18,000 men. Archduke Charles of Austria was unable
to stop Napoleon from invading the Tyrol and the Austrian
government sued for peace in April. At the same time there was a
new French invasion of Germany under Moreau and Hoche. Austria
signed the Treaty of Campo Formio in October, ceding Belgium to
France and recognizing French control of the Rhineland and much of
Italy. The ancient Republic of V enice was partitioned between
Austria and France. This ended the War of the First Coalition,
although Great Britain and France remained at war.
The Mediterranean Campaign of

17 98
The Mediterranean campaign of 1798 was a series of major naval
operations surrounding a French expeditionary force sent to
Egypt under Napoleon Bonaparte that serves as a bridge between
the War of the First Coalition and the War of the Second Coalition.
The French Republic sought to capture Egypt as the first stage in an
effort to threaten British India and thus force Great Britain to make
peace. Departing Toulon in May 1798 with over 40,000 troops and
hundreds of ships, Bonaparte's fleet sailed southeast across the
Mediterranean Sea. They were followed by a small British squadron
under Rear-Admiral Horatio Nelson, later reinforced to 13 ships of
the line. Bonaparte's first target was the island of Malta, which was
under the government of the Knights of St. John and theoretically
granted its owner control of the Central Mediterranean. Bonaparte's
forces landed on the island and rapidly overwhelmed the defenders,
securing the port city of V alletta before continuing to Egypt. When
Nelson learned of the French capture of the island, he guessed the
French target to be Egypt and sailed for Alexandria.
Napoleon's arrival in Malta ( unknown

artist) .
Despite Napoleon's initial successes, including the temporary
capture of the port city V alletta in Malta, the defeats of French Navy
in the Mediterranean encouraged a number of states to join the
Second Coalition and go to war with France.
Unable to find Bonaparte, Nelson turned back across the
Mediterranean, eventually reaching Sicily. While Nelson was
returning westwards, Bonaparte reached Alexandria and stormed the
city, capturing the coast and marching his army inland. Nelson
returned to the Egyptian coast and ordered an immediate attack on
the French. Fighting continued for the next two days until all of the
French ships had been captured, destroyed, or fled. At the Battle of
the Nile, 11 French ships of the line and two frigates were eliminated,
trapping Bonaparte in Egypt and changing the balance of power in
the Mediterranean.
With the French Navy in the Mediterranean defeated, other nations

were encouraged to join the Second Coalition and go to war with
France. Portugal, the Kingdom of Naples, the Russian Empire, and
the Ottoman Empire all subsequently deployed forces to the
Mediterranean. The Russians and Turks participated in the blockade
of Egypt and operations in the Adriatic Sea while the Portuguese
joined the Siege of Malta, distantly conducted by Nelson from his
lodgings in Naples.
Napoleon vs. the Second

Coalition
The War of the Second Coalition (1798–1802) was the second war
on revolutionary France by the European monarchies, led by Britain,
Austria, and Russia and including the Ottoman Empire, Portugal and
Naples. Their goal was to contain the spread of chaos from France.
Alerted to the political and military crisis in France,

Napoleon returned from Egypt, leaving his army behind, and used
his popularity and army support to mount a coup that made him First
Consul, the head of the French government. Napoleon sent General
Moreau to campaign in Germany and went to raise a new army at
Dijon and march through Switzerland to attack the Austrian armies in
Italy from behind. Narrowly avoiding defeat, he defeated the
Austrians at the Battle of Marengo and reoccupied northern Italy.
Moreau meanwhile invaded Bavaria and won a great battle against
Austria at Hohenlinden. He continued toward V ienna and the
Austrians sued for peace.
Nap oleon C rossing the A lp s by

J acques-Louis David ( 18 00)
In one of the famous paintings of Napoleon, the Consul and his army
are depicted crossing the Swiss Alps on their way to Italy. The daring
maneuver surprised the Austrians and forced a decisive engagement
at Marengo in 1800. V ictory there allowed Napoleon to strengthen
his political position back in France.
The Austrians negotiated the Treaty of Luné ville, basically accepting

the terms of the previous Treaty of Campo Formio. In Egypt, the
Ottomans and British invaded and finally compelled the French to
surrender after the fall of Cairo and Alexandria. Britain continued the
war at sea. A coalition of non-combatants including Prussia, Russia,
Denmark, and Sweden joined to protect neutral shipping from
Britain's blockade, resulting in Nelson's surprise attack on the Danish
fleet in harbor at the Battle of Copenhagen. In December 1801, an
expedition was sent to Saint-Domingue to quell the revolution that
had started there in 1791 once and for all, but the blockade of the
Caribbean island by the British fleet made the sending of
reinforcements impossible.
In 1802, the British and French signed the Treaty of Amiens, ending
the war. The treaty is generally considered to mark the transition
between the French Revolutionary Wars and the Napoleonic Wars.
The peace, however, did not last long. Great Britain had broken the
Treaty of Amiens by declaring war on France in May 1803. In
December 1804, an Anglo-Swedish agreement became the first step
towards the creation of the Third Coalition. By April 1805, Britain had
also signed an alliance with Russia. Austria had been defeated by
France twice in recent memory and wanted revenge, so it joined the
coalition a few months later.
23.1.6: Napoleon's Constitution

The Constitution of the Year V III, adopted in 1799 and accepted by
the popular vote in 1800, established the form of government known
as the Consulate that presumed virtually dictatorial powers of the
First Consul, Napoleon Bonaparte.
Learning Objective
Assess Napoleon's Constitution and whether it upheld the ideals of
the French Revolution
Key Points
Napoleon and his allies overthrew the Directory by a coup
d'é tat on November 9, 1799 (the Coup of 18 Brumaire), closing
down the Council of Five Hundred. Napoleon became the First
Consul for ten years, appointing two consuls who had
consultative voices only. His power was confirmed by the new
Constitution of the Year V III, which preserved the appearance of
a republic but established a dictatorship.
The Constitution of the Year V III was adopted on December 24,
1799, and established the form of government known as the
Consulate. The new government was composed of three
parliamentary assemblies: the Council of State, which drafted
bills; the Tribunate, which debated them but could not vote; and
the Legislative Assembly, which could not discuss the bills, but
whose members voted on them after reviewing the Tribunate's
debate record. The Conservative Senate (Sé nat conservateur)
was a governmental body equal to the three aforementioned
legislative assemblies.
The executive power was vested in three Consuls, but all actual
power was held by the First Consul, Bonaparte, who never
intended to be part of an equal triumvirate. As the years
progressed, he moved to consolidate his own power as First
Consul and leave the two other consuls and the Assemblies
weak and subservient.
On February 7, 1800, a public referendum confirmed the new
constitution. It vested all of the real power in the hands of the
First Consul, leaving only a nominal role for the other two
consuls. Over 99% of voters approved the motion, according to
the released results. While this near-unanimity is certainly
doubtful, Napoleon was genuinely popular among many voters.
The Constitution was amended twice and in each case, the
amendments strengthened Napoleon's already concentrated
power. The Constitution of the Year X (1802) made Napoleon
First Consul for Life. In 1804, the Constitution of the Year X II
established the First French Empire with Napoleon
Bonaparte as Napoleon I, Emperor of the French. The
Constitution established the House of Bonaparte as France's
imperial dynasty, making the throne hereditary in Napoleon's
family.
The Constitution of the Year X II was later extensively amended
by the Additional Act (1815) after Napoleon returned from exile
on Elba. The document virtually replaced the previous
Napoleonic Constitutions.
Key Terms
Consulate

Additional Act
A document known also as the Charter of 1815, signed on April

22, 1815, which was the French constitution prepared by
Benjamin Constant at the request of Napoleon I after he
returned from exile on Elba. It extensively amended (in fact
virtually replacing) the previous Napoleonic Constitutions
(Constitution of the Year V III, Constitution of the Year X , and
Constitution of the Year X II). It was very liberal in spirit and gave
the French people rights which were previously unknown to
them, such as the right to elect a mayor in communes with
populations of fewer than 5,000.
Constitution of the Year V III
The French constitution adopted on December 24, 1799 (during

the Year V III of the French Revolutionary Calendar), that
established the form of government known as the Consulate.
The constitution tailor-made the position of First Consul to give
Napoleon most of the powers of a dictator. It was the first
constitution since the Revolution that did not include a
Declaration of Rights.
Coup of 18 Brumaire

French Consulate. It took place on November 9, 1799, which
was 18 Brumaire, Year V III under the French Republican
Calendar.
The Constitution of the Y ear V III

Despite the failures in Egypt (1798-99), Napoleon arrived in France
to a hero's welcome. He drew together an alliance with director
Emmanuel Joseph Sieyè s, his brother Lucien, speaker of the
Council of Five Hundred Roger Ducos, director Joseph Fouché , and
Talleyrand, and they overthrew the Directory by a coup d'é tat on
November 9, 1799 (the Coup of 18 Brumaire), closing down the
Council of Five Hundred (the lower house of the legislature).
Napoleon became the First Consul for ten years, appointing two
consuls with consultative voices only. His power was confirmed by
the new Constitution of the Year V III, originally devised by Sieyè s to
give Napoleon a minor role, but rewritten by Napoleon and accepted
by direct popular vote. The constitution preserved the appearance of
a republic but in reality established a dictatorship.
The Constitution of the Year V III was adopted on December 24,

1799 (during the Year V III of the French Revolutionary Calendar),
and established the form of government known as the Consulate.
The constitution tailor-made the position of First Consul to give
Napoleon most of the powers of a dictator. It was the first constitution
since the Revolution that did not include a Declaration of Rights.
Page 3 of the Constitution of the Y ear
V III, Archives Nationales.
Napoleon established a political system that historian Martyn
Lyons called "dictatorship by plebiscite." Worried by the democratic
forces unleashed by the Revolution, but unwilling to ignore them
entirely, Napoleon resorted to regular electoral consultations with the
French people on his road to imperial power. He drafted the
Constitution of the Year V III and secured his own election as First
Consul, taking up residence at the Tuileries. The constitution was
approved in a plebiscite held the following January, with 99.94
percent officially listed as voting "yes."
Separation of Powers
The new government was composed of three parliamentary
assemblies: the Council of State (Conseil d'É tat), which drafted bills;
the Tribunate, which debated bills but could not vote; and the
Legislative Assembly (Corps lé gislatif), which could not discuss the
bills, but whose members voted on them after reviewing the
Tribunate's debate record. The Conservative Senate (Sé nat
conservateur) was a governmental body equal to the three
aforementioned legislative assemblies. However, the Senate was
more of an executive body as it verified the draft bills and directly
advised the First Consul on their implications. Popular suffrage was
retained but mutilated by the lists of notables. The term notables,
commonly used under the monarchy, referred to prominent and more
affluent men — landholders, merchants, scholars, professionals,
clergymen, and officials. The people in each district chose a slate of
notables by popular vote. The First Consul, Tribunate, and Corps
lé gislatif each nominated one Senatorial candidate to the rest of the
Senate, which chose one candidate from among the three.
power was held by the First Consul, Bonaparte. Napoleon vetoed
Sieyè s' original idea of having a single Grand Elector as supreme
executive and Head of State. Sieyè s had intended to reserve this
important position for himself but by vetoing the proposal, Napoleon
helped reinforce the authority of the consuls. However, Napoleon
never intended to be part of an equal triumvirate. As the years
progressed, he moved to consolidate his own power as First Consul
and leave the two other consuls, Jean Jacques Ré gis de
Cambacé rè s and Charles-Franç ois Lebrun, duc de Plaisance, as
well as the Assemblies, weak and subservient. By consolidating
power, Bonaparte was able to transform the aristocratic constitution
of Sieyè s into a dictatorship.
Amendments: Further
Consolidation of Power
On February 7, 1800, a public referendum confirmed the new
constitution. It vested all the real power in the hands of the First
Consul, leaving only a nominal role for the other two consuls. More
than 99% of voters approved the motion according to the released
results. While this near-unanimity is certainly doubtful, Napoleon was
genuinely popular among many voters and after a period of strife,
many in France were reassured by his accomplishments in the War
of the Second Coalition and his talk of stability of government, order,
justice, and moderation. He created the impression that France was
governed once more by a real statesman and that a competent
government was finally in charge.
The Constitution was amended twice and in each case, the

amendments strengthened Napoleon's already concentrated power.
The Constitution of the Year X (1802) made Napoleon First Consul
for Life. In 1804, the Constitution of the Year X II established the First
French Empire with Napoleon Bonaparte — previously First
Consul for Life, with wide-ranging powers — as Napoleon I,
Emperor of the French. The Constitution established the House of
Bonaparte as France's imperial dynasty, making the throne
hereditary in Napoleon's family. The Constitution of the Year X II was
later extensively amended by the Additional Act (1815) after
Napoleon returned from exile on Elba. The document virtually
replaced the previous Napoleonic Constitutions and reframed the
Napoleonic constitution into something more along the lines of the
Bourbon Restoration Charter of 1814 of Louis X V III while otherwise
ignoring the Bourbon charter's existence. It was very liberal in spirit
and gave the French people rights which were previously unknown
to them, such as the right to elect the mayor in communes with
populations fewer than 5,000. Napoleon treated it as a mere
continuation of the previous constitutions, and it thus took the form of
an ordinary legislative act "additional to the constitutions of the
Empire."
23.1.7 : Napoleon's Government

Napoleon's government quickly became an authoritarian one-man
system, but he surrounded himself with talented and skilled
collaborators and experts and supported a merit-based system in the
military.
Learning Objective
Assess Napoleon's governmental structure and merit system
Key Points
Napoleon's new government, the Consulate, was composed of
three parliamentary assemblies: the Council of State, which
drafted bills; the Tribunate which debated bills but could not
vote; and the Legislative Assembly, which could not discuss the
Tribunate's debate record. The Conservative Senate was a
governmental body equal to the three aforementioned legislative
assemblies.
power was held by the First Consul, Bonaparte. In 1802,
Napoleon became the First Consul for Life and two years later
he was elected as Emperor of the French.
As Napoleon increased his power, he borrowed many
techniques of the Ancien Ré gime in his new form of one-man
government. Like the old monarchy, he re-introduced
plenipotentiaries, an over-centralized, strictly utilitarian
administration that constructed or consolidated the funds
necessary for national institutions, local governments, a judiciary
system, organs of finance, banking, codes, an a conscientious
well-disciplined labor force.
Napoleon was largely able to quell dissent within government by
expelling his more vocal critics. However, he was also able to
look beyond partisan and ideological divisions if he recognized
exceptional skills and talents that could support his vision of
France. The most illustrative example of this phenomenon is his
collaboration with Charles Maurice de Talleyrand and Joseph
Fouché .
In strengthening the machinery of state, Napoleon created the
elite order of the Lé gion d'honneur (The Legion of Honor - a
substitute for the old royalist decorations and orders of chivalry,
to encourage civilian and military achievements), signed the
Concordat, and restored indirect taxes.
Of permanent importance was the Napoleonic Code created by
eminent jurists under Napoleon's supervision. Praised for its
Gallic clarity, it spread rapidly throughout Europe and the world,
marking the end of feudalism where it took effect. The Code
recognized the principles of civil liberty, equality before the law,
and the secular character of the state.
Key Terms
The Consulate

Napoleonic Code
The French civil code established under Napoleon I in 1804. It

was drafted by a commission of four eminent jurists. With its
stress on clearly written and accessible law, it was a major step
in replacing the previous patchwork of feudal laws. Historian
Robert Holtman regards it as one of the few documents that
have influenced the whole world.
Concordat
Convention between the Holy See (the V atican) and a sovereign
state that defines the relationship between the Catholic
Church and the state in matters that concern both, i.e. the
recognition and privileges of the Catholic Church in a particular
country and with secular matters that impact on church
interests.
Legion of Honor
The highest French order for military and civil merits,

established in 1802 by Napolé on Bonaparte. It was originally
established as a substitute for the old royalist decorations and
orders of chivalry to encourage civilian and military
achievements.
The Consulate
Napoleon's new government was composed of three parliamentary
the Tribunate, which could not vote on the bills but debated them;
and the Legislative Assembly (Corps lé gislatif), which could not
discuss the bills, but whose members voted on them after reviewing
the Tribunate's debate record. The Conservative Senate (Sé nat
advised the First Consul on their implications. Popular suffrage was
retained but mutilated by the lists of the so-called notables. This term
referred to prominent and more affluent men: landholders,
merchants, scholars, professionals, clergymen, and officials. The
people in each district chose a slate of notables by popular vote. The
First Consul, Tribunate, and Corps lé gislatif each nominated one
Senatorial candidate to the rest of the Senate, which chose one
candidate from among the three.
power was held by the First Consul, Bonaparte. Napoleon vetoed
Sieyè s' original idea of having a single Grand Elector as supreme
executive and Head of State. Sieyè s had intended to reserve this
important position for himself but by vetoing the proposal, Napoleon
helped reinforce the authority of the consuls. However, Napoleon
never intended to be part of an equal triumvirate. As the years
progressed, he moved to consolidate his own power as First Consul,
and leave the two other consuls, Jean Jacques Ré gis de
Cambacé rè s and Charles-Franç ois Lebrun, duc de Plaisance, as
well as the Assemblies, weak and subservient.
Further Centraliz ation of Power

In 1802, Napoleon became the First Consul for Life and two years
later he was elected as Emperor of the French. His coronation took
place in December 1804. Two separate crowns were brought for the
ceremony: a golden laurel wreath recalling the Roman Empire and a
replica of Charlemagne's crown. Napoleon entered the ceremony
wearing the laurel wreath and kept it on his head throughout the
proceedings. For the official coronation, he raised the Charlemagne
crown over his own head in a symbolic gesture, but never placed it
on top because he was already wearing the golden wreath. Instead
he placed the crown on Josephine's head. Napoleon was also
crowned King of Italy with the Iron Crown of Lombardy at the
Cathedral of Milan in 1805. He created 18 Marshals of the Empire
from among his top generals to secure the allegiance of the army.
As Napoleon increased his power, he borrowed many techniques of

the Ancien Ré gime in his new form of one-man government. Like the
old monarchy, he re-introduced plenipotentiaries, over-centralized,
strictly utilitarian administrative and bureaucratic methods, and a
policy of subservient pedantic scholasticism towards the nation's
universities. He constructed or consolidated the funds necessary for
national institutions, local governments, a judiciary system, organs of
finance, banking, codes, and traditions of a conscientious, well-
disciplined labor force.
Napoleon was largely able to quell dissent within government by

expelling his more vocal critics, such as Benjamin Constant and
Madame de Staë l. However, he was also able to look beyond
partisan and ideological divisions if he recognized exceptional skills
and talents that could support his vision of France. The most
illustrative example of this approach is his relationship with Charles
Maurice de Talleyrand, a laicized bishop, politician, and diplomat
whose career spanned the regimes of Louis X V I, the years of the
French Revolution, Napoleon, Louis X V III, and Louis-Philippe.
Napoleon found him extremely useful and appointed Talleyrand to be
his chief diplomat during the years when French military victories
brought one European state after another under French hegemony.
Most of the time, Talleyrand worked for peace so as to consolidate
France's gains. He succeeded in obtaining peace with Austria
through the 1801 Treaty of Luneville and with Britain in the 1802
Treaty of Amiens. He could not prevent the renewal of war in 1803,
but by 1805 opposed his emperor's renewed wars against Austria,
Prussia, and Russia. He resigned as foreign minister in 1807, but
retained the trust of Napoleon and conspired to undermine the
emperor's plans through secret dealings with Tsar Alexander of
Russia and Austrian minister Metternich. Talleyrand sought a
negotiated secure peace so as to perpetuate the gains of the French
revolution. Napoleon rejected peace and when he fell in 1814,
Talleyrand took charge of the Bourbon restoration based on the
principle of legitimacy.
Portrait of Talleyrand, by Pierre-Paul
Prud'hon ( 18 09) .
The name Talleyrand has become a byword for crafty, cynical
diplomacy. Talleyrand polarizes scholarly opinion. Some regard him
as one of the most versatile, skilled, and influential diplomats in
European history, and some believe that he was a traitor, betraying
the Ancien Ré gime, the French Revolution, Napoleon, and the
Restoration.
The services of talented politicians were so important to Napoleon

that he was able to force his collaborators to work above their own
political differences and personal animosities. Arguably the second
most important person in his government, Joseph Fouché , was
Talleyrand's opponent, yet the two served together under Napoleon.
Fouché was careful to temper Napoleon's more arbitrary actions,
which at times won him the gratitude even of the royalists. Fouché
was thought to have saved the Jacobins from the vengeance of the
Consulate and Bonaparte decided to rid himself of a man who had
too much power to be desirable as a subordinate. On the
proclamation of Bonaparte as First Consul for life (1802), Fouché
was deprived of his office of minister of police. After the proclamation
of the First French Empire, Fouché again became head of the re-
constituted ministry of police (1804) and later of Internal Affairs, with
activities as important as those carried out under the Consulate. His
police agents were ubiquitous and the terror that Napoleon and
Fouché inspired partly accounts for the absence of conspiracies after
1804. The two remained distrustful of each other and by the end of
Napoleon's rule, Fouché , seeing the fall of the emperor to be
imminent, took measures to expedite it and secure his own interests.
Portrait of J oseph Fouché by an
unknown artist.
Fouché , once a revolutionary using extreme terror against the
Bourbon supporters, later initiated a campaign of White Terror
against real and imaginary enemies of the Royalist restoration
(officially directed against those who had plotted and supported
Napoleon's return to power). Even Prime Minister Talleyrand
disapproved of such practices.
Napoleon's France
In strengthening the machinery of state, Napoleon created the elite
order of the Lé gion d'honneur (The Legion of Honor - a substitute
for the old royalist decorations and orders of chivalry, to encourage
civilian and military achievements), signed the Concordat, and
restored indirect taxes, an act seen as a betrayal of the Revolution.
He centralized power in Paris, with all the provinces governed by all-
powerful prefects he selected. They were more powerful than royal
intendants of the Ancien Ré gime and had a long-term impact on
minimizing regional differences and shifting all decisions to Paris.
The French taxation system had collapsed in the 1780s, one of the
key factors leading to the Revolution. Napoleon instituted a modern,
efficient tax system that guaranteed a steady flow of revenues and
made long-term financing possible. He also reformed the army, most
notably the system of conscription created in the 1790s, which
enabled every young man, regardless of his economic or social
background, to serve in the army. Consequently, the army expanded
rapidly. Before the Revolution, the aristocracy formed the officer
corps. Now promotion was by merit and achievement— it was
assumed that every private could reach the ranks of the officer.
Of permanent importance was the Napoleonic Code created by

eminent jurists under Napoleon's supervision. Praised for its Gallic
clarity, it spread rapidly throughout Europe and the world, marking
the end of feudalism where it took effect. The Code recognized the
principles of civil liberty, equality before the law, and the secular
character of the state. It discarded the old right of primogeniture
(where only the eldest son inherited) and required that inheritances
be divided equally among all the children. The court system was
standardized and all judges were appointed by the national
government in Paris
Napoleon also resolved most of the outstanding problems resulting

from the complex history of religious tensions and conflicts in
France. He moved the clergy and large numbers of devout Catholics
from hostility to the government to support for him after the Catholic
system was reestablished by the Concordat of 1801 (signed with
Pope Pius V II) that allowed the Church return to normal operations.
The church lands were not restored, but the Jesuits were allowed to
return and the bitter fights between the government and the Church
ended. Protestant, Jews, and atheists were tolerated.
23.1.8 : Napoleon and the New W orld

Napoleon's decisions to reinstate slavery in French colonies and sell
the Louisiana territory to the United States, together with the triumph
of the Haitian Revolution, made his colonial policies some of the
greatest failures of his rule.
Learning Objective
Evaluate Napoleon's relationship to the New World, specifically Haiti
Key Points
In the middle of the 18th century, a series of colonial conflicts
began between France and Britain, ultimately resulting in the
destruction of most of the existing French colonial empire and
the near complete expulsion of France from the Americas.
Modest recovery of the French colonial empire was made during
the French intervention in the American Revolution, with Saint
Lucia returned to France by the Treaty of Paris in 1783. The end
of France's first colonial empire began in 1791 when Saint
Domingue was torn apart by a massive slave revolt (Haitian
Revolution).
The French attempt to establish a colony in Egypt in 1798–1801
under the military leadership of Napoleon failed. During the
following years Napoleon, already the ruler of France, did not
manage to turn the country into an important colonial power.
A brief peace in Europe allowed Napoleon to focus on the
French colonies. Saint-Domingue managed to acquire a high
level of political autonomy during the Revolutionary Wars, with
Toussaint Louverture installing himself as de facto dictator by
1801. Napoleon saw his chance to recuperate the wealthy
colony when he signed the Treaty of Amiens.
During the Revolution, the National Convention voted to abolish
slavery in 1794. Under the terms of Amiens, however, Napoleon
agreed to appease British demands by not abolishing slavery in
any colonies where the 1794 decree had never been
implemented. The resulting Law of May 20 thus technically
reestablished slavery in some French colonies.
Although the French managed to capture Toussaint Louverture,
the expedition failed when high rates of disease crippled the
French army. In May 1803, the last 8000 French troops left the
island and the slaves proclaimed an independent republic that
they called Haï ti in 1804. Seeing the failure of his colonial
efforts, Napoleon decided in 1803 to sell the Louisiana Territory
to the United States. At the close of the Napoleonic Wars, most
(although not all) of France's colonies were restored to it by
Britain.
Key Terms
Haitian Revolution
A successful anti-slavery and anti-colonial insurrection that took

place in the former French colony of Saint Domingue from 1791
until 1804. It impacted the institution of slavery throughout the
Americas. Self-liberated slaves destroyed slavery at home,
fought to preserve their freedom, and collaborated with
mulattoes to found the sovereign state of Haiti.
Law of May 20
A law passed in 1802 that revoked the Law of February 4, 1794,

which had abolished slavery in all the French colonies. It
explicitly concerned the territories, where the 1794 law had not
been applied, and was linked to the 1802 Treaty of Amiens
which restored Martinique to France. The 1802 law thus did not
apply to Guadeloupe and Guyane and had little effect in Saint-
Domingue except to re-inflame rebellion and accelerate its
march towards independence in 1804.

Louisiana Purchase
The acquisition of the Louisiana territory (828,000 square miles)

by the United States from France in 1803. The U.S. paid 50
million francs ($ 11.25 million USD) and a cancellation of debts
worth 18 million francs ($ 3.750 million USD) for a total of 68
million francs ($ 15 million USD). The Louisiana territory included
land from 15 present U.S. states and two Canadian provinces.
Napoleonic Wars
A series of major global conflicts pitting the French Empire, led

by Napoleon I, against an array of European powers formed into
various coalitions between 1803 and 1815. They revolutionized
European armies and played out on an unprecedented scale,
mainly owing to the application of modern mass conscription.
The wars were a continuation of the Revolutionary Wars, which
broke out in 1792 during the French Revolution.
The French Colonial Empire:

Background
In the middle of the 18th century, a series of colonial conflicts began
between France and Britain that ultimately resulted in the destruction
of most of the existing French colonial empire and the near complete
expulsion of France from the Americas. The Seven Years' War
(1756-63) was a particularly bad defeat for the French, with the
numerically superior British conquering not only New France
(excluding the small islands of Saint Pierre and Miquelon), but also
most of France's West Indian (Caribbean) colonies and all of the
French Indian outposts. While the following peace treaty saw
France's Indian outposts and the Caribbean islands of Martinique
and Guadeloupe restored to France, the competition for influence in
India was won by the British and North America was entirely lost.
Most of New France was taken by Britain (except Louisiana, which
France ceded to Spain as payment for Spain's late entrance into the
war and as compensation for Britain's annexation of Spanish
Florida). Also ceded to the British were Grenada and Saint Lucia in
the West Indies. Although the loss of Canada would cause regret in
future generations, it did not seem like a French failure at the time.
Colonialism was widely regarded as largely unimportant to France.
Modest recovery of the French colonial empire was made during the
French intervention in the American Revolution, with Saint Lucia
returned to France by the Treaty of Paris in 1783. The end of what
remained of France's first colonial empire began in 1791 when Saint
Domingue (the Western third of the Caribbean island of Hispaniola),
France's richest and most important colony, was torn apart by a
massive slave revolt (Haitian Revolution).
Saint-Domingue slave revolt in 17 91
( Haitian Revolution) , German copper
engraving, author unknown.
Napoleon's role in the Haitian Revolution and decision to reinstate
slavery in France's oversea colonies remain controversial and affect
his reputation as one of the most brilliant rulers in global history.
Napoleon and the Colonies

The French attempt to establish a colony in Egypt in 1798–1801
under the military leadership of Napoleon failed. During the years to
come Napoleon, already the ruler of France, did not manage to turn
the country into an important colonial power. After a decade of
constant warfare, France and Britain signed the 1802 Treaty of
Amiens, bringing the French Revolutionary Wars to an end. Amiens
called for the withdrawal of British troops from recently conquered
colonial territories as well as for assurances to curtail the
expansionary goals of the French Republic. With Europe at peace
and the economy recovering, Napoleon's popularity soared to its
highest levels under the Consulate, both domestically and abroad.
This brief peace in Europe allowed Napoleon to focus on the French
colonies. Saint-Domingue managed to acquire a high level of
political autonomy during the Revolutionary Wars, with Toussaint
Louverture installing himself as de facto dictator by 1801. Napoleon
saw his chance to recuperate the wealthy colony when he signed the
Treaty of Amiens. During the Revolution, the National Convention
voted to abolish slavery in 1794. Under the terms of Amiens,
however, Napoleon agreed to appease British demands by not
abolishing slavery in colonies where the 1794 decree had never
been implemented. The resulting Law of May 20 never applied to
colonies like Guadeloupe or Guyane, even though rogue generals
and other officials used the pretext of peace as an opportunity to
reinstate slavery in some of these places. The Law of May 20
officially restored the slave trade to the Caribbean colonies, not
slavery itself. Napoleon sent an expedition under General Leclerc
designed to reassert control over Sainte-Domingue. Although the
French managed to capture Toussaint Louverture, the expedition
failed when high rates of disease crippled the French army. In May
1803, the last 8,000 French troops left the island and the slaves
proclaimed an independent republic that they called Haï ti in 1804.
Seeing the failure of his colonial efforts, Napoleon decided in 1803 to
sell the Louisiana Territory to the United States, instantly doubling
the size of the U.S. The selling price in the Louisiana Purchase was
less than three cents per acre, a total of $ 15 million.
At the close of the Napoleonic Wars, most of France's colonies were

restored to it by Britain, notably Guadeloupe and Martinique in the
West Indies, French Guiana on the coast of South America, various
trading posts in Senegal, the Î le Bourbon (Ré union) in the Indian
Ocean, and France's tiny Indian possessions. However, Britain
finally annexed Saint Lucia, Tobago, the Seychelles, and the I sle de
France (now Mauritius).
23.1.9: The Concordat of 18 01

The Concordat of 1801 sought national reconciliation between
revolutionaries and Catholics and solidified the Roman Catholic
Church as the majority church of France. But while it restored
France's ties to the papacy, it was largely in favor of the state.
Learning Objective
Evaluate the significance of the Concordat of 1801
Key Points
During the French Revolution, the National Assembly took
Church properties and issued the Civil Constitution of the
Clergy, which made the Church a department of the state,
effectively removing it from papal authority. These and other
decisions that aimed to weaken the position of the Catholic
Church in France triggered some social unrest.
The Concordat was designed to regulate relations between
Napoleon's France and the Catholic Church. It was drawn up by
a commission with three representatives from each party and
signed in 1801 in Paris. It sought national reconciliation between
revolutionaries and Catholics and solidified the Roman Catholic
Church as the majority church of France, with most of its civil
status restored.
While the Concordat restored some ties to the papacy, it was
largely in favor of the state. It wielded greater power of the state
vis-à -vis the Pope than previous French regimes, and church
lands lost during the Revolution were not returned. Napoleon
understood the utility of religion as a factor of social cohesion,
and his approach was utilitarian. He could now win favor with
French Catholics while also controlling Rome in a political
sense.
Napoleon looked for recognition by the Church of the disposition
of its property and geographical reorganization of bishoprics,
while Rome sought the protection of Catholics and the
recognition of a special status of the Catholic Church in the
French State.
As a part of the Concordat, Napoleon presented another set of
laws called the Organic Articles. They were published as a
unilateral addition to the Concordat in 1802. Presenting the
Organic Articles was Napoleon’s method of granting the
Tribunate and the legislative body partial control of the
Concordat in order to help the state monitor any politically
harmful Catholic or Protestant movements or activities.
The hostility of devout Catholics against the state was now
largely resolved. The Concordat did not restore the vast church
lands and endowments that were seized during the revolution
and sold off. Catholic clergy returned from exile or hiding and
resumed their traditional positions in their traditional churches.
While the Concordat restored much power to the papacy, the
balance of church-state relations tilted firmly in Napoleon's
favor.
Key Terms
Civil Constitution of the Clergy
A law passed in July 1790 during the French Revolution that

subordinated the Roman Catholic Church in France to the
French government.
The Concordat of 1801
An agreement between Napoleon and Pope Pius V II signed in

July 1801 in Paris that remained in effect until 1905. It sought
national reconciliation between revolutionaries and Catholics
and solidified the Roman Catholic Church as the majority church
of France, with most of its civil status restored.
Organic Articles
An 1801/02 law administering public worship in France. It was
presented by Napoleon Bonaparte and consisted of 77 Articles
relating to Catholicism and 44 Articles relating to Protestantism.
Gallican Church
The Roman Catholic Church in France from the time of the

Declaration of the Clergy of France (1682) to that of the Civil
Constitution of the Clergy (1790) during the French Revolution.
The Catholic Church in

Revolutionary France
During the French Revolution, the National Assembly took Church
properties and issued the Civil Constitution of the Clergy, which
made the Church a department of the state and effectively removed
it from papal authority. At the time, the nationalized Gallican Church
was the official church of France. Gallicanism was the theory that the
power of monarchs is independent of the power of popes and that
the church of each country should be under the joint control of the
pope and the monarch, but the doctrine of the Gallican Church was
essentially Catholicism. The Civil Constitution caused hostility
among the V endé e resurgents, who resented the harsh conditions
imposed on the Roman Catholic Church by the provisions of the Civil
Constitution and broke into open revolt after the Revolutionary
government's imposition of military conscription. A guerrilla war
known as the Revolt in the V endé e was led at the outset by peasants
who were chosen in each locale. It cost more than 240,000 lives
before it ended in 1796. Subsequent laws abolished the traditional
Gregorian calendar and Christian holidays.
Development of the Concordat

The Concordat was drawn up by a commission with three
representatives from each party. Napoleon Bonaparte, who was First
Consul of the French Republic at the time, appointed Joseph
Bonaparte, his brother, Emmanuel Cré tet, a counselor of state, and
É tienne-Alexandre Bernier, a doctor in theology. Pope Pius V II
appointed Cardinal Ercole Consalvi, Cardinal Giuseppe Spina,
archbishop of Corinth, and his theological adviser, Father Carlo
Francesco Maria Caselli. The French bishops, whether abroad or
back to their own countries, had no part in the negotiations.
The Concordat of 1801 was signed in Paris. It sought national

reconciliation between revolutionaries and Catholics and solidified
the Roman Catholic Church as the majority church of France, with
most of its civil status restored. While the Concordat restored some
ties to the papacy, it was largely in favor of the state. It wielded
greater power of the state vis-à -vis the Pope than previous French
regimes, and church lands lost during the Revolution were not
returned. Napoleon understood the utility of religion as an important
factor of social cohesion and his approach was utilitarian. He could
now win favor with French Catholics while also controlling Rome
politically.
Napoleon looked for the recognition by the Church of the disposition

of its property and geographical reorganization of bishoprics, while
Rome sought the protection of Catholics and the recognition of a
special status of the Catholic Church in the French State. The main
terms of the Concordat included:
A declaration that "Catholicism was the religion of the great

majority of the French" but not the official state religion, thus
maintaining religious freedom for Protestants and other French
citizens.
The Church was to be free to exercise its worship in public in
accordance with police regulations that the Government deems
necessary for the public peace. The authority to determine if a
public religious observance would violate the public peace
resided with each mayor, who had the power to prohibit a public
ceremony if he considered it a threat to the peace of his
commune
The Papacy had the right to depose bishops, but this made little
difference because they were still nominated by the French
government. The state paid clerical salaries and the clergy
swore an oath of allegiance to the state.
The Catholic Church gave up all its claims to Church lands that
were confiscated after 1790.
Sunday was reestablished as a "festival." The rest of the French
Republican Calendar was not replaced by the traditional
Gregorian Calendar until January 1, 1806.
Leaders of the Catholic Church taking
the civil oath required by the
Concordat of 18 01, Henri Gourdon de
Genouillac, Paris à travers les siècles,
v. 4, Paris, F. Roy, 18 8 1.
In the aftermath of signing the Concordat of 1801, the Catholic clergy
returned from exile or hiding and resumed their traditional positions
in their traditional churches. V ery few parishes retained the priests
who had accepted the "Civil Constitution of the Clergy." Napoleon
and the pope both found the Concordat useful. Similar arrangements
were made with the Church in territories controlled by Napoleon,
especially Italy and Germany.
Organic Articles
As part of the Concordat, Napoleon presented another set of laws
called the Organic Articles. These consisted of 77 Articles relating to
Catholicism and 44 Articles relating to Protestantism and were
published as a unilateral addition to the Concordat in 1802.
Napoleon presented the set of laws to the Tribunate and the
legislative body at the same time that he had them vote on the
Concordat itself. It met with opposition from the Catholic Church with
Pope Pius V II claiming that the articles had been promulgated
without his knowledge. Presenting the Organic Articles was
Napoleon’s method of granting the Tribunate and the legislative body
partial control of the Concordat to help the state monitor any
politically harmful Catholic or Protestant movements or activities.
Significance of the Concordat

The hostility of devout Catholics against the state was now largely
resolved. The Concordat did not restore the vast church lands and
endowments that were seized upon during the revolution and sold
off. Catholic clergy returned from exile or hiding, and resumed their
former positions in their traditional churches. While the Concordat
restored much power to the papacy, the balance of church-state
relations tilted firmly in Napoleon's favor. He selected the bishops
and supervised church finances. Similar arrangements were made
with the Church in territories controlled by Napoleon, especially Italy
and Germany. The Concordat was abrogated by the law of 1905 on
the separation of Church and state. However, some provisions of the
Concordat are still in effect in the Alsace-Lorraine region under the
local law of Alsace-Moselle, as the region was controlled by the
German Empire at the time of the 1905 law's passage.
23.1.10: The Napoleonic Code

The 1804 Napoleonic Code, which influenced civil law codes across
the world, replaced the fragmented laws of pre-revolutionary France,
recognizing the principles of civil liberty, equality before the law
(although not for women in the same sense as for men), and the
secular character of the state.
Learning Objective
Synthesize the key tenets of the Napoleonic Code
Key Points
Napoleon set out to reform the French legal system in
accordance with the ideas of the French Revolution. Before the
Napoleonic Code, France did not have a single set of laws. Law
consisted mainly of local customs, which had sometimes been
officially compiled in "customals." There were also exemptions,
privileges, and special charters granted by the kings or other
feudal lords.
Specifically, Jean-Jacques Ré gis de Cambacé rè s led the
drafting process of a single civil law code. His drafts of 1793,
1794, and 1799, however, were adopted only partially. When
Napoleon came to power in 1799, a commission of four eminent
jurists was appointed in 1800, chaired by Cambacé rè s (now
Second Consul) and sometimes by the First Consul, Napoleon
himself.
The Code was complete by 1801 but not published until 1804.
Napoleon participated actively in the sessions of the Council of
State that revised the drafts of the new civil code. The
development of the code was a fundamental change in the
nature of the civil law legal system as it stressed clearly written
and accessible law. Other codes were commissioned by
Napoleon to codify criminal and commerce law.
Praised for its clarity, the Code spread rapidly throughout
Europe and the world and marked the end of feudalism and the
liberation of serfs where it took effect. The Code recognized the
principles of civil liberty, equality before the law (although not for
women in the same sense as for men), and the secular
character of the state.
Although the Napoleonic Code was not the first civil code and
did not represent the whole of Napoleon's empire, it was one of
the most influential. It was adopted in many countries occupied
by the French during the Napoleonic Wars. It formed the basis
of the law systems across most of continental Europe and has
had a lasting impact on civil law codes in other regions of the
world, including the Middle East where it has been combined
with the Islamic law.
The development of the Napoleonic Code was a fundamental
change in the nature of the civil law system, making laws clearer
and more accessible. It also superseded the former conflict
between royal legislative power and, particularly in the final
years before the Revolution, protests by judges representing
views and privileges of the social classes to which they
belonged.
Key Terms
Council of State
A body of the French national government that acts both as

legal adviser of the executive branch and as the supreme
court for administrative justice. Originally established in 1799 by
Napoleon Bonaparte as a successor to the King's Council and
a judicial body mandated to adjudicate claims against the State
and assist in the drafting of important laws.
Napoleonic Code
The French civil code established under Napoleon I in 1804. It

was drafted by a commission of four eminent jurists. The code,
with its stress on clearly written and accessible law, was a major
step in replacing the previous patchwork of feudal laws.
Historian Robert Holtman regards it as one of the few
documents that have influenced the whole world.
Legal System in France Before

the Code
Napoleon set out to reform the French legal system in accordance
with the ideas of the French Revolution. Before the Napoleonic
Code, France did not have a single set of laws. Law consisted
mainly of local customs, which had sometimes been officially
compiled in "customals" (coutumes). There were also exemptions,
privileges, and special charters granted by the kings or other feudal
lords. During the Revolution, the last vestiges of feudalism were
abolished and a new legal code was required to address changes in
the social, economic, and political structure of French society.
Jean-Jacques Ré gis de Cambacé rè s led the drafting process of a

single civil law code. His drafts of 1793, 1794, and 1799, however,
were adopted only partially. When Napoleon came to power in 1799,
a commission of four eminent jurists was appointed in 1800, chaired
by Cambacé rè s (now Second Consul) and sometimes by the First
Consul, Napoleon himself. The Code was complete by 1801, after
intensive scrutiny by the Council of State, but was not published until
1804. It was promulgated as the Civil Code of the French (Code civil
des Franç ais), but was renamed the Napoleonic Code (Code
Napolé on) from 1807 to 1815, and once again after the Second
French Empire (1852-71).
The Napoleonic Code

Napoleon participated actively in the sessions of the Council of State
that revised the drafts of the new civil code. The development of the
code was a fundamental change in the nature of the civil law legal
system as it stressed clearly written and accessible law. Other codes
were commissioned by Napoleon to codify criminal and commerce
law.
The preliminary article of the Code established certain important

provisions regarding the rule of law. Laws could be applied only if
they had been duly promulgated and then published officially
(including provisions for publishing delays, given the means of
communication available at the time). Thus, no secret laws were
authorized. It prohibited ex post facto laws (i.e. laws that apply to
events that occurred before their introduction). The code also
prohibited judges from refusing justice on grounds of insufficiency of
the law, thereby encouraging them to interpret the law. On the other
hand, it prohibited judges from passing general judgments of a
legislative value (more below). With regard to family, the Code
established the supremacy of the man over the wife and children,
which was the general legal situation in Europe at the time.
Praised for its clarity, the Code spread rapidly throughout Europe
and the world in and marked the end of feudalism and the liberation
of serfs where it took effect. The Code recognized the principles of
civil liberty, equality before the law (although not for women in the
same sense as for men), and the secular character of the state. It
discarded the old right of primogeniture (where only the eldest son
inherited) and required that inheritances be divided equally among
all children. The court system was standardized. All judges were
appointed by the national government in Paris.
First page of the 18 04 original edition
of the Napoleonic Code.
The Napoleonic Code was not the first legal code to be established
in a European country with a civil legal system. It was preceded by
the Codex Maximilianeus bavaricus civilis (Bavaria, 1756), the
Allgemeines Landrecht (Prussia, 1794), and the West Galician
Code (Galicia, then part of Austria, 1797). It was, however, the first
modern legal code to be adopted with a pan-European scope and
strongly influenced the law of many of the countries formed during
and after the Napoleonic Wars. The Napoleonic Code was very
influential in developing countries outside Europe, especially in the
Middle East, that were attempting to modernize through legal
reforms.
Significance and Lasting
Impact
Although the Napoleonic Code was not the first civil code and did not
represent the whole of Napoleon's empire, it was one of the most
influential. It was adopted in many countries occupied by the French
during the Napoleonic Wars and thus formed the basis of the law
systems of Italy, the Netherlands, Belgium, Spain, Portugal (and their
former colonies), and Poland (1808–1946). In the German regions
on the west bank of the Rhine (Rhenish Palatinate and Prussian
Rhine Province), the former Duchy of Berg, and the Grand Duchy of
Baden, the Napoleonic Code was in use until the introduction in
1900 of the first common civil code for the entire German Empire. A
civil code with strong Napoleonic influences was also adopted in
1864 in Romania and remained in force until 2011. The Code was
adopted in Egypt as part of the system of mixed courts introduced in
Egypt after the fall of Khedive Ismail (1879). In the Persian Gulf Arab
states of the Middle East, the influence of the Napoleonic Code
mixed with hints of Islamic law is clear even in Saudi Arabia (which
abides more towards Islamic law). In Kuwait, for example, property
rights, women's rights, and the education system were seen as
Islamic reenactments of the French civil code.
Thus, the civil law systems of the countries of modern continental

Europe, with the exception of Russia and the Scandinavian countries
have, to different degrees, been influenced by the Napoleonic Code.
In the United States, whose legal system is largely based on English
common law, the state of Louisiana is unique in having a strong
influence from the Napoleonic Code and Spanish legal traditions on
its civil code.
The development of the Napoleonic Code was a fundamental

change in the nature of the civil law system, making laws clearer and
more accessible. It also superseded the former conflict between
royal legislative power and, particularly in the final years before the
Revolution, protests by judges representing views and privileges of
the social classes to which they belonged. Such conflict led
revolutionaries to take a negative view of the judges and the judicial
system. This is reflected in the Napoleonic Code provision
prohibiting judges from deciding a case by way of introducing a
general rule, since the creation of general rules is an exercise of
legislative, not judicial power. In theory, there is thus no case law in
France. However, the courts still had to fill in the gaps in the laws
and regulations and, indeed, were prohibited from refusing to do so.
Moreover, both the code and legislation have required judicial
interpretation. Thus, a vast body of judicially-created law
(j urisprudence) has come into existence. There is no rule of stare
decisis (binding precedent) in French law, but decisions by important
courts have become more or less equivalent to case law.
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23.2: The French Empire
23.2.1: " Emperor of the French"
The title of Emperor of the French emphasized that the emperor
ruled over the French people, the nation, and not over France, the
republic. This moniker aimed to demonstrate that Napoleon's
coronation was not a restoration of monarchy but an introduction of a
new political system: the French Empire.
Learning Objective
Differentiate between the French Directory, the French Consulate,
and the French Empire
Key Points
The Directory was a five-member committee that governed
France from November 1795 when it replaced the Committee of
Public Safety. French military disasters in 1798 and 1799
damaged the Directory, eventually leading to its demise. In the
Coup of 18 Brumaire, Napoleon seized French parliamentary
and military power, forcing the sitting directors of the
government to resign.
A remnant of the Council of Ancients abolished the Constitution
of the Year III, ordained the Consulate, and legalized the coup
d'é tat in favor of Bonaparte with the Constitution of the Year V III.
The new constitution (adopted in 1799) established the form of
government known as the Consulate. The constitution tailor-
made the position of First Consul to give Napoleon most of the
powers of a dictator.
The constitution was amended twice and in each case, the
amendments strengthened Napoleon's authority. The
Constitution of the Year X (1802) made Napoleon First Consul
for Life. In 1804, the Constitution of the Year X II established the
First French Empire with Napoleon Bonaparte I, Emperor of the
French.
The title Emperor of the French was established when Napoleon
Bonaparte received the title of Emperor in 1804 from the French
Senate and was crowned Emperor of the French at the
cathedral of Notre Dame. The title emphasized that the emperor
ruled over the French people, the nation, and not over France,
the republic. The old title of king of France indicated that the
king owned France as a personal possession.
The title was purposefully created to preserve the appearance of
the French Republic and show that after the French Revolution,
the feudal system was abandoned and a nation state was
created, with equal citizens as the subjects of their emperor. The
title also aimed to demonstrate that Napoleon's coronation was
not a restoration of monarchy, but an introduction of a new
political system: the French Empire.
Napoleon's reign lasted until 1815, interrupted by the Bourbon
Restoration of 1814 and his own exile to Elba. He escaped
reigning as Emperor for another 94 days before his final defeat
and exile. The title, however, was later used by the House of
Bonaparte.
Key Terms
Emperor of the French
The title established when Napoleon Bonaparte received the

title of Emperor in 1804 from the French Senate and was
crowned at the cathedral of Notre Dame. The title emphasized
that the emperor ruled over the French people, the nation, and
not over France, the republic.
Directory
Coup of 18 Brumaire

Consulate

of French history. Napoleon Bonaparte, as First Consul,
established himself as the head of a more liberal, authoritarian,
autocratic, and centralized republican government in France
while not declaring himself head of state.
Directory vs. Consulate vs.

French Empire
The Directory was a five-member committee that governed
France from November 1795 when it replaced the Committee of
Public Safety. French military disasters in 1798 and 1799 damaged
the Directory and eventually led to its demise. In the Coup of 18
Brumaire, Napoleon seized French parliamentary and military power
in a two-fold coup d'é tat, forcing the sitting directors of the
government to resign. On the night of the 19 Brumaire (November
10, 1799) a remnant of the Council of Ancients abolished the
Constitution of the Year III, ordained the Consulate, and legalized the
coup d'é tat in favor of Bonaparte with the Constitution of the Year
V III.
The new constitution (adopted in 1799) established the form of

government known as the Consulate. The constitution tailor-made
the position of First Consul to give Napoleon most of the powers of a
dictator. The new government was composed of three parliamentary
the Tribunate, which debated but could not vote on bills; and the
Legislative Assembly (Corps lé gislatif), which could not discuss the
Tribunate's debate record. The Conservative Senate (Sé nat
advised the First Consul on their implications. The executive power
was vested in three Consuls, but all actual power was held by the
First Consul, Bonaparte.
The Constitution was amended twice, each time strengthening

Napoleon's already concentrated power. The Constitution of the Year
X (1802) made Napoleon First Consul for Life. In 1804, the
Constitution of the Year X II established the First French Empire with
Napoleon Bonaparte — previously First Consul for Life, with wide-
ranging powers — as Napoleon I, Emperor of the French. That
ended the period of the French Consulate and of the French First
Republic. Napoleon's rule was constitutional, and although
autocratic, it was much more advanced than traditional European
monarchies of the time.
Nap oleon I on His Im p erial Throne by
J ean-Auguste-Dominique Ingres,
18 06.
Napoleon's coronation took place on December 2, 1804. Two
separate crowns were brought for the ceremony: a golden laurel
wreath recalling the Roman Empire and a replica of Charlemagne's
crown. Napoleon entered the ceremony wearing the laurel wreath
and kept it on his head throughout the proceedings.
A New Title
The title Emperor of the French was established when Napoleon
Senate and was crowned Emperor of the French at the cathedral of
Notre Dame. The title emphasized that the emperor ruled over the
French people, the nation, and not over France, the republic. The old
title of king of France indicated that the king owned France as a
personal possession. The new term indicated a constitutional
monarchy. The title was purposefully created to preserve the
appearance of the French Republic and to show that after the
French Revolution, the feudal system was abandoned and a nation
state was created, with equal citizens as the subjects of their
emperor. The title also aimed to demonstrate that Napoleon's
coronation was not a restoration of monarchy, but an introduction of
a new political system: the French Empire. Napoleon's reign lasted
until 1815, when he was defeated at the Battle of Waterloo, exiled,
and imprisoned on the island of Saint Helena, where he died in
1821. His reign was interrupted by the Bourbon Restoration of 1814
and his own exile to Elba, from where he escaped less than a year
later to reclaim the throne, reigning as Emperor for another 94 days
before his final defeat and exile. The title, however, was used by the
House of Bonaparte - Napoleon II (1815) and Napoleon III (1852-
70).
Emperor of the French was the title established when Napoleon

Senate and was crowned Emperor of the French at the cathedral of
Notre Dame. The title emphasized that the emperor ruled over the
French people, the nation, and not over France, the republic. The old
title of king of France indicated that the king owned France as a
personal possession. The new term indicated a constitutional
monarchy. The title was purposefully created to preserve the
appearance of the French Republic and to show that after the
French Revolution, the feudal system was abandoned and a nation
state was created, with equal citizens as the subjects of their
emperor. The title also aimed to demonstrate that Napoleon's
coronation was not a restoration of monarchy, but an introduction of
a new political system: the French Empire. Napoleon's reign lasted
until 1815, when he was defeated at the Battle of Waterloo, exiled,
and imprisoned on the island of Saint Helena, where he died in
1821. His reign was interrupted by the Bourbon Restoration of 1814
and his own exile to Elba, from where he escaped less than a year
later to reclaim the throne, reigning as Emperor for another 94 days
before his final defeat and exile. The title, however, was used by the
House of Bonaparte - Napoleon II (1815) and Napoleon III (1852-
70).
23.2.2: The Confederation of the Rhine

The Confederation of the Rhine was an alliance of various German
states that served as a satellite and major military ally of the French
Empire with Napoleon as its "Protector," and was created as a buffer
state from any future aggression from Austria, Russia, or Prussia
against France.
Learning Objective
Explain how creating the Confederation of the Rhine benefited
Napoleon's long-term goals
Key Points
The Fourth Coalition (1806–1807) of Prussia, Russia, Saxony,
Sweden, and Britain formed against France within months of the
collapse of the previous coalition. Following his triumph at the
1805 Battle of Austerlitz and the subsequent demise of the Third
Coalition, Napoleon looked forward to achieving a general
peace in Europe, especially with his two main remaining
antagonists, Britain and Russia.
One point of contention was the fate of Hanover, a German
electorate in personal union with the British monarchy that had
been occupied by France since 1803. Dispute over this state
would eventually become a casus belli for both Britain and
Prussia against France. This issue also dragged Sweden into
the war. The path to war seemed inevitable and the final straw
was Napoleon's formation of the Confederation of the Rhine out
of various German states in July 1806.
The Confederation was a virtual satellite of the French Empire
with Napoleon as its "Protector" and was intended to act as a
buffer state from any future aggression from Austria, Russia, or
Prussia against France (a policy that was an heir of the French
revolutionary doctrine of maintaining France's "natural
frontiers"). The formation of the Confederation was the final nail
in the coffin of the Holy Roman Empire.
Napoleon consolidated the various smaller states of the former
Holy Roman Empire, which allied with France into larger
electorates, duchies, and kingdoms to make the governance of
non-Prussian and Austrian Germany more efficient. According to
the founding treaty, the confederation was to be run by common
constitutional bodies, but the individual states (in particular the
larger ones) wanted unlimited sovereignty. In the end, the
Confederation was above all a military alliance.
In return for continued French protection, member states were
compelled to supply France with many of their own military
personnel and contribute much of the resources to support the
French armies still occupying western and southern Germany.
The Confederation was at its largest in 1808, when it included
35 states and collapsed in 1813, in the aftermath of Napoleon's
failed campaign against the Russian Empire. Many of its
members changed sides after the 1813 Battle of Leipzig, when it
became apparent Napoleon would lose the War of the Sixth
Coalition.
Key Terms
Confederation of the Rhine
A confederation of client states of the First French Empire
formed by Napoleon in 1806 from 16 German states after he
defeated Austria and Russia in the Battle of Austerlitz. 19 other
states joined later, creating a territory of over 15 million subjects.
It provided a significant strategic advantage to the French
Empire on its eastern front.
Battle of Austerlitz
An 1805 battle, also known as the Battle of the Three Emperors,

that was one of the most important and decisive engagements
of the Napoleonic Wars. In what is widely regarded as the
greatest victory achieved by Napoleon, the G rande Armé e of
France defeated a larger Russian and Austrian army led by Tsar
Alexander I and Holy Roman Emperor Francis II. The battle
brought the War of the Third Coalition to a rapid end.
Causes of the W ar of the Fourth

Coalition
The Fourth Coalition (1806–1807) of Prussia, Russia, Saxony,
Sweden, and Britain formed against France within months of the
collapse of the previous coalition. Following his triumph at the 1805
Battle of Austerlitz and the subsequent demise of the Third Coalition,
Napoleon looked forward to achieving a general peace in Europe,
especially with his two main remaining antagonists, Britain and
Russia. Meanwhile, he sought to isolate Prussia from the influence
of these two powers by offering a tentative alliance while also
seeking to curb Prussia's political and military influence among the
German states.
Britain and its new Whig administration remained committed to

checking the growing power of France. Peace overtures between the
two nations early in the new year proved ineffectual due to the still
unresolved issues that led to the breakdown of the 1802 Peace of
Amiens. One point of contention was the fate of Hanover, a German
electorate in personal union with the British monarchy that had been
occupied by France since 1803. Dispute over this state would
eventually become a casus belli for both Britain and Prussia against
France. This issue also involved Sweden, whose forces were
deployed there as part of the effort to liberate Hanover during the
war of the previous coalition. The path to war seemed inevitable after
French forces ejected the Swedish troops in April 1806. Another
cause of the eventual war was Napoleon's formation of the
Confederation of the Rhine out of various German states in July
1806.
Creating the Confederation

The Confederation was a virtual satellite of the French Empire with
Napoleon as its "Protector" and was intended to serve as a buffer
against any future aggression from Austria, Russia, or Prussia
against France (a policy that was an heir of the French revolutionary
doctrine of maintaining France's "natural frontiers"). The formation of
the Confederation was the final nail in the coffin of the Holy Roman
Empire and subsequently its last Habsburg emperor, Francis II,
changed his title to simply Francis I, Emperor of Austria. On August
1, the members of the confederation formally seceded from the Holy
Roman Empire and on August 6, following an ultimatum by
Napoleon, Francis II declared the Holy Roman Empire dissolved.
Francis and his Habsburg dynasty continued as emperors of Austria.
Contemporary propaganda engraving
depicting the first meeting of the
Confederation of the Rhine on August
25 , 18 06. Napoleon, " Protector" of the
Confederation, is visible in the
background, wearing the largest hat.
The original members of the confederation were 16 German
states from the Holy Roman Empire. They were later joined by 19
others, forming a territory that totaled more than 15 million subjects
and provided a significant strategic advantage to the French Empire
on its eastern front. Prussia and Austria were not members.
Napoleon sought to consolidate the modernizing achievements of
the revolution, but, above all, he wanted the soldiers and supplies
these subject states could provide for his wars.
Napoleon consolidated the various smaller states of the former Holy

Roman Empire, which had allied with France into larger electorates,
duchies, and kingdoms to make the governance of non-Prussian and
Austrian Germany more efficient. He also elevated the electors of
the two largest Confederation states, his allies Wü rttemberg and
Bavaria, to the status of kings. According to the founding treaty, the
confederation was to be run by common constitutional bodies, but
the individual states (in particular the larger ones) wanted unlimited
sovereignty. Instead of a monarchical head of state, as was the case
under the Holy Roman Emperor, its highest office was held by Karl
Theodor von Dalberg, the former Arch Chancellor, who now bore the
title of a Prince-Primate of the confederation. As such, he was
President of the College of Kings and presided over the Diet of the
Confederation, designed to be a parliament-like body although it
never actually assembled. The President of the Council of the
Princes was the Prince of Nassau-Usingen.
The Confederation was above all a military alliance: in return for

continued French protection, member states were compelled to
supply France with many of their own military personnel (mainly to
serve as auxiliaries to the Grande Armé e), and contribute much of
the resources needed to support the French armies still occupying
western and southern Germany.
The Confederation was at its largest in 1808, when it included 35

states. Some sources cite slightly different numbers because several
member states merged; consequently, some sources count all the
separate member states, while others cite numbers following the
mergers. Only Austria, Prussia, Danish Holstein, and Swedish
Pomerania stayed outside, not counting the west bank of the Rhine
and the Principality of Erfurt, which were annexed by the French
Empire. The Confederation of the Rhine collapsed in 1813, in the
aftermath of Napoleon's failed campaign against the Russian
Empire. Many of its members changed sides after the 1813 Battle of
Leipzig, when it became apparent Napoleon would lose the War of
the Sixth Coalition.
23.2.3: Abdication in Spain

In an attempt to control the Iberian Peninsula, in 1808 Napoleon
forced the abdications of Charles IV and Ferdinand V II of Spain and
granted the Spanish crown to his brother Joseph, provoking a violent
conflict that overlapped with the Peninsular War.
Learning Objective
Determine why Napoleon pushed for the abdication of the Spanish
monarchy
Key Points
In the aftermath of the War of the Fourth Coalition, one of
Napoleon's major objectives became enforcing the Continental
System against the British. He decided to focus his attention on
the Kingdom of Portugal, which consistently violated his trade
prohibitions.
Internal political struggles and an economic crisis in Spain made
the country vulnerable to the increasing impact of France. In
addition, under terms of the 1807 Treaty of Fontainebleau,
Charles IV and his unpopular prime minister Godoy allowed
Napoleon's troops to cross Spain to attack Portugal. This move
was extremely unpopular with the Spanish people, who saw the
entry as a humiliating invasion.
Under the pretext of reinforcing the Franco-Spanish army
occupying Portugal, French imperial troops entered Spain.
Napoleon turned on his ally and ordered French commanders to
seize key Spanish fortresses. Barcelona was taken in February
1808 and the Spanish Royal Army found itself paralyzed.
The events led to what is known as the Mutiny of Aranjuez, an
1808 uprising against Charles IV . The mutineers made Charles
dismiss Godoy and the court forced the King to abdicate in favor
of his son and rival, who became Ferdinand V II. Napoleon,
under the false pretense of resolving the conflict, invited both
Charles and Ferdinand to Bayonne, where he forced them both
to renounce the throne. He then named his brother Joseph
Bonaparte king of Spain.
The abdications led to what the Spanish-speaking world calls
the Spanish War of Independence (1808-1814), which overlaps
with the Peninsular War. Marshal Murat led 120,000 troops into
Spain and the French arrived in Madrid, where riots against the
occupation erupted just a few weeks later (The Dos de Mayo of
1808 Uprising). Resistance to French aggression soon spread
throughout the country.
The years of fighting in Spain were a heavy burden on France's
Grande Armé e, but the burden of war destroyed the social and
economic fabric of Portugal and Spain and ushered in an era of
social turbulence, political instability, and economic stagnation
that lasted until the mid 19th century.
Key Terms
Mutiny of Aranju
An 1808 uprising against Charles IV that took place in the town

of Aranjuez. The mutineers made Charles dismiss unpopular
prime minister Godoy and two days later, the court forced the
King himself to abdicate in favor of his son and rival, who
became Ferdinand V II.
Peninsular War
An 1807–1814 military conflict between Napoleon's empire and

the allied powers of Spain, Britain, and Portugal for control of
the Iberian Peninsula during the Napoleonic Wars. The war
started when French and Spanish armies invaded and occupied
Portugal in 1807 and escalated in 1808 when France turned on
Spain, its ally. The war lasted until the Sixth Coalition defeated
Napoleon in 1814, and is regarded as one of the first wars of
national liberation, significant for the emergence of large-scale
guerrilla warfare.
El Escorial Conspiracy
An attempted coup d'é tat led by the Crown Prince Fernando of
Asturias that took place in 1807, but was quickly discovered and
led to an investigation known as the Process of El Escorial.
The Dos de Mayo
An 1808 rebellion by the people of Madrid against the

occupation of the city by French troops, provoking the
repression by the French Imperial forces and triggering the
Peninsular War.
1807 Treaty of Fontainebleau
An 1807 treaty between Charles IV of Spain and Napoleon I of

France regarding the occupation of Portugal. Under this treaty,
Portugal was divided into three regions- the Entre-Douro-e-
Minho Province for the King of the Etrú ria, the Principality of the
Algarves under Spanish minister D. Manuel Godoy and the
remaining provinces and overseas territories to be distributed
under a later agreement.
Abdications of Bayonne
The name given to a series of forced abdications of the Kings of

Spain, Charles IV and his son Ferdinand V II, that led to what the
Spanish-speaking world calls the Spanish War of Independence
(1808-1814), which overlaps with the Peninsular War.
Napoleon and the Iberian

Peninsula
In the aftermath of the War of the Fourth Coalition (1806-07), one of
Napoleon's major objectives became enforcing the Continental
System against the British. He decided to focus his attention on the
Kingdom of Portugal, which consistently violated his trade
prohibitions. After defeat in the War of the Oranges in 1801, Portugal
adopted a double-sided policy. At first, John V I agreed to close his
ports to British trade. The situation changed dramatically after the
Franco-Spanish defeat at Trafalgar in 1805. John grew bolder and
officially resumed diplomatic and trade relations with Britain.
Unhappy with this change of policy by the Portuguese government,
Napoleon sent an army to invade Portugal in 1807. The attack was
the first step in what would eventually become the Peninsular War, a
six-year struggle that significantly sapped French strength.
Napoleon and Internal Power

Struggles in Spain
The prime minister under Charles IV , Manuel de Godoy, became
unpopular among both the nobles and the Spanish people. The
nobility resented how Godoy had attained power even though he
was born in poverty and obscurity. Most notable among them was
the King's own son Ferdinand, who had led the El Escorial
Conspiracy (an 1807 attempted and quickly discovered coup
d'é tat led by Ferdinand) a few months earlier. The people were upset
about Godoy's ambitious nature and his willingness to have Catholic
Spain make treaties with atheist Revolutionary France against
Christian (Anglican) Great Britain.
Furthermore, an economic crisis affecting the country was

heightened after Spain lost its navy in the Battle of Trafalgar in 1805.
This impaired trade with the American colonies, causing food
shortages and affecting industrial production. In addition, under
terms of the 1807 Treaty of Fontainebleau, the King and Godoy
allowed French Emperor Napoleon's troops to cross Spain to attack
Portugal (see above). This move was extremely unpopular with the
Spanish people, who saw the entry as a humiliating invasion. Under
the pretext of reinforcing the Franco-Spanish army occupying
Portugal, French imperial troops entered Spain. Napoleon turned on
his ally and ordered French commanders to seize key Spanish
fortresses. Barcelona was taken in February 1808 and the Spanish
Royal Army found itself paralyzed.
These events led the Mutiny of Aranjuez, an 1808 uprising against

Charles IV that took place in the town of Aranjuez, where the royal
family and the government were staying on their way south to flee an
anticipated French invasion from the north. Soldiers, peasants, and
members of the general public assaulted Godoy's quarters and
captured him. The mutineers made Charles dismiss Godoy and two
days later, the court forced the King himself to abdicate in favor of
his son and rival, who became Ferdinand V II. Ferdinand ascended
the throne and turned to Napoleon for support.
Throughout the winter of 1808, French agents became increasingly

involved in Spanish internal affairs, attempting to incite discord
between members of the Spanish royal family. Secret French
machinations finally materialized when Napoleon announced that he
would intervene to mediate between the rival political factions in the
country. Napoleon, under the false pretense of resolving the conflict,
invited both Charles and Ferdinand to Bayonne, France. Both were
afraid of the French ruler's power and thought it appropriate to
accept the invitation. Once in Bayonne, Napoleon forced them both
to renounce the throne and grant it to him. The Emperor then named
his brother Joseph Bonaparte king of Spain. This episode , known as
the Abdications of Bayonne, led to what the Spanish-speaking world
calls the Spanish War of Independence (1808-1814), which overlaps
with the Peninsular War.
J oseph I of Spain ( J oseph Bonaparte) ,
by Franç ois Gé rard, 18 08 .
The liberal, republican, and radical segments of the Spanish and
Portuguese populations supported a potential French invasion.
Napoleon relied on this support both in the conduct of the war and
administration of the country. But while Napoleon—through his
brother Joseph—fulfilled his promises to remove all feudal and
clerical privileges, most Spanish liberals soon came to oppose the
occupation because of the violence and brutality it brought.
The Peninsular W ar
Marshal Murat led 120,000 troops into Spain and the French arrived
in Madrid, where riots against the occupation erupted just a few
weeks later (The Dos de Mayo of 1808 Uprising). The appointment
of Joseph Bonaparte as the King of Spain enraged the Spanish.
Resistance to French aggression soon spread throughout the
country. The shocking French defeat at the Battle of Bailé n in July
gave hope to Napoleon's enemies and partly persuaded the French
emperor to intervene in person. The French army, under the
Emperor's personal command, crossed the Ebro River in November
1808 and inflicted a series of crushing defeats against the Spanish
forces. After clearing the last Spanish force guarding the capital at
Somosierra, Napoleon entered Madrid in December with 80,000
troops. He then unleashed his soldiers against Moore and the British
forces.
The French occupation destroyed the Spanish administration, which

fragmented into quarreling provincial juntas. In 1810, a reconstituted
national government, the Cádiz Cortes—in effect a government-in-
exile—fortified itself in Cádiz but could not raise effective armies
because it was besieged by 70,000 French troops. British and
Portuguese forces eventually secured Portugal, using it as a safe
position from which to launch campaigns against the French army
and provide whatever supplies they could get to the Spanish, while
the Spanish armies and guerrillas tied down vast numbers of
Napoleon's troops. These combined regular and irregular allied
forces prevented Napoleon's marshals from subduing the rebellious
Spanish provinces by restricting French control of territory, and the
war continued through years of stalemate.
The years of fighting in Spain were a heavy burden on France's

Grande Armé e. While the French were victorious in battle, their
communications and supplies were severely tested and their units
frequently isolated, harassed, or overwhelmed by partisans fighting
an intense guerrilla war of raids and ambushes. The Spanish armies
were repeatedly beaten and driven to the peripheries, but would
regroup and relentlessly hound the French. This drain on French
resources led Napoleon, who had unwittingly provoked a total war, to
call the conflict the "Spanish Ulcer." The Spanish people continued
to rally around the cause of “ Ferdinand the Desired” who, imprisoned
in France, became a national hero. In 1813, Napoleon reinstated him
as Ferdinand V II.
The burden of war destroyed the social and economic fabric of

Portugal and Spain and ushered in an era of social turbulence,
political instability, and economic stagnation. Devastating civil wars
between liberal and absolutist factions led by officers trained in the
Peninsular War persisted in Iberia until 1850. The cumulative crises
and disruptions of invasion, revolution, and restoration led to the
independence of most of Spain's American colonies and the
independence of Brazil from Portugal.
23.2.4: Italy under Napoleon

Napoleon conquered most of Italy in the name of the French
Revolution by 1799 and established a number of France's client
states under his own control or nearly absolute authority.
Learning Objective
Classify the political structure exemplified by the Italian states under
Napoleon's rule
Key Points
In 1796, the French Army of Italy under Napoleon invaded Italy
with the aims of forcing the First Coalition to abandon Sardinia
and forcing Austria to withdraw from Italy. Within only two
weeks, V ictor Amadeus III of Sardinia was forced to sign an
armistice. Napoleon then entered Milan, where he was
welcomed as a liberator.
In 1797, Napoleon signed the Treaty of Campo Formio, by
which the Republic of V enice was annexed to the Austrian state,
dashing Italian nationalists' hopes that it might become an
independent state. This treaty forced Austria to recognize the
existence of the Cisalpine Republic and the annexation of
Piedmont by France.
Revolution by 1799. He consolidated old units and split up
Austria's holdings. He set up a series of new republics,
complete with new codes of law and abolition of old feudal
privileges. The new republics were satellite states of Napoleon's
France, some of them joined with France by personal union
under Napoleon's authority. As all of these republics were
imposed by an outside force, none had popular support in Italy.
Napoleon's Italian Republic was the successor of the Cisalpine
Republic, which changed its constitution to allow the French
First Consul Napoleon to become its president. While the
constitution gave the republic some level of sovereignty, in
practice it was largely controlled by Napoleon.
The Kingdom of Italy was established in 1805, when the Italian
Republic became the Kingdom of Italy, with the same man (now
styled Napoleon I) as King of Italy, and the 24-year-old Eugè ne
de Beauharnais (Napoleon's stepson) as his viceroy. Napoleon's
title was Emperor of the French and King of Italy, implying the
importance of the Italian Kingdom to his empire.
Napoleon's dominance over Italian states ended with his fall as
Emperor of the French.
Key Terms
Kingdom of Italy
A French client state founded in Northern Italy by Napoleon I,

fully influenced by revolutionary France, that ended with his
defeat and fall. Formally in personal union with the French
Empire, with Napoleon I reigning as its king throughout its
existence (1805-14), direct governance was conducted by
Napoleon's stepson, Eugè ne de Beauharnais, who served as
V iceroy for his step-father.
Napoleon's Italian Republic
A short-lived (1802–1805) republic located in Northern Italy

created by Napoleon as a successor of the Cisalpine Republic.
It was a sister republic of Napoleonic France (the two were
joined by the personal union).
Cisalpine Republic
A sister republic and a satellite state of France created by

Napoleon out of territories in Northern Italy that lasted from 1797
to 1802.
Napoleon's Conquest of Italy

At the end of the 18th century, Italy used here to refer to a number of
separate Italian states as at the time sm Italy was not yet a unified
state) found itself dominated by Austria while the dukes of Savoy (a
mountainous region between Italy and France) had become kings of
Sardinia by increasing their Italian possessions, which now included
Sardinia and the north-western region of Piedmont. This situation
was shaken in 1796, when the French Army of Italy under Napoleon
invaded Italy with the aims of forcing the First Coalition to abandon
Sardinia (where they had created an anti-revolutionary puppet-ruler)
and forcing Austria to withdraw from Italy. Within only two weeks,
V ictor Amadeus III of Sardinia was forced to sign an armistice.
Napoleon then entered Milan, where he was welcomed as a
liberator.
In 1797, Napoleon signed the Treaty of Campo Formio, by which the
Republic of V enice was annexed to the Austrian state, dashing
Italian nationalists' hopes that it might become an independent state.
This treaty forced Austria to recognize the existence of the Cisalpine
Republic (made up of Lombardy, Emilia Romagna and small parts of
Tuscany and V eneto) and the annexation of Piedmont by France.
Revolution by 1799. He consolidated old units and split up Austria's
holdings. He set up a series of new republics, complete with new
codes of law and abolition of old feudal privileges. The Cisalpine
Republic was centered on Milan. Genoa became a republic while its
hinterland became the Ligurian Republic. The Roman Republic was
formed out of the papal holdings while the pope himself was sent to
France. The Neapolitan Republic was formed around Naples, but
lasted only five months before the enemy forces of the Coalition
recaptured it. All of these republics were France's client states, some
connected with France by personal union (with Napoleon as the
common head of the states).
Even if some of these states were created by the French invasion

and were just satellites of France, they sparked a nationalist
movement. As all of these republics were imposed by an outside
force, none had popular support in Italy, especially since the
peasantry was alienated by Jacobin anti-clericalism. Even native
republicans became disillusioned when they realized that the French
expected them to be obedient satellites of Paris, which included
frequent interference in local affairs and massive taxes. Return to the
old feudal order was equally undesirable, so the republican
movement would gradually establish its nationalist goals.
Location of Cisalpine Republic in
17 99, Adolphus W illiam W ard, The
C am bridge Modern History A tlas,
London: Cambridge University Press,
1912, Map 8 6.
Formally, the Cisalpine Republic was an independent state allied
with France, but the treaty of alliance established the effective
subalternity of the new republic to France. The French in fact had
control over the local police and left an army consisting of 25,000
Frenchmen, financed by the republic.
The maps shows that the Cisalpine Republic was made up of

Lombardy, Emilia Romagna, and small parts of Tuscany and V eneto,
all of which are regions of modern-day northern Italy.
The Italian Republic
Napoleon's Italian Republic was the successor of the Cisalpine
Republic, which changed its constitution to allow the French First
Consul Napoleon to become its president. Sovereignty resided in
three electoral colleges located in Milan, Bologna, and Brescia. All
elected a commission of control and supreme rule called the
Censorship, composed of twenty-one members and based in
Cremona. The head of state was the president of the republic,
Napoleon Bonaparte, elected for 10 years. The president had full
executive powers, appointed the vice-president and the secretary of
state, took legislative and diplomatic initiative, chose the ministers,
public agents, ambassadors, and chiefs of the army, summoned the
executive councils, and prepared the budget. The vice-president,
Francesco Melzi d'Eril, acted for the president during his absence.
The Legislative Council was a commission of at least 10 members
appointed by the president for three years. The government
comprised seven ministers. The parliament of the republic was a
legislative body with limited powers. It was summoned by the
president of the republic and could only approve or reject a law, the
discussion reserved to a more restricted committee of 15 speakers.
The Kingdom of Italy

The Kingdom of Italy was established in 1805 when the Italian
Republic became the Kingdom of Italy, with the same man (now
styled Napoleon I) as King of Italy and the 24-year-old Eugè ne de
Beauharnais (Napoleon's stepson) as his viceroy. Napoleon's title
was Emperor of the French and King of Italy, implying the
importance of the Italian Kingdom to his empire.
Although the earlier republican constitution was never formally

abolished, a series of constitutional statutes completely altered it.
The first declared Napoleon as king and established that his sons
would succeed him, even if the French and the Italian crowns had to
be separated after the Emperor's death. The most important was the
third, which proclaimed Napoleon as the head of state with full
powers of government. The Consulta (a commission of eight
members led by the president of the republic and in charge of foreign
policy), Legislative Council, and Speakers were merged in a Council
of State, whose opinions became only optional and not binding for
the king. The Legislative Body, the old parliament, remained in
theory, but was never summoned after 1805. The fourth statute,
decided in 1806, indicated Beauharnais as the heir to the throne.
Originally, the Kingdom consisted of the territories of the Italian

Republic: former Duchy of Milan, Duchy of Mantua, Duchy of
Modena, the western part of the Republic of V enice, part of the
Papal States in Romagna, and the province of Novara. Within the
next several years, its territory shifted a number of times as the
Kingdom served as a theater in Napoleon's operations against
Austria during the wars of the various coalitions. In practice, the
Kingdom was a dependency of the French Empire.
After Napoleon abdicated both the thrones of France and Italy in

1814, Beauharnais surrendered and was exiled to Bavaria by the
Austrians. The remains of the kingdom were eventually annexed by
the Austrian Empire.
23.2.5 : The Continental System

The Continental System was Napoleon's strategy to weaken Britain's
economy by banning trade between Britain and states occupied by
or allied with France, which proved largely ineffective and eventually
led to Napoleon's fall.
Learning Objective
Identify Napoleon's goals with the Continental System
Key Points
Great Britain was the central force in encouraging and financing
alliances against Napoleonic France. As France lacked the
naval strength to invade Britain or decisively defeat the Royal
Navy at sea, Napoleon resorted instead to economic warfare.
Napoleon believed that embargo on trade with Britain imposed
on the European nations under his control would weaken the
British economy. The strategy became to be known as the
Continental System or Continental Blockade.
In 1806, having recently conquered or allied with every major
power in continental Europe, Napoleon issued the Berlin Decree
forbidding his allies and conquests from trading with the British.
The British responded with the Orders in Council of 1807
that forbade trade with France, its allies, or neutrals and
instructed the Royal Navy to blockade French and allied ports.
Napoleon retaliated with the Milan Decree, which declared that
all neutral shipping using British ports or paying British tariffs
were to be regarded as British and seized.
The embargo was effective intermittently for about half the time
but in terms of economic damage to Great Britain, it largely
failed. It encouraged British merchants to engage in smuggling
with continental Europe and seek out new markets. Napoleon's
exclusively land-based customs enforcers could not stop British
smugglers.
The British countered the Continental system by threatening to
sink any ship that did not come to a British port or chose to
comply with France. This double threat created a difficult time
for neutral nations like the United States.
The embargo also had an effect on France. Ship building and its
trades declined, as did many other industries that relied on
overseas markets. With few exports and a loss of profits, many
industries were closed down. Southern France especially
suffered from the reduction in trade. Moreover, the prices of
staple foods rose for most of continental Europe.
British allies, including Sweden and Portugal, refused to comply,
which resulted in damaging wars. Russia's withdrawal from the
system in 1810 was a motivating factor behind Napoleon's
decision to invade Russia in 1812, which proved the turning
point of the war and ultimately led to Napoleon's fall.
Key Terms
Continental System
The foreign policy of Napoleon I of France in his struggle

against Great Britain during the Napoleonic Wars that used the
economic warfare as a strategy to weaken Britain. As a
response to the naval blockade of the French coasts enacted by
the British government in 1806, Napoleon issued the Berlin
Decree, which brought into effect a large-scale embargo against
British trade that banned trade between Britain and states
occupied by or allied with France.
Orders in Council of 1807
An 1807 series of decrees made by the Privy Council of the

United Kingdom in the course of the wars with Napoleonic
France, which instituted its policy of commercial warfare. They
played an important role in shaping the British war effort against
France as well as strained relations—and sometimes military
conflicts—between the United Kingdom and neutral countries.
Milan Decree
A decree issued in 1807 by Napoleon I of France to enforce the

Berlin Decree of 1806, which initiated the Continental System. It
authorized French warships and privateers to capture
neutral ships sailing from any British port or from any country
occupied by British forces. It also declared that any ships
submitted to search by the Royal Navy on the high seas were to
be considered lawful prizes if captured by the French.
Berlin Decree
A decree issued in Berlin by Napoleon in 1806 that forbade the
import of British goods into European countries allied with or
dependent upon France and installed the Continental System in
Europe. All connections were to be cut, even the mail. Any ships
discovered trading with Great Britain were liable to French
maritime attacks and seizures. The ostensible goal was to
weaken the British economy by closing French-controlled
territory to its trade.
Great Britain and Napoleon:

Economic W arfare
Great Britain was the central force in encouraging and financing
alliances against Napoleonic France. As France lacked the naval
strength to invade Britain or decisively defeat the Royal Navy at sea,
Napoleon resorted instead to economic warfare. Britain was
Europe's manufacturing and business center and Napoleon believed
that embargo on trade with Britain imposed on the European nations
under his control would cause inflation and debt that would weaken
the British economy. In 1806, having recently conquered or allied
with every major power in continental Europe, Napoleon issued the
Berlin Decree forbidding his allies and conquests from trading with
the British. The British responded with the Orders in Council of 1807
that forbade trade with France, its allies, and neutrals and instructed
the Royal Navy to blockade French and allied ports. Napoleon
retaliated with the Milan Decree, which declared that all neutral
shipping using British ports or paying British tariffs were to be
regarded as British and seized.
As an island nation, trade was Britain's most vital lifeline. Napoleon

believed that if he could isolate Britain economically, he would be
able to invade the nation after its economic collapse. He decreed
that all commerce ships wishing to do business in Europe must first
stop at a French port in order to ensure that there could be no trade
with Britain. He also ordered all European nations and French allies
to stop trading with Britain and threatened Russia with an invasion if
they did not comply. Napoleon's strategy became known as the
Continental System or Continental Blockade.
The Continental System:

Effects
The embargo was effective intermittently for about half the time but
in terms of economic damage to Great Britain largely failed. It
encouraged British merchants to engage in smuggling with
continental Europe and seek out new markets. Napoleon's
exclusively land-based customs enforcers could not stop British
smugglers, especially as they operated with the connivance of
Napoleon's chosen rulers of Spain, Westphalia, and other German
states. The System had mixed effects on British trade, with British
exports to the Continent falling between 25% to 55% compared to
pre-1806 levels. However, trade sharply increased with the rest of
the world, making up for much of the decline.
The British countered the Continental system by threatening to sink

any ship that did not come to a British port or chose to comply with
France. This double threat created a difficult time for neutral nations
like the United States. In response to this prohibition, the U.S.
government adopted the Embargo Act of 1807 (against both Great
Britain and France) and eventually Macon's Bill No. 2. The embargo
was designed as an economic counterattack to hurt Britain, but
proved even more damaging to American merchants. Macon's Bill
lifted all embargoes against Britain and France for three months. It
stated that if either one of the two countries ceased attacks upon
American shipping, the United States would end trade with the other,
unless that other country agreed to recognize the rights of the
neutral American ships as well.
Ograbme
A political cartoon showing merchants dodging the "Ograbme,"
which is "Embargo" spelled backwards. The embargo was also
ridiculed in the New England press as Dambargo, Mob-Rage, or Go-
bar-'em.
The embargo also had an effect on France. Ship building and its
trades declined, as did many other industries that relied on overseas
markets. With few exports and a loss of profits, many industries
closed entirely. Southern France especially suffered from the
reduction in trade. Moreover, the prices of staple foods rose for most
of continental Europe. Napoleon's St. Cloud Decree of 1810 opened
the southwest of France and the Spanish frontier to limited British
trade and reopened French trade to the United States. It was an
admission that his blockade had hurt the French economy more than
the British. It also failed to reduce British financial support to its
allies.
Britain's response to the Continental system was to launch a major

naval attack on the weakest link in Napoleon's coalition, Denmark.
Although ostensibly neutral, Denmark was under heavy French and
Russian pressure to pledge its fleet to Napoleon. In 1807, the British
occupied the island Heligoland outside the west coast of Denmark.
This base made it easier for Britain to control the trade to the ports of
the North sea coast and facilitate smuggling.
Sweden, Britain's ally in the Thir,d Coalition, first refused to comply

with French demands and was attacked by Russia and by
Denmark/Norway in 1808. At the same time, a French force
threatened to invade southern Sweden but the plan was stopped as
the British Navy controlled the Danish straits. The Royal Navy set up
a base outside the port of Gothenburg in 1808 to simplify the
operations into the Baltic sea. In 1810, France demanded that
Sweden should declare war to Great Britain and stop all trade. The
result was a war between Sweden and Britain, but the British
continued to control smuggling through the Baltic.
Portugal openly refused to join the Continental System. In 1793,

Portugal signed a treaty of mutual assistance with Britain. The
Portuguese population rose in revolt against the French invaders
with the help of the British Army. Napoleon intervened and the
Peninsular War began in 1808.
Finally, Russia chafed under the embargo and in 1810 reopened

trade with Britain. Russia's withdrawal from the system was a
motivating factor behind Napoleon's decision to invade Russia in
1812, which proved the turning point of the war and ultimately led to
Napoleon's fall. The Continental System formally ended in 1814
after Napoleon's first abdication.
23.2.6: Napoleon's Marriage to Marie-

Louise
Napoleon's marriage to Marie-Louise, triggered by his desire to have
an heir and marry into one of the major European royal families, was
shaped by European politics. However, the two also developed a
close personal relationship.
Learning Objective
Identify the reasons why Napoleon divorced Josephine and married
Marie-Louise
Key Points
When after a few years of marriage it became clear that
Josephine could not have a child, Napoleon began to think
seriously about the possibility of divorce even though he still
loved his wife. Despite her anger, Josephine agreed to the
divorce so the Emperor could remarry in the hope of having an
heir.
In addition to the desire for an heir, Napoleon sought the
validation and legitimization of his Empire by marrying a
member of one of the leading royal families of Europe. In 1810,
he married 19-year-old Marie-Louise, Archduchess of Austria,
and a great niece of Marie Antoinette by proxy. Thus, he married
into a German royal and imperial family.
Marie-Louise was daughter of Archduke Francis of Austria and
his second wife, Maria Theresa of Naples and Sicily. Her father
became Holy Roman Emperor as Francis II. Marie-Louise was a
great-granddaughter of Empress Maria Theresa through her
father and thus a great niece of Marie Antoinette. She was also
a maternal granddaughter of Queen Maria Carolina of Naples,
Marie Antoinette's favorite sister.
Marie-Louise's formative years overlapped with a period of
conflict between France and her family. She was brought up to
detest France and French ideas but became an obedient wife
and settled in quickly in the French court. Napoleon initially
remarked that he had "married a womb," but their relationship
soon matured.
Despite the initial excitement and peace over the marriage and
resulting alliance between the two long-time enemies, France
and Austria soon engaged in another military conflict. Until
Napoleon's abdication and exile, the marriage between him and
Marie-Louise was always shaped by European politics.
Although Marie-Louise did not join her husband in exile and
returned to V ienna, she remained loyal to her husband.
Key Terms
Congress of V ienna
A conference of ambassadors of European states chaired by

Austrian statesman Klemens Wenzel von Metternich and held in
V ienna from November 1814 to June 1815. The objective was to
provide a long-term peace plan for Europe by settling critical
issues arising from the French Revolutionary Wars and the
Napoleonic Wars.
Treaty of Fontainebleau
An agreement established in Fontainebleau, France in 1814

between Napoleon I and representatives from the Austrian
Empire, Russia, and Prussia. With this treaty, the allies ended
Napoleon's rule as emperor of France and sent him into exile on
Elba.
Napoleon and J osephine:

Divorce
When after a few years of marriage it became clear that Josephine
could not have a child, Napoleon began to think seriously about the
possibility of divorce even though he still loved his wife. The final die
was cast when Josephine's grandson Napoleon Charles Bonaparte,
declared Napoleon's heir, died of croup in 1807. Napoleon began to
create lists of eligible princesses. He let Josephine know that in the
interest of France, he must find a wife who could produce an heir.
Despite her anger, Josephine agreed to the divorce so the Emperor
could remarry in the hope of having an heir. The divorce ceremony
took place in 1810 and was a grand but solemn social occasion.
Both Josephine and Napoleon read a statement of devotion to the
other. Despite the divorce, Napoleon showed his dedication to her
for the rest of his life. When he heard the news of her death while on
exile in Elba, he locked himself in his room and would not come out
for two full days. Her name would also be his final word on his
deathbed in 1821. However, in 1810, he married 19-year old Marie-
Louise, Archduchess of Austria, and a great niece of Marie
Antoinette by proxy. Thus, he married into a German royal and
imperial family.
Marie-Louise
Archduchess Marie-Louise of Austria was born in 1791 to Archduke
Francis of Austria and his second wife, Maria Theresa of Naples and
Sicily. Her father became Holy Roman Emperor a year later as
Francis II. Marie-Louise was a great granddaughter of Empress
Maria Theresa through her father and thus a great niece of Marie
Antoinette. She was also a maternal granddaughter of Queen Maria
Carolina of Naples, Marie Antoinette's favorite sister.
Marie-Louise's formative years overlapped with a period of conflict

between France and her family; she was thus brought up to detest
France and French ideas. She was influenced by her grandmother
Maria Carolina, who despised the French Revolution that ultimately
caused the death of her sister, Marie Antoinette. Maria Carolina's
Kingdom of Naples also came into direct conflict with French forces
led by Napoleon. The War of the Third Coalition brought Austria to
the brink of ruin, increasing Marie-Louise's resentment towards
Napoleon. The Imperial family was forced to flee V ienna in 1805;
Marie-Louise took refuge in Hungary and later Galicia before
returning to V ienna in 1806. Napoleon also contributed directly to the
final dissolution of the Holy Roman Empire and Maria-Louise's father
relinquished the title of Holy Roman Emperor although he remained
Emperor of Austria. Another war broke out between France and
Austria in 1809, resulting in another defeat for the Austrians. The
Imperial family had to flee V ienna again.
Napoleon and Marie-Louise:

Marriage
In addition to the desire to have an heir, Napoleon sought the
validation and legitimization of his Empire by marrying a member of
one of the leading royal families of Europe. His wish to marry Tsar
Paul I of Russia's daughter Grand Duchess Anna caused alarm in
Austria, whose officials grew concerned about being sandwiched
between two great powers allied with each other. At the persuasion
of Count Metternich, a marriage between Napoleon and Marie-
Louise was suggested. Frustrated by the Russians delaying the
marriage negotiations, Napoleon rescinded his proposal and began
negotiations to marry Marie-Louise. The civil wedding and the
religious wedding ceremony the next day were held in 1810. The
excitement surrounding the wedding ushered in a period of peace
and friendship between France and Austria, at war for most of the
previous two decades.
Marriage of Nap oleon and Marie-
Louise by Georges Rouget ( 18 11) .
Marie-Louise was less than happy with the arrangement, at least at
first, stating "Just to see the man would be the worst form of torture."
However, she seemed to warm up to Napoleon over time. After her
wedding, she wrote to her father "He loves me very much. I respond
to his love sincerely. There is something very fetching and very
eager about him that is impossible to resist."
Marie-Louise was an obedient wife and settled in quickly in the

French court. Napoleon initially remarked that he had "married a
womb," but their relationship soon matured. While he loved
Josephine and claimed she remained his greatest friend even after
their divorce, he was critical of her affairs and extravagant lifestyle
leading to massive debts, whereas with Marie-Louise, there was
reportedly "never a lie, never a debt." However, the marriage was not
without tension. Napoleon sometimes remarked to aides that Marie-
Louise was too shy and timid compared to the outgoing and
passionate Josephine, whom he remained in close contact with,
upsetting Marie-Louise. During public occasions, Marie-Louise spoke
little due to reserve and timidity, which some observers mistook for
haughtiness. She was regarded as a virtuous woman and never
interfered in politics. Marie-Louise gave birth to a son in 1811. The
boy, Napolé on Franç ois Joseph Charles Bonaparte, was given the
title King of Rome in accordance with the practice where the heir
apparent to the Holy Roman Empire was called the King of the
Romans.
Collapse of the Empire

The weakened French position triggered the Sixth Coalition (1813-
14). Prussia and the United Kingdom joined Russia in declaring war
on France, but Austria stayed out due to relations between the
Imperial families. In 1813, Marie Louise was appointed Regent as
Napoleon set off for battle in Germany. The regency was only de
j ure, as all decisions were still taken by Napoleon and implemented
by his most senior officials. Marie-Louise tried unsuccessfully to get
her father to ally with France, but Austria too joined the opposition to
France. She maintained a correspondence with Napoleon, informing
him of increasing demands for peace in Paris and the provinces. In
January 1814, Marie-Louise was appointed Regent for the second
time and two days later Napoleon embraced Marie-Louise and his
son for the last time. He left to lead a hastily formed army to stave off
the Allied invasion from the north.
As the Allies neared Paris, Marie-Louise was reluctant to leave. She

felt that as the daughter of the sovereign of Austria, one of the allied
members, she would be treated with respect by allied forces. In
addition, her son would be a possible successor to the throne should
Napoleon be deposed. She was also afraid that her departure would
strengthen the royalist supporters of the Bourbons. Marie-Louise
was finally persuaded to leave but she did not expect her father to
dethrone Napoleon and deprive her son of the crown of France. In
April 1814, the Senate, at the instigation of Talleyrand, announced
the deposition of the Emperor. Marie-Louise was astonished to
discover the turn of events.
Napoleon abdicated the throne in April 1814. The Treaty of

Fontainebleau exiled him to Elba, allowed Marie-Louise to retain her
imperial rank and style, and made her ruler of the duchies of Parma,
Piacenza, and Guastalla, with her son as heir. Marie-Louise was
strongly dissuaded by her advisers from rejoining her husband, who
had heard accounts of Napoleon's distraught grief over the death of
Josephine. When Napoleon escaped in 1815 and reinstated his rule,
the Allies once again declared war. Marie-Louise was asked by her
stepmother to join in the processions to pray for the success of the
Austrian armies but rejected the insulting invitation. Napoleon was
defeated for the last time at the Battle of Waterloo, was exiled to
Saint Helena in 1815, and made no further attempt to contact his
wife personally. The Congress of V ienna recognized Marie-Louise as
ruler of Parma, Piacenza, and Guastalla, but prevented her from
bringing her son to Italy. It also made her Duchess of Parma for her
life only, as the Allies did not want a descendant of Napoleon to have
a hereditary claim over Parma.
Attributions
"Emperor of the French"
"French Directory."
CC BY-SA 3.0.
"First French Empire."
https://en.wikipedia.org/wiki/First_French_Empire.
"Emperor of the French."
https://en.wikipedia.org/wiki/Emperor_of_the_French.
"French Consulate."
CC BY-SA 3.0.
CC BY-SA 3.0.
"800px-Ingres_Napoleon_on_his_Imperial_throne.jpg."
https://commons.wikimedia.org/wiki/File:Ingres,_Napoleon_
on_his_Imperial_throne.jpg. Wikimedia Commmons Public
domain.
The Confederation of the Rhine
"Confederation of the Rhine."
https://en.wikipedia.org/wiki/Confederation_of_the_Rhine.
"Battle of Austerlitz."
https://en.wikipedia.org/wiki/Battle_of_Austerlitz. Wikipedia
CC BY-SA 3.0.
"War of the Fourth Coalition."
https://en.wikipedia.org/wiki/War_of_the_Fourth_Coalition.
CC BY-SA 3.0.
"Confederation_of_the_Rhine_First_Meeting.jpg."
https://commons.wikimedia.org/wiki/File:Confederation_of_t
he_Rhine_First_Meeting.jpg. Wikimedia Public domain.
Abdication in Spain
"El Escorial Conspiracy."
https://en.wikipedia.org/wiki/El_Escorial_Conspiracy.
"Dos de Mayo Uprising."
https://en.wikipedia.org/wiki/Dos_de_Mayo_Uprising.
"Peninsular War."
https://en.wikipedia.org/wiki/Peninsular_War. Wikipedia CC
BY-SA 3.0.
"Mutiny of Aranjuez."
https://en.wikipedia.org/wiki/Mutiny_of_Aranjuez. Wikipedia
CC BY-SA 3.0.
"Abdications of Bayonne."
https://en.wikipedia.org/wiki/Abdications_of_Bayonne.
CC BY-SA 3.0.
"Ferdinand V II of Spain."
https://en.wikipedia.org/wiki/Ferdinand_V II_of_Spain.
"Joseph-Bonaparte.jpg."
https://commons.wikimedia.org/wiki/File:Joseph-
Bonaparte.jpg. Wikimedia Commons Public domain.
Italy under Napoleon
"Cisalpine Republic."
https://en.wikipedia.org/wiki/Cisalpine_Republic. Wikipedia
CC BY-SA 3.0.
"History of Italy (1559–1814)."
https://en.wikipedia.org/wiki/History_of_Italy_(1559%E2%8
0%931814). Wikipedia CC BY-SA 3.0.
"History of Italy."
https://en.wikipedia.org/wiki/History_of_Italy. Wikipedia CC
BY-SA 3.0.
"Kingdom of Italy (Napoleonic)."
https://en.wikipedia.org/wiki/Kingdom_of_Italy_(Napoleonic)
"Italian Republic (Napoleonic)."
https://en.wikipedia.org/wiki/Italian_Republic_(Napoleonic).
"Norditalien_und_Mittelitalien_1799.jpg."
https://commons.wikimedia.org/wiki/File:Norditalien_und_Mi
ttelitalien_1799.jpg. Wikimedia Commons Public domain.
The Continental System
"Berlin Decree." https://en.wikipedia.org/wiki/Berlin_Decree.
"Orders in Council (1807)."
https://en.wikipedia.org/wiki/Orders_in_Council_(1807).
"Macon's Bill Number 2."
https://en.wikipedia.org/wiki/Macon%27s_Bill_Number_2.
"Continental System."
https://en.wikipedia.org/wiki/Continental_System. Wikipedia
CC BY-SA 3.0.
"Embargo Act of 1807."
https://en.wikipedia.org/wiki/Embargo_Act_of_1807.
"Milan Decree." https://en.wikipedia.org/wiki/Milan_Decree.
"Ograbme.jpg."
https://commons.wikimedia.org/wiki/File:Ograbme.jpg.
Napoleon's Marriage to Marie-Louise
"Nepoleon." https://en.wikipedia.org/wiki/Napoleon.
"Congress of V ienna."
https://en.wikipedia.org/wiki/Congress_of_V ienna.
"Marie Louise, Duchess of Parma."
https://en.wikipedia.org/wiki/Marie_Louise,_Duchess_of_Pa
rma. Wikipedia CC BY-SA 3.0.
"800px-Napoleon_Marie_Louise_Marriage1.jpeg."
https://commons.wikimedia.org/wiki/File:Napoleon_Marie_L
ouise_Marriage1.jpeg. Wikimedia Commons Public domain.
23.3: Napoleon's Defeat
23.3.1: The Holy Alliance
The Holy Alliance was a coalition created in 1815 by the monarchist
great powers of Russia, Austria, and Prussia to prevent revolutionary
influences in Europe and serve as a bastion against democracy,
revolution, and secularism.
Learning Objective
Identify the members and explain the function of the Holy Alliance
Key Points
The Holy Alliance was a coalition created by the monarchist
great powers of Russia, Austria, and Prussia. It was established
after the ultimate defeat of Napoleon at the behest of Tsar
Alexander I of Russia and signed in Paris in 1815. Ostensibly,
the alliance was formed to instill the divine right of kings and
Christian values in European political life.
In practice, the Austrian state chancellor Prince Klemens von
Metternich made the Alliance a bastion against democracy,
revolution, and secularism. The monarchs of the three countries
involved used it to band together to prevent revolutionary
influence (especially from the French Revolution) from entering
these nations.
The Alliance is usually associated with the later Quadruple and
Quintuple Alliances, which included the United Kingdom and
(from 1818) France with the aim of upholding the European
peace settlement and balance of power in the Concert of
Europe concluded at the Congress of V ienna.
The meetings of the Alliances were irregular and focused on
reactionary initiatives that aimed to preserve the old royal order
in Europe. The last meetings revealed the rising antagonism
between Britain and France, especially on Italian unification, the
right to self-determination, and the Eastern Question.
The Holy Alliance, the brainchild of Tsar Alexander I, gained a
lot of support because most European monarchs did not wish to
offend the Tsar by refusing to sign it. As it bound monarchs
personally rather than their governments, it was easy to ignore
once signed. The Quadruple Alliance, by contrast, was a
standard treaty, and the four Great Powers did not invite any of
their allies to sign it although the wording of the treaty left its
provisions vague.
The intention of the Holy Alliance was to restrain republicanism
and secularism in Europe in the wake of the devastating French
Revolutionary Wars and the alliance nominally succeeded in this
until Crimean War (1853–1856). By extension, the Alliance can
be considered as the most potent prevention against any other
general wars of Europe between 1815 and 1914.
Key Terms
The Holy Alliance
A coalition created by the monarchist great powers of Russia,

Austria and Prussia. It was established after the ultimate defeat
of Napoleon at the behest of Tsar Alexander I of Russia and
signed in Paris in 1815. Ostensibly, the alliance was formed to
instill the divine right of kings and Christian values in European
political life.
Concert of Europe
A system, also known as the Congress System or the V ienna

System after the Congress of V ienna, adopted by the major
conservative powers of Europe to maintain their power, oppose
revolutionary movements, weaken the forces of nationalism, and
uphold the balance of power. It operated in Europe from the end
of the Napoleonic Wars (1815) to the early 1820s.
Quadruple Alliance
A treaty signed in Paris in 1815 by the great powers of United

Kingdom, Austria, Prussia, and Russia. It renewed the use of
the Congress System which advanced European international
relations. The alliance was originally formed to counter France
and the powers promised aid to each other. It functioned until
1818.
Quintuple Alliance
An alliance that came into being at the Congress of Aix-la-

Chapelle in 1818, when France joined the earlier
alliance created by Russia, Austria, Prussia and the United
Kingdom.
The Holy Alliance was a coalition created by the monarchist great

powers of Russia, Austria and Prussia, established after the ultimate
defeat of Napoleon at the behest of Tsar Alexander I of Russia and
signed in Paris in 1815. Ostensibly, the alliance was formed to instill
the divine right of kings and Christian values in European political
life. About three months after the Final Act of the V ienna Congress,
the monarchs of Orthodox (Russia), Catholic (Austria), and
Protestant (Prussia) confession promised to act on the basis of
"justice, love and peace," both in internal and foreign affairs, for
"consolidating human institutions and remedying their imperfections."
Despite this noble wording, the Alliance was rejected as ineffective
by the United Kingdom, the Papal States, and the Islamic Ottoman
Empire.
In practice, the Austrian state chancellor Prince Klemens von

Metternich made the Alliance a bastion against democracy,
revolution, and secularism. The monarchs of the three countries
involved used it to band together to prevent revolutionary influence
(especially from the French Revolution) from entering these nations.
Quadruple and Quintuple
Alliances
The Alliance is usually associated with the later Quadruple and
Quintuple Alliances, which included the United Kingdom and (from
1818) France. It aimed to uphold the European peace settlement
and balance of power in the Concert of Europe concluded at the
Congress of V ienna. In 1818, the Tsar, Emperor Francis I of Austria,
and King Frederick William III of Prussia met with the Duke of
Wellington, V iscount Castlereagh, and the Duc de Richelieu at the
Congress of Aix-la-Chapelle to demand stern measures against
university demagogues. The gesture resulted in tangible action when
the Carlsbad Decrees were issued the following year. The Carlsbad
Decrees were a set of reactionary restrictions introduced in the
states of the German Confederation that banned nationalist
fraternities ("Burschenschaften"), removed liberal university
professors, and expanded the censorship of the press. They aimed
to quell a growing sentiment for German unification.
At the 1820 Congress of Troppau and the succeeding Congress of

Laibach, Metternich tried to align his allies in the suppression of the
Carbonari revolt against King Ferdinand I of the Two Sicilies. The
Quintuple Alliance met for the last time at the 1822 Congress of
V erona to discuss the Italian question (in light of the efforts leading to
Italian unification), the Greek question (in light of the Greek
Revolution striving for Greek independence), and the Spanish
question (in light of a potential French invasion of Spain to help the
Spanish Royalists restore King Ferdinand V II of Spain to the
absolute power). The last meetings revealed the rising antagonism
between Britain and France, especially on Italian unification, the right
to self-determination, and the Eastern Question (the strategic
competition and political considerations of the European Great
Powers in light of the political and economic instability in the
Ottoman Empire from the late 18th to early 20th centuries).
Contemporary caricature of the 18 22
Congress of V erona, the last meeting
of the Quintuple Alliance.
While Britain stood largely aloof from the Alliance's illiberal
actions, the four Continental monarchies were successful in
authorizing Austrian military action in Italy in 1821 and French
intervention in Spain in 1823. The Quintuple Alliance is considered
defunct along with the Holy Alliance of the three original Continental
members with the death of Tsar Alexander I of Russia in 1825.
The Alliance is considered defunct with Alexander's death in 1825.

France ultimately went separate ways in 1830, leaving the core of
Russia, Austria, and Prussia as the Central-Eastern European block
which again congregated to suppress the Revolutions of 1848. The
Austro-Russian alliance finally broke up in the Crimean War.
Although Russia helped crush the Hungarian Revolution of 1848,
Austria took no action to support its ally, declared itself neutral, and
even occupied the Wallachian and Moldavian lands on the Danube
upon the Russian retreat in 1854. Thereafter, Austria remained
isolated, which added to the loss of her leading role in the German
lands, culminating in the defeat of the Austro-Prussian War in 1866.
Assessment
The Holy Alliance, the brainchild of Tsar Alexander I, gained support
because most European monarchs did not wish to offend the Tsar by
refusing to sign it. As it bound monarchs personally rather than their
governments, it was easy to ignore once signed. Only three notable
princes did not sign: Pope Pius V II (it was not Catholic enough),
Sultan Mahmud II of Ottoman Empire, and the British Prince Regent
(because his government did not wish to pledge itself to the policing
of continental Europe). Although it did not fit comfortably within the
complex, sophisticated, and cynical web of power politics that
epitomized diplomacy of the post Napoleonic era, its influence was
more lasting than its contemporary critics expected and was revived
in the 1820s as a tool of repression when the terms of the Quintuple
Alliance did not fit the purposes of some of the Great Powers of
Europe.
The Quadruple Alliance, by contrast, was a standard treaty and the

four Great Powers did not invite any of their allies to sign it. It
included a provision for the High Contracting Parties to "renew their
meeting at fixed periods...for the purpose of consulting on their
common interests" which were the "prosperity of the Nations, and
the maintenance of peace in Europe." The wording of Article V I of
the treaty did not specify what these "fixed periods" should be, and
there were no provisions in the treaty for a permanent commission to
arrange and organize the conferences. This meant that the first
conference in 1818 dealt with remaining issues of the French wars,
but after that meetings were held ad hoc to address specific threats,
such as those posed by revolutions, for which the treaty was not
drafted.
The intention of the Holy Alliance was to restrain republicanism and

secularism in Europe in the wake of the devastating French
Revolutionary Wars, and the alliance nominally succeeded in this
until the Crimean War (1853–1856). Otto von Bismarck managed to
reunite the Holy Alliance after the unification of Germany, but the
alliance again faltered by the 1880s over Austrian and Russian
conflicts of interest with regard to the dismemberment of the
Ottoman Empire. By extension, the Alliance can be considered the
most potent prevention against other general wars of Europe
between 1815 and 1914.
23.3.2: Invasion of Russia

Although during the 1812 Invasion of Russia Napoleon achieved
tactical victories and entered Moscow, the campaign exhausted the
French forces, demonstrating the weaknesses of the French
strategy, shaking Napoleon's reputation, and dramatically weakening
French hegemony in Europe.
Learning Objective
Critique Napoleon's decision to invade Russia
Key Points
The Treaty of Schö nbrunn, which ended the 1809 war between
Austria and France, had a clause removing Western Galicia
from Austria and annexing it to the Grand Duchy of Warsaw.
Russia, seeing the territory as a potential launching-point for
others to invade, in response developed a plan of war in 1811.
Russia's withdrawal from the Continental System was a further
incentive for Napoleon to start a campaign against it.
Napoleon ignored repeated advice against an invasion of the
Russian heartland and prepared for an offensive campaign. The
invasion commenced in June 1812. To gain increased support
from Polish nationalists and patriots, Napoleon termed this war
the Second Polish War. Liberating Poland from the Russian
threat became one of the stated reasons behind the invasion.
The invasion of Russia demonstrates the importance of logistics
in military planning. Napoleon and the Grande Armé e developed
a proclivity for living off the land that had served them well in
densely populated and agriculturally rich central Europe with its
network of roads. In Russia, many of the Grande Armé e's
methods of operation did not work and they were additionally
handicapped by the lack of supplies and harsh winter, although
the last factor was not as decisive as the popular narrative of the
campaign suggested.
The Grande Armé e was a very large force, numbering 680,000
soldiers. Through a series of long marches, Napoleon pushed
the army rapidly through Western Russia in an attempt to bring
the Russian army to battle, winning a number of minor
engagements and a major battle at Smolensk in August 1812.
As the Russian army fell back, Cossacks were given the task of
burning villages, towns, and crops to deny the invaders the
option of living off the land. These scorched-earth tactics
surprised and disturbed the French as the strategy also
destroyed the Russian territory.
Napoleon then achieved a tactical victory at Borodino, entered
Moscow, and forced the Russian army to retreat at
Maloyaroslavets. However, in the weeks that followed, lack of
food and fodder for the horses, hypothermia from the bitter cold,
and persistent attacks upon isolated troops from Russian
peasants and Cossacks led to great loss of men and a general
lack of discipline and cohesion in the army. After crossing the
Berezina River, Napoleon returned to Paris.
The campaign effectively ended in December 1812, with the last
French troops leaving Russian soil. The campaign was a turning
point in the Napoleonic Wars. The reputation of Napoleon was
severely shaken and French hegemony in Europe was
dramatically weakened. These events triggered a major shift in
European politics.
Key Terms
Continental System
The foreign policy of Napoleon I of France in his struggle
against Great Britain during the Napoleonic Wars that used the
economic warfare as a strategy. As a response to the naval
blockade of the French coasts enacted by the British
government in 1806, Napoleon issued the Berlin Decree, which
brought into effect a large-scale embargo against British trade
that banned trade between Britain and states occupied by or
allied with France.
Peninsular War
An 1807–1814 military conflict between Napoleon's empire and

the allied powers of Spain, Britain, and Portugal for control of
the Iberian Peninsula during the Napoleonic Wars. The war
started when French and Spanish armies invaded and occupied
Portugal in 1807 and escalated in 1808 when France turned on
Spain, previously its ally. The war lasted until the Sixth
Coalition defeated Napoleon in 1814 and is regarded as one of
the first wars of national liberation, significant for the emergence
of large-scale guerrilla warfare.
The French Invasion of Russia
A military campaign, known in Russia as the Patriotic War of

1812 and in France as the Russian Campaign, that began in
June 1812 when Napoleon's Grande Armé e crossed the
Niemen River to engage and defeat the Russian
army. Napoleon hoped to compel Tsar Alexander I of Russia to
cease trading with British merchants through proxies in an effort
to pressure the United Kingdom to sue for peace. The official
political aim of the campaign was to liberate Poland from the
threat of Russia.
Causes of Napoleon's Invasion

of Russia
Although most of Western and Central European states were under
Napoleon's control—either directly or indirectly through various
protectorates, alliances, or under treaties favorable for France—
Napoleon had embroiled his armies in the costly Peninsular War
(1807/8-1814) in Spain and Portugal. France's economy, army
morale, and political support at home noticeably declined. Most
importantly, Napoleon himself was not in the same physical and
mental state. He was overweight and increasingly prone to various
maladies.
The Treaty of Schö nbrunn, which ended the 1809 war between
Austria and France, had a clause removing Western Galicia from
Austria and annexing it to the Grand Duchy of Warsaw. Russia saw
the territory as a potential launching-point for another country to
invade and thus developed a plan of offensive war in 1811,
assuming a Russian assault on Warsaw and Danzig. Furthermore,
Tsar Alexander found Russia in an economic bind as his country had
little in the way of manufacturing yet was rich in raw materials,
depending heavily on Napoleon's Continental System for both
money and manufactured goods. Russia's withdrawal from the
system was a further incentive for Napoleon to start the campaign.
Napoleon ignored repeated advice against an invasion of the

Russian heartland and prepared for an offensive campaign. The
invasion commenced in June 1812. In an attempt to gain increased
support from Polish nationalists and patriots, Napoleon termed this
war the Second Polish War (Napoleon's "First Polish War" was in
fact the War of the Fourth Coalition, 1806-08, one of declared goals
of which was the resurrection of the Polish state on territories of the
former Polish-Lithuanian Commonwealth). Polish patriots wanted the
Russian part of Poland to be joined with the Duchy of Warsaw and
independent Poland reestablished. These demands were rejected by
Napoleon, who stated he promised Austria, one of powers that had
partitioned Poland at the end of the 18th century, that this would not
happen.
Logistical Challenges
The invasion of Russia demonstrates the importance of logistics in
military planning. Napoleon and the Grande Armé e developed a
proclivity for living off the land that served them well in the densely
populated and agriculturally rich central Europe with its network of
roads. Rapid forced marches dazed and confused old order Austrian
and Prussian armies and made foraging difficult. In Russia, many of
the Grande Armé e's methods of operation did not work and they
were handicapped by the lack of winter horse shoes, which made it
impossible for the horses to obtain traction on snow and ice. Forced
marches often left troops without supplies as the wagons struggled
to keep up. Lack of food and water in thinly populated, agriculturally
sparse regions led to the death of troops by exposing them to
waterborne diseases through drinking from mud puddles and eating
rotten food and forage. The front of the army received whatever
could be provided while the formations behind starved. In fact,
starvation, desertion, typhus, and suicide would cost the French
Army more men than all the battles of the Russian invasion
combined. Following the campaign, a saying arose that the Generals
Janvier and Fé vrier (January and February) defeated Napoleon,
alluding to the Russian Winter. While the harsh weather was an
important factor in the final defeat of the French Army, historians
point out that most French losses took place before the winter and
the common narrative that identified the extremely cold weather as
the main reason behind the French loss is a myth (perpetuated also
by Napoleon's advisers).
The French Invasion of Russia

Through a series of long marches, Napoleon pushed the army
rapidly through Western Russia in an attempt to bring the Russian
army to battle, winning a number of minor engagements and a major
battle at Smolensk in August 1812. As the Russian army fell back,
Cossacks were given the task of burning villages, towns, and
crops. This was intended to deny the invaders the option of living off
the land. These scorched-earth tactics surprised and disturbed the
French as the strategy also destroyed Russian territory.
The Russian army retreated into Russia for almost three months.
The continual retreat and loss of lands to the French upset the
Russian nobility. They pressured Alexander I to relieve the
commander of the Russian army, Field Marshal Barclay. Alexander I
complied, appointing an old veteran, Prince Mikhail Kutuzov, to take
over command.
In September, the French caught up with the Russian army, which

had dug itself in on hillsides before a small town called Borodino 70
miles west of Moscow. The battle that followed was the largest and
bloodiest single-day action of the Napoleonic Wars, involving more
than 250,000 soldiers and resulting in 70,000 casualties. The French
gained a tactical victory, but at the cost of 49 general officers and
thousands of men. Napoleon entered Moscow a week later. In
another turn of events the French found puzzling, there was no
delegation to meet the Emperor. The Russians evacuated the city
and the city's governor, Count Fyodor Rostopchin, ordered several
strategic points in Moscow set ablaze. The loss of Moscow did not
compel Alexander I to sue for peace and both sides were aware that
Napoleon's position weakened with each passing day. After staying a
month in Moscow, Napoleon moved his army out southwest toward
Kaluga, where Kutuzov was encamped with the Russian army.
Michail Illarionovich Kutuz ov ( 17 45 -
18 13) , commander-in-chief of the
Russian army on the far left, with his
generals at the talks deciding to
surrender Moscow to Napoleon. The
room is the home of peasant A.S.
Frolov. Painting by Aleksey Danilovich
Kivshenko.
Kutuzov's military career was closely associated with the period of
Russia's growing power from the end of the 18th century to the
beginning of the 19th century. Kutuzov contributed much to the
military history of Russia and is considered one of the best Russian
generals. He took part in the suppression of the Bar Confederation's
uprising, in three of the Russo-Turkish Wars, and in the Napoleonic
War, including two major battles at Austerlitz and the battle of
Borodino.
Napoleon tried once more to engage the Russian army in a decisive

action at the Battle of Maloyaroslavets. Despite holding a superior
position, the Russians retreated with troops exhausted, few rations,
no winter clothing, and the remaining horses in poor condition.
Napoleon hoped to reach supplies at Smolensk and later at V ilnius.
In the weeks that followed, lack of food and fodder for the horses,
hypothermia from the bitter cold, and persistent attacks upon
isolated troops from Russian peasants and Cossacks led to great
loss of men and a general lack of discipline and cohesion in the
army. After crossing the Berezina River, Napoleon left the army with
urging from his advisers. He returned to Paris to protect his position
as Emperor and raise more forces to resist the advancing Russians.
The campaign effectively ended in December 1812, with the last
French troops leaving Russian soil.
Napoleon's retreat by V asily

V ereshchagin.
The main body of Napoleon's Grande Armé e diminished by a third
during the first eight weeks of his invasion before the major battle of
the campaign. The central French force under Napoleon's direct
command crossed the Niemen River with 286,000 men, but by the
time of the Battle of Borodino his force was reduced to 161,475.
Napoleon's invasion of Russia is among the most lethal military
operations in world history.
The painting shows Napoleon's army retreating in the snow.

Effects
The campaign was a turning point in the Napoleonic Wars. The
reputation of Napoleon was severely shaken and French hegemony
in Europe dramatically weakened. The Grande Armé e, made up of
French and allied invasion forces, was reduced to a fraction of its
initial strength. These events triggered a major shift in European
politics. France's ally Prussia broke their imposed alliance with
France and switched sides, soon followed by Austria. This triggered
the War of the Sixth Coalition.
23.3.3: The Fall of Paris

Following Napoleon's retreat from Russia and the subsequent defeat
of his army by the Sixth Coalition at Leipzig (1813), the armies of the
Sixth Coalition invaded France and advanced toward Paris, which
capitulated on March 31, 1814.
Learning Objective
Connect the invasion of Russia to the fall of Paris.
Key Points
Following defeats in the Wars of the Fourth and Fifth Coalitions,
Prussia and Austria were forcibly allied with France during the
Russian Campaign. When this campaign resulted in the
destruction of Napoleon's Grande Armé e, Prussia and Austria
took advantage of the situation by forming a Sixth Coalition
against France (1813-1814).
The retreat from Russia turned into a new war on German soil.
The decisive battle of the war, the so-called Battle of Nations
(October 16-19, 1813), took place in Leipzig where Napoleon
was defeated. After the battle, the pro-French German
Confederation of the Rhine collapsed and the supreme
commander of the Coalition forces in the theater, the Russian
Tsar Alexander I, ordered all Coalition forces in Germany to
cross the Rhine and invade France.
After retreating from Germany, Napoleon fought a series of
battles, including the Battle of Arcis-sur-Aube in France, but was
steadily forced back against overwhelming odds. In early
February 1814, Napoleon fought his Six Days' Campaign in
which he won multiple battles against numerically superior
enemy forces marching on Paris. However, the Emperor's
victories were not significant enough to make any changes to
the overall strategic picture.
Napoleon realized he could no longer continue with his current
strategy of defeating the Coalition armies. He had two options:
fall back on Paris and hope that the Coalition members would
come to terms or copy the Russians and leave Paris to his
enemies. He decided to move eastward to Saint-Dizier and raise
the whole country against the invaders. He started on the
execution of this plan when a letter to Empress Marie-Louise
outlining his intention to move on the Coalition lines of
communications was intercepted and his projects exposed to his
enemies.
Tsar Alexander I of Russia and King Frederick of Prussia along
with their advisers reconsidered; realizing the weakness of their
opponent, they decided to march to Paris. The battle ended
when the French commanders surrendered the city to Tsar
Alexander on March 31.
On April 2, the Senate declared Napoleon deposed. He
abdicated in favor of his son on April 4. The Allies forced
Napoleon to abdicate unconditionally on April 6. The terms of
his abdication, which included his exile to the Isle of Elba, were
settled in the Treaty of Fontainebleau on April 11. A reluctant
Napoleon ratified it two days later.
Key Terms
French Invasion of Russia
A military campaign, known in Russia as the Patriotic War of
1812 and in France as the Russian Campaign, that began in
June 1812 when Napoleon's Grande Armé e crossed the Neman
River to engage and defeat the Russian army. Napoleon hoped
to compel Tsar Alexander I of Russia to cease trading with
British merchants through proxies to pressure the United
Kingdom to sue for peace. The official political aim of the
campaign was to liberate Poland from the threat of Russia.
War of the Sixth Coalition
A war fought from March 1813 to May 1814 in which a coalition

of Austria, Prussia, Russia, the United Kingdom, Portugal,
Sweden, Spain, and a number of German states finally defeated
France and drove Napoleon into exile on Elba.
Six Days' Campaign
A final series of victories by the forces of Napoleon I of

France as the Sixth Coalition closed in on Paris, February 10-
15, 1814.
Battle of Paris of 1814
A battle fought on March 30–31, 1814 between the Sixth

Coalition—consisting of Russia, Austria, and Prussia—and the
French Empire. After a day of fighting in the suburbs of Paris,
the French surrendered on March 31, ending the War of the
Sixth Coalition and forcing Emperor Napoleon to abdicate and
go into exile.
German Campaign of 1813
A military campaign fought in 1813, in which members of the

Sixth Coalition fought a series of battles in Germany against the
French Emperor Napoleon and his Marshals. The campaign
liberated the German states from the domination of the First
French Empire.
Background: German
Campaign of 18 13
Following defeats in the Wars of the Fourth and Fifth Coalitions,
Prussia and Austria were forcibly allied with France during the
Russian Campaign (the French Invasion of Russia). When this
campaign resulted in the destruction of Napoleon's Grande Armé e,
Prussia and Austria took advantage of the situation by forming a
Sixth Coalition against France (1813-1814). The retreat from Russia
turned into a new war on German soil. Napoleon vowed to create a
new army as large as that he sent into Russia. Although he
inflicted 40,000 casualties on the Allies at Lü tzen and Bautzen
(1813), lost about the same number of men during those encounters.
The belligerents declared an armistice, during which both sides
attempted to recover from losses. During this time, Allied
negotiations finally brought Austria out in open opposition to France.
Following the end of the armistice, Napoleon seemed to regain the

initiative at Dresden, where he defeated a numerically superior allied
army and inflicted enormous casualties while sustaining relatively
few. However, at about the same time, the French sustained defeats
in the north at Grossbeeren, Katzbach, and Dennewitz. Napoleon,
lacking reliable cavalry, was unable to fully take advantage of his
victory and could not avoid the destruction of a whole corps at the
Battle of Kulm, further weakening his army. He withdrew to Leipzig in
Saxony where he thought he could fight a defensive action against
the converging Allied armies. There, at the so-called Battle of
Nations (October 16-19, 1813) Napoleon was defeated. After the
battle, the pro-French German Confederation of the Rhine collapsed,
ending Napoleon's hold on Germany east of the Rhine. The supreme
commander of the Coalition forces in the theater and the paramount
monarch among the three main Coalition monarchs, the Russian
Tsar Alexander I, ordered all Coalition forces in Germany to cross
the Rhine and invade France.
V ladimir Ivanovich Moshkov ( 17 92—
18 39) , Battle of Leipz ig.
The Battle of Leipzig or Battle of the Nations was fought on October
16-19, 1813, at Leipzig, Saxony. The coalition armies of Russia,
Prussia, Austria, and Sweden, led by Tsar Alexander I of Russia and
Karl Philipp, Prince of Schwarzenberg, decisively defeated the
French army of Napoleon I that also contained Polish, Italian, and
German troops (from the Confederation of the Rhine). Being
decisively defeated for the first time in battle, Napoleon was
compelled to return to France while the Coalition hurried to keep
their momentum, invading France early the next year.
March on Paris
After retreating from Germany, Napoleon fought a series of battles
including the Battle of Arcis-sur-Aube in France, but was steadily
forced back against overwhelming odds. During the campaign, he
issued a decree for 900,000 fresh conscripts, but only a fraction of
these were ever raised. In early February 1814, Napoleon fought his
Six Days' Campaign in which he won multiple battles against
numerically superior enemy forces marching on Paris. With an army
of only 70,000, the Emperor was faced with at least half a million
Allied troops advancing in several main armies. The Six Days'
Campaign was fought from February 10 to February 15, during
which time Napoleon inflicted four defeats: in the Battle of
Champaubert, the Battle of Montmirail, the Battle of Châ teau-Thierry,
and the Battle of V auchamps. However, the Emperor's victories were
not significant enough to make any changes to the overall strategic
picture.
However, after six weeks of fighting, the Coalition armies hardly

gained any ground. The generals still hoped to bring Napoleon to
battle against their combined forces. However, after Arcis-sur-Aube,
Napoleon realized he could no longer continue with his current
strategy of defeating the Coalition armies in detail and decided to
change his tactics. He had two options: fall back on Paris and hope
that the Coalition members would come to terms, as capturing Paris
with a French army under his command would be difficult and time-
consuming, or copy the Russians and leave Paris to his enemies as
they had left Moscow to him two years earlier. He decided to move
eastward to Saint-Dizier, rally what garrisons he could find, and raise
the whole country against the invaders. He started on the execution
of this plan when a letter to Empress Marie-Louise outlining his
intention to move on the Coalition lines of communications was
intercepted and his projects exposed to his enemies.
The Coalition commanders held a council of war at Pougy in March

and initially decided to follow Napoleon, but the next day Tsar
Alexander I of Russia and King Frederick of Prussia along with their
advisers reconsidered and realizing the weakness of their opponent,
decided to march to Paris and let Napoleon do his worst to their lines
of communications. The Coalition armies marched straight for the
capital.
The Battle of Paris of 18 14

The Austrian, Prussian, and Russian armies were joined together
and put under the command of Field Marshal Count Barclay de Tolly
who would also be responsible for the taking of the city, but the
driving force behind the army was the Tsar of Russia and the King of
Prussia. Napoleon left his brother Joseph Bonaparte in defense of
Paris with additional troops under Marshals Auguste Marmont, Bon
Adrien Jeannot de Moncey, and É douard Mortier.
The Coalition army arrived outside Paris in late March. Nearing the
city, Russian troops broke rank and ran forward to get their first
glimpse of the city. Camping outside the city on March 29, the
Coalition forces were to assault the city from its northern and eastern
sides the next morning. Marmont and Mortier rallied available troops
at a position on Montmartre Heights to oppose them. The battle
ended when the French commanders surrendered the city.
Alexander sent an envoy to meet with the French and hasten the
surrender. He offered generous terms to the French and although
willing to avenge Moscow more than a year earlier, declared himself
to be bringing peace to France rather than destruction. On March 31,
Talleyrand gave the key of the city to the Tsar. Later that day, the
Coalition armies triumphantly entered the city with the Tsar at the
head of the army followed by the King of Prussia and Prince
Schwarzenberg. On April 2, the Senate declared Napoleon deposed.
Battle of Paris of 18 14 by Bogdan
W illewalde.
The Battle of Paris was fought on March 30–31, 1814 between the
Sixth Coalition—consisting of Russia, Austria, and Prussia—and the
French Empire. After a day of fighting in the suburbs of Paris, the
French surrendered on March 31, ending the War of the Sixth
Coalition and forcing Emperor Napoleon to abdicate and go into
exile.
Napoleon had advanced as far as Fontainebleau when he heard that

Paris had surrendered. Outraged, he wanted to march on the capital,
but his marshals would not fight for him and repeatedly urged him to
surrender. He abdicated in favor of his son on April 4. The Allies
rejected this out of hand, forcing Napoleon to abdicate
unconditionally on April 6. The terms of his abdication, which
included his exile to the Isle of Elba, were settled in the Treaty of
Fontainebleau on April 11. A reluctant Napoleon ratified it two days
later. The War of the Sixth Coalition was over.
Attributions
The Holy Alliance
"Carlsbad Decrees."
https://en.wikipedia.org/wiki/Carlsbad_Decrees. Wikipedia
CC BY-SA 3.0.
"Quadruple Alliance (1815)."
https://en.wikipedia.org/wiki/Quadruple_Alliance_(1815).
"Holy Alliance ." https://en.wikipedia.org/wiki/Holy_Alliance.
"Concert of Europe."
https://en.wikipedia.org/wiki/Concert_of_Europe. Wikipedia
CC BY-SA 3.0.
"Quintuple Alliance."
https://en.wikipedia.org/wiki/Quintuple_Alliance. Wikipedia
CC BY-SA 3.0.
"Congress of V erona."
https://en.wikipedia.org/wiki/Congress_of_V erona.
"Eastern Question."
https://en.wikipedia.org/wiki/Eastern_Question. Wikipedia
CC BY-SA 3.0.
"Hundred Thousand Sons of Saint Louis."
https://en.wikipedia.org/wiki/Hundred_Thousand_Sons_of_
Saint_Louis. Wikipedia CC BY-SA 3.0.
"Congress_of_V erona.jpg."
https://commons.wikimedia.org/wiki/File:Congress_of_V ero
na.jpg. Wikimedia Commons Public domain.
Invasion of Russia
"Russian Winter."
https://en.wikipedia.org/wiki/Russian_Winter. Wikipedia CC
BY-SA 3.0.
"Continental System."
https://en.wikipedia.org/wiki/Continental_System. Wikipedia
CC BY-SA 3.0.
"Mikhail Kutuzov."
https://en.wikipedia.org/wiki/Mikhail_Kutuzov. Wikipedia CC
BY-SA 3.0.
"Peninsular War."
BY-SA 3.0.
"French invasion of Russia."
https://en.wikipedia.org/wiki/French_invasion_of_Russia.
"Kutuzov_fili.jpg."
https://commons.wikimedia.org/wiki/File:Kutuzov_fili.jpg.
"On_the_big_road_V ereshchagin_-_detail.jpg."
https://commons.wikimedia.org/wiki/File:On_the_big_road_(
V ereshchagin)_-_detail.jpg. Wikimedia Commons CC BY-
SA 3.0.
The Fall of Paris
"German Campaign of 1813."
https://en.wikipedia.org/wiki/German_Campaign_of_1813.
"Six Days' Campaign."
https://en.wikipedia.org/wiki/Six_Days%27_Campaign.
"War of the Sixth Coalition."
https://en.wikipedia.org/wiki/War_of_the_Sixth_Coalition.
"Battle of Paris (1814)."
https://en.wikipedia.org/wiki/Battle_of_Paris_(1814).
"French Invasion of Russia."
https://en.wikipedia.org/wiki/French_invasion_of_Russia.
"Campaign in north-east France (1814)."
https://en.wikipedia.org/wiki/Campaign_in_north-
east_France_(1814). Wikipedia CC BY-SA 3.0.
"Battle of Leipzig."
https://en.wikipedia.org/wiki/Battle_of_Leipzig. Wikipedia
CC BY-SA 3.0.
"MoshkovV I_SrazhLeypcigomGRM.jpg."
https://commons.wikimedia.org/wiki/File:MoshkovV I_SrazhL
eypcigomGRM.jpg. Wikimedia Commons Public domain.
"Battle_of_Paris_1814.png."
https://commons.wikimedia.org/wiki/File:Battle_of_Paris_18
14.png. Wikimedia Commons Public domain.
23.4: The 100 Days
23.4.1: Napoleon's Ex ile and Return to
Power
Napoleon's exile from Elba and his short-lived return to power were
fueled by the popular support of the French, including the military,
who were disappointed with the royal decisions to reverse the results
of the French Revolution and disfranchise the majority.
Learning Objective
Explain how Napoleon was able to raise support after his escape
Key Points
According to the 1814 Treaty of Fontainebleau, Napoleon was
stripped of his powers as ruler of the French Empire and all of
Napoleon's successors and family members were prohibited
from attaining power in France. The treaty also established the
island of Elba where Napoleon was exiled as a separate
principality to be ruled by Napoleon.
Louis X V III's restoration to the throne in 1814 was linked to a
new written constitution, the Charter of 1814, which guaranteed
a bicameral legislature with a hereditary/appointive Chamber of
Peers and an elected Chamber of Deputies. Their role was
consultative (except on taxation), as only the King had the
power to propose or sanction laws and appoint or recall
ministers.
The franchise was now limited to men with considerable
property holdings and just 1% of people could vote. Many of the
legal, administrative, and economic reforms of the revolutionary
period were left intact, but after a first sentimental flush of
popularity, Louis' gestures towards reversing the results of the
French Revolution quickly lost him support among the
disenfranchised majority.
Napoleon escaped from Elba in February 1815. Two days later,
he landed on the French mainland at Golfe-Juan and started
heading north. He was enthusiastically welcomed by the military
despite their earlier allegiance to the king. The unpopular Louis
X V III fled to Belgium after realizing he had little political support.
Napoleon arrived in Paris on March 20 and governed for a
period now called the Hundred Days.
In an attempt to strengthen the trust of a public disappointed by
the restored royal authority, Napoleon took up a constitutional
reform that resulted in the Charter of 1815, signed on April 22,
1815, and prepared by Benjamin Constant. The document
extensively amended (virtually replacing) the previous
Napoleonic Constitutions. It was liberal in spirit and gave the
French people rights which were previously unknown to them.
The Charter was adopted by a plebiscite on June 1, 1815, by an
immense majority of the five million voters, although many
eligible voters abstained. The rapid fall of Napoleon prevented it
from being fully applied.
Key Terms
Charter of 1814
An 1814 constitution granted by King Louis X V III of

France shortly after his restoration. The Congress of
V ienna demanded that Louis bring in a constitution of some
form before he was restored. The document was presented as a
gift from the King to the people, not as a constituent act of the
people.
Charter of 1815
A constitution signed on April 22, 1815 and prepared by
Benjamin Constant at the request of Napoleon I when he
returned from exile on Elba. More correctly known as the
"Additional Act to the Constitutions of the Empire," the document
extensively amended (virtually replacing) the previous
Napoleonic Constitutions (Constitution of the Year V III,
Constitution of the Year X , and Constitution of the Year X II).
Hundred Days
The period between Napoleon's return from exile on the island

of Elba to Paris on March 20, 1815, and the second restoration
of King Louis X V III on July 8, 1815 (a period of 111 days). This
period saw the War of the Seventh Coalition and includes the
Waterloo Campaign, the Neapolitan War, and several minor
campaigns.
Treaty of Fontainebleau of 1814
An agreement established in Fontainebleau, France, on April 11,

1814, between Napoleon I and representatives from the
Austrian Empire, Russia, and Prussia. With this treaty, the allies
ended Napoleon's rule as emperor of France and sent him into
exile on Elba.
Napoleon's Ex ile to Elba

The Treaty of Fontainebleau was an agreement established in 1814
between Napoleon I and representatives from the Austrian Empire,
Russia, and Prussia, containing 21 articles. Based on the most
significant terms of the accord, Napoleon was stripped of his powers
as ruler of the French Empire, but both Napoleon and Marie-Louise
of Austria were permitted to preserve their respective titles as
emperor and empress. All Napoleon's successors and family
members were prohibited from attaining power in France. The treaty
also established the island of Elba, where Napoleon was exiled, as a
separate principality to be ruled by Napoleon. Elba's sovereignty and
flag were guaranteed recognition by foreign powers in the accord,
but only France was allowed to assimilate the island.
The British position was that the French nation was in a state of
rebellion and Napoleon Bonaparte was a usurper. Lord Castlereagh
explained that he would not sign on behalf of the king of the United
Kingdom because to do so would recognize the legitimacy of
Napoleon as emperor of the French and that to exile him to an island
over which he had sovereignty only a short distance from France
and Italy, both of which had strong Jacobin factions, could easily
lead to further conflict.
British etching from 18 14 in
celebration of Napoleon's ex ile to Elba
at the close of the W ar of the Six th
Coalition.
The print shows Napoleon seated backwards on a donkey on the
road "to Elba" from Fontainebleau. He holds a broken sword in one
hand and the donkey's tail in the other while two drummers follow
him playing a farewell march.
The First Bourbon Restoration

Louis X V III's restoration to the throne in 1814 was effected largely
through the support of Napoleon's former foreign minister,
Talleyrand, who convinced the victorious Allied Powers of the
desirability of a Bourbon restoration. Louis granted a written
constitution, the Charter of 1814, which guaranteed a bicameral
legislature with a hereditary/appointive Chamber of Peers and an
elected Chamber of Deputies. Its role was consultative (except on
taxation), as only the King had the power to propose or sanction
laws and appoint or recall ministers. The franchise was limited to
men with considerable property holdings, so just 1% of the
population could vote. Many of the legal, administrative, and
economic reforms of the revolutionary period were left intact,
including the Napoleonic Code.
After a first sentimental flush of popularity, Louis' gestures towards

reversing the results of the French Revolution quickly lost him
support among the disenfranchised majority. Symbolic acts such as
the replacement of the tricolore with the white flag, the titling of Louis
as the "X V III" (as successor to Louis X V II, who never ruled) and as
"King of France" rather than "King of the French," as well as the
monarchy's recognition of the anniversaries of the deaths of Louis
X V I and Marie Antoinette, were significant in the eyes of the
increasingly disappointed public. A more tangible source of
antagonism was the pressure applied to possessors of biens
nationaux (properties confiscated during the French Revolution from
the Catholic Church, the monarchy, é migré s, and suspected counter-
revolutionaries) by the Catholic Church and returning é migré s
attempting to repossess their former lands. Other groups bearing ill
sentiment towards Louis included the army, non-Catholics, and
workers hit by a post-war slump and British imports. The growing
anti-royal sentiments would soon help Napoleon to gather popular
support for his own restoration.
Escape from Elba

Separated from his wife and son who had returned to Austria, cut off
from the allowance guaranteed to him by the Treaty of
Fontainebleau, and aware of rumors he was about to be banished to
a remote island in the Atlantic Ocean, Napoleon escaped from Elba
in February 1815. Two days later, he landed on the French mainland
at Golfe-Juan and started heading north. The 5th Regiment was sent
to intercept him and made contact just south of Grenoble. Napoleon
approached the regiment alone, dismounted his horse and, when he
was within gunshot range, shouted to the soldiers, "Here I am. Kill
your Emperor, if you wish." The soldiers quickly responded with,
"V ive L'Empereur! " Marshal Michel Ney, who had pledged loyalty to
the restored Bourbon king, Louis X V III, affectionately kissed his
former emperor and forgot his oath of allegiance to the Bourbon
monarch. The two then marched together towards Paris with a
growing army. The unpopular Louis X V III fled to Belgium after
realizing he had little political support. On March 13, the powers at
the Congress of V ienna declared Napoleon an outlaw. Napoleon
arrived in Paris on 20 March and governed for a period now called
the Hundred Days.
Constitutional Reform: The

Charter of 18 15
In an attempt to strengthen the trust of the public disappointed by the
restored royal authority, Napoleon took up a constitutional reform,
which resulted in the Charter of 1815, signed on April 22, 1815 and
prepared by Benjamin Constant. More correctly known as the
"Additional Act to the Constitutions of the Empire" the document
extensively amended (virtually replacing) the previous Napoleonic
Constitutions (Constitution of the Year V III, Constitution of the Year
X , and Constitution of the Year X II). The Additional Act reframed the
Napoleonic constitution into something more along the lines of the
Bourbon Restoration Charter of 1814 of Louis X V III, while otherwise
ignoring the Bourbon charter's existence. It was very liberal in spirit
and gave the French people rights which were previously unknown
to them, such as the right to elect the mayor in communes with
population of less than 5,000. Napoleon treated it as a mere
continuation of the previous constitutions and it therefore took the
form of an ordinary legislative act "additional to the constitutions of
the Empire."
The legislative power was to be exercised by the Emperor together

with the Parliament, composed of two chambers: the Chamber of
Peers, hereditary members appointed by the Emperor, and the
Chamber of Representatives, 629 citizens elected for five-year terms
by electoral colleges in the individual dé partments. The ministers
were to be responsible to the Parliament for their actions. The
liberalization dealt both with the guarantees of rights and the end of
censorship. In the end, the two chambers held sessions for only one
month, from June 3 to July 7, 1815. The Charter was adopted by a
plebiscite on June 1, 1815, by an immense majority of the five million
voters, although a great many eligible voters abstained. The rapid
fall of Napoleon prevented it from being fully applied.
23.4.2: Napoleon's Defeat at W aterloo

The Waterloo Campaign (June 15 – July 8, 1815) was fought
between the French Army of the North and two Seventh Coalition
armies, an Anglo-allied army and a Prussian army, that defeated
Napoleon in the decisive Battle of Waterloo, forced him to abdicate
for the second time, and ended the Napoleonic Era.
Learning Objective
Identify the contributing factors to Napoleon's ultimate defeat at
Waterloo
Key Points
At the Congress of V ienna, the Great Powers of Europe -
Austria, Great Britain, Prussia, and Russia - and their allies
declared Napoleon an outlaw and with the signing of this
declaration on March 13, 1815, began the War of the Seventh
Coalition. The hopes of peace that Napoleon had entertained
were gone; war was now inevitable.
Some time after the allies began mobilizing, the invasion of
France was planned for July 1, 1815. This invasion date, later
than some military leaders expected, allowed all invading
Coalition armies to be ready at the same time. Yet this
postponed invasion date also gave Napoleon more time to
strengthen his forces and defenses. Napoleon chose to attack,
which entailed a preemptive strike at his enemies before they
were fully assembled and able to cooperate.
Napoleon's decision to attack in today's Belgium was supported
by several considerations: he had learned that the British and
Prussian armies were widely dispersed and might be defeated
in detail; the British troops in Belgium were largely second-line
troops as most of the veterans of the Peninsular War had been
sent to America to fight the War of 1812; and a French victory
might have triggered a friendly revolution in French-speaking
Belgium.
Hostilities started on June 15, when the French drove away the
Prussian outposts and crossed the river Sambre at Charleroi,
placing their forces between the cantonment areas of
Wellington's Army (to the west) and Blü cher's army to the east.
On June 18, the Battle of Waterloo proved to be the decisive
battle of the campaign.
After the defeat at Waterloo, Napoleon chose not to remain with
the army and attempt to rally it, but returned to Paris to try to
secure political support for further action. He failed to do so and
was forced to abdicate; a provisional government with Joseph
Fouché as acting president was formed.
The two Coalition armies entered Paris on July 7. The next day
Louis X V III was restored to the French throne and a week later
(July 15), Napoleon surrendered to Captain Frederick Maitland
of HMS Bellerophon. Napoleon was exiled to the island of Saint
Helena, where he died in 1821. The war ended with signing the
Treaty of Paris in November 1815.
Key Terms
Convention of St. Cloud
An 1815 military convention at which the French surrendered

Paris to the armies of Prince Blü cher and the Duke of
Wellington, ending surrender hostilities between the armies of
the Seventh Coalition and the French army. Under the terms of
the convention, the commander of the French army, Marshal
Davout, surrendered Paris to the two allied armies of the
Seventh Coalition and agreed to move the French army well
away from Paris to the south. In return, the allies promised to
respect the rights and property of the local government, French
civilians, and members of the French armed forces.
Waterloo Campaign
A military campaign (June 15 – July 8, 1815) fought between

the French Army of the North and two Seventh Coalition armies,
an Anglo-allied army and a Prussian army. Initially, the French
army was commanded by Napoleon Bonaparte, but he left for
Paris after the French defeat at the Battle of Waterloo.
Command then rested on Marshals Soult and Grouchy, who
were replaced by Marshal Davout at the request of the French
Provisional Government. The Anglo-allied army was
commanded by the Duke of Wellington and the Prussian army
by Prince Blü cher.
A treaty signed on November 20, 1815, following the defeat and

second abdication of Napoleon Bonaparte. Under the treaty,
France was ordered to pay 700 million francs in indemnities and
the country's borders were reduced to their 1790 levels. France
was to cover the cost of providing additional defensive
fortifications to neighboring Coalition countries. Furthermore,
Coalition forces remained in Northern France as an army of
occupation under the command of the Duke of Wellington.
Battle of Waterloo
A battle fought on June 18, 1815 near Waterloo in present-day

Belgium, then part of the United Kingdom of the Netherlands. A
French army under the command of Napoleon Bonaparte was
defeated by two of the armies of the Seventh Coalition: an
Anglo-led Allied army under the command of the Duke of
Wellington, and a Prussian army under the command of
Gebhard Leberecht von Blü cher.
The Seventh Coalition

At the Congress of V ienna, the Great Powers of Europe - Austria,
Great Britain, Prussia, and Russia - and their allies declared
Napoleon an outlaw and with the signing of this declaration on March
13, 1815, began the War of the Seventh Coalition. The hopes of
peace that Napoleon had entertained were gone; war was now
inevitable. Furthermore, the Treaty of Alliance against Napoleon, in
which each of the European powers agreed to pledge 150,000 men
for the coming conflict, was ratified on March 25. Such a number
was not possible for Great Britain, as its standing army was smaller
than the armies of its peers and its forces were scattered around the
globe, with many units still in Canada where the War of 1812 had
recently ceased. Consequently, it made up its numerical deficiencies
by paying subsidies to the other powers and to the other states of
Europe that would contribute contingents.
Some time after the allies began mobilizing, it was agreed that the
planned invasion of France would commence on July 1, 1815. The
advantage of this invasion date, later than some military leaders
expected, was that it allowed the invading Coalition armies a chance
to be ready at the same time. Thus, they could deploy their
combined numerically superior forces against Napoleon's smaller,
thinly spread forces, ensuring his defeat and avoiding a possible
defeat within the borders of France. Yet this postponed invasion date
gave Napoleon more time to strengthen his forces and defenses,
which would make defeating him harder and more costly in lives,
time, and money.
Napoleon chose to attack, which entailed a preemptive strike at his

enemies before they were fully assembled and able to cooperate. By
destroying some of the major Coalition armies, Napoleon believed
he would then be able to bring the governments of the Seventh
Coalition to the peace table to discuss peace for France with
Napoleon remaining in power. If peace were rejected by the allies
despite preemptive military success he might have achieved using
the offensive military option available to him, then the war would
continue and he could turn his attention to defeating the rest of the
Coalition armies.
Napoleon's decision to attack in today's Belgium was supported by

several considerations. First, he had learned that the British and
Prussian armies were widely dispersed and might be defeated in
detail. Also, the British troops in Belgium were largely second-line
troops as most of the veterans of the Peninsular War had been sent
to America to fight the War of 1812. Also, a French victory might
trigger a friendly revolution in French-speaking Belgium.
W aterloo Campaign
Hostilities started on June 15 when the French drove away the
Prussian outposts and crossed the river Sambre at Charleroi, placing
their forces between the cantonment areas of Wellington's Army (to
the west) and Blü cher's army to the east. On June 16, the French
prevailed with Marshal Ney commanding the left wing of the French
army and holding Wellington at the Battle of Quatre Bras and
Napoleon defeating Blü cher at the Battle of Ligny. On June 17,
Napoleon left Grouchy with the right wing of the French army to
pursue the Prussians while he took the reserves and command of
the left wing of the army to pursue Wellington towards Brussels.
On the night of June 17, the Anglo-allied army prepared for battle on
a gentle escarpment about a mile (1.6 km) south of the village of
Waterloo. The next day this proved the decisive battle of the
campaign. The Anglo-allied under Wellington army stood fast against
repeated French attacks until they managed to rout the French army
with the aid of several Prussian corps under Blü cher that arrived at
the east side of the battlefield in the early evening. With the right
wing of the army, Grouchy engaged a Prussian rearguard at the
simultaneous Battle of Wavre. Although he won a tactical victory, his
failure to prevent the Prussian march to Waterloo meant that his
actions contributed to the French defeat at Waterloo. The next day
(June 19) he left Wavre and started a long retreat back to Paris.
Battle of W aterloo ( 18 15 ) by W illiam

Sadler II.
Waterloo was the decisive engagement of the Waterloo Campaign
and Napoleon's last. According to Wellington, the battle was "the
nearest-run thing you ever saw in your life." Napoleon abdicated four
days later and on July 7, Coalition forces entered Paris. The defeat
at Waterloo ended Napoleon's rule as Emperor of the French and
marked the end of his Hundred Days return from exile. The battle
also ended the First French Empire and set a chronological
milestone between serial European wars and a time of relative
peace.
The Ultimate End of the

Napoleonic Era
After the defeat at Waterloo, Napoleon chose not to remain with the
army and attempt to rally it, but returned to Paris to try to secure
political support for further action. He failed to do it and was forced to
abdicate. With the abdication of Napoleon, a provisional government
with Joseph Fouché as acting President was formed. Initially, the
remnants of the French left wing and the reserves that were routed
at Waterloo were commanded by Marshal Soult while Grouchy kept
command of the left wing. However, on June 25, Soult was relieved
of his command by the Provisional Government and replaced by
Grouchy, who in turn was placed under the command of Marshal
Davout. On the same day, Napoleon received from Fouché
(Napoleon's former police chief) an intimation that he must leave
Paris. He retired to Malmaison, the former home of José phine,
where she had died shortly after his first abdication. On June 29, the
near approach of the Prussians, who had orders to seize Napoleon
dead or alive, caused him to retire westwards toward Rochefort in an
attempt to eventually reach the United States. The presence of
blockading Royal Navy warships under V ice Admiral Henry Hotham
with orders to prevent his escape forestalled this plan.
When the French Provisional Government realized that the French

army under Marshal Davout was unable to defend Paris, they
authorized delegates to accept capitulation terms that led to the
Convention of St. Cloud. Under the terms of the convention, the
commander of the French army, Marshal Davout, surrendered Paris
to the two allied armies of the Seventh Coalition and agreed to move
the French army well away from Paris, to the south "beyond the
Loire." In return, the allies promised to respect the rights and
property of the local government, French civilians, and members of
the French armed forces.
The two Coalition armies entered Paris on July 7. The next day Louis
X V III was restored to the French throne and a week later (July 15),
Napoleon surrendered to Captain Frederick Maitland of
HMS Bellerophon. Napoleon was exiled to the island of Saint Helena
where he died in May 1821. Under the terms of the Treaty of Paris of
1815, France was ordered to pay 700 million francs in indemnities
and the country's borders were reduced to their 1790 level. France
covered the cost of providing additional defensive fortifications to be
built by neighboring Coalition countries. Under the terms of the
treaty, parts of France were to be occupied by up to 150,000 soldiers
for five years, with France footing the bill. However, the Coalition
occupation, under the command of the Duke of Wellington, was only
deemed necessary for three years and the foreign troops pulled out
in 1818.
Attributions
Napoleon's Exile and Return to Power
"Biens nationaux."
https://en.wikipedia.org/wiki/Biens_nationaux. Wikipedia CC
BY-SA 3.0.
"Bourbon Restoration."
https://en.wikipedia.org/wiki/Bourbon_Restoration.
"Hundred Days."
https://en.wikipedia.org/wiki/Hundred_Days. Wikipedia CC
BY-SA 3.0.
"Charter of 1815."
CC BY-SA 3.0.
"Charter of 1814."
CC BY-SA 3.0.
CC BY-SA 3.0.
"1024px-Napoleon's_exile_to_Elba3.jpg."
https://commons.wikimedia.org/wiki/File:Napoleon%27s_exi
le_to_Elba3.jpg. Wikimedia Commons Public domain.
Napoleon's Defeat at Waterloo
"Battle of Waterloo."
https://en.wikipedia.org/wiki/Battle_of_Waterloo. Wikipedia
CC BY-SA 3.0.
"Convention of St. Cloud."
https://en.wikipedia.org/wiki/Convention_of_St._Cloud.
"Waterloo Campaign."
https://en.wikipedia.org/wiki/Waterloo_Campaign. Wikipedia
CC BY-SA 3.0.
"Hundred Days."
https://en.wikipedia.org/wiki/Hundred_Days. Wikipedia CC
BY-SA 3.0.
CC BY-SA 3.0.
"Battle_of_Waterloo_1815.PNG."
https://commons.wikimedia.org/wiki/File:Battle_of_Waterloo
_1815.PNG. Wikimedia Commons Public domain.
24: Post-Napoleonic Europe
24.1: The Congress of V ienna
24.1.1: The Balance of Power
The Concert of Europe was a system of dispute resolution adopted
by the major conservative powers of Europe to maintain their power,
oppose revolutionary movements, weaken the forces of nationalism,
and uphold the balance of power.
Learning Objective
Define the Balance of Power
Key Points
As the Napoleonic Wars came to close in the second decade of
the 19th century, the Great Powers of Europe (Britain, Prussia,
Russia and Austria) started planning for the postwar world.
To bring about a balance of power in Europe and prevent further
conflict, they developed what became known as the Concert of
Europe, beginning with the Congress of V ienna.
The Congress of V ienna dissolved the Napoleonic world and
attempted to restore the monarchies Napoleon had overthrown.
The Congress was the first occasion in history where on a
continental scale, national representatives came together to
formulate treaties instead of relying mostly on messages
between the several capitals.
The Concert of Europe, despite later changes and diplomatic
breakdowns a few decades later, formed the basic framework
for European international politics until the outbreak of the First
World War in 1914.
Key Terms
Concert of Europe
Also known as the Congress System or the V ienna System after

the Congress of V ienna, a system of dispute resolution adopted
by the major conservative powers of Europe to maintain their
power, oppose revolutionary movements, weaken the forces of
nationalism, and uphold the balance of power.
Great Powers
A sovereign state recognized as having the ability and expertise

to exert its influence on a global scale. They characteristically
possess military and economic strength, as well as diplomatic
and soft power influence, which may cause middle or small
powers to consider the Great Powers' opinions before taking
actions of their own.
balance of power
A theory in international relations that suggests that national

security is enhanced when military capability is distributed so
that no one state is strong enough to dominate all others. If one
state becomes much stronger than others, the theory predicts it
will take advantage of its strength and attack weaker neighbors,
thereby providing an incentive for those threatened to unite in a
defensive coalition.
Congress of V ienna
As the four major European powers (Britain, Prussia, Russia, and
Austria) opposing the French Empire in the Napoleonic Wars saw
Napoleon's power collapsing in 1814, they started planning for the
postwar world. The Treaty of Chaumont of March 1814 reaffirmed
decisions that would be ratified by the more important Congress of
V ienna of 1814–15. The Congress of V ienna was the first of a series
of international meetings that came to be known as the Concert of
Europe, an attempt to forge a peaceful balance of power in Europe.
It served as a model for later organizations such as the League of
Nations in 1919 and the United Nations in 1945. They included the
establishment of a confederated Germany, the division of French
protectorates and annexations into independent states, the
restoration of the Bourbon kings of Spain, the enlargement of the
Netherlands to include what in 1830 became modern Belgium, and
the continuation of British subsidies to its allies. The Treaty of
Chaumont united the powers to defeat Napoleon and became the
cornerstone of the Concert of Europe, which formed the balance of
power for the next two decades. The basic tenet of the European
balance of power is that no single European power should be
allowed to achieve hegemony over a substantial part of the continent
and that this is best curtailed by having a small number of ever-
changing alliances contend for power.
The Congress of V ienna dissolved the Napoleonic world and

attempted to restore the monarchies Napoleon had overthrown,
ushering in an era of reaction. Under the leadership of Metternich,
the prime minister of Austria (1809–48) and Lord Castlereagh, the
foreign minister of Great Britain (1812–22), the Congress set up a
system to preserve the peace. Under the Concert of Europe, the
major European powers—Britain, Russia, Prussia, Austria, and (after
1818) France—pledged to meet regularly to resolve differences. The
goal was not simply to restore old boundaries but to resize the main
powers so they could balance each other and remain at peace. The
leaders were conservatives with little use for republicanism or
revolution, both of which threatened to upset the status quo in
Europe. This plan was the first of its kind in European history and
seemed to promise a way to collectively manage European affairs
and promote peace.
The Congress resolved the Polish–Saxon crisis at V ienna and the

question of Greek independence at Laibach. Three major European
congresses took place. The Congress of Aix-la-Chapelle (1818)
ended the occupation of France. The others were meaningless as
each nation realized the Congresses were not to their advantage, as
disputes were resolved with a diminishing degree of effectiveness.
The Congress was the first occasion in history where, on a

continental scale, national representatives came together to
formulate treaties instead of relying mostly on messages between
the several capitals. The Congress of V ienna settlement, despite
later changes, formed the framework for European international
politics until the outbreak of the First World War in 1914.
Conservative Order
The Conservative Order is a term applied to European political
history after the defeat of Napoleon in 1815. From 1815 to 1830 a
conscious program by conservative statesmen, including Metternich
and Castlereagh, was put in place to contain revolution and
revolutionary forces by restoring old orders, particularly previous
ruling aristocracies.
Britain, Prussia, Russia, and Austria renewed their commitment to

prevent any restoration of Bonapartist power and agreed to meet
regularly in conferences to discuss their common interests. This
period contains the time of the Holy Alliance, a military agreement.
The Concert of Europe was the political framework that grew out of
the Quadruple Alliance in November 1815.
The goal of the conservatives at the Congress, led by Prince

Klemens von Metternich of Austria, was to reestablish peace and
stability in Europe. To accomplish this, a new balance of power had
to be established. Metternich and the other four represented states
sought to do this by restoring old ruling families and creating buffer
zones between major powers. To contain the still powerful French,
the House of Orange-Nassau was put on the throne in the
Netherlands, which formerly comprised the Dutch Republic and the
Austrian Netherlands (Belgium). To the southeast of France,
Piedmont (officially part of the kingdom of Sardinia) was enlarged.
The Bourbon dynasty was restored to France and Spain as well as a
return of other legitimate rulers to the Italian states. And to contain
the Russian empire, Poland was divided up between Austria,
Prussia, and Russia.
Concert of Europe
The Concert of Europe, also known as the Congress System or the
V ienna System after the Congress of V ienna, was a System of
dispute resolution adopted by the major conservative powers of
Europe to maintain their power, oppose revolutionary movements,
weaken the forces of nationalism, and uphold the balance of power.
It grew out of Congress of V ienna. It operated in Europe from the
end of the Napoleonic Wars (1815) to the early 1820s.
The Concert of Europe was founded by the powers of Austria,

Prussia, the Russian Empire, and the United Kingdom, who were the
members of the Quadruple Alliance that defeated Napoleon and his
First French Empire. In time, France was established as a fifth
member of the Concert. At first, the leading personalities of the
system were British foreign secretary Lord Castlereagh, Austrian
Chancellor Klemens von Metternich, and Tsar Alexander I of Russia.
Charles Maurice de Talleyrand-Pé rigord of France was largely
responsible for quickly returning that country to its place alongside
the other major powers in international diplomacy.
The Concert of Europe had no written rules or permanent

institutions, but at times of crisis any of the member countries could
propose a conference. Meetings of the Great Powers during this
period included: Aix-la-Chapelle (1818), Carlsbad (1819), Troppau
(1820), Laibach (1821), V erona (1822), London (1832), and Berlin
(1878).
Honore Daumier, L’E q uilibre E urop ea
( 18 66)
The basic tenet of the European balance of power that reigned from
1814 to WWI is that no single European power should be allowed to
achieve hegemony over a substantial part of the continent and that
this is best curtailed by having a small number of ever-changing
alliances contend for power.
An image of a cartoon by Honore Daumier, L’Equilibre Europea, that

depicts many people holding up the globe with bayonets.
24.1.2: Participants of the Congress

The leading participants of the Congress of V ienna were British
foreign secretary Lord Castlereagh, Austrian Chancellor Klemens
von Metternich, and Tsar Alexander I of Russia, all of whom had a
reactionary, conservative vision for Europe after the Napoleonic
Wars, favoring stability and the status q uo over liberal progress.
Learning Objective
Identify the participants in the Congress of V ienna and their
representatives
Key Points
The objective of the Congress of V ienna was to provide a long-
term peace plan for Europe by settling critical issues arising
from the French Revolutionary Wars and the Napoleonic Wars.
The leading personalities of the Congress were British foreign
secretary Lord Castlereagh, Austrian Chancellor Klemens von
Metternich, and Tsar Alexander I of Russia.
These three leaders in the Congress are known for their
conservatism, aimed at creating lasting peace and maintaining
the status q uo and opposed to liberal progress and nationalism.
This conservative agenda has been heavily criticized by many
historians who argue that it stood in the way of progress and
created the conditions for World War I.
Charles Maurice de Talleyrand-Pé rigord of France was largely
responsible for quickly returning France to its place alongside
the other major powers in international diplomacy after their
defeat in the Napoleonic Wars.
V irtually every state in Europe had a delegation in V ienna –
more than 200 states and princely houses were represented at
the Congress.
Key Terms
Napoleonic Wars
A series of major conflicts pitting the French Empire and its

allies, led by Napoleon I, against a fluctuating array of European
powers formed into various coalitions, primarily led and financed
by the United Kingdom. War broke out as a continuation of the
French Revolution, which had plunged the European continent
into war since 1792.
reactionary
A person who holds political views that favor a return to the

status q uo ante, the previous political state of society, which
they believe possessed characteristics (discipline, respect for
authority, etc.) that are negatively absent from the contemporary
status q uo of a society.
Klemens von Metternich
A politician and statesman of Rhenish extraction and one of the

most important diplomats of his era, serving as the Austrian
Empire's Foreign Minister from 1809 and Chancellor from 1821
until the liberal revolutions of 1848 forced his resignation. He led
the Austrian delegation at the Congress of V ienna that divided
post-Napoleonic Europe amongst the major powers.
The Congress of V ienna was a conference of ambassadors of

European states chaired by Austrian statesman Klemens Wenzel
von Metternich and held in V ienna from November 1814 to June
1815, though the delegates had arrived and were already negotiating
by late September 1814. The objective of the Congress was to
provide a long-term peace plan for Europe by settling critical issues
arising from the French Revolutionary Wars and the Napoleonic
Wars. In a technical sense, the "Congress of V ienna" was not
properly a Congress: it never met in plenary session, and most of the
discussions occurred in informal, face-to-face sessions among the
Great Powers of Austria, Britain, France, Russia, and sometimes
Prussia, with limited or no participation by other delegates.
Major Participants of the

Congress
The Congress functioned through formal meetings such as working
groups and official diplomatic functions; however, a large portion was
conducted informally at salons, banquets, and balls.
Austria was represented by Prince Klemens von Metternich, the

Foreign Minister, and by his deputy, Baron Johann von Wessenberg.
As the Congress's sessions were in V ienna, Emperor Francis was
kept closely informed. Metternich was one of main architects of the
balance of power in Europe and approached the matter from a
perspective of conservatism. He was a staunch opponent of
liberalism and nationalism, favoring instead the preservation of the
status q uo in the face of the revolutionary challenge. He was also
wary of Russian dominance. Critics of his diplomatic agenda paint
him as the man who prevented Austria and the rest of central Europe
from “ developing along normal liberal and constitutional lines." Had
Metternich not stood in the way of “ progress,” some argue, Austria
might have reformed and dealt better with its problems of nationality,
and the First World War might never have happened.
Great Britain was represented first by its Foreign Secretary, V iscount

Castlereagh, then by the Duke of Wellington, after Castlereagh's
return to England in February 1815. In the last weeks it was headed
by the Earl of Clancarty after Wellington left to face Napoleon during
the Hundred Days. Castlereagh, a conservative like Metternich, had
a vision of long-term peace in Europe that united efforts of the great
powers. At the same time he was watchful of Britain's mercantile and
imperial interests. He saw that a harsh treaty based on vengeance
and retaliation against France would fail, and anyway the
conservative Bourbons were back in power. He employed his
diplomatic skills to block harsh terms. Bringing France back into
diplomatic balance was important to his vision of peace.
Tsar Alexander I controlled the Russian delegation formally led by

the foreign minister, Count Karl Robert Nesselrode. The tsar had
three main goals: to gain control of Poland, to form a league that
could intervene and stop revolutions against monarchies and
traditionalism, and to promote the peaceful coexistence of European
nations. He succeeded in forming the Holy Alliance (1815), based on
monarchism and anti-secularism, and formed to combat any threat of
revolution or republicanism.
Prussia was represented by Prince Karl August von Hardenberg, the

Chancellor, and the diplomat and scholar Wilhelm von Humboldt.
King Frederick William III of Prussia was also in V ienna, playing his
role behind the scenes. Hardenberg was more liberal than the other
main participants, and earlier in his career implemented a variety of
liberal reforms. To him and Baron von Stein, Prussia was indebted
for improvements in its army system, the abolition of serfdom and
feudal burdens, the opening of civil service to all classes, and the
complete reform of the educational system. However, by the time of
the Congress of V ienna, the zenith of his influence, if not of his fame,
was passed. In diplomacy he was no match for Metternich, whose
influence soon overshadowed his own. During his late career he
acquiesced to reactionary policies along the lines of the rest of the
Congress.
France, the "fifth" power, was represented by its foreign minister,

Talleyrand, as well as the Minister Plenipotentiary the Duke of
Dalberg. Talleyrand had already negotiated the Treaty of Paris
(1814) for Louis X V III of France; the king, however, distrusted him
and was also secretly negotiating with Metternich by mail. Talleyrand
played a major role at the Congress, where he negotiated a
favorable settlement for France while undoing Napoleon's
conquests. He sought a negotiated secure peace so as to
perpetuate the gains of the French revolution.
Initially, the representatives of the four victorious powers hoped to

exclude the French from serious participation in the negotiations, but
Talleyrand skillfully managed to insert himself into "her inner
councils" in the first weeks of negotiations. He allied himself to a
Committee of Eight lesser powers (including Spain, Sweden, and
Portugal) to control the negotiations. Once Talleyrand was able to
use this committee to make himself a part of the inner negotiations,
he then left it, once again abandoning his allies.
Congress Secretary Friedrich von Gentz reported, "The intervention
of Talleyrand and Labrador has hopelessly upset all our plans.
Talleyrand protested against the procedure we have adopted and
soundly [ be] rated us for two hours. It was a scene I shall never
forget."
Other Participants
Spain – Marquis Pedro Gó mez de Labrador
Kingdom of Portugal and the Algarves – Plenipotentiaries:
Pedro de Sousa Holstein, Count of Palmela; Antó nio de
Saldanha da Gama, Count of Porto Santo; Joaquim Lobo da
Silveira.
Sweden – Count Carl Lö wenhielm
Denmark – Count Niels Rosenkrantz, foreign minister. King
Frederick V I was also present in V ienna.
The Netherlands – Earl of Clancarty, the British Ambassador at
the Dutch court, and Baron Hans von Gagern
Switzerland – Every canton had its own delegation. Charles
Pictet de Rochemont from Geneva played a prominent role.
The Papal States – Cardinal Ercole Consalvi
Republic of Genoa – Marquise Agostino Pareto, Senator of the
Republic
Bavaria – Maximilian Graf von Montgelas
Wü rttemberg – Georg Ernst Levin von Wintzingerode
Hanover, then in a personal union with the British crown –
Georg Graf zu Mü nster.
Mecklenburg-Schwerin – Leopold von Plessen
V irtually every state in Europe had a delegation in V ienna – more

than 200 states and princely houses were represented at the
Congress. In addition, there were representatives of cities,
corporations, religious organizations (for instance, abbeys), and
special interest groups (e.g. a delegation representing German
publishers, demanding a copyright law and freedom of the press).
The Congress was noted for its lavish entertainment: according to a
famous joke it did not move, but danced.
Participants of the Congress of

V ienna
1. Arthur Wellesley, 1st Duke of Wellington 2. Joaquim Lobo Silveira,
7th Count of Oriola 3. Antó nio de Saldanha da Gama, Count of Porto
Santo 4. Count Carl Lö wenhielm 5. Jean-Louis-Paul-Franç ois, 5th
Duke of Noailles 6. Klemens Wenzel, Prince von Metternich 7. André
Dupin 8. Count Karl Robert Nesselrode 9. Pedro de Sousa Holstein,
1st Count of Palmela 10. Robert Stewart, V iscount Castlereagh 11.
Emmerich Joseph, Duke of Dalberg 12. Baron Johann von
Wessenberg 13. Prince Andrey Kirillovich Razumovsky 14. Charles
Stewart, 1st Baron Stewart 15. Pedro Gó mez Labrador, Marquis of
Labrador 16. Richard Le Poer Trench, 2nd Earl of Clancarty 17.
Wacken (Recorder) 18. Friedrich von Gentz (Congress Secretary)
19. Baron Wilhelm von Humboldt 20. William Cathcart, 1st Earl
Cathcart 21. Prince Karl August von Hardenberg 22. Charles
Maurice de Talleyrand-Pé rigord 23. Count Gustav Ernst von
Stackelberg
A drawing of the participants of the Congress of V ienna, seated or

standing in a lavishly decorated parlor room.
24.1.3: Territorial Changes in Europe
The goal of the Congress of V ienna was not simply to restore old
boundaries but to resize the main powers so they could balance
each other and remain at peace.
Learning Objective
Outline the borders that changed in Europe after the Congress of
V ienna
Key Points
The Final Act, embodying all the separate treaties created at
and around the Congress of V ienna, was signed on June 9,
1815, ushering in major territorial changes to Europe to create a
balance of power between nations.
France lost all of its territorial conquests from the Napoleonic
Wars.
Russia gained much of Poland, while Prussia added smaller
German states in the west, Swedish Pomerania, and 40% of the
Kingdom of Saxony.
The Congress created a Confederated Germany, a
consolidation of the nearly 300 states of the Holy Roman Empire
(dissolved in 1806) into a much less complex system of 39
states.
The Italian peninsula became a mere "geographical expression"
divided into seven parts: Lombardy-V enetia, Modena, Naples-
Sicily, Parma, Piedmont-Sardinia, Tuscany, and the Papal
States under the control of different powers.
Key Terms
Holy Roman Empire
dissolution in 1806. The largest territory of the empire after 962
was the Kingdom of Germany, though it also came to include
the Kingdom of Bohemia, the Kingdom of Burgundy, the
Kingdom of Italy, and numerous other territories.
Hundred Days
The period between Napoleon's return from exile on the island

of Elba to Paris on March 20, 1815, and the second restoration
of King Louis X V III on July 8, 1815, (a period of 111 days).
Napoleon returned during the Congress of V ienna. On March
13, seven days before Napoleon reached Paris, the powers at
the Congress of V ienna declared him an outlaw. On March 25,
Austria, Prussia, Russia, and the United Kingdom, members of
the Seventh Coalition, bound themselves to put 150,000 men
each into the field to end his rule. This set the stage for the last
conflict in the Napoleonic Wars, the defeat of Napoleon at the
Battle of Waterloo, the restoration of the French monarchy for
the second time, and the permanent exile of Napoleon to the
distant island of Saint Helena, where he died in May 1821.
Duchy
A country, territory, fief, or domain ruled by a duke or duchess.

The term is used almost exclusively in Europe, where in the
present day there is no sovereign duchy (i.e. with the status of a
nation state) left.
The Congress of V ienna (1814–1815) dissolved the Napoleonic

world and attempted to restore the monarchies Napoleon had
overthrown, ushering in an era of conservatism. Under the
leadership of Metternich, the prime minister of Austria (1809–48) and
Lord Castlereagh, the foreign minister of Great Britain (1812–22), the
Congress set up a system to preserve the peace. The goal was not
simply to restore old boundaries but to resize the main powers so
they could balance each other.
France lost all its recent conquests, while Prussia, Austria, and
Russia made major territorial gains. Prussia added smaller German
states in the west, Swedish Pomerania, and 40% of the Kingdom of
Saxony; Austria gained V enice and much of northern Italy. Russia
gained parts of Poland. The new Kingdom of the Netherlands had
been created just months before and included formerly Austrian
territory that in 1830 became Belgium.
Territorial Changes
The Final Act, embodying all the separate treaties, was signed on
June 9, 1815, (a few days before the Battle of Waterloo).
The Congress's principal results were the enlargements of Russia,

which gained most of the Duchy of Warsaw (Poland), and Prussia,
which acquired the district of Poznań , Swedish Pomerania,
Westphalia, and the northern Rhineland. The consolidation of
Germany from the nearly 300 states of the Holy Roman Empire
(dissolved in 1806) into a much less complex system of 39 states
(four of which were free cities) was confirmed. These states formed
a loose German Confederation under the leadership of Austria and
Prussia. The Congress also confirmed France's loss of the territories
annexed between 1795–1810, which had already been settled by the
Treaty of Paris.
Representatives at the Congress agreed to numerous other territorial

changes. By the Treaty of Kiel, Norway was ceded by the king of
Denmark-Norway to the king of Sweden. This sparked the nationalist
movement which led to the establishment of the Kingdom of Norway
on May 17, 1814, and the subsequent personal union with Sweden.
Austria gained Lombardy-V enetia in Northern Italy, while much of the
rest of North-Central Italy went to Habsburg dynasties (the Grand
Duchy of Tuscany, the Duchy of Modena, and the Duchy of Parma).
The Papal States were restored to the Pope. The Kingdom of

Piedmont-Sardinia was restored to its mainland possessions and
gained control of the Republic of Genoa. In Southern Italy,
Napoleon's brother-in-law, Joachim Murat, was originally allowed to
retain his Kingdom of Naples, but his support of Napoleon in the
Hundred Days led to the restoration of the Bourbon Ferdinand IV to
the throne.
A large United Kingdom of the Netherlands was formed for the

Prince of Orange, including both the old United Provinces and the
formerly Austrian-ruled territories in the Southern Netherlands.
Other, less important territorial adjustments included significant gains
for the German Kingdoms of Hanover (which gained East Frisia from
Prussia and various other territories in Northwest Germany) and
Bavaria (which gained the Rhenish Palatinate and territories in
Franconia). The Duchy of Lauenburg was transferred from Hanover
to Denmark, and Prussia annexed Swedish Pomerania. Switzerland
was enlarged and Swiss neutrality was established. Swiss
mercenaries had played a significant role in European wars for
several hundred years; the Congress intended to put a stop to these
activities permanently.
During the wars, Portugal lost its town of Olivenç a to Spain and
moved to have it restored. Portugal is historically Britain's oldest ally
and with British support succeeded in having the reincorporation of
Olivenç a decreed in Article 105 of the Final Act, which stated that the
Congress "understood the occupation of Olivenç a to be illegal and
recognized Portugal's rights." Portugal ratified the Final Act in 1815
but Spain would not sign, and this became the most important hold-
out against the Congress of V ienna. Deciding in the end that it was
better to become part of Europe than to stand alone, Spain finally
accepted the Treaty on May 7, 1817; however, Olivenç a and its
surroundings were never returned to Portuguese control and this
question remains unresolved.
Great Britain received parts of the West Indies at the expense of the
Netherlands and Spain and kept the former Dutch colonies of Ceylon
and the Cape Colony as well as Malta and Heligoland. Under the
Treaty of Paris, Britain obtained a protectorate over the United
States of the Ionian Islands and the Seychelles.
Congress of V ienna
The national boundaries within Europe set by the Congress of
V ienna, 1815
A map of the national boundaries within Europe set by the Congress

of V ienna.
24.1.4: Diplomatic Consequences of

the Congress of V ienna
Despite the efforts of the Great Powers of Europe to prevent conflict
and war with the Congress of V ienna, in many ways the Congress
system failed by 1823. The rest of the 19th century was marked by
more revolutionary fervor, more war, and the rise of nationalism.
Learning Objective
Describe the diplomatic consequences of the Congress of V ienna
Key Points
The Congress of V ienna and the resulting Concert of Europe,
aimed at creating a stable and peaceful Europe after the
Napoleonic Wars, succeeded in creating a balance of power and
peaceful diplomacy for almost a decade.
The Great Powers, the main participants of the Congress, also
formed the Holy Alliance and the Quadruple Alliance, treaties to
further the conservative vision of the Congress.
However, by 1823 the diplomatic system developed by the
Congress by which the main powers could propose a
conference to solve a crisis had failed.
In 1818, the British decided not to become involved in
continental issues that did not directly affect them and did not
support the Tsar in his vision to prevent revolution.
No Congress was called to restore the old system during the
great revolutionary upheavals of 1848; thus, nationalism and
liberalism began to triumph over the conservatism of the
Congress system.
The diplomatic alliances that formed out of the Congress were
shattered during the Crimean War, in which Russia was
defeated by the other Powers.
Key Terms
Quadruple Alliance
A treaty signed in Paris on November 20, 1815, by the great

powers of United Kingdom, Austria, Prussia, and Russia. It
renewed the use of the Congress System, which advanced
European international relations.
Holy Alliance
A coalition created by the monarchist great powers of Russia,

Austria, and Prussia. It was created with the intention to restrain
republicanism and secularism in Europe in the wake of the
devastating French Revolutionary Wars.
Crimean War
A military conflict fought from October 1853 to March 1856 in

which the Russian Empire lost to an alliance of France, Britain,
the Ottoman Empire, and Sardinia. The immediate cause
involved the rights of Christian minorities in the Holy Land, part
of the Ottoman Empire.
International Relations and

Diplomacy
With the Concert of Europe, the territorial boundaries laid down at
the Congress of V ienna were maintained, and even more importantly
there was an acceptance of the theme of balance with no major
aggression. Otherwise, the Congress system failed by 1823. In 1818
the British decided not to become involved in continental issues that
did not directly affect them. They rejected the plan of Tsar Alexander
I to suppress future revolutions. The Concert system fell apart as the
common goals of the Great Powers were replaced by growing
political and economic rivalries. Artz says the Congress of V erona in
1822 "marked the end." There was no Congress called to restore the
old system during the great revolutionary upheavals of 1848, which
called for revision of the Congress of V ienna's frontiers along
national lines.
The Revolutions of 1848, known in some countries as the Spring of

Nations, People's Spring, Springtime of the Peoples, or the Year of
Revolution, were a series of political upheavals throughout Europe in
1848. It remains the most widespread revolutionary wave in
European history. These diverse revolutionary movements were in
opposition to the conservative agenda of the Congress of V ienna
and marked a major challenge to its vision for a stable Europe.
The revolutions were essentially democratic in nature, with the aim
of removing the old feudal structures and creating independent
national states. The revolutionary wave began in France in February
and immediately spread to most of Europe and parts of Latin
America. Over 50 countries were affected, but with no coordination
or cooperation between their respective revolutionaries. According to
Evans and von Strandmann (2000), some of the major contributing
factors were widespread dissatisfaction with political leadership,
demands for more participation in government and democracy,
demands for freedom of press, demands made by the working class,
the upsurge of nationalism, and the regrouping of established
governmental forces.
The uprisings were led by shaky ad hoc coalitions of reformers, the

middle classes, and workers, which did not hold together for long.
Tens of thousands of people were killed and many more forced into
exile. Significant lasting reforms included the abolition of serfdom in
Austria and Hungary, the end of absolute monarchy in Denmark, and
the introduction of parliamentary democracy in the Netherlands. The
revolutions were most important in France, the Netherlands, the
states that would make up the German Empire in the late 19th and
early 20th century, Italy, and the Austrian Empire.
Before 1850 Britain and France dominated Europe, but by the 1850s
they had become deeply concerned by the growing power of Russia
and Prussia. The Crimean War of 1854–55 and the Italian War of
1859 shattered the relations among the Great Powers in Europe.
V ictory over Napoleonic France left the British without any serious
international rival, other than perhaps Russia in central Asia.
The Crimean War (1853–56) was fought between Russia, who tried
expanding its influence in the Balkans, against an alliance of Great
Britain, France, Sardinia, and the Ottoman Empire. Russia was
defeated.
In 1851, France under Napoleon III compelled the Ottoman

government to recognize it as the protector of Christian sites in the
Holy Land. Russia denounced this claim, since it claimed to be the
protector of all Eastern Orthodox Christians in the Ottoman Empire.
France sent its fleet to the Black Sea; Russia responded with its own
show of force. In 1851, Russia sent troops into the Ottoman
provinces of Moldavia and Wallachia. Britain, now fearing for the
security of the Ottoman Empire, sent a fleet to join with the French,
expecting the Russians would back down.
Diplomatic efforts failed. The Sultan declared war against Russia in

October 1851. Following an Ottoman naval disaster in November,
Britain and France declared war against Russia. Most of the battles
took place in the Crimean peninsula, which the Allies finally seized.
London, shocked to discover that France was secretly negotiating
with Russia to form a postwar alliance to dominate Europe, dropped
its plans to attack St. Petersburg and instead signed a one-sided
armistice with Russia that achieved almost none of its war aims.
The Treaty of Paris, signed March 30, 1856, ended the war. It
admitted the Ottoman Empire to the Concert of Europe, and the
Powers promised to respect its independence and territorial integrity.
Russia gave up a little land and relinquished its claim to a
protectorate over the Christians in the Ottoman domains. The Black
Sea was demilitarized and an international commission was set up to
guarantee freedom of commerce and navigation on the Danube
River.
After 1870 the creation and rise of the German Empire as a

dominant nation restructured the European balance of power. For
the next twenty years, Otto von Bismarck managed to maintain this
balance by proposing treaties and creating many complex alliances
between the European nations, such as the Triple Alliance.
Congress of Paris
Diplomats at the Congress of Paris, 1856, settling the Crimean War;
painting by Edouard Louis Dubufe.
Diplomats at the Congress of Paris, 1856, settling the Crimean War;

painting by Edouard Louis Dubufe. It depicts 15 men sitting and
standing around a lavish parlor room.
The Holy Alliance and the

Quadruple Alliance
As an extension of the vision of the Congress of V ienna, the
Kingdom of Prussia and the Austrian and Russian Empires formed
the Holy Alliance (September 26, 1815) to preserve Christian social
values and traditional monarchism. The intention of the alliance was
to restrain republicanism and secularism in Europe in the wake of
the devastating French Revolutionary Wars, and the alliance
nominally succeeded in this until the Crimean War (1853–1856).
Every member of the coalition promptly joined the Alliance, except
for the United Kingdom, a constitutional monarchy with a more liberal
political philosophy.
Britain did however ratify the Quadruple Alliance, signed on the
same day as the Second Peace Treaty of Paris (November 20,
1815) by the same three powers that signed the Holy Alliance on
September 26, 1815. It renewed the use of the Congress System,
which advanced European international relations. The alliance first
formed in 1813 to counter France and promised aid to each other. It
became the Quintuple Alliance when France joined in 1818.
Much debate has occurred among historians as to which treaty was

more influential in the development of international relations in
Europe in the two decades following the end of the Napoleonic
Wars. In the opinion of historian Tim Chapman, the differences are
somewhat academic as the powers were not bound by the terms of
the treaties and many of them intentionally broke the terms if it suited
them.
The Holy Alliance was the brainchild of Tsar Alexander I. It gained

support because most European monarchs did not wish to offend the
Tsar by refusing to sign it, and as it bound monarchs personally
rather than their governments, it was easy to ignore once signed.
Although it did not fit comfortably within the complex, sophisticated,
and cynical web of power politics that epitomized diplomacy of the
post Napoleonic era, its influence was more lasting than
contemporary critics expected and was revived in the 1820s as a
tool of repression when the terms of the Quintuple Alliance were not
seen to fit the purposes of some of the Great Powers of Europe.
The Quadruple Alliance, by contrast, was a standard treaty and the

four Great Powers did not invite any of their allies to sign it. The
primary objective was to bind the signatures to support the terms of
the Second Treaty of Paris for 20 years. It included a provision for
the High Contracting Parties to "renew their meeting at fixed
periods...for the purpose of consulting on their common interests"
which were the "prosperity of the Nations, and the maintenance of
peace in Europe." A problem with the wording of Article V I of the
treaty is that it did not specify what these "fixed periods" would be,
and there were no provisions in the treaty for a permanent
commission to arrange and organize the conferences. This meant
that the first conference in 1818 dealt with remaining issues of the
French wars, but after that, meetings were arranged on an ad hoc
basis to address specific threats such as those posed by revolutions.
Attributions
The Balance of Power
"International relations of the Great Powers (1814–1919)."
https://en.wikipedia.org/wiki/International_relations_of_the_
Great_Powers_(1814-1919). Wikipedia CC BY-SA 3.0.
"Conservative Order."
https://en.wikipedia.org/wiki/Conservative_Order. Wikipedia
CC BY-SA 3.0.
CC BY-SA 3.0.
"European balance of power."
https://en.wikipedia.org/wiki/European_balance_of_power.
"BalanceOfPower.jpg."
https://en.wikipedia.org/wiki/File:BalanceOfPower.jpg.
Participants of the Congress
"Charles Maurice de Talleyrand-Pé rigord."
https://en.wikipedia.org/wiki/Charles_Maurice_de_Talleyran
d-Perigord. Wikipedia CC BY-SA 3.0.
"Robert Stewart, V iscount Castlereagh."
https://en.wikipedia.org/wiki/Robert_Stewart,_V iscount_Cas
tlereagh. Wikipedia CC BY-SA 3.0.
"Karl August von Hardenberg."
https://en.wikipedia.org/wiki/Karl_August_von_Hardenberg.
"Klemens von Metternich."
https://en.wikipedia.org/wiki/Klemens_von_Metternich.
"800px-Congress_of_V ienna.PNG."
https://commons.wikimedia.org/wiki/File:Congress_of_V ien
na.PNG. Wikimedia Commons CC BY-SA 3.0.
Territorial Changes in Europe
"Europe_1815_map_en.png."
https://commons.wikimedia.org/wiki/File:Europe_1815_map
_en.png. Wikimedia Commons CC BY-SA 3.0.
Diplomatic Consequences of the Congress of V ienna
"International relations of the Great Powers (1814–1919)."
https://en.wikipedia.org/wiki/International_relations_of_the_
Great_Powers_(1814-1919). Wikipedia CC BY-SA 3.0.
"Holy Alliance." https://en.wikipedia.org/wiki/Holy_Alliance.
"Revolutions of 1848."
https://en.wikipedia.org/wiki/Revolutions_of_1848.
CC BY-SA 3.0.
"European balance of power."
https://en.wikipedia.org/wiki/European_balance_of_power.
"Edouard_Dubufe_Congrè s_de_Paris.jpg."
https://commons.wikimedia.org/wiki/File:Edouard_Dubufe_
Congr%C3%A8s_de_Paris.jpg. Wikimedia Commons
Public domain.
24.2: France after 18 15
24.2.1: Louis X V III and the Bourbon
Restoration
The Bourbon Restoration, which restored the pre-Napoleonic
monarchy to the throne, was marked by conflicts between
reactionary Ultra-royalists, who wanted to restore the pre-1789
system of absolute monarchy, and liberals, who wanted to
strengthen constitutional monarchy.
Learning Objective
Define the Bourbon Restoration and its goals
Key Points
The Bourbon Restoration was the period of French history
following the fall of Napoleon in 1814 until the July Revolution of
1830.
After Napoleon abdicated as emperor in March 1814, Louis
X V III, the brother of Louis X V I, was installed as king and France
was granted a quite generous peace settlement, restored to its
1792 boundaries and not required to pay war indemnity.
On becoming king, Louis issued a constitution known as the
Charter which preserved many of the liberties won during the
French Revolution and provided for a parliament composed of
an elected Chamber of Deputies and a Chamber of Peers that
was nominated by the king.
A constitution, the Charter of 1814, was drafted; it presented all
Frenchmen as equal before the law, but retained substantial
prerogative for the king and nobility and limited voting to those
paying at least 300 francs a year in direct taxes.
After the Hundred Days, when Napoleon briefly returned to
power, Louis X V III was restored a second time by the allies in
1815, ending more than two decades of war.
At this time, a more harsh peace treaty was imposed on France,
returning it to its 1789 boundaries and requiring a war indemnity.
There were large-scale purges of Bonapartists from the
government and military, and a brief "White Terror" in the south
of France claimed 300 victims.
Despite the return of the House of Bourbon to power, France
was much changed; the egalitarianism and liberalism of the
revolutionaries remained an important force and the autocracy
and hierarchy of the earlier era could not be fully restored.
Key Terms
Napoleonic Code
The French civil code established under Napolé on I in 1804. It

marked the end of feudalism and the liberation of serfs where it
took effect. It recognized the principles of civil liberty, equality
before the law, and the secular character of the state. It
discarded the old right of primogeniture (where only the eldest
son inherited) and required that inheritances be divided equally
among all children. The court system was standardized; all
judges were appointed by the national government in Paris.
White Terror
Following the return of Louis X V III to power in 1815, people

suspected of having ties with the governments of the French
Revolution or of Napoleon suffered arrest and execution.
House of Bourbon
A European royal house of French origin, a branch of the
Capetian dynasty, who first ruled France and Navarre in the
16th century and by the 18th century, also held thrones in Spain,
Naples, Sicily, and Parma.
biens nationaux
Properties confiscated during the French Revolution from the

Catholic Church, the monarchy, é migré s, and suspected
counter-revolutionaries for "the good of the nation."
The Bourbon Restoration was the period of French history following

the fall of Napoleon in 1814 until the July Revolution of 1830. The
brothers of executed Louis X V I of France reigned in highly
conservative fashion, and the exiles returned. They were
nonetheless unable to reverse most of the changes made by the
French Revolution and Napoleon. At the Congress of V ienna they
were treated respectfully, but had to give up all the territorial gains
made since 1789.
King Louis X V I of the House of Bourbon had been overthrown and

executed during the French Revolution (1789–1799), which in turn
was followed by Napoleon as ruler of France. A coalition of
European powers defeated Napoleon in the War of the Sixth
Coalition, ended the First Empire in 1814, and restored the
monarchy to the brothers of Louis X V I. The Bourbon Restoration
lasted from (about) April 6, 1814, until the popular uprisings of the
July Revolution of 1830. There was an interlude in spring 1815—the
"Hundred Days"—when the return of Napoleon forced the Bourbons
to flee France. When Napoleon was again defeated they returned to
power in July.
During the Restoration, the new Bourbon regime was a constitutional

monarchy, unlike the absolutist Ancien Ré gime, so it had limits on its
power. The period was characterized by a sharp conservative
reaction and consequent minor but consistent civil unrest and
disturbances. It also saw the reestablishment of the Catholic Church
as a major power in French politics.
First Restoration
Louis X V III's restoration to the throne in 1814 was effected largely
through the support of Napoleon's former foreign minister,
Talleyrand, who convinced the victorious Allied Powers of the
desirability of a Bourbon Restoration. The Allies had initially split on
the best candidate for the throne: Britain favored the Bourbons, the
Austrians considered a regency for Napoleon's son, Franç ois
Bonaparte, and the Russians were open to either the duc d'Orlé ans,
Louis Philippe, or Jean-Baptiste Bernadotte, Napoleon's former
Marshal, who was in line for the Swedish throne. Napoleon was
offered to keep the throne in February 1814 on the condition that
France return to its 1792 frontiers, but he refused.
The Great Powers occupying Paris demanded that Louis X V III

implement a constitution. Louis responded with the Charter of 1814,
which included many progressive provisions: freedom of religion, a
legislature composed of the Chamber of Deputies, and the Chamber
of Peers, a press that would enjoy a degree of freedom, and a
provision that the Biens nationaux would remain in the hands of their
current owners. The two Chambers' role was consultative (except on
taxation), as only the King had the power to propose or sanction
laws and appoint or recall ministers. V oting was limited to men with
considerable property holdings, and just 1% of people could vote.
Louis X V III signed the Treaty of Paris on May 30, 1814. The treaty
gave France its 1792 borders, which extended east of the Rhine.
The country had to pay no war indemnity, and the occupying armies
of the Sixth Coalition withdrew instantly from French soil.
Despite the return of the House of Bourbon to power, France was

much changed from the era of the Ancien Ré gime. The
egalitarianism and liberalism of the revolutionaries remained an
important force and the autocracy and hierarchy of the earlier era
could not be fully restored. The economic changes, which were
underway long before the revolution, had been further enhanced
during the years of turmoil and were firmly entrenched by 1815.
These changes saw power shift from the noble landowners to the
urban merchants.
Many of the legal, administrative, and economic reforms of the

revolutionary period were left intact; the Napoleonic Code, which
guaranteed legal equality and civil liberties, the peasants' biens
nationaux , and the new system of dividing the country into
dé partments were not undone by the new king. Relations between
church and state remained regulated by the Concordat of 1801.
However, in spite of the fact that the Charter was a condition of the
Restoration, the preamble declared it to be a "concession and grant,"
given "by the free exercise of our royal authority."
After a first sentimental flush of popularity, Louis' gestures towards

reversing the results of the French Revolution quickly lost him
support among the disenfranchised majority. Symbolic acts such as
the replacement of the tricolore flag with the white flag, the titling of
Louis as the "X V III" (as successor to Louis X V II, who never ruled)
and as "King of France" rather than "King of the French", and the
monarchy's recognition of the anniversaries of the deaths of Louis
X V I and Marie Antoinette were significant. A more tangible source of
antagonism was the pressure applied to possessors of biens
nationaux by the Catholic Church and returning é migré s attempting
to repossess their former lands.
Hundred Days
On February 26, 1815, Napoleon Bonaparte escaped his island
prison of Elba and embarked for France. He arrived with about 1,000
troops near Cannes on March 1. Louis X V III was not particularly
worried by Bonaparte's excursion, as such a small number of troops
could be easily overcome. There was, however, a major underlying
problem for the Bourbons: Louis X V III failed to purge the military of
its Bonapartist troops. This led to mass desertions from the Bourbon
armies to Bonaparte's. Furthermore, Louis X V III could not join the
campaign against Napoleon in the south of France because he was
suffering from gout.
Louis X V III's underestimation of Bonaparte proved disastrous. On

March 19, the army stationed outside Paris defected to Bonaparte,
leaving the city vulnerable to attack. That same day, Louis X V III quit
the capital with a small escort at midnight. Louis decided to go first to
Lille, then crossed the border into the United Kingdom of the
Netherlands, staying in Ghent.
However, Napoleon did not rule France again for very long, suffering
a decisive defeat at the hands of the armies of the Duke of
Wellington and Field Marshal Blü cher at the Battle of Waterloo on
June 18. The Allies came to the consensus that Louis X V III should
be restored to the throne of France.
Second Restoration
Talleyrand was again influential in seeing that the Bourbons reigned,
as was Fouché , Napoleon's minister of police during the Hundred
Days. After the Hundred Days, a harsher peace treaty was imposed
on France, returning it to its 1789 boundaries and requiring a war
indemnity. Allied troops were to remain in the country until it was
paid.
Louis X V III's role in politics from the Hundred Days onward was
voluntarily diminished; he resigned most of his duties to his council.
He and his ministry embarked on a series of reforms through the
summer of 1815. The king's council, an informal group of ministers
that advised Louis X V III, was dissolved and replaced by a tighter knit
privy council, the "Ministè re de Roi. " Talleyrand was appointed as the
first Pré sident du Conseil, i.e. Prime Minister of France. On July 14,
the ministry dissolved the units of the army deemed "rebellious."
Hereditary peerage was reestablished to Louis's behest by the
ministry.
In August, elections for the Chamber of Deputies returned
unfavorable results for Talleyrand. The ministry wished for moderate
deputies, but the electorate voted almost exclusively for ultra-
royalists. Talleyrand tendered his resignation on September 20.
Louis X V III chose the Duke of Richelieu to be his new Prime
Minister. Richelieu was chosen because he was accepted by Louis's
family and the reactionary Chamber of Deputies.
Anti-Napoleonic sentiment was high in Southern France, and this

was prominently displayed in the White Terror, the purge of all
important Napoleonic officials from government and the execution of
others. The people of France committed barbarous acts against
some of these officials. Guillaume Marie Anne Brune (a Napoleonic
marshal) was savagely assassinated and his remains thrown into the
Rhô ne River. Louis X V III deplored such illegal acts, but vehemently
supported the prosecution of marshals that helped Napoleon in the
Hundred Days. The White Terror claimed 300 victims.
The king was reluctant to shed blood, which greatly irritated the ultra-
reactionary Chamber of Deputies, who felt that Louis X V III was not
executing enough people. The government issued a proclamation of
amnesty to the “ traitors” in January 1816, but the trials in progress
were finished in due course. That same declaration banned any
member of the House of Bonaparte from owning property in or
entering France.
In 1823, France intervened in Spain where a civil war had deposed

King Ferdinand V II. The British objected as this brought back
memories of the still recent Peninsular War. However, the French
troops marched into Spain, retook Madrid from the rebels, and left
almost as quickly as they came. Despite worries to the contrary,
France showed no sign of returning to an aggressive foreign policy
and was admitted to the Concert of Europe in 1818.
Louis X V III died on September 16, 1824, and was succeeded by his
brother, the comte d'Artois, who took the title of Charles X .
A llegory of the R eturn of the
B ourbons on 2 4 A p ril 1 8 1 4 : Louis
X VIII Lifting France from Its R uins
A painting by Louis-Philippe symbolizing the Bourbon Restoration as
"lifting France from its ruins." It shows the newly appointed king,
Louis X V III, lifting up a falling women, who symbolized France after
the Napoleonic Wars.
A painting of a large group of people surrounding the royal court. In

the center it shows Louis X V III, in royal attire, including a crown,
lifting up a falling woman, symbolizing France.
24.2.2: Charles X and the J uly

Revolution
In 1830 the discontent caused by Charles X 's conservative policies
and his nomination of the Ultra prince de Polignac as minister
culminated in an uprising in the streets of Paris, known as the July
Revolution, which brought about an end to the Bourbon Restoration.
Learning Objective
Evaluate why the July Revolution occurred
Key Points
Charles X of France took a far more conservative line than his
brother Louis X V III.
He attempted to rule as an absolute monarch in the style of
Ancien Ré gime and reassert the power of the Catholic Church in
France.
His coronation in 1824 also coincided with the height of the
power of the Ultra-royalist party, who also wanted a return of the
aristocracy and absolutist politics.
A few years into his rule, unrest among the people of France
began to develop, caused by an economic downturn, resistance
to the return to conservative politics, and the rise of a liberal
press.
In 1830 the discontent caused by these changes and Charles
X 's authoritarian nomination of the Ultra prince de Polignac as
minister culminated in an uprising in the streets of Paris known
as the 1830 July Revolution.
Charles was forced to flee and Louis-Philippe d'Orlé ans, a
member of the Orlé ans branch of the family and son of Philippe
É galité who had voted the death of his cousin Louis X V I,
ascended the throne, beginning the more liberal July Monarchy.
Key Terms
ultra-royalist
A political part in 19th century France who wished for a return to

the Ancien Ré gime of before 1789, with a view toward
absolutism: domination by the nobility and "other devoted
Christians." They were anti-republican, anti-democratic, and
preached G overnment on High by a marked noble elite. They
tolerated vote censitaire, a form of democracy limited to those
paying taxes above a high threshold.
Ancien Ré gime
The monarchic, aristocratic, social, and political system

established in the Kingdom of France from approximately the
15th century until the latter part of the 18th century ("early
modern France") under the late V alois and Bourbon dynasties.
July Revolution
This uprising of 1830 saw the overthrow of King Charles X , the

French Bourbon monarch, and the ascent of his cousin Louis
Philippe, Duke of Orlé ans, who after 18 precarious years on the
throne would be overthrown in 1848. It marked the shift from
one constitutional monarchy, the Bourbon Restoration, to
another, the July Monarchy.
Compared to his brother Louis X V III, who ruled from 1814-1824,

Charles X of France took a far more conservative line. He attempted
to rule as an absolute monarch and reassert the power of the
Catholic Church in France. Acts of sacrilege in churches became
punishable by death, and freedom of the press was severely
restricted. Finally, he tried to compensate the families of the nobles
who had had their property destroyed during the Revolution.
In 1830 the discontent caused by these changes and Charles X 's

authoritarian nomination of the Ultra prince de Polignac as minister
culminated in an uprising in the streets of Paris, known as the 1830
July Revolution (or, in French, "Les trois Glorieuses," the three
glorious days of July 27-29). Charles was forced to flee and Louis-
Philippe d'Orlé ans, a member of the Orlé ans branch of the family
and son of Philippe É galité who had voted the death of his cousin
Louis X V I, ascended the throne. Louis-Philippe ruled not as "King of
France" but as "King of the French" (an evocative difference for
contemporaries). It was made clear that his right to rule came from
the people and was not divinely granted. He also revived the
tricolore as the flag of France in place of the white Bourbon flag that
had been used since 1815, an important distinction because the
tricolore was the symbol of the revolution.
Charles X ( 18 24– 18 30)

The ascension to the throne of Charles X , the leader of the Ultra-
royalist faction, coincided with the Ultras' control of power in the
Chamber of Deputies; thus, the ministry of the comte de V illè le was
able to continue, and the last "restraint" (i.e., Louis) on the Ultra-
royalists was removed. As the country underwent a Christian revival
in the post-Revolutionary years, the Ultras saw fit to raise the status
of the Roman Catholic Church once more.
On May 29, 1825, Charles was crowned in Reims in an opulent and

spectacular ceremony that was reminiscent of the royal pomp of the
coronations of the Ancien Ré gime. Some innovations were included
upon request by V illè le; although Charles was hostile towards the
1814 Charter, commitment to the "constitutional charter" was
affirmed with four of Napoleon's generals in attendance.
While his brother had been sober enough to realize that France
would never accept an attempt to resurrect the Ancien Ré gime,
Charles had never been willing to accept the changes of the past
four decades. He gave his Prime Minister, Jean-Baptiste de V illè le,
lists of laws that he wanted ratified every time he opened parliament.
In April 1825, the government approved legislation proposed by
Louis X V III but implemented only after his death, that paid an
indemnity to nobles whose estates had been confiscated during the
Revolution (the biens nationaux ).
The law gave government bonds to those who had lost their lands in
exchange for their renunciation of their ownership. This cost the
state approximately 988 million francs. In the same month, the Anti-
Sacrilege Act was passed. Charles's government attempted to re-
establish male-only primogeniture for families paying over 300 francs
in tax, but the measure was voted down in the Chamber of Deputies.
On May 29, 1825, King Charles was anointed at the cathedral of

Reims, the traditional site of consecration of French kings; it had
been unused since 1775, as Louis X V III had forgone the ceremony
to avoid controversy. It was in the venerable cathedral of Notre-
Dame at Paris that Napoleon consecrated his revolutionary empire,
but in ascending the throne of his ancestors, Charles reverted to the
old place of coronation used by the kings of France from the early
ages of the monarchy.
That Charles was not a popular ruler became apparent in April 1827,
when chaos ensued during the king's review of the National Guard in
Paris. In retaliation, the National Guard was disbanded but as its
members were not disarmed, it remained a potential threat.
Downfall of the Bourbons

There is still considerable debate among historians as to the actual
cause of the downfall of Charles X . What is generally conceded,
though, is that between 1820 and 1830, a series of economic
downturns combined with the rise of a liberal opposition within the
Chamber of Deputies ultimately felled the conservative Bourbons.
Between 1827 and 1830, France faced an economic downturn,

industrial and agricultural, that was possibly worse than the one that
sparked the Revolution of 1789. A series of progressively worsening
grain harvests in the late 1820s pushed up the prices on various
staple foods and cash crops. In response, the rural peasantry
throughout France lobbied for the relaxation of protective tariffs on
grain to lower prices and ease their economic situation. However,
Charles X , bowing to pressure from wealthier landowners, kept the
tariffs in place.
While the French economy faltered, a series of elections brought a
relatively powerful liberal bloc into the Chamber of Deputies. The 17-
strong liberal bloc of 1824 grew to 180 in 1827 and 274 in 1830. This
liberal majority grew increasingly dissatisfied with the policies of the
centrist Martignac and the Ultra-royalist Polignac, seeking to protect
the limited protections of the Charter of 1814.
Also, the growth of the liberal bloc within the Chamber of Deputies
corresponded roughly with the rise of a liberal press within France.
Generally centered around Paris, this press provided a counterpoint
to the government's journalistic services and to the newspapers of
the right. It grew increasingly important in conveying political
opinions and the political situation to the Parisian public and can thus
be seen as a crucial link between the rise of the liberals and the
increasingly agitated and economically suffering French masses.
J uly Revolution
Protest against the absolute monarchy was in the air. The elections
of deputies on May 16, 1830, had gone very badly for King Charles
X . In response, he tried repression but that only aggravated the crisis
as suppressed deputies, gagged journalists, students from the
University, and many working men of Paris poured into the streets
and erected barricades during the "three glorious days" (French Les
Trois Glorieuses) of July 26-29 1830. Charles X was deposed and
replaced by King Louis-Philippe in the July Revolution. It is
traditionally regarded as a rising of the bourgeoisie against the
absolute monarchy of the Bourbons. Participants in the July
Revolution included Marie Joseph Paul Ives Roch Gilbert du Motier,
marquis de Lafayette. Working behind the scenes on behalf of the
bourgeois-propertied interests was Louis Adolphe Thiers.
The July Revolution marked the shift from one constitutional

monarchy, the Bourbon Restoration, to another, the July Monarchy;
the transition of power from the House of Bourbon to its cadet
branch, the House of Orlé ans; and the replacement of the principle
of hereditary right by popular sovereignty. Supporters of the Bourbon
were called Legitimists, and supporters of Louis Philippe Orlé anists.
The Revolution broke out on July 27, 1830. Throughout the day,
Paris grew quiet as the milling crowds grew larger. At 4:30 pm,
commanders of the troops of the First Military division of Paris and
the Garde Royale were ordered to concentrate their troops, and
guns, on the Place du Carrousel facing the Tuileries, the Place
V endô me, and the Place de la Bastille. To maintain order and protect
gun shops from looters, military patrols throughout the city were
established, strengthened, and expanded. However, no special
measures were taken to protect either the arm depots or gunpowder
factories. For a time, those precautions seemed premature, but with
the coming of twilight, the fighting began. According to historian Phil
Mansel, "Parisians, rather than soldiers, were the aggressor. Paving
stones, roof tiles, and flowerpots from the upper windows... began to
rain down on the soldiers in the streets." At first, soldiers fired
warning shots into the air. But before the night was over, 21 civilians
were killed. Fighting in Paris continued throughout the night.
On day two, Charles X ordered Maré chal Auguste Marmont, Duke of

Ragusa, the on-duty Major-General of the G arde Royale, to repress
the disturbances. Marmont's plan was to have the G arde Royale and
available line units of the city garrison guard the vital thoroughfares
and bridges of the city and protect important buildings such as the
Palais Royal, Palais de Justice, and the Hô tel de V ille. This plan was
both ill-considered and wildly ambitious; not only were there not
enough troops, but there were also nowhere near enough provisions.
At 4 p.m., Charles X received Colonel Komierowski, one of
Marmont's chief aides. The colonel was carrying a note from
Marmont to his Majesty:
Sire, it is no longer a riot, it is a revolution. It is urgent for Your

Majesty to take measures for pacification. The honour of the
crown can still be saved. Tomorrow, perhaps, there will be no
more time... I await with impatience Your Majesty's orders.
On day three, the revolutionaries were well-organized and very well-
armed. In only a day and a night, over 4,000 barricades had been
thrown up throughout the city. The tricolore flag of the revolutionaries
– the "people's flag" – flew over buildings, an increasing number of
them important buildings. By 1:30 pm, the Tuileries Palace had been
sacked. By mid-afternoon the greatest prize, the Hô tel de V ille, had
been captured. A few hours later, politicians entered the battered
complex and set about establishing a provisional government.
Though there would be spots of fighting throughout the city for the
next few days, the revolution, for all intents and purposes, was over.
The revolution of July 1830 created a constitutional monarchy. On

August 2, Charles X and his son the Dauphin abdicated their rights
to the throne and departed for Great Britain. Although Charles had
intended that his grandson, the Duke of Bordeaux, would take the
throne as Henry V , the politicians who composed the provisional
government instead placed on the throne a distant cousin, Louis
Philippe of the House of Orlé ans, who agreed to rule as a
constitutional monarch. This period became known as the July
Monarchy.
Liberty Leading the Peop le
A painting by Eugè ne Delacroix commemorating the July Revolution
of 1830, which toppled King Charles X of France. A woman
personifying the concept and the Goddess of Liberty leads the
people forward over the bodies of the fallen, holding the flag of the
French Revolution – the tricolore flag, which remains France's
national flag – in one hand and brandishing a bayonetted musket
with the other. The figure of Liberty is also viewed as a symbol of
France and the French Republic known as Marianne.
Liberty Leading the People is a painting by Eugè ne Delacroix

commemorating the July Revolution of 1830, which toppled King
Charles X of France. A woman personifying the concept and the
Goddess of Liberty leads the people forward over the bodies of the
fallen, holding the flag of the French Revolution – the tricolour flag,
which remains France's national flag – in one hand and brandishing
a bayonetted musket with the other. The figure of Liberty is also
viewed as a symbol of France and the French Republic known as
Marianne.
24.2.3: The J uly Monarchy

The July Monarchy (1830–1848) is generally seen as a period during
which the upper-middle class (haute bourgeoisie) was dominant. It
marked the shift from the counter-revolutionary Legitimists to the
Orleanists, who were willing to make some compromises with the
changes of the 1789 Revolution, but maintained a conservative
regime marked by constant civil unrest.
Learning Objective
Contrast the July monarchy with the reign of Charles X
Key Points
In 1830, the discontent caused by Charles X 's authoritarian
policies culminated in an uprising in the streets of Paris known
as the 1830 July Revolution.
Charles was forced to flee and Louis-Philippe d'Orlé ans, a
member of the Orlé ans branch of the family and son of Philippe
É galité who had voted the death of his cousin Louis X V I,
ascended the throne, marking the beginning of the July
Monarchy, so named for the Revolution.
Louis-Philippe ruled not as "King of France" but as "King of the
French," which made clear that his right to rule came from the
people and was not divinely granted.
Despite this and other such gestures (for example, reviving the
tricolore as the flag of France in place of the white Bourbon flag
that had been used since 1815), Louis-Philippe remained
conservative, and reforms mainly benefited the upper-class
citizens.
Because of the conservative character of Louis-Philippe's
regime, civil unrest remained a permanent feature of the July
Monarchy, with riots and uprising continuing throughout his rule.
In February 1848, the French government banned the holding of
the Campagne des banquets, fundraising dinners by activists
where critics of the regime would meet (as public
demonstrations and strikes were forbidden).
As a result, protests and riots broke out in the streets of Paris.
An angry mob converged on the royal palace, after which the
hapless king abdicated and fled to England; the Second
Republic was then proclaimed, ending the July Monarchy.
Key Terms
campagne des banquets
Political meetings during the July Monarchy in France that

destabilized the King of the French Louis-Philippe. The
campaign officially took place from July 9, 1847, to December,
25 1847, but in fact continued until the February 1848
Revolution during which the Second Republic was proclaimed.
Louis Philippe I
King of the French from 1830 to 1848 as the leader of the

Orlé anist party. His government, known as the July Monarchy,
was dominated by members of a wealthy French elite and
numerous former Napoleonic officials. He followed conservative
policies, especially under the influence of the French statesman
Franç ois Guizot from 1840–48.
haute bourgeoisie
A social rank in the bourgeoisie that can only be acquired

through time. In France, it is composed of bourgeois families
that have existed since the French Revolution. They hold only
honorable professions and have experienced many illustrious
marriages in their family's history. They have rich cultural and
historical heritages, and their financial means are more than
secure. These families exude an aura of nobility that prevents
them from certain marriages or occupations. They only differ
from nobility in that due to circumstances, lack of opportunity,
and/or political regime, they have not been ennobled.
The French Kingdom, commonly known as the July Monarchy, was a
liberal constitutional monarchy in France under Louis Philippe I,
starting with the July Revolution of 1830 (also known as the Three
Glorious Days) and ending with the Revolution of 1848. It began with
the overthrow of the conservative government of Charles X and the
House of Bourbon. Louis Philippe, a member of the traditionally
more liberal Orlé ans branch of the House of Bourbon, proclaimed
himself Roi des Franç ais ("King of the French") rather than "King of
France," emphasizing the popular origins of his reign. The king
promised to follow the "juste milieu", or the middle-of-the-road,
avoiding the extremes of the conservative supporters of Charles X
and radicals on the left. The July Monarchy was dominated by
wealthy bourgeoisie and numerous former Napoleonic officials. It
followed conservative policies, especially under the influence (1840–
48) of Franç ois Guizot. The king promoted friendship with Great
Britain and sponsored colonial expansion, notably the conquest of
Algeria. By 1848, a year in which many European states had a
revolution, the king's popularity had collapsed, and he was
overthrown.
Louis Philippe I
The July Monarchy (1830–1848) is generally seen as a period during
which the haute bourgeoisie was dominant. It marked the shift from
the counter-revolutionary Legitimists to the Orleanists, who were
willing to make compromises with the changes brought by the 1789
Revolution. Louis-Philippe's taking of the title "King of the French"
marked his acceptance of popular sovereignty, which replaced the
Ancien Ré gime's divine right. Louis-Philippe clearly understood his
base of power: the wealthy bourgeoisie carried him aloft during the
July Revolution through their work in the Parliament, and throughout
his reign, he kept their interests in mind.
During the first several years of his regime, Louis-Philippe appeared

to move his government toward legitimate, broad-based reform. The
government found its source of legitimacy within the Charter of 1830,
written by reform-minded members of Chamber of Deputies upon a
platform of religious equality, the empowerment of the citizenry
through the reestablishment of the National Guard, electoral reform,
the reformation of the peerage system, and the lessening of royal
authority. Indeed, Louis-Phillippe and his ministers adhered to
policies that seemed to promote the central tenets of the constitution.
However, the majority of these were veiled attempts to shore up the
power and influence of the government and the bourgeoisie, rather
than legitimate attempts to promote equality and empowerment for a
broad constituency of the French population. Thus, though the July
Monarchy seemed to move toward reform, this movement was
largely illusory.
During the years of the July Monarchy, enfranchisement roughly

doubled, from 94,000 under Charles X to more than 200,000 by
1848. However, this represented less than one percent of population,
and as the requirements for voting were tax-based, only the
wealthiest gained the privilege. By implication, the enlarged
enfranchisement tended to favor the wealthy merchant bourgeoisie
more than any other group.
The reformed Charter of 1830 limited the power of the King –

stripping him of his ability to propose and decree legislation, as well
as limiting his executive authority. However, the King of the French
still believed in a version of monarchy that held the king as much
more than a figurehead for an elected Parliament, and as such, he
was quite active in politics. One of the first acts of Louis-Philippe in
constructing his cabinet was to appoint the rather conservative
Casimir Perier as the premier. Perier, a banker, was instrumental in
shutting down many of the Republican secret societies and labor
unions that had formed during the early years of the regime. In
addition, he oversaw the dismemberment of the National Guard after
it proved too supportive of radical ideologies.
The regime acknowledged early on that radicalism and

republicanism threatened it by undermining its laissez-faire policies.
Thus, the Monarchy declared the very term republican illegal in
1834. Guizot shut down republican clubs and disbanded republican
publications. Republicans within the cabinet, like the banker Dupont,
were all but excluded by Perier and his conservative clique.
Distrusting the sole National Guard, Louis-Philippe increased the
size of the army and reformed it in order to ensure its loyalty to the
government.
Louis-Philippe, 18 42
King Louis-Philippe I, the liberal and constitutional King of the
French, brought to power by the July Revolution.
Image of Louis-Philippe I, seated in a chair.

Unrest in the J uly Monarchy:
Revolution of 18 48
Louis-Philippe, who had flirted with liberalism in his youth, rejected
much of the pomp and circumstance of the Bourbons and
surrounded himself with merchants and bankers. The July Monarchy,
however, remained a time of turmoil. A large group of Legitimists on
the right demanded the restoration of the Bourbons to the throne. On
the left, Republicanism and later Socialism, remained a powerful
force.
Civil unrest continued after the July Revolution, supported by the left-
wing press. Louis-Philippe's government was not able to end it,
mostly because the National Guard was headed by one of the
Republican leaders, the marquis de La Fayette, who requested a
"popular throne surrounded by Republican institutions." The
Republicans then gathered themselves in popular clubs in the
tradition established by the 1789 Revolution. Some of those were
fronts for secret societies, which requested political and social
reforms or the execution of Charles X 's ministers. Strikes and
demonstrations were permanent.
Despite the reforms made by Louis-Philippe's regime, which targeted

the bourgeoisie rather than the people, Paris was once again rocked
by riots on February 14-15, 1831. Riots and protests continued
throughout his reign, including the Canuts Revolt, started on
November 21, 1831, during which parts of the National Guard took
the demonstrators' side.
Late in his reign, Louis-Philippe became increasingly rigid and

dogmatic. For example, his President of the Council, Franç ois
Guizot, had become deeply unpopular, but Louis-Philippe refused to
remove him.
Around this same time, there was another economic downturn,
which especially affected the lower classes. There was an increase
in workers' demonstrations, with riots in the Buzanç ais in 1847. In
Roubaix, a city in the industrial north, 60% of the workers were
unemployed. At the same time, the regime was marred by several
political scandals (Teste–Cubiè res corruption scandal, revealed in
May 1847, and Charles de Choiseul-Praslin's suicide after murdering
his wife, daughter of Horace Sé bastiani).
Since the right of association was strictly restricted and public

meetings prohibited after 1835, the opposition was paralyzed. To
sidestep this law, political dissidents used civil funerals of their
comrades as occasions for public demonstrations. Family
celebrations and banquets also served as pretexts for gatherings.
This campaign of banquets (Campagne des banq uets), was
intended to circumvent the governmental restriction on political
meetings and provide a legal outlet for popular criticism of the
regime. The campaign began in July 1847. Friedrich Engels was in
Paris from October 1847 and was able to observe and attend some
of these banquets.
The banquet campaign lasted until all political banquets were

outlawed by the French government in February 1848. As a result,
the people revolted, helping to unite the efforts of the popular
Republicans and the liberal Orleanists, who turned their backs on
Louis-Philippe.
Anger over the outlawing of the political banquets brought crowds of

Parisians flooding into the streets at noon on February 22, 1848. The
crowds directed their anger against the Citizen King Louis Philippe
and his chief minister for foreign and domestic policy, Franç ois Pierre
Guillaume Guizot. At 2 p.m. the next day, Prime Minister Guizot
resigned. Upon hearing the news of Guizot's resignation, a large
crowd gathered outside the Ministry of Foreign Affairs. An officer
ordered the crowd not to pass, but people in the front of the crowd
were being pushed by the rear. The officer ordered his men to fix
bayonets, probably wishing to avoid shooting. However, in what is
widely regarded as an accident, a soldier discharged his musket,
which resulted in the rest of the soldiers firing into the crowd. Fifty-
two people were killed.
Paris was soon a barricaded city. Omnibuses were turned into

barricades, and thousands of trees were felled. Fires were set, and
angry citizens began converging to the royal palace. King Louis
Philippe abdicated and fled to the UK.
24.2.4: The Second French Republic

On February 26, 1848, the liberal opposition from the 1848
Revolution came together to organize a provisional government,
called the Second Republic, which was marked by disorganization
and political ambiguity.
Learning Objective
Break down some of the challenges faced by the Second French
Republic
Key Points
The 1848 Revolution in France ended the Orleans monarchy
(1830–48) and led to the creation of the French Second
Republic.
Following the overthrow of King Louis Philippe in February, a
provisional government (Constituent Assembly) was created,
which was disorganized as it attempted to deal with France's
economic problems created by the political upheaval.
Frustration among the laboring classes arose when the
Constituent Assembly did not address the concerns of the
workers, leading to strikes and worker demonstrations.
Louis Napoleon Bonaparte was elected president on December
10, 1848, by a landslide; his support came from a wide section
of the French public.
Because of the ambiguity surrounding Louis Napoleon's political
positions, his agenda as president was very much in doubt.
The 1850 elections resulted in a conservative body, which
renewed the power of the Church, especially in education.
As 1851 opened, Louis-Napoleon was not allowed by the
Constitution of 1848 to seek re-election as President of France;
instead he proclaimed himself President for Life following a coup
in December that was confirmed and accepted in a dubious
referendum.
Key Terms
National Workshops
Areas of work provided for the unemployed by the French

Second Republic after the Revolution of 1848. The political
issues that resulted in the abdication of Louis Philippe caused
an acute industrial crisis adding to the general agricultural and
commercial distress which had prevailed throughout 1847. It
greatly exacerbated the problem of unemployment in Paris. The
provisional government under the influence of one of its
members, Louis Blanc, passed a decree (February 25, 1848)
guaranteeing government-funded jobs.
French Second Republic
The republican government of France between the 1848

Revolution and the 1851 coup by Louis-Napolé on Bonaparte
that initiated the Second Empire.
French Revolution of 1848
Sometimes known as the February Revolution, one of a wave of

revolutions in 1848 in Europe. In France the revolutionary
events ended the Orleans monarchy (1830–48) and led to the
creation of the French Second Republic.
The French Revolution of 1848 had major consequences for all of
Europe; popular democratic revolts against authoritarian regimes
broke out in Austria and Hungary, in the German Confederation and
Prussia, and in the Italian States of Milan, V enice, Turin and Rome.
Economic downturns and bad harvests during the 1840s contributed
to growing discontent.
In February 1848, the French government banned the holding of the

Campagne des banquets, fundraising dinners by activists where
critics of the regime would meet (as public demonstrations and
strikes were forbidden). As a result, protests and riots broke out in
the streets of Paris. An angry mob converged on the royal palace,
after which the hapless king abdicated and fled to England. The
Second Republic was then proclaimed.
The revolution in France brought together classes of wildly different

interests. The bourgeoisie desired electoral reforms (a democratic
republic); socialist leaders (like Louis Blanc, Pierre Joseph
Proudhon, and the radical Auguste Blanqui) asked for a "right to
work" and the creation of national workshops (a social welfare
republic) and for France to liberate the oppressed peoples of Europe
(Poles and Italians). Moderates (like the aristocrat Alphonse de
Lamartine) sought a middle ground. Tensions between groups
escalated, and in June 1848, a working class insurrection in Paris
cost the lives of 1,500 workers and eliminated once and for all the
dream of a social welfare constitution.
The constitution of the Second Republic, ratified in September 1848,

was extremely flawed and permitted no effective resolution between
the President and the Assembly in case of dispute. In December
1848, a nephew of Napolé on Bonaparte, Charles Louis Napolé on
Bonaparte, was elected as President of the Republic, and pretexting
legislative gridlock, in 1851 he staged a coup d'é tat. Finally, in 1852
he had himself declared Emperor Napolé on III of the Second Empire
of France.
Founding of the Second
Republic
The French Second Republic was the republican government of
France between the 1848 Revolution and the 1851 coup by Louis-
Napolé on Bonaparte that initiated the Second Empire. It officially
adopted the motto Liberté , É galité , Fraternité . The Second Republic
witnessed the tension between the "Social and Democratic Republic"
and a liberal form of Republic, which exploded during the June Days
Uprising of 1848.
On February 26, 1848, the liberal opposition came together to

organize a provisional government. The poet Alphonse de Lamartine
was appointed president. Lamartine served as a virtual dictator of
France for the next three months. Elections for a Constituent
Assembly were scheduled for April 23, 1848. The Constituent
Assembly was to establish a new republican government for France.
In preparation for these elections, two major goals of the provisional
government were universal suffrage and unemployment relief.
Universal male suffrage was enacted on March 2, 1848, giving
France nine million new voters. As in all other European nations,
women did not have the right to vote. However, during this time a
proliferation of political clubs emerged, including women's
organizations.
Naturally, the provisional government was disorganized as it

attempted to deal with France's economic problems. The
conservative elements of French society were wasting no time in
organizing against the provisional government. After roughly a
month, conservatives began to openly oppose the new government,
using the rallying cry "order," which the new republic lacked.
Frustration among the laboring classes arose when the Constituent

Assembly did not address the concerns of the workers. Strikes and
worker demonstrations became more common as the workers gave
vent to these frustrations. These demonstrations reached a climax
when on May 15, 1848, workers from the secret societies broke out
in armed uprising against the anti-labor and anti-democratic policies
being pursued by the Constituent Assembly and the Provisional
Government. Fearful of a total breakdown of law and order, the
Provisional Government invited General Louis Eugene Cavaignac
back from Algeria in June 1848 to put down the worker's armed
revolt. From June 1848 until December 1848 General Cavaignac
became head of the executive of the Provisional Government.
Additionally, there was a major split between the citizens of Paris

and citizens of the more rural areas of France. The provisional
government set out to establish deeper government control of the
economy and guarantee a more equal distribution of resources. To
deal with the unemployment problem, the provisional government
established National Workshops. The unemployed were given jobs
building roads and planting trees without regard for the demand for
these tasks. The population of Paris ballooned as job seekers from
all over France came to Paris to work in the newly formed National
Workshops. To pay for these and other social programs, the
provisional government placed new taxes on land. These taxes
alienated the "landed classes"—especially the small farmers and the
peasantry of the rural areas of France—from the provisional
government. Hardworking rural farmers were resistant to paying for
the unemployed city people and their new "Right to Work" National
Workshops. The taxes were widely disobeyed in the rural areas and
the government remained strapped for cash. Popular uncertainty
about the liberal foundations of the provisional government became
apparent in the April 23, 1848 elections. Despite agitation from the
left, voters elected a constituent assembly which was primarily
moderate and conservative.
Election of Napoleon III and a

Short-Lived Republic
The election was keenly contested; the democratic republicans
adopted as their candidate Ledru-Rollin, the "pure republicans"
Cavaignac, and the recently reorganized Imperialist party Prince
Louis-Napolé on Bonaparte. Unknown in 1835 and forgotten or
despised since 1840, Louis Napoleon had in the last eight years
advanced sufficiently in the public estimation to be elected to the
Constituent Assembly in 1848 by five departments. He owed this
rapid increase of popularity partly to blunders of the government of
July, which had unwisely aroused the memory of the country with
recollections of the Empire, and partly to Louis-Napolé on's campaign
carried on from his prison at Ham by means of pamphlets of
socialistic tendencies. Moreover, the monarchists, led by Thiers and
the committee of the Rue de Poitiers, were no longer content even
with the safe dictatorship of the upright Cavaignac, and joined forces
with the Bonapartists. On December 10 the peasants gave over 5
million votes to Napolé on, who stood for order at all costs, against
1.4 million for Cavaignac.
Louis Napoleon's support came from a wide section of the French

public. V arious classes of French society voted for him for very
different and often contradictory reasons; he encouraged this
contradiction by "being all things to all people." One of his major
promises to the peasantry and other groups was that there would be
no new taxes.
The new National Constituent Assembly was heavily composed of

royalist sympathizers of both the Legitimist (Bourbon) wing and the
Orleanist (Citizen King Louis Philippe) wing. Because of the
ambiguity surrounding Louis Napoleon's political positions, his
agenda as president was very much in doubt. For prime minister, he
selected Odilon Barrot, an unobjectionable middle-road
parliamentarian, who had led the "loyal opposition" under Louis
Philippe. Other appointees represented various royalist factions.
In June 1849, demonstrations against the government broke out and

were suppressed. Leaders were arrested, including prominent
politicians. The government banned several democratic and socialist
newspapers in France; the editors were arrested. Karl Marx, who
was living in Paris at the time, was at risk so he moved to London in
August.
The government sought ways to balance its budget and reduce its
debts. Toward this end, Hippolyte Passy was appointed Finance
Minister. When the Legislative Assembly met at the beginning of
October 1849, Passy proposed an income tax to help balance the
finances of France. The bourgeoisie, who would pay most of the tax,
protested. The furor over the income tax caused the resignation of
Barrot as prime minister, but a new wine tax also caused protests.
The 1850 elections resulted in a conservative body. As 1851

opened, Louis-Napoleon was not allowed by the Constitution of 1848
to seek re-election as President of France. Instead he proclaimed
himself President for Life following a coup in December that was
confirmed and accepted in a dubious referendum.
Prince Louis Napoleon
"Messieurs V ictor Hugo and Emile de Girardin try to raise Prince
Louis upon a shield [ in the heroic Roman fashion] : not too steady! "
Honoré Daumier's satirical lithograph published in Charivari,
December 11, 1848.
A cartoon by Honoré Daumier showing two men struggling to hold up

Louis Napoleon with a caption: "Messieurs V ictor Hugo and Emile de
Girardin try to raise Prince Louis upon a shield [ in the heroic Roman
fashion] : not too steady! "
24.2.5 : Napoleon III

The Second French Empire was the Imperial Bonapartist regime of
Napoleon III from 1852 to 1870, between the Second Republic and
the Third Republic, an era of great industrialization, urbanization
(including the massive rebuilding of Paris by Baron Haussmann),
and economic growth, as well as major disasters in foreign affairs.
Learning Objective
Summarize the reign of Napoleon III and his efforts to recreate his
uncle's empire
Key Points
In 1851, Louis Napoleon was not allowed by the Constitution of
1848 to seek re-election as President of the Second Republic of
France; instead, he proclaimed himself President for Life
following a coup in December and in 1852 declared himself the
Emperor of France, Napoleon III.
The structure of the French government during the Second
Empire was little changed from the First under Napoleon
Bonaparte.
Despite his promises in 1852 of a peaceful reign, the Emperor
could not resist the temptations of glory in foreign affairs.
Napoleon did have some successes; he strengthened French
control over Algeria, established bases in Africa, began the
takeover of Indochina, and opened trade with China.
In Europe, however, Napoleon failed again and again; the
Crimean war of 1854-56 produced no gains, in the 1860s
Napoleon nearly blundered into war with the United States in
1862, and his takeover of Mexico in 1861-67 was a total
disaster.
In July 1870, Napoleon entered the Franco-Prussian War
without allies and with inferior military forces; the French army
was rapidly defeated and Napoleon III was captured at the
Battle of Sedan.
The French Third Republic was proclaimed in Paris, and
Napoleon went into exile in England, where he died in 1873.
Key Terms
Franco-Prussian War
A conflict between the Second French Empire of Napoleon III

and the German states of the North German Confederation led
by the Kingdom of Prussia. The conflict was caused by Prussian
ambitions to extend German unification and French fears of the
shift in the European balance of power that would result if the
Prussians succeeded. A series of swift Prussian and German
victories in eastern France, culminating in the Siege of Metz and
the Battle of Sedan, saw Napoleon III captured and the army of
the Second Empire decisively defeated.
Napoleon III
The only President (1848–52) of the French Second Republic

and, as Napoleon III, the Emperor (1852–70) of the Second
French Empire. He was the nephew and heir of Napoleon I. He
was the first President of France to be elected by a direct
popular vote. He was blocked by the Constitution and
Parliament from running for a second term, so he organized a
coup d'é tat in 1851 and then took the throne as Napoleon III on
December 2, 1852, the 48th anniversary of Napoleon I's
coronation. He remains the longest-serving French head of state
since the French Revolution.
reconstruction of Paris
A vast public works program commissioned by Emperor

Napolé on III and directed by his prefect of the Seine, Georges-
Eugè ne Haussmann, between 1853 and 1870. It included the
demolition of crowded and unhealthy medieval neighborhoods;
the building of wide avenues, parks, and squares; the
annexation of the suburbs surrounding Paris; and the
construction of new sewers, fountains, and aqueducts.
Haussmann's work met with fierce opposition and was finally
dismissed by Napoleon III in 1870, but work on his projects
continued until 1927. The street plan and distinctive appearance
of the center of Paris today is largely the result of Haussmann's
renovation.
The constitution of the Second Republic, ratified in September 1848,

was extremely flawed and permitted no effective resolution between
the President and the Assembly in case of dispute. In 1848, a
nephew of Napolé on Bonaparte, Louis-Napoleon Bonaparte, was
elected President of France through universal male suffrage, taking
74% of the vote. He did this with the support of the Parti de l'Ordre
after running against Louis Eugè ne Cavaignac. Subsequently, he
was in constant conflict with the members of the National Assembly.
Ascension to Power
Contrary to the Party's expectations that Louis-Napoleon would be
easy to manipulate (Adolphe Thiers had called him a "cretin whom
we will lead [ by the nose] "), he proved himself an agile and cunning
politician. He succeeded in imposing his choices and decisions on
the Assembly, which had once again become conservative in the
aftermath of the June Days Uprising in 1848.
The provisions of the constitution that prohibited an incumbent

president from seeking re-election appeared to force the end of
Louis-Napoleon's rule in December 1852. Not one to admit defeat,
Louis-Napoleon spent the first half of 1851 trying to change the
constitution through Parliament so he could be re-elected. Bonaparte
traveled through the provinces and organized petitions to rally
popular support but in January 1851, the Parliament voted no.
Louis-Napoleon believed that he was supported by the people, and

he decided to retain power by other means. His half-brother Morny
and a few close advisers began to quietly organize a coup d'é tat.
They brought Major General Jacques Leroy de Saint Arnaud, a
former captain from the French Foreign Legion and a commander of
French forces in Algeria, and other officers from the French army in
North Africa to provide military backing for the coup.
On the morning of December 2, troops led by Saint-Arnaud occupied
strategic points in Paris from the Champs-É lysé es to the Tuileries.
Top opposition leaders were arrested and six edicts promulgated to
establish the rule of Louis-Napoleon. The Assemblé e Nationale was
dissolved and universal male suffrage restored. Louis-Napoleon
declared that a new constitution was being framed and said he
intended to restore a "system established by the First Consul." He
thus declared himself President for Life, and in 1852, Emperor of
France, Napoleon III.
France was ruled by Emperor Napoleon III from 1852 to 1870.

During the first years of the Empire, Napoleon's government
imposed censorship and harsh repressive measures against his
opponents. Some six thousand were imprisoned or sent to penal
colonies until 1859. Thousands more went into voluntary exile
abroad, including V ictor Hugo. From 1862 onward, he relaxed
government censorship, and his regime came to be known as the
"Liberal Empire." Many of his opponents returned to France and
became members of the National Assembly.
Legacy
Napoleon III is best known today for his grand reconstruction of
Paris, carried out by his prefect of the Seine, Baron Haussmann. He
launched similar public works projects in Marseille, Lyon, and other
French cities. Napoleon III modernized the French banking system,
greatly expanded and consolidated the French railway system, and
made the French merchant marine the second largest in the world.
He promoted the building of the Suez Canal and established modern
agriculture, which ended famines in France and made France an
agricultural exporter. Napoleon III negotiated the 1860 Cobden–
Chevalier free trade agreement with Britain and similar agreements
with France's other European trading partners. Social reforms
included giving French workers the right to strike and the right to
organize. Women's education greatly expanded, as did the list of
required subjects in public schools.
The Reconstruction of Paris
One of the Haussmann's Great Boulevards painted by the artist
Camille Pissarro (1893)
An impressionist painting of Boulevard Montemartre (Paris) filled

with horse-drawn carriages and pedestrians
Foreign Policy
In foreign policy, Napoleon III aimed to reassert French influence in
Europe and around the world. He was a supporter of popular
sovereignty and nationalism. Despite his promises in 1852 of a
peaceful reign, the Emperor could not resist the temptations of glory
in foreign affairs. He was visionary, mysterious, and secretive; had a
poor staff; and kept running afoul of his domestic supporters. In the
end he was incompetent as a diplomat. Napoleon did have some
successes: he strengthened French control over Algeria, established
bases in Africa, began the takeover of Indochina, and opened trade
with China. He facilitated a French company building the Suez
Canal, which Britain could not stop. In Europe, however, Napoleon
failed again and again. The Crimean war of 1854–56 produced no
gains, although his alliance with Britain did defeat Russia. His regime
assisted Italian unification and in doing so, annexed Savoy and the
County of Nice to France; at the same time, his forces defended the
Papal States against annexation by Italy. On the other hand, his
army's intervention in Mexico to create a Second Mexican Empire
under French protection ended in failure.
The Prussian chancellor Otto von Bismarck provoked Napoleon into

declaring war on Prussia in July 1870, beginning the Franco-
Prussian War. The French troops were swiftly defeated in the
following weeks, and on September 1, the main army, which the
emperor himself was with, was trapped at Sedan and forced to
surrender. A republic was quickly proclaimed in Paris, but the war
was far from over. As it was clear that Prussia would expect territorial
concessions, the provisional government vowed to continue
resistance. The Prussians laid siege to Paris, and new armies
mustered by France failed to alter this situation. The French capital
began experiencing severe food shortages, to the extent that even
the animals in the zoo were eaten. As the city was bombarded by
Prussian siege guns in January 1871, King William of Prussia was
proclaimed Emperor of Germany in the Hall of Mirrors at V ersailles.
Shortly afterwards, Paris surrendered. The subsequent peace treaty
was harsh. France ceded Alsace and Lorraine to Germany and had
to pay an indemnity of 5 billion francs. German troops were to
remain in the country until it was paid off. Meanwhile, the fallen
Napoleon III went into exile in England where he died in 1873.
Painting depicting the Franco-
Prussian W ar
French soldiers assaulted by German infantry during the Franco-
Prussian War, 1870, which led to the defeat of Napoleon III and the
end of the Second French Empire.
Painting of French soldiers assaulted by German infantry in a snowy

forest during the Franco-Prussian War, 1870.
Structure of Second French

Empire
The structure of the French government during the Second Empire
was little changed from the First. But Emperor Napoleon III stressed
his own imperial role as the foundation of the government. If
government was to guide the people toward domestic justice and
external peace, it was his role as emperor, holding his power by
universal male suffrage and representing all of the people, to
function as supreme leader and safeguard the achievements of the
revolution. He had so often, while in prison or in exile, chastised
previous oligarchical governments for neglecting social questions
that it was imperative France now prioritize their solutions. His
answer was to organize a system of government based on the
principles of the "Napoleonic Idea." This meant that the emperor, the
elect of the people as the representative of the democracy, ruled
supreme. He himself drew power and legitimacy from his role as
representative of the great Napoleon I of France, "who had sprung
armed from the French Revolution like Minerva from the head of
Jove."
The anti-parliamentary French Constitution of 1852, instituted by

Napoleon III on January 14, 1852, was largely a repetition of that of
1848. All executive power was entrusted to the emperor who as
head of state was solely responsible to the people. The people of the
Empire, lacking democratic rights, were to rely on the benevolence
of the emperor rather than on the benevolence of politicians. He was
to nominate the members of the council of state, whose duty it was
to prepare the laws, and of the senate, a body permanently
established as a constituent part of the empire.
One innovation was made, namely that the Legislative Body was
elected by universal suffrage, but it had no right of initiative as all
laws were proposed by the executive power. This new political
change was rapidly followed by the same consequence as of
Brumaire. On December 2, 1852, France, still under the effect of
Napoleon's legacy and the fear of anarchy, conferred almost
unanimously by a plebiscite the supreme power and the title of
emperor upon Napoleon III.
The Legislative Body was not allowed to elect its own president,
regulate its own procedure, propose a law or an amendment, vote on
the budget in detail, or make its deliberations public. Similarly,
universal suffrage was supervised and controlled by means of official
candidature by forbidding free speech and action in electoral matters
to the Opposition and gerrymandering in such a way as to
overwhelm the Liberal vote in the mass of the rural population.
For seven years France had no democratic life. The Empire
governed by a series of plebiscites. Up to 1857 the Opposition did
not exist. From then till 1860 it was reduced to five members:
Darimon, É mile Ollivier, Hé non, Jules Favre, and Ernest Picard. The
royalists waited inactively after the new and unsuccessful attempt
made at Frohsdorf in 1853 by a combination of the legitimists and
Orlé anists to recreate a living monarchy out of the ruin of two royal
families.
Attributions
Louis X V III and the Bourbon Restoration
"France in the long nineteenth century."
https://en.wikipedia.org/wiki/France_in_the_long_nineteenth
_century. Wikipedia CC BY-SA 3.0.
"Louis X V III of France."
https://en.wikipedia.org/wiki/Louis_X V III_of_France.
"Louis_X V III_relevant_la_France.jpg."
https://commons.wikimedia.org/wiki/File:Louis_X V III_releva
nt_la_France.jpg. Wikimedia Commons Public domain.
Charles X and the July Revolution
"Charles X of France."
https://en.wikipedia.org/wiki/Charles_X _of_France.
"July Revolution."
https://en.wikipedia.org/wiki/July_Revolution. Wikipedia CC
BY-SA 3.0.
"1920px-Eugè ne_Delacroix_-
_La_liberté _guidant_le_peuple.jpg."
https://commons.wikimedia.org/wiki/File:Eug%C3%A8ne_D
elacroix_-_La_libert%C3%A9_guidant_le_peuple.jpg.
The July Monarchy
"July Monarchy."
https://en.wikipedia.org/wiki/July_Monarchy. Wikipedia CC
BY-SA 3.0.
"French Revolution of 1848."
https://en.wikipedia.org/wiki/French_Revolution_of_1848.
"Louis-Philippe_1842_Lerebours_Claudet.jpg."
https://commons.wikimedia.org/wiki/File:Louis-
Philippe_1842_Lerebours_Claudet.jpg. Wikimedia
The Second French Republic
"French Revolution of 1848."
https://en.wikipedia.org/wiki/French_Revolution_of_1848.
"French Second Republic."
https://en.wikipedia.org/wiki/French_Second_Republic.
CC BY-SA 3.0.
"DaumerHugoLouisNapoleon1848.jpg."
https://en.wikipedia.org/wiki/File:DaumerHugoLouisNapoleo
n1848.jpg. Wikipedia Public domain.
Napoleon III
CC BY-SA 3.0.
"Second French Empire."
https://en.wikipedia.org/wiki/Second_French_Empire.
"Napoleon III." https://en.wikipedia.org/wiki/Napoleon_III.
"Christian_Sell_Winterliche_Kriegsszene_1870-
71_1895.jpg."
https://commons.wikimedia.org/wiki/File:Christian_Sell_Win
terliche_Kriegsszene_1870-71_1895.jpg. Wikimedia
"Camille_Pissarro_-_Boulevard_Montmartre_-
_Eremitage.jpg."
https://commons.wikimedia.org/wiki/File:Camille_Pissarro_-
_Boulevard_Montmartre_-_Eremitage.jpg. Wikimedia
24.3: Russia after Napoleon
24.3.1: Alex ander I's Domestic
Reforms
Tsar Alexander I wanted to reform the serf system but was stymied.
With his news law, only 7,300 male peasants with families were
freed (about 0.5%), but all classes except the serfs could own land, a
privilege previously confined to the nobility.
Learning Objective
Determine the significance of Alexander I's efforts to reform the serf
system in Russia
Key Points
Alexander I, who ruled as Tsar of Russia from 1801-1825, was
raised on the ideals of the Enlightenment by his grandmother,
Catherine II, leading him to adopt liberal rhetoric and a spirit of
reform.
In the first years of his reign, he initiated some minor social
reforms and in 1803–04 major liberal education reforms, such
as building more universities.
One of his main goals was to reform the inefficient, highly
centralized systems of government that Russia relied upon.
He promised to reform serfdom in Russia but made no concrete
proposals; his new laws only freed 0.5% of the serf population.
However, he did extend land ownership to all classes except
serfs, a privilege previously confined to the nobility.
After 1815, military settlements (farms worked by soldiers and
their families under military control) were introduced, with the
idea of making the army or part of it self-supporting
economically and for providing it with recruits.
Key Terms
serf

relating to manorialism. It was a condition of bondage, which
lasted in some countries until the mid-19th century. Those who
occupied a plot of land were required to work for the lord of the
manor who owned that land, and in return were entitled to
protection, justice, and the right to exploit certain fields within
the manor for their own subsistence. They were often required
not only to work on the lord's fields, but also his mines, forests,
and roads.
Age of Enlightenment
An intellectual movement that dominated the world of ideas in

Europe in the 18th century. It centered on reason as the primary
source of authority and legitimacy and advanced ideals like
liberty, progress, tolerance, fraternity, constitutional government,
and separation of church and state. It was marked by an
emphasis on the scientific method and reductionism along with
increased questioning of religious orthodoxy.
state-owned peasants
A special class in 18th-19th century Russia that during some

periods comprised half of the agricultural population. In contrast
to private Russian serfs, these were considered personally free
although attached to the land.
Alexander I reigned as Emperor of Russia from March 23, 1801, to

December 1, 1825. He was born in Saint Petersburg to Grand Duke
Paul Petrovich, later Emperor Paul I, and succeeded to the throne
after his father was murdered. He ruled Russia during the chaotic
period of the Napoleonic Wars. As prince and emperor, Alexander
often used liberal rhetoric, but continued Russia's absolutist policies
in practice. In the first years of his reign, he initiated some minor
social reforms and in 1803–04 major, liberal educational reforms,
such as building more universities. He promised constitutional
reforms and a desperately needed reform of serfdom in Russia but
made no concrete proposals. Alexander appointed Mikhail
Speransky, the son of a village priest, as one of his closest advisers.
The Collegia was abolished and replaced by the The State Council,
created to improve legislation. Plans were also made to set up a
parliament and sign a constitution.
In the second half of his reign he was increasingly arbitrary,

reactionary, and fearful of plots against him; he ended many earlier
reforms. He purged schools of foreign teachers as education
became more religiously oriented and politically conservative.
Speransky was replaced as adviser with the strict artillery inspector
Aleksey Arakcheyev, who oversaw the creation of military
settlements. Alexander died of typhus in December 1825 while on a
trip to southern Russia. He left no children as heirs and both of his
brothers wanted the other to become emperor. After a period of great
confusion that included the failed Decembrist revolt of liberal army
officers, he was succeeded by his younger brother, Nicholas I.
Early Reign
At first, the Orthodox Church exercised little influence on Alexander's
reign. The young tsar was determined to reform the inefficient, highly
centralized systems of government upon which Russian relied. While
he retained the old ministers for a time, one of the first acts of his
reign was to appoint the Private Committee, comprising young and
enthusiastic friends of his own—V ictor Kochubey, Nikolay
Novosiltsev, Pavel Stroganov, and Adam Jerzy Czartoryski—to draw
up a plan of domestic reform, which was supposed to result in the
establishment of a constitutional monarchy in accordance with the
teachings of the Age of Enlightenment.
In a few years the liberal Mikhail Speransky became one of the

Tsar's closest advisors, and drew up many plans for elaborate
reforms. By the Government reform of Alexander I the old Collegia
were abolished and new Ministries created in their place, headed by
ministers responsible to the Crown. A Council of Ministers under the
chairmanship of the Sovereign dealt with all interdepartmental
matters. The State Council was created in order to improve
technique of legislation. It was intended to become the Second
Chamber of representative legislature. The Governing Senate was
reorganized as the Supreme Court of the Empire. The codification of
the laws initiated in 1801 was never carried out during his reign.
Domestic Improvements
When Alexander's reign began, there were three universities in
Russia, at Moscow, V ilna (V ilnius), and Dorpat (Tartu). These were
strengthened, and three others were founded at St. Petersburg,
Kharkov, and Kazan. Literary and scientific bodies were established
or encouraged, and the reign became noted for the aid lent to the
sciences and arts by the Emperor and the wealthy nobility.
Alexander later expelled foreign scholars.
After 1815, military settlements (farms worked by soldiers and their

families under military control) were introduced, with the idea of
making the army, or part of it, self-supporting economically and
providing it with recruits.
The Status of Serfs

Alexander wanted to resolve another crucial issue in Russia—the
status of the serfs, although this was not achieved until 1861 during
the reign of his nephew Alexander II. His advisers quietly discussed
the options at length. Cautiously, he extended the right to own land
to most classes of subjects, including state-owned peasants, in 1801
and created a new social category of "free agriculturalist" for
peasants voluntarily emancipated by their masters in 1803. The new
laws allowed all classes except the serfs to own land, a privilege
previously confined to the nobility. As the title of the 1803 decree,
informally known as "Decree on Free Ploughmen" says, the serfs
were freed and endowed with land by the will on the serf owner
under payment or work obligations. During the reign of Alexander I
only about 7,300 male peasants (with families) or about 0.5% of
serfs were freed.
The Russian state also continued to support serfdom due to military

conscription. The conscripted serfs dramatically increased the size of
the Russian military, leading to victory in the Napoleonic Wars and
Russo-Persian Wars; this did not change the disparity between
Russia and the rest of Western Europe, who were experiencing
agricultural and industrial revolutions. Compared to Western Europe
it was clear that Russia was at an economic disadvantage. European
philosophers during the Age of Enlightenment criticized serfdom and
compared it to medieval labor practices which were almost non-
existent in the rest of continent. Most Russian Nobles were not
interested in change toward western labor practices that Catherine
the Great proposed. Instead they preferred to mortgage serfs for
profit. In 1820, 20% of all serfs were mortgaged to state credit
institutions by their owners. This was increased to 66% in 1859.
A Peasant Leaving His Landlord on
Y uriev D ay
A painting by Sergei V . Ivanov from 1908, depicting a family of serfs
leaving their landlord on Yuriev Day, a two-week period that was the
only time of the year when the Russian peasants were free to move
from one landowner to another before the abolition of serfdom in
1861.
A painting depicting a family of serfs leaving their landlord. It shows

several peasants with their belongings packed onto a cart tied to a
horse, standing by a small house. A large farm field is shown in the
background.
24.3.2: Territorial Gains Under

Alex ander I
Tsar Alexander I, one of the most brilliant diplomats of his time,
focused his foreign affairs on the Napoleonic Wars and the
expansion of Russian territory.
Learning Objective
List some of the territorial gains made by Tsar Alexander I
Key Points
Tsar Alexander I, who ruled the Russian Empire from 1801-
1825, had a complicated relationship with Napoleon during the
lengthy Napoleonic Wars.
He changed Russia's position relative to France four times
between 1804 and 1812 among neutrality, opposition, and
alliance.
In 1805 he joined Britain in the War of the Third Coalition
against Napoleon, but after the massive defeat at the Battle of
Austerlitz he switched and formed an alliance with Napoleon by
the Treaty of Tilsit (1807) and joined Napoleon's Continental
System.
The tsar's greatest triumph came in 1812 as Napoleon's
invasion of Russia proved a total disaster for the French.
As part of the winning coalition against Napoleon, Russia gained
Finland and Poland at the Congress of V ienna.
He formed the Holy Alliance to suppress revolutionary
movements in Europe that he saw as immoral threats to
legitimate Christian monarchs.
Under Alexander, Russia also fought a successful war with
Persia, gaining disputed territory in the Caucasus region, which
provides vital access to the Black Sea and Caspian Sea.
Key Terms
Napoleonic Wars

by the United Kingdom. The wars resulted from the unresolved
disputes associated with the French Revolution and the
Revolutionary Wars, which had raged for years before
concluding with the Treaty of Amiens in 1802. The resumption of
hostilities the following year paved the way for more than a
decade of constant warfare. The wars had profound
consequences for global and European history, leading to the
spread of nationalism and liberalism, the rise of the British
Empire as the world's premier power, the independence
movements in Latin America and subsequent collapse of the
Spanish Empire, the fundamental reorganization of German and
Italian territories into larger states, and the establishment of
radically new methods in warfare.
Russo-Persian War (1804–13)
One of the many wars between the Persian Empire and Imperial
Russia that like many of their wars began as a territorial dispute.
The new Persian king, Fath Ali Shah Qajar, wanted to
consolidate the northernmost reaches of his kingdom—modern
day Georgia—which had been annexed by Tsar Paul I several
years after the Russo-Persian War of 1796. Like his Persian
counterpart, the Tsar Alexander I was also new to the throne
and equally determined to control the disputed territories. The
war ended in 1813 with the Treaty of Gulistan, which irrevocably
ceded the previously disputed territory of Georgia to Imperial
Russia, but added the Iranian territories of Dagestan, most of
what is nowadays Azerbaijan, and minor parts of Armenia.
Caucasus region
A strategically valuable region at the border of Europe and Asia,

situated between the Black and the Caspian seas. It is home to
the Caucasus Mountains, which contain Europe's highest
mountain, Mount Elbrus (18,510 feet).
Alex ander I's Foreign Affairs:

Persia and France
Tsar Alexander I was perhaps the most brilliant diplomat of his time.
His primary focus was not on domestic policy but foreign affairs,
particularly Napoleon. Fearing Napoleon's expansionist ambitions
and the growth of French power, Alexander joined Britain and Austria
against Napoleon. Napoleon defeated the Russians and Austrians at
Austerlitz in 1805 and the Russians at Friedland in 1807. The Battle
of Austerlitz in 1805 was one of the most important and decisive
engagements of the Napoleonic Wars. In what is widely regarded as
the greatest victory achieved by Napoleon, the G rande Armé e of
France defeated a larger Russian and Austrian army. Austerlitz
brought the War of the Third Coalition to a rapid end, with the Treaty
of Pressburg signed by the Austrians later in the month. The battle is
often cited as a tactical masterpiece, in the same league as other
historic engagements like Cannae or Arbela.
After these defeats, Alexander was forced to sue for peace with
France, and with the Treaty of Tilsit, signed in 1807, he became
Napoleon's ally. Russia lost little territory under the treaty, and
Alexander made use of his alliance with Napoleon for further
expansion. By the Finnish War he wrested the Grand Duchy of
Finland from Sweden in 1809, and acquired Bessarabia from Turkey
as a result of the Russo-Turkish War, 1806-1812.
Alexander was determined to acquire disputed territories in the

Caucasus region and beyond, mainly held by Persia. His
predecessors had already waged small wars against Persia, but they
had not been able to consolidate Russian authority over the regions,
so these were either ceded or conquered back by Persia.
After the Russian armies officially liberated allied Georgia from

centuries-long Persian occupation in 1801, , Alexander fought the
Russo-Persian War (1804–13), the first full-scale war against the
neighboring Persia, over the control and consolidation of Georgia
and eventually Azerbaijan, Dagestan, and the entire Caucasus.
After nine long years of battle, Russia managed to end the war on
highly favorable terms, completing Russian consolidation and
suzerainty over major parts of the Caucasus including the gains of
Dagestan, Georgia, most of Azerbaijan, and other regions and
territories in the Caucasus over Persia. By now, Russia had full,
comfortable access to the Black Sea and Caspian Sea and would
use these newly gained grounds for further wars against Persia and
Turkey.
The Russo-French alliance gradually became strained. Napoleon

was concerned about Russia's intentions in the strategically vital
Bosporus and Dardanelles straits. At the same time, Alexander
viewed the Duchy of Warsaw, the French-controlled reconstituted
Polish state, with suspicion. The requirement of joining France's
Continental Blockade against Britain was a serious disruption of
Russian commerce, and in 1810 Alexander repudiated the
obligation. In June 1812, Napoleon invaded Russia with 600,000
troops—a force twice as large as the Russian regular army.
Napoleon hoped to inflict a major defeat on the Russians and force
Alexander to sue for peace. As Napoleon pushed the Russian forces
back, however, he became seriously overextended. Obstinate
Russian forces, members of which declared the Patriotic War,
brought Napoleon a disastrous defeat: Less than 30,000 of his
troops returned to their homeland. V ictory came at a high cost as the
areas of the country the French army had marched through lay in
ruins. The campaign was a turning point in the Napoleonic Wars.
The reputation of Napoleon was severely shaken and French
hegemony in Europe was dramatically weakened. The G rande
Armé e, made up of French and allied invasion forces, was reduced
to a fraction of its initial strength. These events triggered a major
shift in European politics. France's ally Prussia, soon followed by
Austria, broke its imposed alliance with France and switched sides.
This triggered the War of the Sixth Coalition.
Russo-Persian W ar
The Battle of Ganja (1804) during the Russo-Persian War (1804–
1813). From this war, the Russian Empire gained major parts of the
Caucasus including Dagestan, Georgia, most of Azerbaijan, and
other regions and territories in the Caucasus from Persia.
Image of the Russian soldiers storming a castle wall during the battle
of Ganja.
Congress of V ienna and

Beyond
As the French retreated, the Russians pursued them into Central
and Western Europe and to the gates of Paris. After the allies
defeated Napoleon, Alexander became known as the savior of
Europe and played a prominent role in the redrawing of the map of
Europe at the Congress of V ienna in 1815. In the same year,
Alexander initiated the creation of the Holy Alliance, a loose
agreement pledging the rulers of the nations involved—including
most of Europe—to act according to Christian principles. More
pragmatically, in 1814 Russia, Britain, Austria, and Prussia formed
the Quadruple Alliance. When Napoleon suddenly reappeared,
Russia was part of the alliance that chased him down. The
conservative Bourbons were back in power in Paris and on good
terms with Russia. The allies created an international system to
maintain the territorial status quo and prevent the resurgence of an
expansionist France. The Quadruple Alliance, confirmed by a
number of international conferences, ensured Russia's influence in
Europe.
At the same time, Russia continued its expansion. The Congress of

V ienna, held in V ienna from November 1814 to June 1815, aimed to
provide a long-term peace plan for Europe by settling critical issues
arising from the French Revolutionary Wars and the Napoleonic
Wars. The tsar had two main goals: to gain control of Poland and
promote the peaceful coexistence of European nations. The
Congress created the Congress Poland (formerly the Duchy of
Warsaw), to which Alexander granted a constitution. Though officially
the Kingdom of Poland was a state with considerable political
autonomy guaranteed by a liberal constitution, its rulers, the Russian
Emperors, generally disregarded any restrictions on their power.
Effectively it was little more than a puppet state of the Russian
Empire. Thus, Alexander I became the constitutional monarch of
Poland while remaining the autocratic tsar of Russia. He was also
the monarch of Finland, which had been annexed in 1809 and
awarded autonomous status. The Congress finalized Russia control
of Finland.
Despite the liberal, romantic inclinations of his youth, later in his rule
Alexander I grew steadily more conservative, isolated from the day-
to-day affairs of the state, and inclined to religious mysticism. Once a
supporter of limited liberalism, as seen in his approval of the
Constitution of the Kingdom of Poland in 1815, at the end of 1818
Alexander's views began to change. A revolutionary conspiracy
among the officers of the guard and a foolish plot to kidnap him on
his way to the Congress of Aix-la-Chapelle are said to have shaken
the foundations of his liberalism. At Aix he came for the first time into
intimate contact with Metternich, initiating the ascendancy of
conservatism over the mind of the Russian emperor and in the
councils of Europe. It was the apparent triumph of disorder in the
revolutions of Naples and Piedmont, combined with increasingly
disquieting symptoms of discontent in France, Germany, and among
his own people, that completed Alexander's conversion.
Alexander had upheld the ideal of a free confederation of the

European states, symbolized by the Holy Alliance, against the policy
of a dictatorship of the great powers, symbolized by the Quadruple
Treaty; he had protested against the claims of collective Europe to
interfere in the internal concerns of the sovereign states. But on
November 19, 1820, he signed the Troppau Protocol, which
consecrated the principle of intervention against revolution and
wrecked the harmony of the concert created at the Congress of
V ienna.
The lofty hopes that the tsar had once held for his country were
frustrated by its immense size and backwardness. While vacationing
on the Black Sea in 1825, Alexander fell ill with typhus and died at
only 47, although there were unfounded stories that he faked his
own death, became a monk, and wandered the Siberian wilderness
for many years afterwards.
24.3.3: The Decembrist Revolt

On December 26, 1825, Russian army officers led about 3,000
soldiers in a protest against Nicholas I's assumption of the throne
after the death of Tsar Alexander I.
Learning Objective
Identify the impetuses for the Decembrist Revolt
Key Points
A revolutionary movement was born during the reign of
Alexander I.
The background of the Decembrist Revolt lay in the Napoleonic
Wars, when a number of well-educated Russian officers in
Western Europe during the course of military campaigns
were exposed to its liberalism and encouraged to seek change
on their return to autocratic Russia.
Army officers created the Union of Salvation, aimed at the
abolishment of serfdom and introduction of constitutional
monarchy by means of armed revolt at the next emperor's
succession to the throne.
The revolt occurred on December 1825, when about 3,000
officers and soldiers refused to swear allegiance to the new tsar,
Alexander's brother Nicholas, proclaiming instead their loyalty to
the idea of a Russian constitution and a constitutional monarchy.
The revolt was easily crushed, and the surviving rebels exiled to
Siberia, leading Nicholas to turn away from the modernization
program begun by Peter the Great.
Key Terms
Peter the Great
He ruled the Tsardom of Russia and later the Russian Empire

from May 7, 1682, until his death, jointly ruling before 1696 with
his elder half-brother, Ivan V . Through a number of successful
wars, he expanded the Tsardom into a much larger empire that
became a major European power. He led a cultural revolution
that replaced some of the traditionalist and medieval social and
political systems with ones that were modern, scientific,
westernized, and based on The Enlightenment. His reforms
made a lasting impact on Russia, and many institutions of
Russian government trace their origins to his reign.
Union of Salvation
The first secret political society of the Decembrists. Founded in

1816 at the initiative of Alexander Nikolayevich Muravyov by a
group of young officers of the Russian army who had taken part
in the Patriotic War of 1812 and foreign campaigns of 1813–
1814. They aimed at the abolishment of serfdom and
introduction of constitutional monarchy by means of armed
revolt at the time of next emperor's succession to the throne.
The Decembrist revolt took place in Imperial Russia on December

26, 1825. Russian army officers led about 3,000 soldiers in a protest
against Nicholas I's assumption of the throne after his elder brother
Constantine removed himself from the line of succession.
The Decembrist revolt was an aristocratic movement whose chief

actors were army officers and members of the nobility. The reasons
for Decembrist Uprising were manifold: opposition on part of the
nobility to the regime that successfully limited its privileges through
its peasant policy spread among a section of young officers with
liberal and even radical ideas, along with fears among the nationalist
section of society inspired by some of Alexander's policies. Officers
were particularly angry that Alexander granted Poland a constitution
while Russia remained without one.
Several clandestine organizations were preparing for an uprising

after Alexander's death. There was confusion about who would
succeed him because the next in line, his brother Constantine
Pavlovich, relinquished his right to the throne. A group of officers
commanding about 3,000 men refused to swear allegiance to the
new tsar, Alexander's brother Nicholas, proclaiming instead their
loyalty to the idea of a Russian constitution. Because these events
occurred in December 1825, the rebels were called Decembrists.
Nicholas easily overcame the revolt, and the surviving rebels were
exiled to Siberia.
Background: Union of Salvation

In 1816, several officers of the Imperial Russian Guard founded a
society known as the Union of Salvation, or of the Faithful and True
Sons of the Fatherland. The society acquired a more liberal cast
after it was joined by the idealistic Pavel Pestel. After a mutiny in the
Semenovsky Regiment in 1820, the society decided to suspend
activity in 1821. Two groups, however, continued to function secretly:
a Southern Society, based at Tulchin, a small garrison town in
Ukraine, in which Pestel was the outstanding figure, and a Northern
Society, based at St Petersburg, led by Guard officers Nikita
Muraviev, Prince S. P. Trubetskoy and Prince Eugene Obolensky.
The political aims of the more moderate Northern Society were a
British-style constitutional monarchy with a limited franchise, the
abolition of serfdom, and equality before the law. The Southern
Society, under Pestel's influence, was more radical and wanted to
abolish the monarchy, establish a republic, and redistribute land,
taking half into state ownership and dividing the rest among the
peasants.
At first, many officers were encouraged by Tsar Alexander's early

liberal reformation of Russian society and politics. In 1819 Count
Mikhail Mikhailovich Speransky was appointed as the Governor of
Siberia, with the task of reforming local government. Equally, in 1818
the Tsar asked Count Nikolay Nikolayevich Novosiltsev to draw up a
constitution. However, internal and external unrest, which the Tsar
believed stemmed from political liberalization, led to a series of
repressions and a return to a former government of restriction and
conservatism.
Meanwhile, spurred by their experiences of the Napoleonic Wars and
realizing many of the harsh indignities through which the peasant
soldiers were forced, Decembrist officers and sympathizers
displayed their contempt for the regime by rejecting court lifestyle,
wearing their cavalry swords at balls (indicating their unwillingness to
dance), and committing themselves to academic study. This new
lifestyle captured the spirit of the times, as a willingness to embrace
both the peasant (i.e. the "Russian way of life") and ongoing
reformative movements abroad.
The Events of the Revolt

When Tsar Alexander I died on December 1, 1825, the royal guards
swore allegiance to the presumed heir, Alexander's brother
Constantine. When Constantine made his renunciation public and
Nicholas stepped forward to assume the throne, the Northern
Society acted. With the capital in temporary confusion and one oath
to Constantine having already been sworn, the society scrambled in
secret meetings to convince regimental leaders not to swear
allegiance to Nicholas. These efforts would culminate in the
Decembrist Revolt. The leaders of the society (many of whom
belonged to the high aristocracy) elected Prince Sergei Trubetskoy
as interim dictator.
On the morning of December 26, a group of officers commanding

about 3,000 men assembled in Senate Square, where they refused
to swear allegiance to the new tsar, Nicholas I, proclaiming instead
their loyalty to Constantine and their Decembrist Constitution. They
expected to be joined by the rest of the troops stationed in Saint
Petersburg, but were disappointed. The revolt was further hampered
when it was deserted by its supposed leader Prince Trubetskoy, who
had a last minute change of heart and failed to turn up at the Square.
His second in command, Colonel Bulatov, also vanished from the
scene. After a hurried consultation the rebels appointed Prince
Eugene Obolensky as a replacement leader.
For long hours there was a stand-off between the 3,000 rebels and
the 9,000 loyal troops stationed outside the Senate building, with
some desultory shooting from the rebel side. A vast crowd of civilian
on-lookers began fraternizing with the rebels, but did not join the
action. Eventually Nicholas, the new Tsar, appeared in person at the
square and sent Count Mikhail Miloradovich, a military hero who was
greatly respected by ordinary soldiers, to parley with the rebels.
Miloradovich was fatally shot by Pyotr Kakhovsky while delivering a
public address to defuse the situation. At the same time, a rebelling
grenadier squad, led by lieutenant Nikolay Panov, entered the Winter
Palace but failed to seize it and retreated.
After spending most of the day in fruitless attempts to parley with the
rebel force, Nicholas ordered a cavalry charge which slipped on the
icy cobbles and retired in disorder. Eventually, at the end of the day,
Nicholas ordered three artillery pieces to open fire, with devastating
effect. To avoid the slaughter the rebels broke and ran. Some
attempted to regroup on the frozen surface of the river Neva to the
north but were targeted there by the artillery and suffered many
casualties. As the ice was broken by the cannon fire, many of the
dead and dying were cast into the river. After a nighttime mopping-up
operation by loyal army and police units, the revolt in the north came
to an end. The surviving rebels were tried and sentenced to exile in
Siberia.
For the most part, the rebellion led Nicholas to turn away from the
modernization program begun by Peter the Great and champion the
doctrine of Orthodoxy, Autocracy, and Nationality.
Though defeated, the Decembrists did effect some change on the

regime. Their dissatisfaction forced Nicholas to turn his attention
inward to address the issues of the empire. To some extent, the
Decembrists were in the tradition of a long line of palace
revolutionaries who wanted to place their candidate on the throne,
but because the Decembrists also wanted to implement classical
liberalism, their revolt has been considered the beginning of a
revolutionary movement. The uprising was the first open breach
between the government and reformist elements of the Russian
nobility, which would subsequently widen.
Decembrist Revolt
Decembrists at the Senate Square. On December 26, 1825, Russian
army officers led about 3,000 soldiers in a protest against Nicholas
I's assumption of the throne after his elder brother Constantine
removed himself from the line of succession.
Image of the Decembrist revolt in Peters Square. The image shows

loyalist cavalry firing upon the rebels in the center of the square, with
onlookers surrounding the fighting.
24.3.4: The W ars of Nicholas I

In war, Tsar Nicholas I was successful against Russia's neighboring
southern rivals, Persia and the Ottoman Empire, seizing the last
territories in the Caucasus held by Persia. Later in his rule, however,
he led Russia into the Crimean War (1853–56) with disastrous
results.
Learning Objective
Recall some of the wars fought by Nicholas I
Key Points
Nicholas I became Tsar of Russia in 1925 after crushing the
Decembrist revolt against him and went on to become the most
reactionary of all Russian leaders.
His reign had an ideology called "Official Nationality," proclaimed
officially in 1833, that was a reactionary policy based on
orthodoxy in religion, autocracy in government, and Russian
nationalism.
His aggressive foreign policy involved many expensive wars that
had a disastrous effect on the empire's finances.
The late 1820s were successful military years. Despite losing
almost all recently consolidated territories in the first year of the
Russo-Persian War of 1826-28, Russia managed to end the war
with highly favorable terms. This included the official gains of
Armenia, Azerbaijan, and Iğ dır Province, earning the clear
geopolitical and territorial upper hand in the Caucasus region.
In the 1828-29 Russo-Turkish War, Russia invaded northeastern
Anatolia and occupied strategic Ottoman holdings, posing as
protector and savior of the Greek Orthodox population and thus
receiving extensive support from the region's Greek population.
In 1854-55, Russia lost to Britain, France, and Turkey in the
Crimean War.
Since playing a major role in the defeat of Napoleon, Russia
was regarded as militarily invincible, but once opposed against a
coalition of the great powers of Europe, the defeats it suffered in
the Crimean War revealed the weakness and backwardness of
Tsar Nicholas' regime.
Key Terms
Eastern Question
Refers to the strategic competition and political considerations
of the European Great Powers in light of the political and
economic instability in the Ottoman Empire from the late 18th to
early 20th centuries. Characterized as the "sick man of Europe,"
the relative weakening of the empire's military strength in the
second half of the 18th century threatened to undermine the
fragile balance of power system largely shaped by the Concert
of Europe.
Crimean War
A military conflict fought from October 1853 to March 1856 in

which the Russian Empire lost to an alliance of France, Britain,
the Ottoman Empire, and Sardinia. The immediate cause
involved the rights of Christian minorities in the Holy Land, part
of the Ottoman Empire. The French promoted the rights of
Roman Catholics while Russia promoted those of the Eastern
Orthodox Church. The longer-term causes involved the decline
of the Ottoman Empire and the unwillingness of Britain and
France to allow Russia to gain territory and power at Ottoman
expense.
"Official Nationality"
The dominant ideological doctrine of Russian emperor Nicholas

I. It was "the Russian version of a general European ideology of
restoration and reaction" that followed the Napoleonic Wars. It
was a reactionary policy based on orthodoxy in religion,
autocracy in government, and Russian nationalism.
Tsar Nicholas I
Nicholas I was the Emperor of Russia from 1825 until 1855 as well
as King of Poland and Grand Duke of Finland. He is best-known as a
political conservative whose reign was marked by geographical
expansion, repression of dissent, economic stagnation, poor
administrative policies, a corrupt bureaucracy, and frequent wars that
culminated in Russia's disastrous defeat in the Crimean War of
1853-56. His biographer Nicholas V . Riasanovsky says that Nicholas
displayed determination, singleness of purpose, and an iron will,
along with a powerful sense of duty and a dedication to hard work.
He saw himself as a soldier – a junior officer totally consumed by spit
and polish. Trained as an engineer, he was a stickler for minute
detail. In his public persona, says Riasanovsky, "Nicholas I came to
represent autocracy personified: infinitely majestic, determined and
powerful, hard as stone, and relentless as fate."
His reign had an ideology called "Official Nationality" that was

proclaimed officially in 1833. It was a reactionary policy based on
orthodoxy in religion, autocracy in government, and Russian
nationalism. He was the younger brother of his predecessor,
Alexander I. Nicholas inherited his brother's throne despite the failed
Decembrist revolt against him and went on to become the most
reactionary of all Russian leaders. His aggressive foreign policy
involved many expensive wars, with a disastrous effect on the
empire's finances.
He was successful against Russia's neighboring southern rivals as

he seized the last territories in the Caucasus held by Persia
(comprising modern day Armenia and Azerbaijan) by successfully
ending the Russo-Persian War (1826-28). Russia had gained what is
now Dagestan, Georgia, Azerbaijan, and Armenia from Persia, and
therefore had the clear geopolitical and territorial upper hand in the
Caucasus. He ended the Russo-Turkish War (1828–29) successfully
as well. Later, however, he led Russia into the Crimean War (1853–
56) with disastrous results. Historians emphasize that his
micromanagement of the armies hindered his generals, as did his
misguided strategy. Fuller notes that historians have frequently
concluded that "the reign of Nicholas I was a catastrophic failure in
both domestic and foreign policy." On the eve of his death, the
Russian Empire reached its geographical zenith, spanning over 7.7
million square miles but in desperate need of reform.
Military and Foreign Policy
For much of Nicholas's reign, Russia was seen as a major military
power with considerable strength. At last the Crimean war at the end
of his reign demonstrated to the world what no one had previously
realized: Russia was militarily weak, technologically backward, and
administratively incompetent. Despite his grand ambitions toward the
south and Turkey, Russia had not built its railroad network in that
direction, and communications were bad. The bureaucracy was
riddled with graft, corruption, and inefficiency and was unprepared
for war. The Navy was weak and technologically backward; the
Army, although very large, was good only for parades, suffering from
colonels who pocketed their men's pay, poor morale, and
disconnection with the latest technology developed by Britain and
France. By war's end, the Russian leadership was determined to
reform the Army and the society.
In foreign policy, Nicholas I acted as the protector of ruling legitimism

and guardian against revolution. In 1830, after a popular uprising
occurred in France, the Poles in Russian Poland revolted. They
resented limitation of the privileges of the Polish minority in the lands
annexed by Russia in the 18th century, and sought to reestablish the
1772 borders of Poland. Nicholas crushed the rebellion, abrogated
the Polish constitution, and reduced Congress Poland to the status
of a Russian province, Privislinsky Krai.
In 1848, when a series of revolutions convulsed Europe, Nicholas

was in the forefront of reaction. In 1849, he helped the Habsburgs
suppress the uprising in Hungary and urged Prussia not to adopt a
liberal constitution.
While Nicholas was attempting to maintain the status quo in Europe,

he followed a somewhat more aggressive policy toward the
neighboring empires to the south, namely the Ottoman Empire and
Persia. Nicholas was widely believed to be following the traditional
Russian policy of resolving the so-called Eastern Question by
seeking to partition the Ottoman Empire and establish a protectorate
over the Orthodox population of the Balkans, still largely under
Ottoman control in the 1820s. In fact, in line with his commitment to
upholding the status quo in Europe, he feared any attempt to devour
the decaying Ottoman Empire would both upset its ally Austria,
which also had interests in the Balkans, and bring about an Anglo-
French coalition in defense of the Ottomans.
Further, during the war of 1828-29, the Russians had defeated the
Ottomans in every battle fought in the field and advanced deep into
the Balkans, but the discovered that they lacked the necessary
logistical strength to take Constantinople. Nicholas's policy towards
the Ottoman Empire was to use the Treaty of Kü ç ü k Kaynarca, which
gave Russia a vague right to be the protector of the Orthodox
peoples in the Balkans, to place the Ottoman Empire into the
Russian sphere of influence. This was seen as a more achievable
goal than conquering the entire Ottoman Empire. Nicholas actually
wanted to preserve the Ottoman Empire as a stable but weak state
that would be unable to stand up to Russia, as he viewed the country
first and foremost as a European power and regarded Europe as
more important than the Middle East.
In 1826-1828, Nicholas fought the Russo-Persian War (1826–28),

which ended with Persia being forced to cede its last remaining
territories in the Caucasus, comprising modern-day Armenia,
Azerbaijan, and Iğ dır. By now, Russia had conquered all Caucasian
territories of Iran in both the North and South Caucasus, comprising
modern-day Georgia, Dagestan, Armenia, and Azerbaijan, through
the course of the 19th century.
Fearing the results of an Ottoman defeat by Russia, in 1854 Britain,

France, the Kingdom of Sardinia, and the Ottoman Empire joined
forces in the conflict known as the Crimean War to the Ottomans and
Western Europeans and in Russia as the "Eastern War." In April
1854, Austria signed a defensive pact with Prussia. Thus, Russia
found itself in a war with the whole of Europe .
Austria offered the Ottomans diplomatic support and Prussia
remained neutral, thus leaving Russia without any allies on the
continent. The European allies landed in Crimea and laid siege to
the well-fortified Russian base at Sebastopol. The Russians lost
battles at Alma in September 1854 followed by lost battles at
Balaklava and Inkerman. After the prolonged Siege of Sevastopol
(1854–55) the base fell, exposing Russia's inability to defend a major
fortification on its own soil. On the death of Nicholas I, Alexander II
became Tsar. On January 15, 1856, the new tsar took Russia out of
the war on very unfavorable terms which included the loss of a naval
fleet on the Black Sea. Since playing a major role in the defeat of
Napoleon, Russia was regarded as militarily invincible, but once
opposed against a coalition of the great powers of Europe, the
reverses it suffered on land and sea exposed the decay and
weakness of Tsar Nicholas' regime. Russia now faced the choice of
initiating major reforms or losing its status as a major European
power.
Siege of Sevastopol
After the prolonged Siege of Sevastopol (1854–55) the base fell,
exposing Russia's inability to defend a major fortification on its own
soil and leading to defeat in Crimean War.
Detail of Franz Roubaud's panoramic painting The Siege of

Sevastopol (1904). It depicts a chaotic battlefield, focusing on the
Russian solders defending their position.
24.3.5 : The W esterners and the

Slavophiles
During the second half of the 19th century, a group of "Slavophiles"
emerged in intellectual circles. They opposed the modernization and
westernization begun by Peter the Great and Catherine the Great
and advocated for a return to a simple peasant-based society
centered on the Orthodox faith.
Learning Objective
Compare and contrast the opinions and goals of the Westerners and
the Slavophiles
Key Points
Peter the Great, the Tsar of Russia from 1672-1725, started a
trend in Russia of modernization and westernization of Russian
culture and economics.
Peter implemented absolute social modernization by introducing
French and western dress to his court and requiring courtiers,
state officials, and the military to shave their beards and adopt
modern clothing styles.
Catherine the Great, who ruled from 1762 until her death in
1796, continued Peter's project and helped herald the Russian
Enlightenment, transforming education and culture to mirror the
European Enlightenment.
This trend of westernization and modernization continued into
the 19th century, but was eventually opposed by the
"Slavophiles," a group of intellectuals opposing the influences of
Western Europe in Russia.
The Slavophiles aimed at returning Russia to a simple peasant-
based society centered on the Orthodox faith.
Key Terms
Pochvennichestvo
A late 19th-century Russian movement tied closely with its

contemporary ideology, the Slavophile movement, whose
primary focus was to change Russian society by the humbling of
the self and social reform through the Russian Orthodox Church
rather than the radical implementations of the intelligentsia.
enlightened despot
A form of absolute monarchy or despotism inspired by the
Enlightenment, that embraced rationality, fostered education,
right to hold private property.
Slavophiles
An intellectual movement originating in the 19th century that

wanted the Russian Empire to be developed upon values and
institutions derived from its early history, opposing the influences
of Western Europe in Russia.
During the second half of the 19th century, a faction of so-called

"Slavophiles" emerged in intellectual circles. They were convinced
that Peter the Great made a mistake in trying to modernize and
Westernize the country and that Russia's salvation lay in the
rejection of Western ideas. Slavophiles believed that while the West
polluted itself with science, atheism, materialism, and wealth, they
should return to a simple peasant-based society centered on the
Orthodox faith. The government rejected these ideas in favor of rapid
modernization.
The W esterniz ation of Russia

Peter the Great, the Tsar of Russia from 1672-1725, started a
cultural revolution in Russia that replaced some of the traditionalist
and medieval social and political systems with those that were
modern, scientific, westernized, and based on the Enlightenment.
Peter's reforms made a lasting impact on Russia and many
institutions of Russian government trace their origins to his reign.
Peter implemented sweeping reforms aimed at modernization.

Heavily influenced by his advisers from Western Europe, Peter
making the country a maritime power. He faced much opposition to
these policies at home, but brutally suppressed any and all rebellions
against his authority: Streltsy, Bashkirs, Astrakhan, and the greatest
civil uprising of his reign, the Bulavin Rebellion.
Peter implemented absolute social modernization by introducing

French and western dress to his court and requiring courtiers, state
officials, and the military to shave their beards and adopt modern
clothing styles. One means of achieving this end was the
introduction of taxes for long beards and robes in September 1698.
Peter also taxed many Russian cultural customs such as traditional
bathing, fishing, and beekeeping.
Catherine the Great, the most renowned and the longest-ruling

female leader of Russia from 1762 until her death in 1796, revitalized
Russia under her reign, allowing it to grow larger and stronger than
ever and become recognized as one of the great powers of Europe.
An admirer of Peter the Great, Catherine continued to modernize
Russia along Western European lines. She enthusiastically
supported the ideals of The Enlightenment, thus earning the status
of an enlightened despot. Catherine held western European
philosophies and culture, especially from the French Enlightenment,
close to her heart, and she wanted to surround herself with like-
minded people within Russia. She believed a "new kind of person"
could be created by inculcating Russian children with European
education. This meant developing individuals both intellectually and
morally, providing them knowledge and skills, and fostering a sense
of civic responsibility.
"Westernization" carries different meanings in different countries at

different times. In reference to 18th century Russia, it meant
legislative changes to economics, politics, and culture. It also
entailed the Russian gentry's adherence to a set standard and its
imitation of the Western values. Westernization in Russia included
the modernization of machinery, the refinement of a more efficient
bureaucracy, and the acceptance of Western European tastes.
Peter and Catherine's reforms set the tone for Russian domestic
policies for centuries to come. His legacy could be seen into the 19th
century and beyond. Westernizers were a group of 19th century
intellectuals who believed that Russia's development depended
upon the adoption of Western European technology and liberal
government. In their view, western ideas such as industrialization
needed to be implemented throughout Russia to make it a more
successful country.
Catherine the Great
Marble statue of Catherine II in the guise of Minerva (1789–1790), by
Fedot Shubin. The style exemplifies Catherine's love for Western
philosophy and culture, Minerva being the Roman goddess of
wisdom.
Marble statue of Catherine II in the guise of Minerva (1789–1790), by

Fedot Shubin.
Slavophilia
Slavophilia was an intellectual movement originating in the 19th
century that wanted the Russian Empire to be developed upon
values and institutions derived from its early history. Slavophiles
opposed the influences of Western Europe in Russia. There were
similar movements in Poland, Hungary, and Greece. Depending on
the historical context, its opposite could be termed Slavophobia, a
fear of Slavic culture, or even what some Russian intellectuals called
Westernism, begun by Peter the Great's efforts in the late 17th and
early 18th centuries.
Slavophonism developed into many branches of the same

movement. Some were leftist and noted that progressive ideas such
as democracy were intrinsic to the Russian experience, as proved by
what they considered to be the rough democracy of medieval
Novgorod. Some were rightist and pointed to the centuries-old
tradition of the autocratic tsar as the essence of the Russian nature.
The Slavophiles were determined to protect what they believed were

unique Russian traditions and culture. In doing so, they rejected
individualism. The role of the Orthodox Church was seen as more
significant than the role of the state. Socialism was opposed by
Slavophiles as an alien thought, and Russian mysticism was
preferred over "Western rationalism." Rural life was praised by the
movement, which opposed industrialization and urban development,
and protection of the "mir" (peasant village communities) was an
important measure to prevent the growth of the working class.
The movement originated in Moscow in the 1830s. Drawing on the

works of Greek Church Fathers, the poet Aleksey Khomyakov
(1804–60) and his devoutly Orthodox colleagues elaborated a
traditionalistic doctrine that claimed Russia has its own distinct way
that should avoid imitating "Western" institutions. The Russian
Slavophiles criticized the modernization of Peter the Great and
Catherine the Great, and some of even adopted traditional pre-
Petrine dress.
Pochvennichestvo (roughly "return to the soil") was a late 19th-

century Russian movement tied closely with its contemporary
ideology, the Slavophile movement. Both were for the complete
emancipation of serfdom, stressed a strong desire to return to the
idealized past of Russia's history, and opposed Europeanization. The
movement also chose a complete rejection of the nihilist, classical
liberal, and Marxist movements of the time. Their primary focus was
to change Russian society by the humbling of the self and social
reform through the Russian Orthodox Church rather than the radical
implementations of the intelligentsia.
The major differences between the Slavophiles and the movement

were that the former detested the Westernization policies of Peter
the Great, but the latter praised what were seen as the benefits of
the notorious ruler but maintained a strong patriotic mentality for the
Orthodoxy, Autocracy, and Nationality. Another major difference was
that many of the movement's leaders and supporters adopted a
militantly anti-Protestant, anti-Catholic, and anti-Semitic stance.
The concept had its roots in the works of the German philosopher
Johann Gottfried Herder, who focused primarily on emphasizing the
differences among people and regional cultures. In addition, it
rejected the universalism of the Enlightenment period. The most
prominent Russian intellectuals who founded the ideology were
Nikolay Strakhov, Nikolay Danilevsky, and Konstantin Leontyev.
24.3.6: The 18 61 Emancipation of the

Serfs
In 1861 Alexander II freed all serfs (over 23 million people) in a
major agrarian reform, stimulated in part by his view that "it is better
to liberate the peasants from above" than to wait until they won their
freedom by uprisings "from below."
Learning Objective
Determine the effectiveness of the 1861 emancipation of the serfs
Key Points
The emancipation reform of 1861 that freed the serfs was the
single most important event in 19th-century Russian history; it
was the beginning of the end for the landed aristocracy's
monopoly of power.
Serfdom was abolished in 1861, but its abolition was achieved
on terms not always favorable to the peasants and increased
revolutionary pressures.
The 1861 Emancipation Manifesto proclaimed the emancipation
of the serfs on private estates and by this edict more than 23
million people received their liberty.
Through emancipation, serfs gained the full rights of free
citizens, including rights to marry without having to gain consent,
to own property, and to own a business.
The serfs from private estates were given less land than they
needed to survive, which led to civil unrest.
Key Terms
1848 revolutions
A series of political upheavals throughout Europe in 1848 that

remains the most widespread revolutionary wave in European
history. The revolutions were essentially democratic in nature,
with the aim of removing the old feudal structures and creating
independent national states. The revolutionary wave began in
France in February and immediately spread to most of Europe
and parts of Latin America. Over 50 countries were affected, but
with no coordination or cooperation between their respective
revolutionaries.
mir
Peasant village communities, as opposed to individual

farmsteads or khutors, in Imperial Russia. The vast majority of
Russian peasants held their land in communal ownership within
a community, which acted as a village government and a
cooperative. Arable land was divided in sections based on soil
quality and distance from the village. Each household had the
right to claim one or more strips from each section depending on
the number of adults in the household.
Alexander II
The Tsar of Russia from March 2, 1855, until his assassination

in 1881. He was also the King of Poland and the Grand Duke of
Finland. His most significant reform as emperor was
emancipation of Russia's serfs in 1861, for which he is known
as Alexander the Liberator.
The Emancipation Reform of 1861 in Russia was the first and most
important of liberal reforms effected during the reign (1855-1881) of
Tsar Alexander II of Russia. The reform effectively abolished
serfdom throughout the Russian Empire.
The 1861 Emancipation Manifesto proclaimed the emancipation of

the serfs on private estates and of the domestic (household) serfs.
By this edict more than 23 million people received their liberty. Serfs
gained the full rights of free citizens, including rights to marry without
having to gain consent, to own property, and to own a business. The
Manifesto prescribed that peasants would be able to buy the land
from the landlords. Household serfs were the least affected, gaining
only their freedom and no land.
In Georgia the emancipation took place later, in 1864, and on much

better terms for the nobles than in Russia. The serfs were
emancipated in 1861, following a speech given by Tsar Alexander II
on March 30, 1856. State-owned serfs, those living on Imperial
lands, were emancipated in 1866.
Background
The liberal politicians who stood behind the 1861 manifesto
recognized that their country was one of a few remaining feudal
states in Europe. The pitiful display by Russian forces in the Crimean
War left the government acutely aware of the empire's
backwardness. Eager to grow and develop industrial and therefore
military and political strength, they introduced a number of economic
reforms, including the end of serfdom. It was optimistically hoped
that after the abolition the mir (peasant village communities) would
dissolve into individual peasant land owners and the beginnings of a
market economy.
The main issue was whether the serfs should remain dependent on
the landlords or be transformed into a class of independent
communal proprietors. The land owners initially pushed for granting
the peasants freedom but not land. The tsar and his advisers,
mindful of 1848 revolutions in Western Europe, were opposed to
creating a proletariat and the instability this could bring. But giving
the peasants freedom and land left existing land owners without the
large and cheap labor force they needed to maintain their estates
and lifestyles. By 1859, however, a third of their estates and two -
thirds of their serfs were mortgaged to the state or noble banks, so
they had no choice but to accept the emancipation.
To balance this, the legislation contained three measures to reduce

the potential economic self-sufficiency of the peasants. First, a
transition period of two years was introduced, during which the
peasant was obligated as before to the land owner. Second, large
parts of common land were passed to the major land owners as
otrezki ("cut off lands"), making many forests, roads, and rivers
accessible only for a fee. The serfs also had to pay the land owner
for their allocation of land in a series of redemption payments, which
in turn were used to compensate the land owners with bonds. Three-
quarters of the total sum would be advanced by the government to
the land owner and then the peasants would repay the money plus
interest to the government over 49 years. These redemption
payments were finally canceled in 1907.
Emancipation Reform of 18 61
A 1907 painting by Boris Kustodiev depicting Russian serfs listening
to the proclamation of the Emancipation Manifesto in 1861.
A 1907 painting by Boris Kustodiev depicting Russian serfs listening

to the proclamation of the Emancipation Manifesto in 1861. A few
dozen peasants stand around a porch with a nobleman reading from
a piece of paper, in front of a yellow house.
Effects of Emancipation
Although the emancipation reform was commemorated by the
construction of the enormous Alexander Nevsky Cathedral in
Moscow and history books give Alexander II the name of "Alexander
the Liberator," its results were far from ideal. Household serfs were
the worst affected as they gained only their freedom and no land.
Many of the more enlightened bureaucrats had an understanding
that the freeing of the serfs would bring about drastic changes in
both Russian society and government. However, their idea that these
changes would affect only the "lower stories" of society and
strengthen the autocracy, rather than weaken it was wrong. In reality,
the reforms created a new system in which the monarch had to
coexist with an independent court, free press, and local governments
that operated differently and more freely than in the past.
More specifically, in regards to new localized government, the

reforms put in place a system where the land owners had more of a
say within their newly formed "provinces." While this was not the
direct intent of the reforms, it was evident that it significantly
weakened the idea of the autocracy. Now, the "well-to-do" serfs,
along with previously free peoples, were able to purchase land as
private property. While early in the reforms the creation of local
government changed few things about Russian society, the rise in
capitalism drastically affected not only the social structure of Russia,
but the behaviors and activities of the self-government institutions.
The serfs from private estates were given less land than they
needed to survive, which led to civil unrest. The redemption tax was
so high that the serfs had to sell all the grain they produced to pay
the tax, which left nothing for their survival. Land owners also
suffered because many of them were deeply in debt, and the forced
selling of their land left them struggling to maintain their lavish
lifestyles. In many cases, the newly freed serfs were forced to "rent"
their land from wealthy landowners. Furthermore, when the peasants
had to work for the same landowners to pay their "labor payments,"
their own fields were often neglected. Over the next few years, the
yields from the peasants' crops remained low, and soon famine
struck a large portion of Russia. With little food and in a similar
condition as when they were serfs, many peasants started to voice
their disdain for the social system.
Lastly, the reforms transformed the Russian economy. The

individuals who led the reform were in favor of an economic system
similar to that of other European countries, which promoted the ideas
of capitalism and free trade. The idea of the reformers was to
promote development and encourage private property ownership,
free competition, entrepreneurship, and hired labor. They hoped this
would bring about an a more laissez-faire economic system with
minimal regulations and tariffs. Soon after the reforms, there was a
substantial rise in the amount of grain production for sale.
Attributions
Alexander I's Domestic Reforms
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Territorial Gains Under Alexander I
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"Alexander I of Russia."
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The Wars of Nicholas I
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"Russian Empire."
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https://commons.wikimedia.org/wiki/File:Panorama_dentro.
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"1024px-
С к у л ь п т у р а _Е к а т е р и н ы _II_в _"Р у с с к о м _М у з е е ",_г .С а н к т -
П е т е р б у р г _(2).jpg."
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%D1%83%D0%BB%D1%8C%D0%BF%D1%82%D1%83%
D1%80%D0%B0_%D0%95%D0%BA%D0%B0%D1%82%
D0%B5%D1%80%D0%B8%D0%BD%D1%8B_II_%D0%B2
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%BE%D0%BC_%D0%9C%D1%83%D0%B7%D0%B5%D0
%B5%22,_%D0%B3.%D0%A1%D0%B0%D0%BD%D0%B
A%D1%82-
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"Emancipation reform of 1861."
https://en.wikipedia.org/wiki/Emancipation_reform_of_1861.
"Liberation_of_peasants_by_B.Kustodiev_(1907).jpg."
https://commons.wikimedia.org/wiki/File:Liberation_of_peas
ants_by_B.Kustodiev_(1907).jpg. Wikimedia Commons
Public domain.
24.4: German Unification
24.4.1: The German Confederation
The German Confederation was the loose association of 39 states
created in 1815 to coordinate the economies of separate German-
speaking countries, which most historians have judged to be weak
and ineffective as well as an obstacle to German nationalist
aspirations.
Learning Objective
Diagram the political relations and structure of the German
Confederation
Key Points
One of the major outcomes of the Congress of V ienna was the
creation of German Confederation, a loose association of 39
states designed to coordinate the economies of separate
German-speaking countries.
It acted as a buffer between the powerful states of Austria and
Prussia to preserve the Concert of Europe.
Most historians have judged the Confederation as weak and
ineffective, as well as an obstacle to German nationalist
aspirations.
Further efforts to improve the Confederation began in 1834 with
the establishment of a customs union, the Zollverein, to manage
tariffs and economic policies.
It collapsed due to the rivalry between Prussia and Austria,
warfare, the 1848 revolution, and the inability of the multiple
members to compromise.
It was replaced by the North German Confederation in 1866.
Key Terms
Zollverein
A coalition of German states formed to manage tariffs and

economic policies within their territories, formed during the
German Confederation.
Rights of Man
A book by Thomas Paine, including 31 articles, that posits that

popular political revolution is permissible when a government
does not safeguard the natural rights of its people. Using these
points as a basis, it defends the French Revolution.
German dualism
A long-standing conflict and rivalry for supremacy between

Prussia and Austria in Central Europe during the 18th and 19th
centuries. While wars were a part of the rivalry, it was also a
race for prestige to be seen as the legitimate political force of
the German-speaking peoples. The conflict first culminated in
the Seven Years' War.
Holy Roman Empire

dissolution in 1806. The largest territory of the empire after 962
was the Kingdom of Germany, though it also came to include
the Kingdom of Bohemia, the Kingdom of Burgundy, the
Kingdom of Italy, and numerous other territories.
The German Confederation (German: Deutscher Bund) was an

association of 39 German states in Central Europe, created by the
Congress of V ienna in 1815 to coordinate the economies of separate
German-speaking countries and to replace the former Holy Roman
Empire. It acted as a buffer between the powerful states of Austria
and Prussia. Britain approved of the confederation because London
felt there was need for a stable, peaceful power in central Europe
that could discourage aggressive moves by France or Russia. Most
historians have judged the Confederation as weak and ineffective, as
well as an obstacle to the creation of a German nation-state. It
collapsed because of the rivalry between Prussia and Austria (known
as German dualism), warfare, the 1848 revolution, and the inability
of members to compromise. It was replaced by the North German
Confederation in 1866.
In 1848, revolutions by liberals and nationalists were failed attempts

to establish a unified German state. Talks between the German
states failed in 1848, and the Confederation briefly dissolved but was
reestablished in 1850. It decidedly fell apart only after the Prussian
victory in the Seven Weeks' War of 1866.
The dispute between the two dominant member states of the

Confederation, Austria and Prussia, over which had the inherent
right to rule German lands ended in favor of Prussia after the Seven
Weeks' War of 1866. This led to the creation of the North German
Confederation under Prussian leadership in 1867. A number of
South German states remained independent until they joined the
North German Confederation, which was renamed the German
Empire.
History and Structure of the

Confederation
Between 1806 and 1815, Napoleon organized the German states
into the Confederation of the Rhine, but this collapsed after his
defeats in 1812 to 1815. The German Confederation had roughly the
same boundaries as the Empire at the time of the French Revolution
(less what is now Belgium). It also kept intact most of
Confederation's reconstituted member states and their boundaries.
The member states, drastically reduced to 39 from more than 300
under the Holy Roman Empire, were recognized as fully sovereign.
The members pledged themselves to mutual defense, and joint
maintenance of the fortresses at Mainz, the city of Luxembourg,
Rastatt, Ulm, and Landau.
The only organ of the Confederation was the Federal Assembly,

consisting of the delegates of the states' governments. There was no
head of state; the Austrian delegate presided the Assembly but was
not granted extra power. The Assembly met in Frankfurt.
The Confederation was enabled to accept and deploy ambassadors.

It allowed ambassadors of the European powers to the Assembly,
but rarely deployed ambassadors itself.
During the revolution of 1848-49, the Federal Assembly was inactive

and transferred its powers to the revolutionary German Central
Government of the Frankfurt National Assembly. After crushing the
revolution and illegally disbanding the National Assembly, the
Prussian King failed to create a German nation state by himself. The
Federal Assembly was revived in 1850 on Austrian initiative, but only
fully reinstalled only in the Summer of 1851.
Rivalry between Prussia and Austria grew substantially beginning in

1859. The Confederation was dissolved in 1866 after the Austro-
Prussian War, and was succeeded in 1866 by the Prussian-
dominated North German Confederation. Unlike the German
Confederation, the North German Confederation was in fact a true
state. Its territory comprised the parts of the German Confederation
north of the river Main, plus Prussia's eastern territories and the
Duchy of Schleswig, but excluded Austria and the other southern
German states.
Prussia's influence was widened by the Franco-Prussian War

resulting in the proclamation of the German Empire at V ersailles on
January 18, 1871, which united the North German Federation with
the southern German states. Constituent states of the former
German Confederation became part of the German Empire in 1871,
except Austria, Luxembourg, the Duchy of Limburg, and
Liechtenstein.
Politics and Economy of the

Confederation
Although the forces unleashed by the French Revolution were
seemingly under control after the V ienna Congress, the conflict
between conservative forces and liberal nationalists was only
deferred. The era until the failed 1848 revolution when these
tensions escalated is commonly referred to as V ormä rz ("pre-
March"), in reference to the outbreak of riots in March 1848.
This conflict pitted the forces of the old order against those inspired
by the French Revolution and the Rights of Man. The sociological
breakdown of the competition was roughly one side engaged mostly
in commerce, trade, and industry, and the other side associated with
landowning aristocracy or military aristocracy (the Junker) in Prussia,
the Habsburg monarchy in Austria, and the conservative notables of
the small princely states and city-states in Germany.
Meanwhile, demands for change from below had been stirring since
the influence of the French Revolution. Throughout the German
Confederation, Austrian influence was paramount, drawing the ire of
the nationalist movements. Metternich considered nationalism,
especially the nationalist youth movement, the most pressing
danger: German nationalism might not only reject Austrian
dominance of the Confederation, but also stimulate nationalist
sentiment within the Austrian Empire itself. In a multinational
multilingual state in which Slavs and Magyars outnumbered the
Germans, the prospects of Czech, Slovak, Hungarian, Polish, Serb,
or Croatian sentiment along with middle-class liberalism was
certainly horrifying.
Further efforts to improve the Confederation began in 1834 with the
establishment of a customs union, the Z ollverein. In 1834, the
Prussian regime sought to stimulate wider trade advantages and
industrialism by decree—a logical continuation of the program of
Stein and Hardenberg less than two decades earlier. Historians have
seen three Prussian goals: as a political tool to eliminate Austrian
influence in Germany; as a way to improve the economies; and to
strengthen Germany against potential French aggression while
reducing the economic independence of smaller states.
Inadvertently, these reforms sparked the unification movement and

augmented a middle class demanding further political rights, but at
the time backwardness and Prussia's fears of its stronger neighbors
were greater concerns. The customs union opened up a common
market, ended tariffs between states, and standardized weights,
measures, and currencies within member states (excluding Austria),
forming the basis of a proto-national economy.
German Confederation
Map of the German Confederation, circa 1815, following the
Congress of V ienna. The territory of the Austrian Empire and
Kingdom of Prussia not within the confederation is shown in light
green.
The map shows that the present-day countries whose territory were
partly or entirely located inside the boundaries of the German
Confederation are Germany, Austria, Luxembourg, Liechtenstein,
Netherlands, Czech Republic, Slovenia, Poland, Belgium, Italy, and
Croatia.
24.4.2: Toward a German Identity

The surge of German nationalism, stimulated by the experience of
Germans in the Napoleonic period, the development of a German
cultural and artistic identity, and improved transportation through the
region, moved Germany toward unification in the 19th century.
Learning Objective
Break down the cultural aspects that lent themselves to a common
German identity in the 19th century
Key Points
The transition of German-speaking people throughout central
Europe into a unified nation-state had been developing for some
time through alliances formal and informal between princely
rulers, as well as the gradual emergence of a German cultural
identity.
The German identity is largely centered around the common
German language, but at the turn of the 19th century, German
intellectuals began to develop a sense of artistic and
philosophical identity freed from the leadership of France during
the Enlightenment.
Under the dominance of the Napoleonic French Empire (1804–
1814), various justifications emerged to identify "Germany" as a
single state.
The Burschenschaft student organizations and popular
demonstrations, such as those held at Wartburg Castle in
October 1817, contributed to a growing sense of unity among
German speakers of Central Europe.
Historians regard the development of the German railway as the
first indicator of a unified state.
As travel became easier, faster, and less expensive, Germans
started to see unity in factors other than their language.
Key Terms
Johann Wolfgang von Goethe
A German writer and statesman. His body of work includes epic

and lyric poetry written in a variety of meters and styles; prose
and verse dramas; memoirs; an autobiography; literary and
aesthetic criticism; treatises on botany, anatomy, and color; and
four novels. In addition, numerous literary and scientific
fragments, more than 10,000 letters, and nearly 3,000 drawings
by him exist.
Burschenschaften
One of the traditional student fraternities of Germany. They were

founded in the 19th century as associations of university
students inspired by liberal and nationalistic ideas. They were
significantly involved in the March Revolution and the unification
of Germany.
Carlsbad Decrees
A set of reactionary restrictions introduced in the states of the

German Confederation on September 20, 1819, after a
conference held in the spa town of Carlsbad, Bohemia. They
banned nationalist fraternities ("Burschenschaften"), removed
liberal university professors, and expanded the censorship of
the press. They were aimed to quell a growing sentiment for
German unification.
Unification of Germany
The unification of Germany into a politically and administratively
integrated nation state officially occurred on January 18, 1871, in the
Hall of Mirrors at the Palace of V ersailles in France. Princes of the
German states gathered there to proclaim Wilhelm I of Prussia as
German Emperor after the French capitulation in the Franco-
Prussian War. Unofficially, the de facto transition of most of the
German-speaking populations into a federated organization of states
had been developing in fits and starts for some time through
alliances formal and informal between princely rulers. Self-interests
of the various parties hampered the process over nearly a century of
autocratic experimentation beginning in the era of the Napoleonic
Wars, which saw the dissolution of the Holy Roman Empire (1806)
and subsequent rise of German nationalism.
Unification exposed tensions caused by religious, linguistic, social,

and cultural differences among the inhabitants of the new nation,
suggesting that 1871 only represented one moment in the larger
unification process. Given the mountainous terrains of much of the
territory, it was inevitable that isolated peoples would develop
cultural, educational, linguistic, and religious differences over such a
long period. Germany of the 19th century enjoyed transportation and
communications improvements that began uniting people and
culture.
The Holy Roman Empire of the German Nation, which included more
than 500 independent states, was effectively dissolved when
Emperor Francis II abdicated during the War of the Third Coalition in
August 1806. Despite the legal, administrative, and political
disruption associated with the end of the Empire, the people of the
German-speaking areas of the old Empire had a common linguistic,
cultural, and legal tradition further enhanced by their shared
experience in the French Revolutionary Wars and Napoleonic Wars.
European liberalism offered an intellectual basis for unification by

challenging dynastic and absolutist models of social and political
organization; its German manifestation emphasized the importance
of tradition, education, and linguistic unity of people in a geographic
region. Economically, the creation of the Prussian Zollverein
(customs union) in 1818 and its subsequent expansion to include
other states of the German Confederation reduced competition
between and within states. Emerging modes of transportation
facilitated business and recreational travel, leading to contact and
sometimes conflict among German speakers from throughout
Central Europe.
German Cultural Identity

In the late 18th century, the sense of a German cultural identity
began to emerge. Before 1750, the German upper classes looked to
France for intellectual, cultural, and architectural leadership; French
was the language of high society. By the mid-18th century the
"Aufklä rung" (The Enlightenment) had transformed German high
culture in music, philosophy, science, and literature. Christian Wolff
(1679–1754) was the pioneer as a writer who expounded the
Enlightenment to German readers; he legitimized German as a
philosophic language.
Johann Gottfried von Herder (1744–1803) broke new ground in

philosophy and poetry as a leader of the Sturm und Drang
movement of proto-Romanticism. Weimar Classicism was a cultural
and literary movement based in Weimar that sought to establish a
new humanism by synthesizing Romantic, Classical, and
Enlightenment ideas. The movement, from 1772 until 1805, involved
Herder as well as polymath Johann Wolfgang von Goethe (1749–
1832) and Friedrich Schiller (1759–1805), a poet and historian.
Herder argued that every folk had its own particular identity
expressed in its language and culture. This legitimized the promotion
of German language and culture and helped shape the development
of German nationalism. Schiller's plays expressed the restless spirit
of his generation, depicting the hero's struggle against social
pressures and the force of destiny.
Rise of German Nationalism

Under the hegemony of the Napoleonic French Empire (1804–1814),
popular German nationalism thrived in the reorganized German
states. Due in part to the shared experience under French
dominance, various justifications emerged to identify "Germany" as a
single state. For the German philosopher Johann Gottlieb Fichte,
The first, original, and truly natural boundaries of states are

beyond doubt their internal boundaries. Those who speak the
same language are joined to each other by a multitude of
invisible bonds by nature herself, long before any human art
begins; they understand each other and have the power of
continuing to make themselves understood more and more
clearly; they belong together and are by nature one and an
inseparable whole.
A common language may have been seen to serve as the basis of a

nation, but as contemporary historians of 19th-century Germany
noted, it took more than linguistic similarity to unify these several
hundred polities. The experience of German-speaking Central
Europe during the years of French hegemony contributed to a sense
of common cause to remove the French invaders and reassert
control over their own lands. The exigencies of Napoleon's
campaigns in Poland (1806–07), the Iberian Peninsula, western
Germany, and his disastrous invasion of Russia in 1812 disillusioned
many Germans, princes and peasants alike. Napoleon's Continental
System nearly ruined the Central European economy. The invasion
of Russia included nearly 125,000 troops from German lands, and
the loss of that army encouraged many Germans, both high- and
low-born, to envision a Central Europe free of Napoleon's influence.
The surge of German nationalism, stimulated by the experience of

Germans in the Napoleonic period and initially allied with liberalism,
shifted political, social, and cultural relationships within the German
states during the beginning of the German Confederation. Figures
like August Heinrich Hoffmann von Fallersleben, Ludwig Uhland,
Georg Herwegh, Heinrich Heine, Georg Bü chner, Ludwig Bö rne, and
Bettina von Arnim rose in the V ormä rz era. Father Friedrich Jahn's
gymnastic associations exposed middle-class German youth to
nationalist and democratic ideas, which took the form of the
nationalistic and liberal democratic college fraternities known as the
Burschenschaften.
The Wartburg Festival in 1817 celebrated Martin Luther as a proto-

German nationalist, linking Lutheranism to German nationalism, and
helping arouse religious sentiments for the cause of German
nationhood. The festival culminated in the burning of several books
and other items that symbolized reactionary attitudes. One item was
a book by August von Kotzebue, who was accused of spying for
Russia in 1819 and then murdered by a theological student, Karl
Ludwig Sand, who was executed for the crime. Sand belonged to a
militant nationalist faction of the Burschenschaften. Metternich used
the murder as a pretext to issue the Carlsbad Decrees of 1819,
which dissolved the Burschenschaften, cracked down on the liberal
press, and seriously restricted academic freedom.
Metternich was able to harness conservative outrage at the

assassination to consolidate legislation that would further limit the
press and constrain the rising liberal and nationalist movements.
Consequently, these decrees drove the Burschenschaften
underground, restricted the publication of nationalist materials,
expanded censorship of the press and private correspondence, and
limited academic speech by prohibiting university professors from
encouraging nationalist discussion.
Other Factors for Unification

By the early 19th century, German roads had deteriorated to an
appalling extent. Travelers both foreign and local complained bitterly
about the state of the Heerstraß en, the military roads previously
maintained for the ease of moving troops. As German states ceased
to be a military crossroads, however, the roads improved; the length
of hard-surfaced roads in Prussia increased from 3,800 kilometers
(2,400 mi) in 1816 to 16,600 kilometers (10,300 mi) in 1852. By
1835, Heinrich von Gagern wrote that roads were the "veins and
arteries of the body politic..." and predicted that they would promote
freedom, independence, and prosperity. As people moved around,
they came into contact with others on trains, at hotels, in restaurants,
and for some, at fashionable resorts such as the spa in Baden-
Baden. Water transportation also improved.
As important as these improvements were, they could not compete

with the impact of the railway. Historians of the Second Empire later
regarded the railways as the first indicator of a unified state; the
patriotic novelist, Wilhelm Raabe, wrote: "The German empire was
founded with the construction of the first railway..." Rail travel
changed how cities looked and how people traveled. Its impact
reached throughout the social order, affecting everyone from the
highest-born to the lowest. Although some of the outlying German
provinces were not serviced by rail until the 1890s, the majority of
the population, manufacturing centers, and production centers were
linked to the rail network by 1865.
As travel became easier, faster, and less expensive, Germans

started to see unity in factors other than language. The Brothers
Grimm, who compiled a massive dictionary known as The Grimm,
also assembled a compendium of folk tales and fables that
highlighted the storytelling parallels between different regions. Karl
Baedeker wrote guidebooks to different cities and regions of Central
Europe, indicating places to stay, sites to visit, and giving a short
history of castles, battlefields, famous buildings, and famous people.
His guides also included distances, roads to avoid, and hiking paths
to follow.
The words of August Heinrich Hoffmann von Fallersleben expressed

not only the linguistic unity of the German people but also their
geographic unity. Patriotic songs as "Die Wacht am Rhein" ("The
Watch on the Rhine") by Max Schneckenburger began to focus
attention on geographic space, not limiting "German-ness" to a
common language. Schneckenburger wrote "The Watch on the
Rhine" in a specific patriotic response to French assertions that the
Rhine was France's "natural" eastern boundary.
Germania
Germania, a personification of the German nation, appears in Philipp
V eit's fresco (1834–36). She is holding a shield with the coat of arms
of the German Confederation. The shields on which she stands are
the arms of the seven traditional Electors of the Holy Roman Empire.
She holds the "Reichsschwert" (imperial sword) and the Imperial
Crown of the Holy Roman Empire sits at her side.
Germania, a personification of the German nation, appears in Philipp

V eit's fresco (1834–36). She is holding a shield with the coat of arms
of the German Confederation. The shields on which she stands are
the arms of the seven traditional Electors of the Holy Roman Empire.
She is depicted as a robust woman with long, flowing, reddish-
blonde hair and wearing armour. She holds the "Reichsschwert"
(imperial sword) and the Imperial Crown of the Holy Roman Empire
sits at her side.
24.4.3: The German Revolutions of

18 48
Growing discontent with the political and social order imposed by the
Congress of V ienna led to the outbreak in 1848 of the March
Revolution in the German states.
Learning Objective
Connect the German Revolutions of 1848 to other revolutions
happening throughout Europe
Key Points
News of the 1848 Revolution in Paris quickly reached
discontented bourgeois liberals, republicans, and more radical
working-men.
The first revolutionary uprisings in Germany began in the state
of Baden in March 1848 and within a few days, there were
revolutionary uprisings in other states including Austria and
Prussia.
On March 15, 1848, the subjects of Friedrich Wilhelm IV of
Prussia vented their long-repressed political aspirations in
violent rioting in Berlin, while barricades were erected in the
streets of Paris.
Friedrich Wilhelm gave in to the popular fury and promised a
constitution, a parliament, and support for German unification,
safeguarding his own rule and regime.
On May 18, the Frankfurt Assembly opened its first session with
delegates from various German states, and after long and
controversial debates, the assembly produced the so-called
Frankfurt Constitution, which proclaimed a German Empire
based on the principles of parliamentary democracy.
In the end, the 1848 revolutions turned out to be unsuccessful:
King Frederick William IV of Prussia refused the imperial crown,
the Frankfurt parliament was dissolved, the ruling princes
repressed the risings by military force, and the German
Confederation was re-established by 1850.
Many leaders went into exile, including a number who went to
the United States and became a political force there.
Key Terms
Frankfurt Assembly
The first freely elected parliament for all of Germany, elected on

May 1, 1848. The session was held from May 18, 1848, to May
31, 1849, in the Paulskirche at Frankfurt am Main. Its existence
was both part of and the result of the "March Revolution" in the
states of the German Confederation. After long and
controversial debates, the assembly produced the so-called
Frankfurt Constitution.
Forty-Eighters
Europeans who participated in or supported the revolutions of

1848 that swept Europe. Disappointed at the failure of the
revolution to bring about the reform of the system of government
in Germany or the Austrian Empire and sometimes on the
government's wanted list because of their involvement in the
revolution, they gave up their old lives to try again abroad. Many
emigrated to the United States, England, and Australia after the
revolutions failed.
Zollverein
A coalition of German states formed to manage tariffs and
economic policies within their territories. It was the first instance
in history in which independent states had consummated a full
economic union without the simultaneous creation of a political
federation or union.
The revolutions of 1848 in the German states, the opening phase of

which was also called the March Revolution, were initially part of the
Revolutions of 1848 that broke out in many European countries.
They were a series of loosely coordinated protests and rebellions in
the states of the German Confederation, including the Austrian
Empire. The revolutions, which stressed pan-Germanism,
demonstrated popular discontent with the traditional, largely
autocratic political structure of the 39 independent states of the
Confederation that inherited the German territory of the former Holy
Roman Empire. They demonstrated the popular desire for the
Zollverein movement.
The middle-class elements were committed to liberal principles while

the working class sought radical improvements to their working and
living conditions. As the middle class and working class components
of the Revolution split, the conservative aristocracy defeated it.
Liberals were forced into exile to escape political persecution, where
they became known as Forty-Eighters. Many immigrated to the
United States, settling from Wisconsin to Texas.
Unrest Spreads
The groundwork of the 1848 uprising in Germany was laid long
beforehand. The Hambacher Fest of 1832, for instance, reflected
growing unrest in the face of heavy taxation and political censorship.
The Hambacher Fest is noteworthy for the republicans adopting the
black-red-gold colors (used on today's national flag of Germany) as
a symbol of the republican movement and of unity among the
German-speaking people.
Activism for liberal reform spread through many of the German
states, each of which had distinct revolutions. They were also
inspired by street demonstrations of workers and artisans in Paris,
France, from February 22-24, 1848, which resulted in the abdication
by King Louis Philippe of France and his exile in Britain. In France
the revolution of 1848 became known as the February Revolution.
The revolutions spread across Europe; they erupted in Austria and

Germany, beginning with the large demonstrations on March 13,
1848, in V ienna. This resulted in the resignation of Prince von
Metternich as chief minister to Emperor Ferdinand I of Austria, and
his exile in Britain. Because of the date of the V ienna
demonstrations, the revolutions in Germany are usually called the
March Revolution.
Fearing the fate of Louis-Philippe of France, some monarchs in

Germany accepted some of the demands of the revolutionaries, at
least temporarily. In the south and west, large popular assemblies
and mass demonstrations took place. They demanded freedom of
the press, freedom of assembly, written constitutions, arming of the
people, and a parliament.
Uprisings: Austria and Prussia

In 1848, Austria was the predominant German state. It was
considered the successor to the Holy Roman Empire, which had
been dissolved by Napoleon in 1806, and was not resurrected by the
Congress of V ienna in 1815. German Austrian chancellor Metternich
had dominated Austrian politics from 1815 until 1848.
On March 13, 1848, university students mounted a large street

demonstration in V ienna, and it was covered by the press across the
German-speaking states. Following the important but relatively minor
demonstrations against Lola Montez in Bavaria on February 9, 1848,
the first major revolt of 1848 in German lands occurred in V ienna on
March 13, 1848. The student demonstrators demanded a
constitution and a constituent assembly elected by universal male
suffrage.
Emperor Ferdinand and his chief adviser Metternich directed troops

to crush the demonstration. When demonstrators moved to the
streets near the palace, the troops fired on the students, killing
several. The new working class of V ienna joined the student
demonstrations, developing an armed insurrection. The Diet of
Lower Austria demanded Metternich's resignation. With no forces
rallying to Metternich's defense, Ferdinand reluctantly complied and
dismissed him. The former chancellor went into exile in London.
In Prussia, in March 1848, crowds of people gathered in Berlin to

present their demands in an "address to the king." King Frederick
William IV , taken by surprise, yielded verbally to all the
demonstrators' demands, including parliamentary elections, a
constitution, and freedom of the press. He promised that "Prussia
was to be merged forthwith into Germany."
On March 13, the army charged people returning from a meeting in

the Tiergarten; they left one person dead and many injured. On
March 18, a large demonstration occurred; when two shots were
fired, the people feared that some of the 20,000 soldiers would be
used against them. They erected barricades, fighting started, and a
battle took place until troops were ordered 13 hours later to retreat,
leaving hundreds dead. Afterwards, Frederick William attempted to
reassure the public that he would proceed with reorganizing his
government. The king also approved arming the citizens.
Starting on May 18, 1848, the Frankfurt Assembly worked to find

ways to unite the various German states and write a constitution.
The Assembly was unable to pass resolutions and dissolved into
endless debate. After long and controversial discussions, the
assembly produced the so-called Frankfurt Constitution, which
proclaimed a German Empire based on the principles of
parliamentary democracy. This constitution fulfilled the main
demands of the liberal and nationalist movements of the V ormä rz
and provided a foundation of basic rights, both of which stood in
opposition to Metternich's system of Restoration. The parliament
also proposed a constitutional monarchy headed by a hereditary
emperor (K aiser).
King Frederick William IV of Prussia unilaterally imposed a

monarchist constitution to undercut the democratic forces. This
constitution took effect on December 5, 1848. On December 5, 1848,
the revolutionary Assembly was dissolved and replaced with the
bicameral legislature allowed under the monarchist Constitution. Otto
von Bismarck was elected to the first congress elected under the
new monarchical constitution.
Other uprising occurred in Baden, the Palatinate, Saxony, the

Rhineland, and Bavaria.
Revolutions of 18 48
Origin of the Flag of Germany: Cheering revolutionaries in Berlin, on
March 19, 1848.
A painting of the uprising in Berlin 1848. It shows several people

atop battle-worn barricades holding a tattered German flag.
Failures of the Revolutions
By late 1848, the Prussian aristocrats including Otto von Bismarck
and generals had regained power in Berlin. They were not defeated
permanently during the incidents of March, but had only retreated
temporarily. General von Wrangel led the troops who recaptured
Berlin for the old powers, and King Frederick William IV of Prussia
immediately rejoined the old forces. In November, the king dissolved
the new Prussian parliament and put forth a constitution of his own
based upon the work of the assembly, yet maintaining the ultimate
authority of the king.
The achievements of the revolutionaries of March 1848 were

reversed in all of the German states and by 1851, the Basic Rights
from the Frankfurt Assembly had also been abolished nearly
everywhere. In the end, the revolution fizzled because of the
divisions between the various factions in Frankfurt, the calculating
caution of the liberals, the failure of the left to marshal popular
support and the overwhelming superiority of the monarchist forces.
The Revolution of 1848 failed in its attempt to unify the German-

speaking states because the Frankfurt Assembly reflected the many
different interests of the German ruling classes. Its members were
unable to form coalitions and push for specific goals. The first conflict
arose over the goals of the assembly. The moderate liberals wanted
to draft a constitution to present to the monarchs, whereas the
smaller group of radical members wanted the assembly to declare
itself as a law-giving parliament. They were unable to overcome this
fundamental division, and did not take any definitive action toward
unification or the introduction of democratic rules. The assembly
declined into debate. While the French revolution drew on an
existing nation state, the democratic and liberal forces in Germany of
1848 were confronted with the need to build a nation state and a
constitutional at the same time, which overtaxed them.
24.4.4: Otto von Bismarck and the
Franco-Prussian W ar
In the 1860s, Otto von Bismarck, then Minister President of Prussia,
provoked three short, decisive wars against Denmark, Austria, and
France, aligning the smaller German states behind Prussia in its
defeat of France. In 1871 he unified Germany into a nation-state,
forming the German Empire.
Learning Objective
Clarify Bismarck's intentions with respect to the defeat of France in
the Franco-Prussian War
Key Points
King William I appointed Otto von Bismarck as the new Minister
President of Prussia in 1862.
The Prussian victory in the Austro-Prussian War of 1866
enabled him to create the North German Confederation which
excluded Austria from the federation's affairs and ended the
previous German Confederation.
After the French defeat in the Franco-Prussian War, the German
princes proclaimed the founding of the German Empire in 1871
at V ersailles, uniting all scattered parts of Germany except
Austria.
V ictory in the Franco-Prussian War proved the capstone of the
nationalist issue, rallying the other German states into unity.
Some historians argue that Bismarck deliberately provoked a
French attack to draw the southern German states—Baden,
Wü rttemberg, Bavaria, and Hesse-Darmstadt—into an alliance
with the North German Confederation dominated by Prussia,
while others contend that Bismarck did not plan anything and
merely exploited the circumstances as they unfolded.
Juggling a very complex interlocking series of conferences,
negotiations, and alliances, Bismarck used his diplomatic skills
to maintain Germany's position and used the balance of power
to keep Europe at peace in the 1870s and 1880s.
Key Terms
Kulturkampf
Refers to power struggles between emerging constitutional and

democratic nation states and the Roman Catholic Church over
the place and role of religion in modern polity, usually in
connection with secularization campaigns.
Junker
A noble honorific, meaning "young nobleman." The term

became popularly used as a reference for the landed nobility
(particularly of the east) that controlled almost all of the land and
government, or by extension the Prussian estate owners
regardless of noble status. With the formation of the German
Empire in 1871, this dominated the central German government
and the Prussian military. The term is often contrasted with the
elites of the western and southern states in Germany, such as
the city-republic of Hamburg, which had no nobility.
North German Confederation
A confederation of 22 previously independent states of northern

Germany with nearly 30 million inhabitants, formed after Prussia
left the German Confederation with allies. It was the first modern
German nation state and the basis for the later German Empire
(1871–1918) when several south German states such as
Bavaria joined.
realpolitik
Politics or diplomacy based primarily on considerations of given
circumstances and factors, rather than explicit ideological
notions or moral and ethical premises. In this respect, it shares
aspects of its philosophical approach with those of realism and
pragmatism. The term is sometimes used pejoratively to imply
politics that are coercive, amoral, or Machiavellian.
Otto von Bismarck

Otto von Bismarck was a conservative Prussian statesman who
dominated German and European affairs from the 1860s until 1890.
In the 1860s he engineered a series of wars that unified the German
states, significantly and deliberately excluding Austria, into a
powerful German Empire under Prussian leadership. With that
accomplished by 1871, he skillfully used balance of power diplomacy
to maintain Germany's position in a Europe which, despite many
disputes and war scares, remained at peace.
In 1862, King Wilhelm I appointed Bismarck as Minister President of

Prussia, a position he would hold until 1890 (except for a short break
in 1873). He provoked three short, decisive wars against Denmark,
Austria, and France, aligning the smaller German states behind
Prussia in its defeat of France. In 1871 he formed the German
Empire with himself as Chancellor while retaining control of Prussia.
His diplomacy of realpolitik and powerful rule at home gained him the
nickname the "Iron Chancellor." German unification and its rapid
economic growth was the foundation to his foreign policy. He disliked
colonialism but reluctantly built an overseas empire when it was
demanded by both elite and mass opinion. Juggling a very complex
interlocking series of conferences, negotiations, and alliances, he
used his diplomatic skills to maintain Germany's position and used
the balance of power to keep Europe at peace in the 1870s and
1880s.
A master of complex politics at home, Bismarck created the first

welfare state in the modern world, with the goal of gaining working-
class support that might otherwise have gone to his Socialist
enemies. In the 1870s he allied himself with the Liberals (who were
low-tariff and anti-Catholic) and fought the Catholic Church in what
was called the Kulturkampf ("culture struggle"). He lost that battle as
the Catholics responded by forming a powerful Centre party and
using universal male suffrage to gain a bloc of seats. Bismarck then
reversed himself, ended the K ulturkampf, broke with the Liberals,
imposed protective tariffs, and formed a political alliance with the
Centre Party to fight the Socialists.
Bismarck—a Junker himself—was strong-willed, outspoken, and

sometimes judged overbearing, but he could also be polite,
charming, and witty. Occasionally he displayed a violent temper, and
he kept his power by melodramatically threatening resignation time
and again, which cowed Wilhelm I. He possessed not only a long-
term national and international vision but also the short-term ability to
juggle complex developments. As the leader of what historians call
"revolutionary conservatism," Bismarck became a hero to German
nationalists; they built many monuments honoring the founder of the
new Reich. Many historians praise him as a visionary who was
instrumental in uniting Germany and, once that had been
accomplished, kept the peace in Europe through adroit diplomacy.
Franco-Prussian W ar and
Creation of the German Empire
Prussia's victory over Austria in 1866, a war that ended the German
Confederation and resulted in the creation of the North German
Confederation, increased already existing tensions with France. The
Emperor of France, Napoleon III, tried to gain territory for France (in
Belgium and on the left bank of the Rhine) as compensation for not
joining the war against Prussia and was disappointed by the
surprisingly quick outcome of the war. The conflict was caused by
Prussian ambitions to extend German unification and French fears of
the shift in the European balance of power that would result if the
Prussians succeeded. Some historians argue that Bismarck
deliberately provoked a French attack to draw the southern German
states—Baden, Wü rttemberg, Bavaria and Hesse-Darmstadt—into
an alliance with the North German Confederation dominated by
Prussia, while others contend that Bismarck did not plan anything
and merely exploited the circumstances as they unfolded.
A suitable pretext for war arose in 1870 when the German Prince
Leopold of Hohenzollern-Sigmaringen was offered the Spanish
throne, vacant since a revolution in 1868. France pressured Leopold
into withdrawing his candidacy. Not content with this, Paris
demanded that Wilhelm, as head of the House of Hohenzollern,
assure that no Hohenzollern would ever seek the Spanish crown
again. To provoke France into declaring war with Prussia, Bismarck
published the Ems Dispatch, a carefully edited version of a
conversation between King Wilhelm and the French ambassador to
Prussia, Count Benedetti. This conversation had been edited so that
each nation felt its ambassador had been slighted and ridiculed, thus
inflaming popular sentiment on both sides in favor of war.
France mobilized and declared war on July 19. The German states
saw France as the aggressor, and—swept up by nationalism and
patriotic zeal—they rallied to Prussia's side and provided troops. A
series of swift Prussian and German victories in eastern France,
culminating in the Siege of Metz and the Battle of Sedan, saw
Napoleon III captured and the army of the Second Empire decisively
defeated. A Government of National Defense declared the Third
Republic in Paris on September 4 and continued the war for another
five months; the German forces fought and defeated new French
armies in northern France. Following the Siege of Paris, the capital
fell on January 28, 1871, and then a revolutionary uprising called the
Paris Commune seized power in the capital and held it for two
months until it was bloodily suppressed by the regular French army
at the end of May 1871.
Bismarck acted immediately to secure the unification of Germany.

He negotiated with representatives of the southern German states,
offering special concessions if they agreed to unification. The
negotiations succeeded; patriotic sentiment overwhelmed what
opposition remained. While the war was in its final phase, Wilhelm I
of Prussia was proclaimed German Emperor on January 18, 1871 in
the Hall of Mirrors in the Châ teau de V ersailles. The new German
Empire was a federation; each of its 25 constituent states (kingdoms,
grand duchies, duchies, principalities, and free cities) retained some
autonomy. The King of Prussia, as German Emperor, was not
sovereign over the entirety of Germany; he was only primus inter
pares, or first among equals.
V ictory in the Franco-Prussian War proved the capstone of the

nationalist issue. In the first half of the 1860s, Austria and Prussia
both contended to speak for the German states; both maintained
they could support German interests abroad and protect German
interests at home. After the victory over Austria in 1866, Prussia
began internally asserting its authority to speak for the German
states and defend German interests, while Austria began directing
more of its attention to possessions in the Balkans. The victory over
France in 1871 expanded Prussian hegemony in the German states
to the international level. With the proclamation of Wilhelm as Kaiser,
Prussia assumed the leadership of the new empire. The southern
states became officially incorporated into a unified Germany at the
Treaty of V ersailles of 1871 (signed February 26, 1871; later ratified
in the Treaty of Frankfurt of May 10, 1871), which formally ended the
war.
Under the Treaty of Frankfurt, France relinquished most of its

traditionally German regions (Alsace and the German-speaking part
of Lorraine); paid an indemnity, calculated (on the basis of
population) as the precise equivalent of the indemnity that Napoleon
Bonaparte imposed on Prussia in 1807; and accepted German
administration of Paris and most of northern France, with "German
troops to be withdrawn stage by stage with each installment of the
indemnity payment."
The Unification of Germany: The
German Empire
18 January 1871: The proclamation of the German Empire in the
Hall of Mirrors at the Palace of V ersailles. Otto von Bismarck
appears in white in the center. The Grand Duke of Baden stands
beside Wilhelm I, proclaimed here as German Emperor, leading the
cheers. Crown Prince Friedrich, later Friedrich III, stands on his
father's right. Painting by Anton von Werner.
18 January 1871: The proclamation of the German Empire in the

Hall of Mirrors at the Palace of V ersailles. A large group of men, in
formal military uniforms, gathered to proclaim the German Empire.
Bismarck appears in white. The Grand Duke of Baden stands beside
Wilhelm, leading the cheers. Crown Prince Friedrich, later Friedrich
III, stands on his father's right. Painting by Anton von Werner.
24.4.5 : The German Empire

After the French defeat in the Franco-Prussian War, the German
princes proclaimed the founding of the German Empire in 1871 at
V ersailles, uniting all scattered parts of Germany except Austria.
Learning Objective
Examine the structure of the newly formed German Empire and the
role of the Kaiser
Key Points
On December 10, 1870, the North German Confederation
Reichstag renamed the Confederation as the German Empire
and gave the title of German Emperor to William I, the King of
Prussia.
Following the unification of Germany, Bismarck's foreign policy
as Chancellor of Germany under Emperor William I secured
Germany's position as a great nation by forging alliances,
isolating France by diplomatic means, and avoiding war.
On the domestic front Bismarck tried to stem the rise of
socialism by anti-socialist laws, combined with an introduction of
health care and social security.
In 1888, the young and ambitious Kaiser Wilhelm II became
emperor and dismissed Bismarck as Chancellor, moving
Germany on a different course.
Under Wilhelm II, Germany, like other European powers, took
an imperialistic course, leading to friction with neighboring
countries.
Wilhelm II promoted active colonization of Africa and Asia for
those areas that were not already colonies of other European
powers; his administration of the colonies was notoriously brutal.
The Kaiser's approach in Europe eventually led to the
assassination of the Austrian-Hungarian crown prince, sparking
World War I.
Key Terms
Reichstag
The Parliament of Germany from 1871 to 1918. It shared
legislative powers with the Bundesrat, the Imperial Council of
the reigning princes of the German States. It had no formal right
to appoint or dismiss governments, but by contemporary
standards it was considered a highly modern and progressive
parliament. All German men over 25 years of age were eligible
to vote, and members of were elected by general, universal, and
secret suffrage.
Kaiser Wilhelm II
The last German Emperor (Kaiser) and King of Prussia, ruling

the German Empire and the Kingdom of Prussia from June 1888
to November 1918. He dismissed the Chancellor Otto von
Bismarck, in 1890 and launched Germany on a bellicose "New
Course" in foreign affairs that culminated in his support for
Austria-Hungary in the crisis of July 1914 that led in a matter of
days to the First World War.
Otto von Bismarck
A conservative Prussian statesman who dominated German and

European affairs from the 1860s until 1890. In the 1860s he
engineered a series of wars that unified the German states,
significantly and deliberately excluding Austria, into a powerful
German Empire under Prussian leadership. With that
accomplished by 1871, he skillfully used balance of power
diplomacy to maintain Germany's position in a Europe which,
despite many disputes and war scares, remained at peace.
The German Empire (officially Deutsches Reich) was the historical

German nation state that existed from the unification of Germany in
1871 to the abdication of Kaiser Wilhelm II in November 1918, when
Germany became a federal republic (the Weimar Republic).
The German Empire consisted of 26 constituent territories, most

ruled by royal families. This included four kingdoms, six grand
duchies, five duchies (six before 1876), seven principalities, three
free Hanseatic cities, and one imperial territory. Although the
Kingdom of Prussia contained most of the Empire's population and
territory, it eventually played a relatively lesser role in politics. As
Dwyer (2005) points out, Prussia's "political and cultural influence
had diminished considerably" by the 1890s, after the era of
Bismarck's leadership.
After Germany was united by Otto von Bismarck into the "German
Reich," he dominated German politics until 1890 as Chancellor.
Bismarck tried to foster alliances in Europe to contain France and
consolidate Germany's influence in Europe. Bismarck's post-1871
foreign policy was conservative and sought to preserve the balance
of power in Europe. British historian Eric Hobsbawm concludes that
he "remained undisputed world champion at the game of multilateral
diplomatic chess for almost twenty years after 1871, [ devoting]
himself exclusively, and successfully, to maintaining peace between
the powers." His chief concern was that France would plot revenge
after its defeat in the Franco-Prussian War. As the French lacked the
strength to defeat Germany by themselves, they sought an alliance
with Russia that would trap Germany between the two in a war (as
would ultimately happen in 1914). Bismarck wanted to prevent this at
all costs and maintain friendly relations with the Russians, and
thereby formed an alliance with them and Austria-Hungary. The
League of Three Emperors was signed in 1872 by Russia, Austria,
and Germany. It stated that republicanism and socialism were
common enemies and that the three powers would discuss any
matters concerning foreign policy.
Bismarck's domestic policies played an important role in forging the

authoritarian political culture of the new Empire. Less preoccupied by
continental power politics following unification in 1871, Germany's
semi-parliamentary government carried out a relatively smooth
economic and political revolution from above that pushed them along
the way to becoming the world's leading industrial power of the time.
Bismarck's "revolutionary conservatism" was a conservative state-

building strategy designed to make ordinary Germans—not just the
Junker elite—more loyal to state and emperor. His strategy was to
grant social rights to enhance the integration of a hierarchical
society, forge a bond between workers and the state to strengthen
the latter, maintain traditional relations of authority between social
and status groups, and provide a countervailing power against the
modernist forces of liberalism and socialism. He created the modern
welfare state in Germany in the 1880s, with an introduction of health
care and social security, and enacted universal male suffrage in the
new German Empire in 1871. He became a great hero to German
conservatives, who erected many monuments to his memory and
tried to emulate his policies.
At the same time Bismarck tried to reduce the political influence of

the emancipated Catholic minority in the Kulturkampf, literally
"culture struggle." The Catholics only grew stronger, forming the
Center (Z entrum) Party. Germany grew rapidly in industrial and
economic power, matching Britain by 1900. Its highly professional
army was the best in the world, but the navy could never catch up
with Britain's Royal Navy.
In 1888, the young and ambitious Kaiser Wilhelm II became

emperor. He could not abide advice, least of all from the most
experienced politician and diplomat in Europe, so he fired Bismarck.
The Kaiser opposed Bismarck's careful foreign policy and wanted
Germany to pursue colonialist policies as Britain and France had
been doing for decades, as well as build a navy that could match the
British. The Kaiser promoted active colonization of Africa and Asia
for those areas that were not already colonies of other European
powers; his record was notoriously brutal and set the stage for
genocide. In what became known as the "First Genocide of the
Twentieth-Century," between 1904 and 1907, the German colonial
government in South-West Africa (present-day Namibia) ordered the
annihilation of the local Herero and Namaqua peoples as a punitive
measure for an uprising against German colonial rule, killing over
100,000 people. The Kaiser took a mostly unilateral approach in
Europe with the Austro-Hungarian Empire as its main ally, and an
arms race with Britain eventually led to the assassination of the
Austrian-Hungarian crown prince sparked World War I.
After four years of warfare in which approximately two million

German soldiers were killed, a general armistice ended the fighting
on November 11, and German troops returned home. In the German
Revolution (November 1918), Emperor Wilhelm II and all German
ruling princes abdicated their positions and responsibilities, marking
the beginning of the Weimar Republic. Germany's new political
leadership signed the Treaty of V ersailles in 1919.
The Kulturk am p f
Tensions between Germany and the Catholic Church hierarchy are
depicted in a chess game between Bismarck and Pope Pius IX .
Cartoon from 1875.
A political cartoon depicting a chess game between Bismarck and

the Catholic Pope.
Political Structure
On December 10, 1870, the North German Confederation Reichstag
renamed the Confederation as the German Empire and gave the title
of German Emperor to William I, the King of Prussia. The new
constitution (Constitution of the German Confederation) and the title
Emperor came into effect on January 1, 1871. During the Siege of
Paris on January 18, 1871, William accepted to be proclaimed
Emperor in the Hall of Mirrors at the Palace of V ersailles.
The second German Constitution was adopted by the Reichstag on

April 14, 1871, and proclaimed by the Emperor on April 16. It was
substantially based upon Bismarck's North German Constitution.
The political system remained the same. The empire had a
parliament called the Reichstag, which was elected by universal
male suffrage. However, the original constituencies drawn in 1871
were never redrawn to reflect the growth of urban areas. As a result,
by the time of the great expansion of German cities in the 1890s and
first decade of the 20th century, rural areas were grossly over-
represented.
Legislation also required the consent of the Bundesrat, the federal

council of deputies from the 27 states. Executive power was vested
in the emperor, or K aiser, who was assisted by a chancellor
responsible only to him. The emperor was given extensive powers
by the constitution. He alone appointed and dismissed the chancellor
(which in practice was used by the emperor to rule the empire
through him), was supreme commander-in-chief of the armed forces,
final arbiter of all foreign affairs, and could disband the Reichstag to
call for new elections. Officially, the chancellor was a one-man
cabinet and was responsible for the conduct of all state affairs; in
practice, the State Secretaries (bureaucratic top officials in charge of
such fields as finance, war, foreign affairs, etc.) acted as unofficial
portfolio ministers. The Reichstag had the power to pass, amend, or
reject bills and initiate legislation. However, as mentioned above, in
practice the real power was vested in the emperor, who exercised it
through his chancellor.
Although nominally a federal empire and league of equals, in
practice the empire was dominated by the largest and most powerful
state, Prussia. It stretched across the northern two-thirds of the new
Reich, and contained three-fifths of its population. The imperial
crown was hereditary in the House of Hohenzollern, the ruling house
of Prussia. With the exception of the years 1872–1873 and 1892–
1894, the chancellor was always simultaneously the prime minister
of Prussia. With 17 out of 58 votes in the Bundesrat, Berlin needed
only a few votes from the small states to exercise effective control.
The other states retained their own governments, but had only
limited aspects of sovereignty. For example, both postage stamps
and currency were issued for the empire as a whole.
Attributions
The German Confederation
"History of Germany."
https://en.wikipedia.org/wiki/History_of_Germany. Wikipedia
CC BY-SA 3.0.
"German Confederation."
https://en.wikipedia.org/wiki/German_Confederation.
"German_Confederation_1815.svg."
https://commons.wikimedia.org/wiki/File:German_Confeder
ation_1815.svg. Wikimedia Commons CC BY-SA 3.0.
Toward a German Identity
CC BY-SA 3.0.
"Unification of Germany."
https://en.wikipedia.org/wiki/Unification_of_Germany.
"Nationalism." https://en.wikipedia.org/wiki/Nationalism.
"Germany." https://en.wikipedia.org/wiki/Germany.
"Philipp_V eit_008.jpg."
https://commons.wikimedia.org/wiki/File:Philipp_V eit_008.jp
g. Wikimedia Commons Public domain.
The German Revolutions of 1848
"Frankfurt Parliament."
https://en.wikipedia.org/wiki/Frankfurt_Parliament.
"German revolutions of 1848–49."
https://en.wikipedia.org/wiki/German_revolutions_of_1848-
"Maerz1848_berlin.jpg."
https://commons.wikimedia.org/wiki/File:Maerz1848_berlin.j
Otto von Bismarck and the Franco-Prussian War
"Franco-Prussian War." https://en.wikipedia.org/wiki/Franco-
Prussian_War. Wikipedia CC BY-SA 3.0.
"Otto von Bismarck."
https://en.wikipedia.org/wiki/Otto_von_Bismarck. Wikipedia
CC BY-SA 3.0.
"Unification of Germany."
https://en.wikipedia.org/wiki/Unification_of_Germany.
"Wernerprokla.jpg."
https://commons.wikimedia.org/wiki/File:Wernerprokla.jpg.
The German Empire
CC BY-SA 3.0.
"German Empire."
https://en.wikipedia.org/wiki/German_Empire. Wikipedia CC
BY-SA 3.0.
"Germany." https://en.wikipedia.org/wiki/Germany.
"Kladderadatsch_1875_-_Zwischen_Berlin_und_Rom.png."
https://commons.wikimedia.org/wiki/File:Kladderadatsch_18
75_-_Zwischen_Berlin_und_Rom.png. Wikimedia
25 : The Industrial Revolution
25 .1: The Agricultural
Revolution
25 .1.1: New Agricultural Practices
The Agricultural Revolution, the unprecedented increase in
agricultural production in Britain between the mid-17th and late 19th
centuries, was linked to such new agricultural practices as crop
rotation, selective breeding, and a more productive use of arable
land.
Learning Objective
Trace the development of new agricultural techniques
Key Points
The Agricultural Revolution was the unprecedented increase in
agricultural production in Britain due to increases in labor and
land productivity between the mid-17th and late 19th centuries.
However, historians continue to dispute whether the
developments leading to the unprecedented agricultural growth
can be seen as "a revolution," since the growth was, in fact, a
result of a series of significant changes that took place over a
long period of time.
One of the most important innovations of the Agricultural
Revolution was the development of the Norfolk four-course
rotation, which greatly increased crop and livestock yields by
improving soil fertility and reducing fallow. Crop rotation is the
practice of growing a series of dissimilar types of crops in the
same area in sequential seasons to help restore plant nutrients
and mitigate the build-up of pathogens and pests that often
occurs when one plant species is continuously cropped.
Following a two-field crop rotation system common in the Middle
Ages and a three-year three field crop rotation routine employed
later, the regular planting of legumes such as peas and beans in
the fields that were previously fallow became central and slowly
restored the fertility of some croplands. In the end, it was the
farmers in Flanders (in parts of France and current day Belgium)
that discovered a still more effective four-field crop rotation
system, using turnips and clover (a legume) as forage crops to
replace the three-year crop rotation fallow year.
The four-field rotation system allowed farmers to restore soil
fertility and restore some of the plant nutrients removed with the
crops. Turnips first show up in the probate records in England as
early as 1638 but were not widely used until about 1750. Fallow
land was about 20% of the arable area in England in 1700
before turnips and clover were extensively grown. Guano and
nitrates from South America were introduced in the mid-19th
century and fallow steadily declined to reach only about 4% in
1900.
In the mid-18th century, two British agriculturalists, Robert
Bakewell and Thomas Coke, introduced selective breeding as a
scientific practice and used inbreeding to stabilize certain
qualities in order to reduce genetic diversity. Bakewell was also
the first to breed cattle to be used primarily for beef.
Certain practices that contributed to a more productive use of
land intensified, such as converting some pasture land into
arable land and recovering fen land and pastures. Other
developments came from Flanders and the Netherlands, the
region that became a pioneer in canal building, soil restoration
and maintenance, soil drainage, and land reclamation
technology. Finally, water-meadows were utilized in the late 16th
to the 20th centuries and allowed earlier pasturing of livestock
after they were wintered on hay.
Key Terms
Industrial Revolution
The transition to new manufacturing processes in the period

from about 1760 to sometime between 1820 and 1840. This
transition included going from hand production methods to
machines, new chemical manufacturing and iron production
processes, improved efficiency of water power, the increasing
use of steam power, the development of machine tools, and the
rise of the factory system.
crop rotation
The practice of growing a series of dissimilar or different types

of crops in the same area in sequenced seasons so that the
soil of farms is not used to only one type of nutrient. It helps in
reducing soil erosion and increases soil fertility and crop yield.
common field system
A system of land ownership in which land is owned collectively

by a number of persons, or by one person with others having
certain traditional rights, such as to allow their livestock to graze
upon it, collect firewood, or cut turf for fuel.
Agricultural Revolution
The unprecedented increase in agricultural production in Britain

due to increases in labor and land productivity between the mid-
17th and late 19th centuries. Agricultural output grew faster than
the population over the century to 1770 and thereafter
productivity remained among the highest in the world.
The Agricultural Revolution was the unprecedented increase in
agricultural production in Britain due to increases in labor and land
productivity between the mid-17th and late 19th centuries.
Agricultural output grew faster than the population over the century
to 1770 and thereafter productivity remained among the highest in
the world. This increase in the food supply contributed to the rapid
growth of population in England and Wales, from 5.5 million in 1700
to over 9 million by 1801, although domestic production gave way to
food imports in the 19th century as population more than tripled to
over 32 million. The rise in productivity accelerated the decline of the
agricultural share of the labor force, adding to the urban workforce
on which industrialization depended. The Agricultural Revolution has
therefore been cited as a cause of the Industrial Revolution.
However, historians also continue to dispute whether the
developments leading to the unprecedented agricultural growth can
be seen as "a revolution," since the growth was, in fact, a result of a
series of significant changes over a her long period of time.
Consequently, the question of when exactly such a revolution took
place and of what it consisted remains open.
Crop Rotation
One of the most important innovations of the Agricultural Revolution
was the development of the Norfolk four-course rotation, which
greatly increased crop and livestock yields by improving soil fertility
and reducing fallow.
Crop rotation is the practice of growing a series of dissimilar types of

crops in the same area in sequential seasons to help restore plant
nutrients and mitigate the build-up of pathogens and pests that often
occurs when one plant species is continuously cropped. Rotation
can also improve soil structure and fertility by alternating deep-
rooted and shallow-rooted plants. The Norfolk System, as it is now
known, rotates crops so that different crops are planted with the
result that different kinds and quantities of nutrients are taken from
the soil as the plants grow. An important feature of the Norfolk four-
field system was that it used labor at times when demand was not at
peak levels. Planting cover crops such as turnips and clover was not
permitted under the common field system because they interfered
with access to the fields and other people's livestock could graze the
turnips.
During the Middle Ages, the open field system initially used a two-
field crop rotation system where one field was left fallow or turned
into pasture for a time to try to recover some of its plant nutrients.
Later, a three-year three-field crop rotation routine was employed,
with a different crop in each of two fields, e.g. oats, rye, wheat, and
barley with the second field growing a legume like peas or beans,
and the third field fallow. Usually from 10–30% of the arable land in a
three-crop rotation system is fallow. Each field was rotated into a
different crop nearly every year. Over the following two centuries, the
regular planting of legumes such as peas and beans in the fields that
were previously fallow slowly restored the fertility of some croplands.
The planting of legumes helped to increase plant growth in the
empty field due to the bacteria on legume roots' ability to fix nitrogen
from the air into the soil in a form that plants could use. Other crops
that were occasionally grown were flax and members of the mustard
family. The practice of convertible husbandry, or the alternation of a
field between pasture and grain, introduced pasture into the rotation.
Because nitrogen builds up slowly over time in pasture, plowing
pasture and planting grains resulted in high yields for a few years. A
big disadvantage of convertible husbandry, however, was the hard
work that had to be put into breaking up pastures and difficulty in
establishing them.
It was the farmers in Flanders (in parts of France and current-day

Belgium) that discovered a still more effective four-field crop rotation
system, using turnips and clover (a legume) as forage crops to
replace the three-year crop rotation fallow year. The four-field
rotation system allowed farmers to restore soil fertility and restore
some of the plant nutrients removed with the crops. Turnips first
show up in the probate records in England as early as 1638 but were
not widely used until about 1750. Fallow land was about 20% of the
arable area in England in 1700 before turnips and clover were
extensively grown. Guano and nitrates from South America were
introduced in the mid-19th century and fallow steadily declined to
reach only about 4% in 1900. Ideally, wheat, barley, turnips, and
clover would be planted in that order in each field in successive
years. The turnips helped keep the weeds down and were an
excellent forage crop—ruminant animals could eat their tops and
roots through a large part of the summer and winters. There was no
need to let the soil lie fallow as clover would add nitrates (nitrogen-
containing salts) back to the soil. The clover made excellent pasture
and hay fields as well as green manure when it was plowed under
after one or two years. The addition of clover and turnips allowed
more animals to be kept through the winter, which in turn produced
more milk, cheese, meat, and manure, which maintained soil fertility.
Charles 'Turnip' Townshend,
agriculturalist who was a great
enthusiast of four-field crop
rotation and the cultivation of turnips.
Townshend is often mentioned, together with Jethro Tull, Robert
Bakewell, and others, as a major figure in England’s Agricultural
Revolution, contributing to adoption of agricultural practices that
supported the increase in Britain’s population between 1700 and
1850.
Portrait of Charles Townshend

Other Practices
In the mid-18th century, two British agriculturalists, Robert Bakewell
and Thomas Coke, introduced selective breeding as a scientific
practice (mating together two animals with particularly desirable
characteristics) and using inbreeding (the mating of close relatives)
to stabilize certain qualities in order to reduce genetic diversity.
Arguably, Bakewell's most important breeding program was with
sheep. Using native stock, he was able to quickly select for large, yet
fine-boned sheep with long, lustrous wool. Bakewell was also the
first to breed cattle to be used primarily for beef. Previously, cattle
were first and foremost kept for pulling plows as oxen or for dairy
uses, with beef from surplus males as an additional bonus. As more
and more farmers followed Bakewell's lead, farm animals increased
dramatically in size and quality.
Certain practices that contributed to a more productive use of land

intensified, for example converting some pasture land into arable
land and recovering fen land and some pastures. It is estimated that
the amount of arable land in Britain grew by 10-30% through these
land conversions. Other developments came from Flanders and and
the Netherlands, where due to the large and dense population,
farmers were forced to take maximum advantage of every bit of
usable land. The region became a pioneer in canal building, soil
restoration and maintenance, soil drainage, and land reclamation
technology. Dutch experts like Cornelius V ermuyden brought some
of this technology to Britain. Finally, water-meadows were utilized in
the late 16th to the 20th centuries and allowed earlier pasturing of
livestock after they were wintered on hay. This increased livestock
yields, giving more hides, meat, milk, and manure as well as better
hay crops.
25 .1.2: New Agricultural Tools

An important factor of the Agricultural Revolution was the invention
of new tools and advancement of old ones, including the plough,
seed drill, and threshing machine, to improve the efficiency of
agricultural operations.
Learning Objective
Identify some of the new tools developed as part of the Agricultural
Revolution
Key Points
The mechanization and rationalization of agriculture was a key
factor of the Agricultural Revolution. New tools were invented
and old ones perfected to improve the efficiency of various
agricultural operations.
The Dutch plough was brought to Britain by Dutch contractors.
In 1730, Joseph Foljambe in Rotherham, England, used new
shapes as the basis for the Rotherham plough, which also
covered the moldboard with iron. By 1770, it was the cheapest
and best plough available. It spread to Scotland, America, and
France. It may have been the first plough to be widely built in
factories and the first to be commercially successful.
In 1789 Robert Ransome started casting ploughshares in a
disused malting at St. Margaret's Ditches. As a result of a
mishap in his foundry, a broken mold caused molten metal to
come into contact with cold metal, making the metal surface
extremely hard — chilled casting — which he advertised as "self
sharpening" ploughs and received patents for his discovery.
James Small further advanced the design. Using mathematical
methods, he experimented with various designs until he arrived
at a shape cast from a single piece of iron, an improvement on
the Scots plough of James Anderson of Hermiston.
The seed drill was invented in China in the 2nd century BCE
and introduced to Italy in the mid-16th century. First attributed to
Camillo Torello, it was patented by the V enetian Senate in 1566.
In England, it was further refined by Jethro Tull in 1701. Tull's
drill was a mechanical seeder that sowed efficiently at the
correct depth and spacing and then covered the seed so that it
could grow. However, seed drills of this and successive types
were expensive, unreliable, and fragile.
A threshing machine or thresher is a piece of farm equipment
that threshes grain: removes the seeds from the stalks and
husks. Mechanization of this process removed a substantial
amount of drudgery from farm labor. The first threshing machine
was invented circa 1786 by the Scottish engineer Andrew
Meikle, and the subsequent adoption of such machines was one
of the earlier examples of the mechanization of agriculture.
Key Terms
plough
A tool or farm implement for initial cultivation of soil in

preparation for sowing seed or planting. It has been a basic
instrument for most of recorded history, although written
references do not appear in English until c. 1100, after which it
is referenced frequently. Its construction was highly advanced
during the Agricultural Revolution.
seed drill
A device that sows the seeds for crops by metering out

individual seeds, positioning them in the soil, and covering them
to a certain average depth. It sows the seeds at equal distances
and proper depth, ensuring they get covered with soil and are
saved from being eaten by birds. Invented in China in the 2nd
century BCE, it was advanced by Europeans in the 16th and
17th centuries, becoming an important development of the
Agricultural Revolution.
threshing machine
A piece of farm equipment that threshes grain, that is, removes
the seeds from the stalks and husks. It does so by beating the
plant to make the seeds fall out. The first model was invented
circa 1786 by the Scottish engineer Andrew Meikle, and the
subsequent adoption of such machines was one of the earlier
examples of the mechanization of agriculture.
Agricultural Revolution:
Mechaniz ation
The mechanization and rationalization of agriculture was a key factor
of the Agricultural Revolution. New tools were invented and old ones
perfected to improve the efficiency of various agricultural operations.
The basic plough with coulter, ploughshare, and moldboard

remained in use for a millennium. Major changes in design did not
become common until the Age of Enlightenment, when there was
rapid progress. The Dutch acquired the iron tipped, curved
moldboard, adjustable depth plough from the Chinese in the early
17th century. It had the ability to be pulled by one or two oxen
compared to the six or eight needed by the heavy-wheeled northern
European plough. The Dutch plough was brought to Britain by Dutch
contractors hired to drain East Anglian fens and Somerset moors.
The plough was extremely successful on wet, boggy soil, but soon
was used on ordinary land. In 1730, Joseph Foljambe in
Rotherham, England, used new shapes as the basis for the
Rotherham plough, which also covered the moldboard with iron.
Unlike the heavy plough, the Rotherham (or Rotherham swing)
plough consisted entirely of the coulter, moldboard, and handles. By
the 1760s Foljambe was making large numbers of these ploughs in a
factory outside of Rotherham, using standard patterns with
interchangeable parts. The plough was easy for a blacksmith to
make and by the end of the 18th century it was being made in rural
foundries. By 1770, it was the cheapest and best plough available. It
spread to Scotland, America, and France. It may have been the first
plough to be widely built in factories and the first to be commercially
successful.
In 1789 Robert Ransome, an iron founder in Ipswich, started casting

ploughshares in a disused malting at St. Margaret's Ditches. As a
result of a mishap in his foundry, a broken mold caused molten metal
to come into contact with cold metal, making the metal surface
extremely hard — chilled casting — which he advertised as "self
sharpening" ploughs and received patents for his discovery. In 1789,
Ransomes, Sims & Jefferies was producing 86 plough models for
different soils.
James Small further advanced the design. Using mathematical

methods, he experimented with various designs until he arrived at a
shape cast from a single piece of iron, an improvement on the Scots
plough of James Anderson of Hermiston. A single-piece cast iron
plough was also developed and patented by Charles Newbold in the
United States. This was again improved on by Jethro Wood, a
blacksmith of Scipio, New York, who made a three-part Scots Plough
that allowed a broken piece to be replaced.
The seed drill was introduced from China, where it was invented in
the 2nd century BCE, to Italy in the mid-16th century. First attributed
to Camillo Torello, it was patented by the V enetian Senate in 1566. A
seed drill was described in detail by Tadeo Cavalina of Bologna in
1602. In England, it was further refined by Jethro Tull in 1701. Before
the introduction of the seed drill, the common practice was to plant
seeds by broadcasting (evenly throwing) them across the ground by
hand on the prepared soil and then lightly harrowing the soil to cover
the seed. Seeds left on top of the ground were eaten by birds,
insects, and mice. There was no control over spacing and seeds
were planted too close together and too far apart. Alternately seeds
could be laboriously planted one by one using a hoe and/or a shovel.
Cutting down on wasted seed was important because the yield of
seeds harvested to seeds planted at that time was around four or
five. Tull's drill was a mechanical seeder that sowed efficiently at the
correct depth and spacing and then covered the seed so that it could
grow. However, seed drills of this and successive types were both
expensive and unreliable, as well as fragile. They would not come
into widespread use in Europe until the mid-19th century. Early drills
were small enough to be pulled by a single horse, and many of these
remained in use into the 1930s.
J ethro Tull's seed drill ( Horse-hoeing
husbandry, 4th edition, 17 62.
In his 1731 publication, Tull described how the motivation for
developing the seed-drill arose from conflict with his servants. He
struggled to enforce his new methods upon them, in part because
they resisted the threat to their position as laborers and skill with the
plough. He also invented machinery for the purpose of carrying out
his system of drill husbandry, about 1733. His first invention was a
drill-plough to sow wheat and turnip seed in drills, three rows at a
time.
A threshing machine or thresher is a piece of farm equipment that

threshes grain: removes the seeds from the stalks and husks by
beating the plant to make the seeds fall out. Before such machines
were developed, threshing was done by hand with flails and was
very laborious and time-consuming, taking about one-quarter of
agricultural labor by the 18th century. Mechanization of this process
removed a substantial amount of drudgery from farm labor. The first
threshing machine was invented circa 1786 by the Scottish engineer
Andrew Meikle and the subsequent adoption of such machines was
one of the earlier examples of the mechanization of agriculture.
25 .1.3: The Enclosure Act

Enclosure, or the process that ended traditional rights on common
land formerly held in the open field system and restricted the use of
land to the owner, is one of the causes of the Agricultural Revolution
and a key factor behind the labor migration from rural areas to
gradually industrializing cities.
Learning Objective
Interpret the consequences of enclosure
Key Points
Common land is owned collectively by a number of persons or
by one person with others holding certain traditional rights, such
as to allow their livestock to graze upon it, collect firewood, or
cut turf for fuel. A person who has a right in or over common
land jointly with others is called a commoner.
Most of the medieval common land of England was lost due to
enclosure. In English social and economic history, enclosure
was the process that ended traditional rights on common land
formerly held in the open field system. Once enclosed, these
land uses were restricted to the owner, and the land ceased to
be for the use of commoners.
The process of enclosure became a widespread feature of the
English agricultural landscape during the 16th century. By the
19th century, unenclosed commons became largely restricted to
large rough pastures in mountainous areas and relatively small
residual parcels of land in the lowlands.
Enclosure could be accomplished by buying the ground rights
and all common rights to accomplish exclusive rights of use,
which increased the value of the land. The other method was by
passing laws causing or forcing enclosure, such as
parliamentary enclosures. The latter process was sometimes
accompanied by force, resistance, and bloodshed, and remains
among the most controversial areas of agricultural and
economic history in England.
Parliamentary enclosures consolidated strips in the open fields
into more compact units and enclosed much of the remaining
pasture commons or wastes. They usually provided commoners
with some other land in compensation for the loss of common
rights, although this was often of poor quality and limited extent.
They were also used for the division and privatization of
common "wastes" (in the original sense of uninhabited places).
V oluntary enclosure was also frequent at that time.
Enclosure faced a great deal of popular resistance because of
its effects on the household economies of smallholders and
landless laborers, who were often pushed out of the rural areas.
Enclosure is also considered one of the causes of the
Agricultural Revolution. Enclosed land was under control of the
farmer, who was free to adopt better farming practices.
Following enclosure, crop yields and livestock output increased
while at the same time productivity increased enough to create a
surplus of labor. The increased labor supply is considered one
of the factors facilitating the Industrial Revolution.
Key Terms

from about 1760 to between 1820 and 1840. This transition
included going from hand production methods to machines, new
chemical manufacturing and iron production processes,
improved efficiency of water power, the increasing use of steam
power, the development of machine tools, and the rise of the
factory system.
common land
A system of land ownership, known also as the common field

system, in which land is owned collectively by a number of
persons, or by one person with others holding certain traditional
rights, such as to allow their livestock to graze upon it, collect
firewood, or cut turf for fuel.

Enclosure Acts
A series of United Kingdom Acts of Parliament which enclosed

open fields and common land in the country, creating legal
property rights to land that was previously considered common.
Between 1604 and 1914, over 5,200 individual acts were put
into place, enclosing 6.8 million acres.
Enclosure
The legal process in England during the 18th century of

enclosing a number of small landholdings to create one larger
farm. Once enclosed, use of the land became restricted to the
owner and it ceased to be common land for communal use. In
England and Wales, the term is also used for the process that
ended the ancient system of arable farming in open fields.
Background: Common Land

Common land is owned collectively by a number of persons, or by
one person with others holding certain traditional rights, such as to
allow their livestock to graze upon it, to collect firewood, or to cut turf
for fuel. A person who has a right in or over common land jointly with
others is called a commoner. Originally in medieval England, the
common was an integral part of the manor and thus part of the
estate held by the lord of the manor under a feudal grant from the
Crown or a superior peer, who in turn held his land from the Crown,
which owned all land. This manorial system, founded on feudalism,
granted rights of land use to different classes. These would be
appurtenant rights, meaning the ownership of rights belonged to
tenancies of particular plots of land held within a manor. A
commoner would be the person who for the time being occupied a
particular plot of land. Some rights of common were said to be in
gross, or unconnected with tenure of land. This was more usual in
regions where commons were extensive, such as in the high ground
of Northern England or on the Fens, but also included many village
greens across England and Wales.
Enclosure
Most of the medieval common land of England was lost due to
enclosure. In English social and economic history, enclosure or
inclosure was the process that ended traditional rights such as
mowing meadows for hay or grazing livestock on common land
formerly held in the open field system. Once enclosed, these uses of
the land became restricted to the owner and the land cased to be for
the use of commoners. In England and Wales, the term is also used
for the process that ended the ancient system of arable farming in
open fields. Under enclosure, such land was fenced (enclosed) and
deeded or entitled to one or more owners. The process of enclosure
became a widespread feature of the English agricultural landscape
during the 16th century. By the 19th century, unenclosed commons
were largely restricted to large areas of rough pasture in
mountainous places and relatively small residual parcels of land in
the lowlands.
Enclosure could be accomplished by buying the ground rights and all

common rights to accomplish exclusive rights of use, which
increased the value of the land. The other method was by passing
laws causing or forcing enclosure, such as parliamentary enclosure.
The latter process of enclosure was sometimes accompanied by
force, resistance, and bloodshed, and remains among the most
controversial areas of agricultural and economic history in England.
Implementation of the Acts

The more productive enclosed farms meant that fewer farmers were
needed to work the same land, leaving many villagers without land
and grazing rights. Many moved to the cities in search of work in the
emerging factories of the Industrial Revolution. Others settled in the
English colonies. English Poor Laws were enacted to help these
newly poor. Some practices of enclosure were denounced by the
Church and legislation was drawn up against it. However, the large,
enclosed fields were needed for the gains in agricultural productivity
from the 16th to 18th centuries. This controversy led to a series of
government acts, culminating in the General Enclosure Act of 1801,
which sanctioned large-scale land reform.
The Act of 1801 was one of many parliamentary enclosures that

consolidated strips in the open fields into more compact units and
enclosed much of the remaining pasture commons or wastes.
Parliamentary enclosures usually provided commoners with some
other land in compensation for the loss of common rights, although
often of poor quality and limited extent. They were also used for the
division and privatization of common "wastes" (in the original sense
of uninhabited places), such as fens, marshes, heathland, downland,
and moors. V oluntary enclosure was also frequent at that time.
Conjectural map of a medieval
English manor. The part allocated to
" common pasture" is shown in the
north-east section, shaded green.
W illiam R. Shepherd, Historical A tlas,
New Y ork, Henry Holt and Company,
1923.
After 1529, the problem of untended farmland disappeared with the
rising population. There was a desire for more arable land along with
antagonism toward the tenant-graziers with their flocks and herds.
Increased demand along with a scarcity of tillable land caused rents
to rise dramatically in the 1520s to mid-century. There were popular
efforts to remove old enclosures and much legislation of the 1530s
and 1540s concerns this shift. Angry tenants impatient to reclaim
pastures for tillage were illegally destroying enclosures.
Consequences
The primary benefits to large land holders came from increased
value of their own land, not from expropriation. Smaller holders could
sell their land to larger ones for a higher price post enclosure.
Protests against parliamentary enclosures continued, sometimes
also in Parliament, frequently in the villages affected, and sometimes
as organized mass revolts. Enclosed land was twice as valuable, a
price that could be sustained by its higher productivity. While many
villagers received plots in the newly enclosed manor, for small
landholders this compensation was not always enough to offset the
costs of enclosure and fencing. Many historians believe that
enclosure was an important factor in the reduction of small
landholders in England as compared to the Continent, although
others believe that this process began earlier.
Enclosure faced a great deal of popular resistance because of its

effects on the household economies of smallholders and landless
laborers. Common rights had included not just the right of cattle or
sheep grazing, but also the grazing of geese, foraging for pigs,
gleaning, berrying, and fuel gathering. During the period of
parliamentary enclosures, employment in agriculture did not fall, but
failed to keep pace with the growing population. Consequently, large
numbers of people left rural areas to move into the cities where they
became laborers in the Industrial Revolution.
Enclosure is considered one of the causes of the British Agricultural

Revolution. Enclosed land was under control of the farmer, who was
free to adopt better farming practices. There was widespread
agreement in contemporary accounts that profit making opportunities
were better with enclosed land. Following enclosure, crop yields and
livestock output increased while at the same time productivity
increased enough to create a surplus of labor. The increased labor
supply is considered one of the factors facilitating the Industrial
Revolution.
25 .1.4: Effects of the Agricultural

Revolution
The increase in agricultural production and technological
advancements during the Agricultural Revolution contributed to
unprecedented population growth and new agricultural practices,
triggering such phenomena as rural-to-urban migration, development
of a coherent and loosely regulated agricultural market, and
emergence of capitalist farmers.
Learning Objective
Infer some major social and economic outcomes of the Agricultural
Revolution
Key Points
The Agricultural Revolution in Britain proved to be a major
turning point, allowing population to far exceed earlier peaks
and sustain the country's rise to industrial preeminence. It is
estimated that total agricultural output grew 2.7-fold between
1700 and 1870 and output per worker at a similar rate. The
Agricultural Revolution gave Britain the most productive
agriculture in Europe, with 19th-century yields as much as 80%
higher than the Continental average.
The increase in the food supply contributed to the rapid growth
of population in England and Wales, from 5.5 million in 1700 to
over 9 million by 1801, although domestic production gave way
increasingly to food imports in the 19th century as population
more than tripled to over 32 million.
The rise in productivity accelerated the decline of the agricultural
share of the labor force, adding to the urban workforce on which
industrialization depended. The Agricultural Revolution has
therefore been cited as a cause of the Industrial Revolution. As
enclosure deprived many of access to land or left farmers with
plots too small and of poor quality, increasing numbers of
workers had no choice but migrate to the city. However, mass
rural flight did not take place until the Industrial Revolution was
already underway.
The most important development between the 16th century and
the mid-19th century was the development of private marketing.
By the 19th century, marketing was nationwide and the vast
majority of agricultural production was for market rather than for
the farmer and his family.
The next stage of development was trading between markets,
requiring merchants, credit and forward sales, and knowledge of
markets and pricing as well as of supply and demand in different
markets. Eventually the market evolved into a national one
driven by London and other growing cities. Commerce was
aided by the expansion of roads and inland waterways.
With the development of regional markets and eventually a
national market aided by improved transportation
infrastructures, farmers were no longer dependent on their local
markets. This freed them from having to lower prices in an
oversupplied local market and the inability to sell surpluses to
distant localities experiencing shortages. They also became less
subject to price fixing regulations. Farming became a business
rather than solely a means of subsistence.
Key Terms
enclosure
The legal process in England during the 18th century of

enclosing a number of small landholdings to create one larger
farm. Once enclosed, use of the land became restricted to the
owner and ceased to be common land for communal use. In
England and Wales, the term is also used for the process that
ended the ancient system of arable farming in open fields.
rural flight
The migratory pattern of peoples from rural areas into urban

areas. It is urbanization seen from the rural perspective.

from about 1760 to between 1820 and 1840. This transition
included going from hand production methods to machines, new
chemical manufacturing and iron production processes,
improved efficiency of water power, the increasing use of steam
power, the development of machine tools and the rise of the
factory system.

Significance of the Agricultural

Revolution
The Agricultural Revolution in Britain proved to be a major turning
point, allowing population to far exceed earlier peaks and sustain the
country's rise to industrial preeminence. Although evidence-based
advice on farming began to appear in England in the mid-17th
century, the overall agricultural productivity of Britain grew
significantly only later. It is estimated that total agricultural output
grew 2.7-fold between 1700 and 1870 and output per worker at a
similar rate. The Agricultural Revolution gave Britain at the time the
most productive agriculture in Europe, with 19th-century yields as
much as 80% higher than the Continental average. Even as late as
1900, British yields were rivaled only by Denmark, the Netherlands,
and Belgium. But Britain's lead eroded as European countries
experienced their own agricultural revolutions, raising grain yields on
average by 60% in the century preceding World War I. Interestingly,
the Agricultural Revolution in Britain did not result in overall
productivity per hectare of agriculture that would rival productivity in
China, where intensive cultivation (including multiple annual cropping
in many areas) had been practiced for many centuries. Towards the
end of the 19th century, the substantial gains in British agricultural
productivity were rapidly offset by competition from cheaper imports,
made possible by the exploitation of colonies and advances in
transportation, refrigeration, and other technologies.
Social Impact
The increase in the food supply contributed to the rapid growth of
population in England and Wales, from 5.5 million in 1700 to over 9
million by 1801, although domestic production gave way increasingly
to food imports in the 19th century as population more than tripled to
over 32 million. The rise in productivity accelerated the decline of the
agricultural share of the labor force, adding to the urban workforce
on which industrialization depended. The Agricultural Revolution has
therefore been cited as a cause of the Industrial Revolution. As
enclosure deprived many of access to land or left farmers with plots
too small and of poor quality, increasing numbers of workers had no
choice but migrate to the city. Prior to the Industrial Revolution,
however, rural flight occurred in mostly localized regions. Pre-
industrial societies did not experience large rural-urban migration
flows, primarily due to the inability of cities to support large
populations. Lack of large employment industries, high urban
mortality, and low food supplies all served as checks keeping pre-
industrial cities much smaller than their modern counterparts. While
the improved agricultural productivity freed up workers to other
sectors of the economy, it took decades of the Industrial Revolution
and industrial development to trigger a truly mass rural-to-urban
labor migration. As food supplies increased and stabilized and
industrialized centers moved into place, cities began to support
larger populations, sparking the beginning of rural flight on a massive
scale. In England, the proportion of the population living in cities
jumped from 17% in 1801 to 72% in 1891.
Drawing of a horse-powered thresher
from a French dictionary ( published in
18 8 1) .
The development and advancement of tools and machines
decreased the demand for rural labor. That together with increasingly
restricted access to land forced many rural workers to migrate to
cities, eventually supplying the labor demand created by the
Industrial Revolution.
New Agricultural Market Trends

Markets were widespread by 1500. These were regulated and not
free. The most important development between the 16th century and
the mid-19th century was the development of private marketing. By
the 19th century, marketing was nationwide and the vast majority of
agricultural production was for market rather than for the farmer and
his family. The 16th-century market radius was about 10 miles, which
could support a town of 10,000. High wagon transportation costs
made it uneconomical to ship commodities very far outside the
market radius by road, generally limiting shipment to less than 20 or
30 miles to market or to a navigable waterway.
The next stage of development was trading between markets,
requiring merchants, credit and forward sales, and knowledge of
markets and pricing as well as of supply and demand in different
markets. Eventually the market evolved into a national one driven by
London and other growing cities. By 1700, there was a national
market for wheat. Legislation regulating middlemen required
registration, and addressed weights and measures, fixing of prices,
and collection of tolls by the government. Market regulations were
eased in 1663, when people were allowed some self-regulation to
hold inventory, but it was forbidden to withhold commodities from the
market in an effort to increase prices. In the late 18th century, the
idea of “ self regulation” was gaining acceptance. The lack of internal
tariffs, customs barriers, and feudal tolls made Britain “ the largest
coherent market in Europe.”
Commerce was aided by the expansion of roads and inland

waterways. Road transport capacity grew from threefold to fourfold
from 1500 to 1700. By the early 19th century it cost as much to
transport a ton of freight 32 miles by wagon over an unimproved
road as it did to ship it 3,000 miles across the Atlantic.
With the development of regional markets and eventually a national

market aided by improved transportation infrastructures, farmers
were no longer dependent on their local markets and were less
subject to having to sell at low prices into an oversupplied local
market and not being able to sell their surpluses to distant localities
that were experiencing shortages. They also became less subject to
price fixing regulations. Farming became a business rather than
solely a means of subsistence. Under free market capitalism,
farmers had to remain competitive. To be successful, they had to
become effective managers who incorporated the latest farming
innovations in order to be low-cost producers.
Attributions
New Agricultural Practices
"Common land."
https://en.wikipedia.org/wiki/Common_land. Wikipedia CC
BY-SA 3.0.
"British Agricultural Revolution."
https://en.wikipedia.org/wiki/British_Agricultural_Revolution.
"Charles Townshend, 2nd V iscount Townshend."
https://en.wikipedia.org/wiki/Charles_Townshend,_2nd_V isc
ount_Townshend. Wikipedia CC BY-SA 3.0.
"Crop rotation." https://en.wikipedia.org/wiki/Crop_rotation.
"Industrial Revolution."
https://en.wikipedia.org/wiki/Industrial_Revolution.
"Charles_Townshend_2nd_V iscount_Townshend_by_Sir_G
odfrey_Kneller_Bt_2.jpg."
https://commons.wikimedia.org/wiki/File:Charles_Townshen
d,_2nd_V iscount_Townshend_by_Sir_Godfrey_Kneller,_Bt_
(2).jpg. Wikimedia Commons Public domain.
New Agricultural Tools
"Plough." https://en.wikipedia.org/wiki/Plough. Wikipedia
CC BY-SA 3.0.
"History of agriculture."
https://en.wikipedia.org/wiki/History_of_agriculture.
"Jethro Tull (agriculturist)."
https://en.wikipedia.org/wiki/Jethro_Tull_(agriculturist).
"Seed drill ." https://en.wikipedia.org/wiki/Seed_drill.
"Threshing machine."
https://en.wikipedia.org/wiki/Threshing_machine. Wikipedia
CC BY-SA 3.0.
"Jethro_Tull_seed_drill_1762.png."
https://commons.wikimedia.org/wiki/File:Jethro_Tull_seed_
drill_(1762).png. Wikimedia Commons Public domain.
The Enclosure Act
"History of agriculture."
https://en.wikipedia.org/wiki/History_of_agriculture.
"Common land."
https://en.wikipedia.org/wiki/Common_land. Wikipedia CC
BY-SA 3.0.
"Enclosure." https://en.wikipedia.org/wiki/Enclosure.
"Inclosure Acts."
https://en.wikipedia.org/wiki/Inclosure_Acts. Wikipedia CC
BY-SA 3.0.
"300px-Plan_mediaeval_manor.jpg."
https://commons.wikimedia.org/wiki/File:Plan_mediaeval_m
anor.jpg. Wikimedia Commons Public domain.
Effects of the Agricultural Revolution
"Rural flight." https://en.wikipedia.org/wiki/Rural_flight.
"Urbanization." https://en.wikipedia.org/wiki/Urbanization.
"Enclosure." https://en.wikipedia.org/wiki/Enclosure.
"Batteuse_1881.jpg."
https://en.m.wikipedia.org/wiki/File:Batteuse_1881.jpg.
25 .2: Tex tile Manufacturing
25 .2.1: The British Tex tile Industry
The British textile industry drove the Industrial Revolution, triggering
advancements in technology, stimulating the coal and iron industries,
boosting raw material imports, and improving transportation, which
made Britain the global leader of industrialization, trade, and
scientific innovation.
Learning Objective
Evaluate the British textile industry and its place in the global market
before and after the Industrial Revolution
Key Points
Before the 17th century, the manufacture of textiles was
performed on a limited scale by individual workers, usually on
their own premises. Goods were transported around the country
by clothiers who visited the village with their trains of
packhorses. Some of the cloth was made into clothes for people
living in the same area and a large amount of cloth was
exported.
In the early 18th century, the British government passed two
Calico Acts to protect the domestic woolen industry from the
increasing amounts of cotton fabric imported from competitors in
India. On the eve of the Industrial Revolution, spinning and
weaving were still done in households, for domestic
consumption, and as a cottage industry under the putting-out
system. Occasionally the work was done in the workshop of a
master weaver.
The key British industry at the beginning of the 18th century was
the production of textiles made with wool from large sheep-
farming areas. This was a labor-intensive activity providing
employment throughout Britain. The export trade in woolen
goods accounted for more than a quarter of British exports
during most of the 18th century, doubling between 1701 and
1770. Exports by the cotton industry had grown tenfold during
this time, but still accounted for only a tenth of the value of the
wool trade.
Starting in the later part of the 18th century, mechanization of
the textile industries, the development of iron-making
techniques, and the increased use of refined coal began. Trade
expansion was enabled by the introduction of canals, improved
roads, and railways. Factories pulled thousands from low-
productivity work in agriculture to high-productivity urban jobs.
Textiles have been identified as the catalyst of technological
changes and thus their importance during the Industrial
Revolution cannot be overstated. The application of steam
power stimulated the demand for coal. The demand for
machinery and rails stimulated the iron industry. The demand for
transportation to move raw material in and finished products out
stimulated the growth of the canal system, and (after 1830) the
railway system.
From 1815 to 1870 Britain reaped the benefits of being the
world's first modern industrialized nation. If political conditions in
a particular overseas market were stable, Britain could dominate
its economy through free trade alone without resorting to formal
rule or mercantilism. By 1820, 30% of Britain's exports went to
its Empire, rising slowly to 35% by 1910. Apart from coal and
iron, most raw materials had to be imported. By 1900, Britain's
global share soared to 22.8% of total imports. By 1922, its
global share soared to 14.9% of total exports and 28.8% of
manufactured exports.
Key Terms
mercantilism
An economic theory and practice dominant in Western Europe
during the 16th to mid-19th centuries and a form of economic
nationalism. Its goal was to enrich and empower the nation and
state to the maximum degree by acquiring and retaining as
much economic activity as possible within the nation's borders.
Manufacturing and industry, particularly of goods with military
applications, was prioritized.
cottage industry
A small-scale industry in which the creation of products and

services is home-based rather than factory-based. It was a
dominant form of production in prior to industrialization but
continues to exist today. While products and services are often
unique and distinctive, given that they are usually not mass-
produced, producers in this sector often face numerous
disadvantages when trying to compete with much larger factory-
based companies.
putting-out system
A means of subcontracting work, historically known as the

workshop system and the domestic system, in which work is
contracted by a central agent to subcontractors who complete
the work in off-site facilities, either in their own homes or in
workshops with multiple craftsmen.
Calico Acts
Two legislative acts, one of 1700 and one of 1721, that banned
the import of most cotton textiles into England, followed by the
restriction of sale of most cotton textiles.
Pre-Industrial Tex tile Industry

Before the 17th century, the manufacture of goods was performed on
a limited scale by individual workers, usually on their own premises.
Goods were transported around the country by clothiers who visited
the village with their trains of packhorses. Some was made into
clothes for people living in the same area and a large amount was
exported. In the early 18th century, artisans were inventing ways to
become more productive. Silk, wool, fustian (a cloth with flax warp
and cotton weft), and linen were eclipsed by cotton, which was
becoming the most important textile. This set the foundation for the
changes.
In the early 18th century, the British government passed two Calico
Acts to protect the domestic wool industry from the increasing
amounts of cotton fabric imported from its competitors in India. On
the eve of the Industrial Revolution, spinning and weaving were still
done in households, for domestic consumption, and as a cottage
industry under the putting-out system. Occasionally the work was
done in the workshop of a master weaver. Under the putting-out
system, home-based workers produced under contract to merchant
sellers, who often supplied the raw materials. In the off season the
women, typically farmers' wives, did the spinning and the men did
the weaving. Using the spinning wheel, it took anywhere from four to
eight spinners to supply one hand loom weaver.
The key British industry at the beginning of the 18th century was the
production of textiles made with wool from the large sheep-farming
areas in the Midlands and across the country (created as a result of
land-clearance and enclosure). This was a labor-intensive activity
providing employment throughout Britain, with major centers in the
West Country, Norwich and environs, and the West Riding of
Yorkshire. The export trade in woolen goods accounted for more
than a quarter of British exports during most of the 18th century,
doubling between 1701 and 1770. Exports by the cotton industry –
centered in Lancashire – grew tenfold during this time, but still
accounted for only a tenth of the value of the woolen trade.
Industrial Revolution and
Tex tiles
Starting in the later part of the 18th century, there was a transition in
parts of Great Britain's previously manual labor and draft animal-
based economy toward machine-based manufacturing. It started
with the mechanization of the textile industries, the development of
iron-making techniques, and the increased use of refined coal. Trade
expansion was enabled by the introduction of canals, improved
roads, and railways. Factories pulled thousands from low-
productivity work in agriculture to high-productivity urban jobs.
Textiles have been identified as the catalyst of technological changes

and thus their importance during the Industrial Revolution cannot be
overstated. The application of steam power stimulated the demand
for coal. The demand for machinery and rails stimulated the iron
industry. The demand for transportation to move raw material in and
finished products out stimulated the growth of the canal system, and
(after 1830) the railway system. The introduction of steam power
fueled primarily by coal, wider utilization of water wheels, and
powered machinery in textile manufacturing underpinned the
dramatic increases in production capacity. The development of all-
metal machine tools in the first two decades of the 19th century
facilitated the manufacture of more production machines for
manufacturing in other industries. The effects spread throughout
Western Europe and North America during the 19th century,
eventually affecting most of the world.
The invention of the flying shuttle by John Kay enabled wider cloth to
be woven faster, but also created a demand for yarn that could not
be fulfilled. Thus, the major technological advances associated with
the Industrial Revolution were concerned with spinning. James
Hargreaves created the spinning jenny, a device that could perform
the work of a number of spinning wheels. However, while this
invention could be operated by hand, the water frame, invented by
Richard Arkwright, could be powered by a water wheel. Arkwright is
credited with the widespread introduction of the factory system in
Britain and is the first example of the successful mill owner and
industrialist in British history. The water frame was, however, soon
supplanted by the spinning mule (a cross between a water frame
and a jenny) invented by Samuel Crompton. Mules were later
constructed in iron.
Model of the spinning jenny in a
museum in W uppertal. Invented
by J ames Hargreaves in 17 64, the
spinning jenny was one of the
innovations that started the
revolution.
In a period loosely dated from the 1770s to the 1820s, Britain
experienced an accelerated process of economic change that
transformed a largely agrarian economy into the world's first
industrial economy. The changes were far-reaching and permanent
throughout many areas of Britain, eventually affecting the entire
world.
The steam engine was invented and became a power supply that
soon surpassed waterfalls and horsepower. The first practicable
steam engine was invented by Thomas Newcomen and was used for
pumping water out of mines. A much more powerful steam engine
was invented by James Watt. It had a reciprocating engine capable
of powering machinery. The first steam-driven textile mills began to
appear in the last quarter of the 18th century, greatly contributing to
the appearance and rapid growth of industrial towns.
The progress of the textile trade soon outstripped the original

supplies of raw materials. By the turn of the 19th century, imported
American cotton had replaced wool in the North West of England,
although wool remained the chief textile in Yorkshire.
Such an unprecedented degree of economic growth was not

sustained by domestic demand alone. The application of technology
and the factory system created the levels of mass production and
cost efficiency that enabled British manufacturers to export
inexpensive cloth and other items worldwide. Britain's position as the
world's preeminent trader helped fund research and
experimentation. Further, some have stressed the importance of
natural or financial resources that Britain received from its many
overseas colonies or that profits from the British slave trade between
Africa and the Caribbean helped fuel industrial investment.
Global Leader
After 1840, Britain abandoned mercantilism and committed its
economy to free trade with few barriers or tariffs. This was most
evident in the repeal in 1846 of the Corn Laws, which imposed stiff
tariffs on imported grain. The end of these laws opened the British
market to unfettered competition, grain prices fell, and food became
more plentiful.
From 1815 to 1870 Britain reaped the benefits of being the world's
first modern, industrialized nation. The British readily described their
country as "the workshop of the world," meaning that its finished
goods were produced so efficiently and cheaply that they could often
undersell comparable locally manufactured goods in almost any
other market. If political conditions in a particular overseas market
were stable enough, Britain could dominate its economy through free
trade alone without resorting to formal rule or mercantilism. By 1820,
30% of Britain's exports went to its Empire, rising slowly to 35% by
1910. Apart from coal and iron, most raw materials had to be
imported so in the 1830s, the main imports were (in order): raw
cotton (from the American South), sugar (from the West Indies),
wool, silk, tea (from China), timber (from Canada), wine, flax, hides,
and tallow. By 1900, Britain's global share soared to 22.8% of total
imports. By 1922, its global share soared to 14.9% of total exports
and 28.8% of manufactured exports.
25 .2.2: Technological Developments in

Tex tiles
The British textile industry triggered tremendous scientific innovation,
resulting in such key inventions as the flying shuttle, spinning jenny,
water frame, and spinning mule. These greatly improved productivity
and drove further technological advancements that turned textiles
into a fully mechanized industry.
Learning Objective
Describe the technology that allowed the textile industry to move
towards more automated processes
Key Points
The exemption of raw cotton from the 1721 Calico Act saw two
thousand bales of cotton imported annually from Asia and the
Americas, forming the basis of a new indigenous industry. This
triggered the development of a series of mechanized spinning
and weaving technologies to process the material. This
production was concentrated in new cotton mills, which slowly
expanded.
The textile industry drove groundbreaking scientific innovations.
The flying shuttle was patented in 1733 by John Kay. It became
widely used around Lancashire after 1760 when John's son,
Robert, designed what became known as the drop box. Lewis
Paul patented the roller spinning frame and the flyer-and-bobbin
system for drawing wool to an even thickness. The technology
was developed with the help of John Wyatt of Birmingham.
Paul's invention was advanced and improved by Richard
Arkwright in his water frame and Samuel Crompton in his
spinning mule.
In 1764, James Hargreaves invented the spinning jenny, which
he patented in 1770. It was the first practical spinning frame with
multiple spindles. The spinning frame or water frame was
developed by Richard Arkwright who along with two partners
patented it in 1769. The design was partly based on a spinning
machine built for Thomas High by clock maker John Kay, who
was hired by Arkwright.
Samuel Crompton's spinning mule, introduced in 1779, was a
combination of the spinning jenny and the water frame.
Crompton's mule spun thread was of suitable strength to be
used as warp and finally allowed Britain to produce good-quality
calico cloth. Edmund Cartwright developed a vertical power
loom that he patented in 1785. Samuel Horrocks and Richard
Roberts successively improved Crompton's invention.
The textile industry was also to benefit from other developments
of the period. In 1765, James Watt modified Thomas
Newcomen's engine (based on Thomas Savery's earlier
invention) to design an external condenser steam engine. Watt
continued to make improvements on his design, producing a
separate condenser engine in 1774 and a rotating separate
condensing engine in 1781. Watt formed a partnership with a
businessman Matthew Boulton and together they manufactured
steam engines that could be used by industry.
With Cartwright's loom, the spinning mule, and Boulton and
Watt's steam engine, the pieces were in place to build a
mechanized textile industry. From this point there were no new
inventions, but a continuous improvement in technology as the
mill-owner strove to reduce cost and improve quality. Steam
engines were improved, the problem of line-shafting was
addressed by replacing the wooden turning shafts with wrought
iron shafting. In addition, the first loom with a cast-iron frame, a
semiautomatic power loom, and, finally a self-acting mule were
introduced.
Key Terms
flying shuttle
One of the key developments in the industrialization of

weaving during the early Industrial Revolution. It allowed a
single weaver to weave much wider fabrics and could be
mechanized, allowing for automatic machine looms. It was
patented by John Kay in 1733.
spinning jenny
A multi-spindle spinning frame, one of the key developments in

the industrialization of weaving during the early Industrial
Revolution. It was invented in 1764 by James Hargreaves in
Stanhill, Oswaldtwistle, Lancashire in England. The device
reduced the amount of work needed to produce yarn, with a
worker able to make eight or more spools at once.
water frame
An machine to create cotton thread first used in 1768. It was

able to spin 128 threads at a time, making it an easier and faster
method than ever before. It was developed by Richard
Arkwright, who patented the technology in 1767. The design
was partly based on a spinning machine built for Thomas
Highs by clock maker John Kay, who was hired by Arkwright.
Calico Acts
Two legislative acts, one of 1700 and one of 1721, that banned
the import of most cotton textiles into England, followed by the
restriction of sale of most cotton textiles.
spinning mule
A machine used to spin cotton and other fibers in the British

mills, used extensively from the late 18th to the early 20th
century. It was invented between 1775 and 1779 by Samuel
Crompton. The machines were worked in pairs by a minder, with
the help of two boys: the little piecer and the big or side piecer.
The carriage carried up to 1,320 spindles and could be 150 feet
(46 m) long; it could move forward and back a distance of 5 feet
(1.5 m) four times a minute.
Early Developments
During the second half of the 17th century, the newly established
factories of the East India Company in South Asia started to produce
finished cotton goods in quantity for the UK market. The imported
calico and chintz garments competed with and acted as a substitute
for indigenous wool and linen produce. That resulted in local
weavers, spinners, dyers, shepherds, and farmers petitioning the
Parliament to request a ban on the import and later the sale of
woven cotton goods. They eventually achieved their goal via the
1700 and 1721 Calico Acts. The acts banned the import and later the
sale of finished pure cotton produce, but did not restrict the
importation of raw cotton or the sale or production of fustian (a cloth
with flax warp and cotton weft).
The exemption of raw cotton from the 1721 Calico Act saw 2,000
bales of cotton imported annually from Asia and the Americas and
forming the basis of a new indigenous industry, initially producing
fustian for the domestic market. More importantly, though, it triggered
the development of a series of mechanized spinning and weaving
technologies to process the material. This mechanized production
was concentrated in new cotton mills, which slowly expanded. By the
beginning of the 1770s, 7,000 bales of cotton were imported
annually. The new mill owners put pressure on Parliament to remove
the prohibition on the production and sale of pure cotton cloth as
they could now compete with imported cotton.
Since much of the imported cotton came from New England, ports
on the west coast of Britain such as Liverpool, Bristol, and Glasgow
were crucial to determining the sites of the cotton industry.
Lancashire became a center for the nascent cotton industry because
the damp climate was better for spinning the yarn. As the cotton
thread was not strong enough to use as warp, wool, linen, or fustian
had to be used and Lancashire was an existing wool center.
Key Inventions
The textile industry drove groundbreaking scientific innovations. The
flying shuttle was patented in 1733 by John Kay and saw a number
of subsequent improvements including an important one in 1747 that
doubled the output of a weaver It became widely used around
Lancashire after 1760 when John's son, Robert, designed a method
for deploying multiple shuttles simultaneously, enabling the use of
wefts of more than one color and making it easier for the weaver to
produce cross-striped material. These shuttles were housed at the
side of the loom in what became known as the drop box. Lewis Paul
patented the roller spinning frame and the flyer-and-bobbin system
for drawing wool to a more even thickness. The technology was
developed with the help of John Wyatt of Birmingham. Paul and
Wyatt opened a mill in Birmingham, which used their new rolling
machine powered by a donkey. In 1743, a factory opened in
Northampton with 50 spindles on each of five of Paul and Wyatt's
machines. It operated until about 1764. A similar mill was built by
Daniel Bourn in Leominster, but it burnt down. Both Paul and Bourn
patented carding machines in 1748. Based on two sets of rollers that
traveled at different speeds, these were later used in the first cotton
spinning mill. Lewis's invention was advanced and improved by
Richard Arkwright in his water frame and Samuel Crompton in his
spinning mule.
In 1764 in the village of Stanhill, Lancashire, James Hargreaves

invented the spinning jenny, which he patented in 1770. It was the
first practical spinning frame with multiple spindles. The jenny
worked in a similar manner to the spinning wheel by first clamping
down on the fibers then drawing them out, followed by twisting. It
was a simple, wooden-framed machine that cost only about £ 6 for a
40-spindle model in 1792 and was used mainly by home spinners.
The jenny produced a lightly twisted yarn only suitable for weft, not
warp.
Model of spinning jenny in the

Museum of Early
Industrializ ation, W uppertal
The device reduced the amount of work needed to produce yarn,
with a worker able to work eight or more spools at once. This grew to
120 as technology advanced.
The spinning frame or water frame was developed by Richard
Arkwright who along with two partners patented it in 1769. The
design was partly based on a spinning machine built for Thomas
High by clock maker John Kay, who was hired by Arkwright. For
each spindle, the water frame used a series of four pairs of rollers,
each operating at a successively higher rotating speed to draw out
the fiber, which was then twisted by the spindle. The roller spacing
was slightly longer than the fiber length. Closer spacing caused the
fibers to break while further spacing caused uneven thread. The top
rollers were leather-covered and loading on them was applied by a
weight that kept the twist from backing up before the rollers. The
bottom rollers were wood and metal, with fluting along the length.
The water frame was able to produce a hard, medium count thread
suitable for warp, finally allowing 100% cotton cloth to be made in
Britain. A horse powered the first factory to use the spinning frame.
Arkwright and his partners used water power at a factory in
Cromford, Derbyshire in 1771, giving the invention its name.
Model of a water frame in the
Historical Museum in W uppertal
Richard Arkwright is credited with a list of inventions, but these were
actually developed by such people as Thomas Highs and John Kay.
Arkwright nurtured the inventors, patented the ideas, financed the
initiatives, and protected the machines. He created the cotton mill,
which brought the production processes together in a factory, and he
developed the use of power—first horse power and then water
power—which made cotton manufacture a mechanized industry.
Samuel Crompton's spinning mule, introduced in 1779, was a

combination of the spinning jenny and the water frame. The spindles
were placed on a carriage that went through an operational
sequence during which the rollers stopped while the carriage moved
away from the drawing roller to finish drawing out the fibers as the
spindles started rotating. Crompton's mule was able to produce finer
thread than hand spinning at a lower cost. Mule spun thread was of
suitable strength to be used as warp and finally allowed Britain to
produce good-quality calico cloth.
The only surviving ex ample of a

spinning mule built by the
inventor Samuel Crompton
The spinning mule spins textile fibers into yarn by an intermittent
process. In the draw stroke, the roving is pulled through rollers and
twisted. On the return it is wrapped onto the spindle.
Realizing that the expiration of the Arkwright patent would greatly

increase the supply of spun cotton and lead to a shortage of
weavers, Edmund Cartwright developed a vertical power loom which
he patented in 1785. Cartwright's loom design had several flaws,
including thread breakage. Samuel Horrocks patented a fairly
successful loom in 1813; it was improved by Richard Roberts in
1822, and these were produced in large numbers by Roberts, Hill &
Co.
The textile industry was also to benefit from other developments of

the period. As early as 1691, Thomas Savery made a vacuum steam
engine. His design, which was unsafe, was improved by Thomas
Newcomen in 1698. In 1765, James Watt further modified
Newcomen's engine to design an external condenser steam engine.
Watt continued to make improvements on his design, producing a
separate condenser engine in 1774 and a rotating separate
condensing engine in 1781. Watt formed a partnership with a
businessman Matthew Boulton and together they manufactured
steam engines that could be used by industry.
Mechaniz ation of the Tex tile

Industry
With Cartwright's loom, the spinning mule, and Boulton and Watt's
steam engine, the pieces were in place to build a mechanized textile
industry. From this point there were no new inventions, but a
continuous improvement in technology as the mill-owner strove to
reduce cost and improve quality. Developments in the transport
infrastructure such as the canals and, after 1830, the railways,
facilitated the import of raw materials and export of finished cloth.
The use of water power to drive mills was supplemented by steam-

driven water pumps and then superseded completely by the steam
engines. For example, Samuel Greg joined his uncle's firm of textile
merchants and on taking over the company in 1782, sought out a
site to establish a mill. Quarry Bank Mill was built on the River Bollin
at Styal in Cheshire. It was initially powered by a water wheel, but
installed steam engines in 1810. In 1830, the average power of a mill
engine was 48 horsepower (hp), but Quarry Bank mill installed an
new 100 hp water wheel. This would change in 1836, when Horrocks
& Nuttall, Preston took delivery of 160 hp double engine. William
Fairbairn addressed the problem of line-shafting and was
responsible for improving the efficiency of the mill. In 1815, he
replaced the wooden turning shafts that drove the machines to
wrought iron shafting, which were a third of the weight and absorbed
less power. The mill operated until 1959.
In 1830, using an 1822 patent, Richard Roberts manufactured the

first loom with a cast-iron frame, the Roberts Loom. In 1842, James
Bullough and William Kenworthy made a semiautomatic power loom
known as the Lancashire Loom. Although it was self-acting, it had to
be stopped to recharge empty shuttles. It was the mainstay of the
Lancashire cotton industry for a century, when the Northrop Loom
invented in 1894 with an automatic weft replenishment function
gained ascendancy.
The 1824 Stalybridge mule spinners strike stimulated research into

the problem of applying power to the winding stroke of the mule. In
1830, Richard Roberts patented the first self-acting mule. The draw
while spinning had been assisted by power, but the push of the wind
was done manually by the spinner. Before 1830, the spinner would
operate a partially powered mule with a maximum of 400 spindles.
After 1830, self-acting mules with up to 1,300 spindles could be built.
The savings with this technology were considerable. A worker
spinning cotton at a hand-powered spinning wheel in the 18th
century would take more than 50,000 hours to spin 100 pounds of
cotton. By the 1790s, the same quantity could be spun in 300 hours
by mule, and with a self-acting mule it could be spun by one worker
in just 135 hours.
Ex port Technology
While profiting from expertise arriving from overseas, Britain was
very protective of home-grown technology. In particular, engineers
with skills in constructing the textile mills and machinery were not
permitted to emigrate — particularly to the fledgling America.
However, Samuel Slater, an engineer who had worked as an
apprentice to Arkwright's partner Jedediah Strutt, evaded the ban. In
1789, he took his skills in designing and constructing factories to
New England and was soon engaged in reproducing the textile mills
that helped America with its own industrial revolution. Local
inventions followed. In 1793, Eli Whitney invented and patented the
cotton gin, which sped up the processing of raw cotton by over 50
times. With a cotton gin a man could remove seed from as much
upland cotton in one day as would have previously taken a woman
working two months to process at one pound per day.
25 .2.3: The First Factories

The factory system was a new way of organizing labor made
necessary by the development of machines, which were too large to
house in a worker's cottage and too expensive to be owned by the
worker, who now labored long hours and lived under hazardous
conditions in fledgling cities.
Learning Objective
Describe the effects the advent of factories had on British society
Key Points
necessary by the development of machines, which were too
large to house in a worker's cottage and much too expensive to
be owned by the worker. One of the earliest factories was John
Lombe's water-powered silk mill at Derby, operational by 1721.
By 1746, an integrated brass mill was working at Warmley near
Bristol. However, Richard Arkwright is credited as the brains
behind the growth of factories, specifically the Derwent V alley
Mills.
Between the 1760s and 1850, the nature of work transitioned
from a craft production model to a factory-centric model. Textile
factories organized workers' lives much differently than did craft
production. Handloom weavers worked at their own pace, with
their own tools, within their own cottages. Factories set hours of
work and the machinery within them shaped the pace of work.
Factories brought workers together within one building to work
on machinery that they did not own. They also increased the
division of labor, narrowing the number and scope of tasks.
The early textile factories employed many children. In England
and Scotland in 1788, two-thirds of the workers in 143 water-
powered cotton mills were children. By 1835, the share of the
workforce under 18 years of age in cotton mills in England and
Scotland had fallen to 43%. The eventual transition of child
workforce into experienced adult factory workforce helps to
account for the shift away from child labor in textile factories.
While child labor was common on farms and under the putting-
out system, historians agree that the impact of the factory
system and the Industrial Revolution generally on children was
damaging.
Marriage during the Industrial Revolution became a sociable
union between wife and husband in the laboring class. Women
and men tended to marry someone from the same job,
geographical location, or social group. The traditional work
sphere was still dictated by the father, who controlled the pace
of work for his family. However, factories and mills undermined
the old patriarchal authority. Factories put husbands, wives, and
children under the same conditions and authority of the
manufacturer masters.
The factory system was partly responsible for the rise of urban
living, as large numbers of workers migrated into the towns in
search of employment in the factories. Until the late 19th
century, it was common to work at least 12 hours a day, six days
a week in most factories, but long hours were also common
outside factories. The transition to industrialization was not
without opposition from the workers who feared that machines
would end the need for skilled labor.
One of the best known accounts of factory worker's tragic living
conditions during the Industrial Revolution is Friedrich Engels'
The Condition of the W orking Class in England in 1 8 4 4 . Since
then, the historical debate on the question of living conditions of
factory workers has been very controversial. While some have
pointed out that living conditions of the poor workers slowly
improved thanks to industrialization, others have concluded that
in many ways workers' living standards declined under early
capitalism and improved only much later.
Key Terms
putting-out system
A means of subcontracting work, historically known also as the

workshop system and the domestic system. In it, work is
contracted by a central agent to subcontractors who complete
the work in off-site facilities, either in their own homes or in
workshops with multiple craftsmen.
spinning jenny
A multi-spindle spinning frame, one of the key developments in

the industrialization of weaving during the early Industrial
Revolution. It was invented in 1764 by James Hargreaves in
Stanhill, Oswaldtwistle, Lancashire in England. The device
reduced the amount of work needed to produce yarn, with a
worker able to work eight or more spools at once.
Luddites
A group of English textile workers and self-employed weavers in

the 19th century that used the destruction of machinery as a
form of protest. The group was protesting the use of machinery
in a "fraudulent and deceitful manner" to get around standard
labor practices. They were fearful that the years they had spent
learning the craft would go to waste and unskilled machine
operators would rob them of their livelihood.
factory system
A method of manufacturing using machinery and division of

labor, first adopted in Britain at the beginning of the Industrial
Revolution in the late 18th century and later spread around the
world. Use of machinery with the division of labor reduced the
required skill level of workers and also increased the output per
worker.
Rise of the Factory System

Prior to the Industrial Revolution, most of the workforce was
employed in agriculture, either as self-employed farmers as land
owners or tenants, or as landless agricultural laborers. By the time of
the Industrial Revolution the putting-out system in which farmers and
townspeople produced goods in their homes, often described as
cottage industry, was the standard. Typical putting-out system goods
included spinning and weaving. Merchant capitalists provided the
raw materials, typically paid workers by the piece, and were
responsible for the sale of the goods. Workers put long hours into
low-productivity but labor-intensive tasks. The logistical effort in
procuring and distributing raw materials and picking up finished
goods were also limitations of the system.
Some early spinning and weaving machinery, such as a 40 spindle

spinning jenny for about six pounds in 1792, was affordable to
cottagers. Later machinery such as spinning frames, spinning mules,
and power looms were expensive (especially if water-powered),
giving rise to capitalist ownership of factories. Many workers, who
had nothing but their labor to sell, became factory workers in the
absence of any other opportunities.

house in a worker's cottage and much too expensive to be owned by
the worker. One of the earliest factories was John Lombe's water-
powered silk mill at Derby, operational by 1721. By 1746, an
integrated brass mill was working at Warmley near Bristol. Raw
material went in at one end, then smelted into brass to become
pans, pins, wire, and other goods. Housing was provided for workers
on site. Josiah Wedgwood in Staffordshire and Matthew Boulton at
his Soho Manufactory were other prominent early industrialists, who
employed the factory system. However, Richard Arkwright is credited
as the brains behind the growth of factories and, specifically, the
Derwent V alley Mills. After he patented his water frame in 1769, he
established Cromford Mill in Derbyshire, England.
The Soho Manufactory, J . Bissett’ s

Magnificent D irectory, 18 00.
This early factory was established by the toy manufacturer Matthew
Boulton and his business partner John Fothergill. In 1761, they
leased a site on Handsworth Heath, containing a cottage and a
water-driven metal-rolling mill. The mill was replaced by a new
factory, designed and built by the Wyatt family of Lichfield, and
completed in 1766. It produced a wide range of goods from buttons,
buckles, and boxes to japanned ware (collectively called "toys") and
later luxury products such as silverware and ormolu (a type of gilded
bronze).
W orking Practices
Between the 1760s and 1850, the nature of work transitioned from a
craft production model to a factory-centric model. Textile factories
organized workers' lives much differently than did craft production.
Handloom weavers worked at their own pace, with their own tools,
and within their own cottages. Factories set hours of work and the
machinery within them shaped the pace of work. Factories brought
workers together within one building to work on machinery that they
did not own. They also increased the division of labor, narrowing the
number and scope of tasks. The work-discipline was forcefully
instilled upon the workforce by the factory owners.
The early textile factories employed many children. In England and

Scotland in 1788, two-thirds of the workers in 143 water-powered
cotton mills were children. Sir Robert Peel, a mill owner turned
reformer, promoted the 1802 Health and Morals of Apprentices Act,
which was intended to prevent pauper children from working more
than 12 hours a day in mills. Children started in the mills at around
the age of four, working as mule scavengers under the working
machinery until they were eight. They progressed to working as little
piecers until they were 15. During this time they worked 14 to 16
hours a day, often physically abused. By 1835, the share of the
workforce under 18 years of age in cotton mills in England and
Scotland had fallen to 43%. About half of workers in Manchester and
Stockport cotton factories surveyed in 1818 and 1819 bagan work at
under ten years of age. Most of the adult workers in cotton factories
in mid-19th-century Britain started as child laborers. The growth of
this experienced adult factory workforce helps to account for the shift
away from child labor in textile factories.
Societal Impact
While child labor was common on farms and under the putting-out
system, historians agree that the impact of the factory system and
the Industrial Revolution on children was damaging. In the industrial
districts, children tended to enter the workforce at younger ages.
Many of the new factory owners preferred to employ children as they
viewed them as more docile and their wages were lower (10-20% of
what was paid to male adult workers, while adult women made about
25% of an adult male salary). Although most families channeled their
children's earnings into providing a better diet for them, the physical
toll of working in the factories was too great and led to detrimental
outcomes for children. Child laborers tended to be orphans, children
of widows, or from the poorest families. Cruelty and torture was
enacted on children by master-manufacturers to maintain high output
or keep them awake. The children’s bodies become crooked and
deformed from the work in the mills and factories.
Prior to the development of the factory system, in the traditional

marriage of the laboring class, women would marry men of the same
social status and marriage outside this norm was unusual. Marriage
during the Industrial Revolution shifted from this tradition to a more
sociable union between wife and husband in the laboring class.
Women and men tended to marry someone from the same job,
geographical location, or social group. The traditional work sphere
was still dictated by the father, who controlled the pace of work for
his family. However, factories and mills undermined the old
patriarchal authority. Factories put husbands, wives, and children
under the same conditions and authority of the manufacturer
masters.
Factory workers typically lived within walking distance to work until

the introduction of bicycles and electric street railways in the 1890s.
Thus the factory system was partly responsible for the rise of urban
living, as large numbers of workers migrated into the towns in search
of employment in the factories. Until the late 19th century, it was
common to work at least 12 hours a day, six days a week in most
factories, but long hours were also common outside factories.
The transition to industrialization was not without opposition from the

workers, who feared that machines would end the need for highly
skilled labor. For example, a group of English workers known as
Luddites formed to protest against industrialization and sometimes
sabotaged factories. They continued an already established tradition
of workers opposing labor-saving machinery. Numerous inventors in
the textile industry, such as John Kay and Samuel Crompton,
suffered harassment when developing their machines or devices.
However, in other industries the transition to factory production was
not so divisive.
The Leader of the Luddites, engraving
of 18 12, author unknown.
Although the Luddites feared above all that machines would remove
the need for highly skilled labor, one misconception about the group
is that they protested against the machinery itself in a vain attempt to
halt progress. As a result, the term has come to mean a person
opposed to industrialization, automation, computerization, or new
technologies in general.
The overall impact of the factory system and the Industrial

Revolution more on adults has been the subject of extensive debate
among historians for over a century. Optimists have argued that
industrialization brought higher wages and better living standards to
most people. Pessimists have argued that these gains have been
over-exaggerated, wages did not rise significantly during this period,
and whatever economic gains were actually made must be offset
against the worsening health and housing of the new urban sectors.
Since the 1990s, many contributions to the standard of living debate
has tilted towards the pessimist interpretation.
One of the best -known accounts of factory worker's living conditions

during the Industrial Revolution is Friedrich Engels' The Condition of
the W orking Class in England in 1 8 4 4 . Engels described backstreet
sections of Manchester and other mill towns, where people lived in
crude shanties and shacks, some not completely enclosed, some
with dirt floors. These shanty towns had narrow walkways between
irregularly shaped lots and dwellings. There were no sanitary
facilities. Population density was extremely high. Eight to ten
unrelated mill workers often shared a room with no furniture, and
slept on a pile of straw or sawdust. Disease spread through a
contaminated water supply.
By the late 1880s, Engels noted that the extreme poverty and lack of
sanitation he wrote about in 1844 had largely disappeared. Since
factory workers has remained controversial. While some have
pointed out that living conditions of the poor workers were tragic
everywhere and industrialization slowly improved the living
standards of a steadily increasing number of workers, others
concluded that living standards for the majority of the population did
not grow meaningfully until the late 19th and 20th centuries and that
in many ways workers' living standards declined under early
capitalism.
Attributions
The British Textile Industry
"Economic history of the United Kingdom."
https://en.wikipedia.org/wiki/Economic_history_of_the_Unit
ed_Kingdom. Wikipedia CC BY-SA 3.0.
"Mercantilism." https://en.wikipedia.org/wiki/Mercantilism.
"Calico Acts." https://en.wikipedia.org/wiki/Calico_Acts.
"Textile manufacture during the Industrial Revolution."
https://en.wikipedia.org/wiki/Textile_manufacture_during_th
e_Industrial_Revolution. Wikipedia CC BY-SA 3.0.
"Putting-out system." https://en.wikipedia.org/wiki/Putting-
out_system. Wikipedia CC BY-SA 3.0.
"Textile manufacturing by pre-industrial methods."
https://en.wikipedia.org/wiki/Textile_manufacturing_by_pre-
industrial_methods. Wikipedia CC BY-SA 3.0.
"Spinning_jenny.jpg."
https://commons.wikimedia.org/wiki/File:Spinning_jenny.jpg.
Wikimedia Common CC BY-SA 3.0.
Technological Developments in Textiles
"Spinning jenny."
https://en.wikipedia.org/wiki/Spinning_jenny. Wikipedia CC
BY-SA 3.0.
"Water frame." https://en.wikipedia.org/wiki/Water_frame.
"Calico Acts." https://en.wikipedia.org/wiki/Calico_Acts.
"Robert Kay (inventor)."
https://en.wikipedia.org/wiki/Robert_Kay_(inventor).
"Flying shuttle." https://en.wikipedia.org/wiki/Flying_shuttle.
"Spinning mule."
https://en.wikipedia.org/wiki/Spinning_mule. Wikipedia CC
BY-SA 3.0.
"Mule-jenny.jpg."
https://commons.wikimedia.org/wiki/File:Mule-jenny.jpg.
Wikimedia Commons GNU FDL 1.2.
"Waterframe.jpg."
https://commons.wikimedia.org/wiki/File:Waterframe.jpg.
"Spinning_jenny.jpg."
https://commons.wikimedia.org/wiki/File:Spinning_jenny.jpg.
The First Factories
"Life in Great Britain during the Industrial Revolution."
https://en.wikipedia.org/wiki/Life_in_Great_Britain_during_t
he_Industrial_Revolution. Wikipedia CC BY-SA 3.0.
"Spinning jenny."
https://en.wikipedia.org/wiki/Spinning_jenny. Wikipedia CC
BY-SA 3.0.
"Factory system."
https://en.wikipedia.org/wiki/Factory_system. Wikipedia CC
BY-SA 3.0.
"Soho Manufactory."
https://en.wikipedia.org/wiki/Soho_Manufactory. Wikipedia
CC BY-SA 3.0.
"Luddite." https://en.wikipedia.org/wiki/Luddite. Wikipedia
CC BY-SA 3.0.
"Soho_Manufactory_ca_1800.jpg."
https://en.wikipedia.org/wiki/Factory_system# /media/File:So
ho_Manufactory_ca_1800.jpg. Wikipedia Public domain.
"Luddite.jpg."
https://en.wikipedia.org/wiki/Luddite# /media/File:Luddite.jpg
25 .3: Steam Power
25 .3.1: Early Steam Engines
A steam engine, or a heat engine that performs mechanical
work using steam, was first described in the 1st century CE.
However, it was the designs of Savery's engine in 1698 and
Newcomen's engine in 1712 that were first used commercially and
inspired the further development of steam technology.
Learning Objective
List the early iterations of the steam engine
Key Points
A steam engine is a heat engine that performs mechanical
work using steam. The history of the steam engine stretches
back as far as the 1st century CE. Greek mathematician Hero of
Alexandria described the first recorded rudimentary steam
engine, known as the aeolipile. In the following centuries, the
few early steam-powered engines were, like the aeolipile,
experimental devices used by inventors to demonstrate the
properties of steam.
The first commercial steam-powered device was a water pump
developed in 1698 by Thomas Savery, who demonstrated it to
the Royal Society a year later. The patent has no illustrations or
even description, but in 1702 Savery described the machine in
his book The Miner's Friend, or, An Engine to Raise W ater by
Fire, in which he claimed that it could pump water out of mines.
Savery's engine received some use in mines and pumping
stations and for supplying water wheels used to power textile
machinery. An attractive feature of the Savery engine was its
low cost. Bento de Moura Portugal introduced an ingenious
improvement of Savery's construction "to render it capable of
working itself," as described by John Smeaton in 1751. It
continued to be manufactured until the late 18th century.
The first commercially successful engine that it could generate
power and transmit it to a machine was the atmospheric engine,
invented by Thomas Newcomen around 1712. It was an
improvement over Savery's steam pump, using a piston as
proposed by Papin. Newcomen replaced the receiving vessel
(where the steam was condensed) with a cylinder containing a
piston based on Papin's design. Instead of the vacuum drawing
in water, it drew down the piston.
The engine was relatively inefficient and in most cases was
used for pumping water. It was employed for draining mine
workings at depths previously impossible and for providing a
reusable water supply for driving waterwheels at factories sited
away from a suitable "head." Water that passed over the wheel
was pumped back up into a storage reservoir above the wheel.
Newcomen's engine held its place without material change for
about 75 years, spreading gradually to more areas of the UK
and mainland Europe. Experience led to better construction and
minor refinements in layout. Its mechanical details were much
improved by John Smeaton, who built many large engines of
this type in the early 1770s; his improvements were rapidly
adopted. By 1775, about 600 Newcomen engines had been
built.
Key Terms
atmospheric engine
An engine invented by Thomas Newcomen in 1712, often

referred to simply as a Newcomen engine. The engine operated
by condensing steam drawn into the cylinder, thereby creating a
partial vacuum and allowing the atmospheric pressure to push
the piston into the cylinder. It was the first practical device to
harness steam to produce mechanical work.
Steam engine
A heat engine that performs mechanical work using steam as its

working fluid.
aeolipile
A simple bladeless radial steam turbine, also known as a

Heron's engine, that spins when the central water container is
heated. Torque is produced by steam jets exiting the turbine,
much like a tip jet or rocket engine. In the 1st century CE, Hero
of Alexandria described the device, and many sources give him
the credit for its invention.
beam engine
A type of steam engine in which a pivoted overhead beam is

used to apply force from a vertical piston to a vertical connecting
rod. This configuration, with the engine directly driving a pump,
was first used by Thomas Newcomen around 1705 to remove
water from mines in Cornwall.
Introduction of the Steam

Engine
A steam engine is a heat engine that performs mechanical
work using steam. The history of the steam engine stretches back as
far as the 1st century CE. Greek mathematician Hero of Alexandria
described the first recorded rudimentary steam engine, known as the
aeolipile. In the following centuries, the few early steam-powered
engines were, like the aeolipile, experimental devices used by
inventors to demonstrate the properties of steam. A rudimentary
steam turbine device was described by Taqi al-Din in 1551 and by
Giovanni Branca in 1629. Jeró nimo de Ayanz y Beaumont received
patents in 1606 for 50 steam-powered inventions, including a water
pump for draining inundated mines. Denis Papin, a Huguenot
refugee, advanced the construction of the steam digester in 1679
and first used a piston to raise weights in 1690.
Savery's Engine
The first commercial steam-powered device was a water pump
developed in 1698 by Thomas Savery, who demonstrated it to the
Royal Society a year later. The patent has no illustrations or even
description, but in 1702 Savery described the machine in his book
The Miner's Friend, or, An Engine to Raise W ater by Fire, in which
he claimed that it could pump water out of mines. Savery's engine
had no piston and no moving parts except the taps. It was operated
by first raising steam in the boiler and then admitting it to one of the
first working vessels, allowing it to blow out through a downpipe into
the water to be raised. When the system was hot and therefore full of
steam, the tap between the boiler and the working vessel was shut
and, if necessary, the outside of the vessel was cooled. This made
the steam inside it condense, creating a partial vacuum, and
atmospheric pressure pushed water up the downpipe until the vessel
was full. At this point, the tap below the vessel was closed and the
tap between it and the up-pipe opened, and more steam was
admitted from the boiler. As the steam pressure built up, it forced the
water from the vessel up the up-pipe to the top of the mine.
The 1698 Savery Engine, Institute of
Human Thermodynamics and IoHT
Publishing Ltd.
Savery's original patent of July 1698 gave 14 years' protection. The
next year, an Act of Parliament was passed, which extended his
protection for a further 21 years. This Act became known as the Fire
Engine Act. Savery's patent covered all engines that raised water by
fire and thus played an important role in shaping the early
development of steam machinery in the British Isles.
Following Savery's design, small engines were effective but larger

models were problematic. They proved only to have a limited lift
height and were prone to boiler explosions. The engine received
some use in mines, pumping stations and for supplying water wheels
used to power textile machinery. An attractive feature of the Savery
engine was its low cost. Bento de Moura Portugal introduced an
ingenious improvement of Savery's construction "to render it capable
of working itself," as described by John Smeaton in 1751. It
continued to be manufactured until the late 18th century. One engine
was still operating in 1820.
Newcomen's Engine
The first commercially successful engine that it could generate
power and transmit it to a machine was the atmospheric engine
invented by Thomas Newcomen around 1712. It was an
improvement over Savery's steam pump, using a piston as proposed
by Papin. Newcomen replaced the receiving vessel (where the
steam was condensed) with a cylinder containing a piston based on
Papin's design. Instead of the vacuum drawing in water, it drew
down the piston. This was used to work a beam engine, in which a
large wooden beam rocked upon a central fulcrum. On the other side
of the beam was a chain attached to a pump at the base of the mine.
As the steam cylinder was refilled with steam, readying it for the next
power stroke, water was drawn into the pump cylinder and expelled
into a pipe to the surface by the weight of the machinery.
Newcomen and his partner John Calley built the first successful
engine of this type at the Conygree Coalworks near Dudley in the
West Midlands. The engine was relatively inefficient and in most
cases was used for pumping water. It was employed for draining
mine workings at depths previously impossible, and also for
providing a reusable water supply for driving waterwheels at
factories sited away from a suitable "head." Water that had passed
over the wheel was pumped back up into a storage reservoir above
the wheel.
Diagram of the Newcomen steam
engine, Henry Black Newton and
Harvey Nathaniel Davis, Practical
p hysics for secondary schools.
Fundam ental p rincip les and
ap p lications to daily life, Macmillan
and Company, 1913, p. 219.
The Newcomen engine operated by condensing steam drawn into
the cylinder, thereby creating a partial vacuum and allowing the
atmospheric pressure to push the piston into the cylinder. It was the
first practical device to harness steam to produce mechanical work.
Newcomen's engine held its place without material change for about
75 years, spreading gradually to more areas of the UK and mainland
Europe. At first brass cylinders were used, but these were expensive
and limited in size. New iron casting techniques pioneered by the
Coalbrookdale Company in the 1720s allowed bigger cylinders to be
used, up to about 6 feet (1.8 m) in diameter by the 1760s.
Experience led to better construction and minor refinements in
layout. Its mechanical details were much improved by John
Smeaton, who built many large engines of this type in the early
1770s, and his improvements were rapidly adopted. By 1775, about
600 Newcomen engines had been built.
25 .3.2: Boulton and W att

The Boulton and Watt steam engine led to replacing the water wheel
and horses as the main sources of power for British industry, thereby
freeing it from geographical constraints and becoming one of the
main drivers in the Industrial Revolution.
Learning Objective
Recognize why Boulton and Watt's steam engine achieved
widespread success
Key Points
In 1763, James Watt, an instrument maker at the University of
Glasgow, was assigned the job of repairing a model Newcomen
engine (based on an earlier design of the Savery engine) and
noted how inefficient it was. In 1765, Watt conceived the idea of
equipping the engine with a separate condensation chamber,
which he called a condenser. Because the condenser and the
working cylinder were separate, condensation occurred without
significant loss of heat from the cylinder. This invention
dramatically improved the efficiency of the engine.
Watt's next improvement to the Newcomen design was to seal
the top of the cylinder and surround the cylinder with a jacket.
Steam was passed through the jacket before being admitted
below the piston, keeping the piston and cylinder warm to
prevent condensation within it. These improvements led to the
fully developed version of 1776 that actually went into
production.
The separate condenser showed dramatic potential for
improvements on the Newcomen engine, but Watt was still
discouraged by seemingly insurmountable problems before a
marketable engine could be perfected. It was only after entering
into partnership with Matthew Boulton that this became reality.
Boulton and Watt became an engineering company that was
critical to the technological advancements of the Industrial
Revolution.
As fully developed, the Watt engine used about 75% less fuel
than a similar Newcomen one. Boulton and Watt's practice was
to help mine owners and other customers build engines,
supplying men to erect them and specialized parts. However,
their main profit from their patent was derived from charging a
licence fee to the engine owners based on the cost of the fuel
they saved. The greater fuel efficiency of their engines meant
that they were most attractive in areas where fuel was
expensive.
Later improvements introduced by Watt included an
arrangement of valves that could alternately admit low pressure
steam to the cylinder and connect with the condenser (the
double acting piston); parallel motion; transforming the action of
the beam into a rotating motion (first by the epicyclic sun and
planet gear system suggested by an employee William Murdoch
and later by connecting the beam to a wheel by a crank after
patent rights on the use of the crank expired), and linking a
steam regulator valve to a centrifugal governor to keep a
constant speed.
These improvements allowed the steam engine to replace the
water wheel and horses as the main sources of power for British
industry, thereby freeing it from geographical constraints and
allowing it to become one of the main drivers in the Industrial
Revolution.
Key Terms
atmospheric engine
An engine invented by Thomas Newcomen in 1712, often

referred to simply as a Newcomen engine. The engine operated
by condensing steam drawn into the cylinder, thereby creating a
partial vacuum and allowing the atmospheric pressure to push
the piston into the cylinder. It was the first practical device to
harness steam to produce mechanical work.
condenser
A device or unit used to condense a substance from its

gaseous to its liquid state by cooling it, which transfers the latent
heat from the substance to the condenser coolant. These
devices are typically heat exchangers, which have various
designs and come in many sizes ranging from rather small
(hand-held) to very large industrial-scale units used in plant
processes.
Boulton and Watt
An early British engineering and manufacturing firm in the

business of designing and making marine and stationary steam
engines. Founded in the English West Midlands around
Birmingham in 1775 as a partnership between the English
manufacturer Matthew Boulton and the Scottish engineer James
Watt, the firm had a major role in the Industrial Revolution and
grew to be a major producer of steam engines in the 19th
century.
parallel motion
A mechanical linkage invented by the Scottish engineer James
Watt in 1784 for the double-acting Watt steam engine. It allows
a rod moving straight up and down to transmit motion to a beam
moving in an arc, without putting sideways strain on the rod.
reciprocating engine
A heat engine also known as a piston engine that uses one or

more reciprocating pistons to convert pressure into a rotating
motion. The main types are the internal combustion engine,
used extensively in motor vehicles; the steam engine, the
mainstay of the Industrial Revolution; and the niche application
Stirling engine.
J ames W att: Improving the

Newcomen Engine
In 1698, English mechanical designer Thomas Savery invented a
pumping appliance that used steam to draw water directly from a
well by means of a vacuum created by condensing steam. The
appliance was also proposed for draining mines, but could only draw
fluid up approximately 25 feet, meaning it had to be located within
this distance of the mine floor. As mines became deeper, this was
often impractical. The solution to draining deep mines was found by
Thomas Newcomen, who developed an atmospheric engine that
also worked on the vacuum principle. The Newcomen engine was
more powerful than the Savery engine. For the first time, water could
be raised from a depth of over 150 feet. However, while Newcomen
engines brought practical benefits, they were inefficient in terms of
energy use. The system of alternately sending jets of steam then
cold water into the cylinder meant that the walls of the cylinder were
alternately heated then cooled with each stroke. Each charge of
steam introduced would continue condensing until the cylinder
approached working temperature again, so at each stroke part of the
potential of the steam was lost.
In 1763, James Watt was working as instrument maker at the
University of Glasgow when he was assigned the job of repairing a
model Newcomen engine and noted how inefficient it was. In 1765,
Watt conceived the idea of equipping the engine with a separate
condensation chamber, which he called a condenser. Because the
condenser and the working cylinder were separate, condensation
occurred without significant loss of heat from the cylinder. The
condenser remained cold and below atmospheric pressure at all
times, while the cylinder remained hot at all times. Steam was drawn
from the boiler to the cylinder under the piston. When the piston
reached the top of the cylinder, the steam inlet valve closed and the
valve controlling the passage to the condenser opened. The lower
pressure of the condenser, drew the steam into the cylinder where it
cooled and condensed from water vapor to liquid water, maintaining
a partial vacuum in the condenser that was communicated to the
space of the cylinder by the connecting passage. External
atmospheric pressure then pushed the piston down the cylinder.
The separation of the cylinder and condenser eliminated the loss of

heat that occurred when steam was condensed in the working
cylinder of a Newcomen engine. This gave the Watt engine greater
efficiency than the Newcomen engine, reducing the amount of coal
consumed while doing the same amount of work. In Watt's design,
the cold water was injected only into the condensation chamber. This
type of condenser is known as a j et condenser.
Watt's next improvement to the Newcomen design was to seal the

top of the cylinder and surround it with a jacket. Steam was passed
through the jacket before being admitted below the piston, keeping
the piston and cylinder warm to prevent condensation within it. Watt
did not use high-pressure steam because of safety concerns,
although he was aware of its potential and included expansive
working knowledge in his patent of 1782. These improvements led to
the fully developed version of 1776 that actually went into
production.
Boulton and W att J oin Forces
The separate condenser showed dramatic potential for
improvements on the Newcomen engine but Watt was still
discouraged by seemingly insurmountable problems before a
marketable engine could be perfected. It was only after entering into
partnership with Matthew Boulton that this became reality. Watt told
Boulton about his ideas on improving the engine and Boulton, an
avid entrepreneur, agreed to fund development of a test engine at
Soho, near Birmingham. At last Watt had access to facilities and the
practical experience of craftsmen who were soon able to get the first
engine working. As fully developed, it used about 75% less fuel than
a similar Newcomen model.
The major components of a W att
pumping engine, Robert H. Thurston,
History of the Growth of the S team
E ngine, D. Appleton & Co, 18 7 8 .
The Boulton and Watt steam engine (known also as the Watt
engine), developed sporadically from 1763 to 1775, was an
improvement on the design of the Newcomen engine and was a key
point in the Industrial Revolution.
The schematic shows the parts of the watt steam pumping engine,
including: pump, hot feed water delivery to boiler, plug rod, transfer
pipe, hot well, cold water tank, vacuum pump, condenser, vacuum
end of cylinder, steam jacket, piston, and low pressure steam end of
cylinder.
In 1775, Watt designed two large engines: one for the Bloomfield
Colliery at Tipton and one for John Wilkinson's ironworks at Willey,
Shropshire, both completed in 1776. A third engine, at Stratford-le-
Bow in east London, was also working that year. Boulton and Watt's
practice was to help mine owners and other customers build
engines, supplying men to erect them and specialized parts.
However, the main profit from their patent was derived from charging
a license fee to the engine owners, based on the cost of the fuel they
saved. The greater fuel efficiency of their engines meant that they
were most attractive in areas where fuel was expensive, particularly
Cornwall, for which three engines were ordered in 1777.
Later Improvements
The first Watt engines were atmospheric pressure engines, like the
Newcomen engine but with the condensation separated from the
cylinder. Driving the engines using both low pressure steam and a
partial vacuum raised the possibility of reciprocating engine
development. An arrangement of valves could alternately admit low-
pressure steam to the cylinder and connect with the condenser.
Consequently, the direction of the power stroke might be reversed,
making it easier to obtain rotary motion. Additional benefits of the
double-acting engine were increased efficiency, higher speed
(greater power), and more regular motion.
Before the development of the double-acting piston, e to the beam

and the piston rod were linked by a chain, which meant that power
could only be applied in one direction, by pulling. This was effective
in engines used for pumping water, but the double action of the
piston meant that it could push as well as pull. Further, it was not
possible to connect the piston rod of the sealed cylinder directly to
the beam, because while the rod moved vertically in a straight line,
the beam was pivoted at its center with each side inscribing an arc.
To bridge the conflicting actions of the beam and the piston, Watt
developed his parallel motion. This masterpiece of engineering uses
a four-bar linkage coupled with a pantograph (a type of current
collector) to produce the required straight-line motion much more
cheaply than if he had used a slider type of linkage. He was very
proud of his solution.
W att's parallel motion on a pumping
engine
In a letter to his son in 1808, James Watt wrote, "I am more proud of
the parallel motion than of any other invention I have ever made."
The sketch he included actually shows what is now known as Watt's
linkage, which was described in Watt's 1784 patent but was
immediately superseded by the parallel motion. The parallel motion
differed from Watt's linkage by having an additional pantograph
linkage incorporated in the design. This did not affect the
fundamental principle but it allowed the engine room to be smaller
because the linkage was more compact.
Having the beam connected to the piston shaft by a means that

applied force alternately in both directions also meant that the motion
of the beam could be used to turn a wheel. The simplest solution to
transforming the action of the beam into a rotating motion was to
connect the beam to a wheel by a crank, but because another party
had patent rights on the use of the crank, Watt was obliged to come
up with another solution. He adopted the epicyclic sun and planet
gear system suggested by employee William Murdoch, only later
reverting, once the patent rights had expired, to the more familiar
crank seen on most engines today. The main wheel attached to the
crank was large and heavy, serving as a flywheel that once set in
motion, by its momentum maintained a constant power and
smoothed the action of the alternating strokes. To its rotating central
shaft, belts and gears could be attached to drive a great variety of
machinery. Because factory machinery needed to operate at a
constant speed, Watt linked a steam regulator valve to a centrifugal
governor, which he adapted from those used to automatically control
the speed of windmills.
These improvements allowed the steam engine to replace the water

wheel and horses as the main sources of power for British industry,
thereby freeing it from geographical constraints and becoming one of
the main drivers in the Industrial Revolution. Watt was also
concerned with fundamental research on the functioning of the
steam engine. His most notable measuring device, still in use today,
is the Watt indicator, incorporating a manometer to measure steam
pressure within the cylinder according to the position of the piston.
This enabled a diagram to be produced representing the pressure of
the steam as a function of its volume throughout the cycle.
25 .3.3: The Spread of Steam Power

Steam engines found many uses in a variety of industries, most
notably mining and transportation, but its popularization shaped
nearly every aspect of the industrial society, including where people
could live, labor, and travel; how goods were produced, marketed,
and sold; and what technological innovations followed.
Learning Objective
Give examples of the industries powered by steam
Key Points
The steam engine was one of the most important technologies
of the Industrial Revolution, inspiring other innovations and
initiating further technological advancements. In 1775, James
Watt formed an engine-building and engineering partnership
with manufacturer Matthew Boulton. This served as a kind of
creative technical center for much of the British economy. They
supported talents and other companies, creating a culture where
firms often shared information that they could use to create new
techniques or products.
From mines to mills, steam engines found many uses in a
variety of industries. The introduction of steam engines
improved productivity and technology and allowed the creation
of smaller and better engines. Around the start of the 19th
century, Cornish engineer Richard Trevithick and American
Oliver Evans began to construct higher-pressure non-
condensing steam engines, exhausting against the atmosphere.
After Trevithick's development, transport applications became
possible and steam engines found their way into boats, railways,
farms, and road vehicles.
The steam engine was originally invented and perfected to be
used in mines. The introduction of the steam pump by Savery in
1698 and the Newcomen steam engine in 1712 greatly
facilitated the removal of water and enabled shafts to be made
deeper, enabling more coal to be extracted. The adoption of
John Smeaton's improvements to the Newcomen engine
followed by James Watt's more efficient steam engines from the
1770s reduced the fuel costs of engines, making mines more
profitable.
Steam locomotives were invented after the introduction of high
pressure steam engines when the Boulton and Watt patent
expired in 1800. Steam-hauled public railways began with the
Stockton and Darlington Railway in 1825. The use of steam
engines on railroads proved extraordinary since large amounts
of goods and raw materials could now be delivered to cities and
factories alike at a fraction of the cost traveling by wagon.
Following the advent of the steamboat, the United States saw
an incredible growth in the transportation of goods and people,
which was key in westward expansion. The steamboat
dramatically reduced time used to transport goods and allowed
for increased specialization. The steamboat was also critical to
facilitating the internal slave trade. With the steamboat came the
need for an improved river system and infrastructure along the
rivers.
Steam engines are a particularly illustrative example of how
changes brought by industrialization led to even more changes
in other areas. While many consider the potential for an
increase in power generated the dominant benefit, others favor
the potential for agglomeration. Steam engines made it possible
to easily work, live, produce, market, specialize, and viably
expand without having to worry about the less abundant
presence of waterways.
Key Terms
Boulton and Watt
An early British engineering and manufacturing firm in the

business of designing and making marine and stationary steam
engines. Founded in the English West Midlands around
Birmingham in 1775 as a partnership between the English
manufacturer Matthew Boulton and the Scottish engineer James
Watt, the firm had a major role in the Industrial Revolution and
grew to be a major producer of steam engines in the 19th
century.
beam engine
A type of steam engine where a pivoted overhead beam is used

to apply the force from a vertical piston to a vertical connecting
rod. This configuration, with the engine directly driving a pump,
was first used by Thomas Newcomen around 1705 to remove
water from mines in Cornwall.
steam engine
A heat engine that performs mechanical work using steam as its
working fluid.
Steam Engine Revolution

The steam engine was one of the most important technologies of the
Industrial Revolution, although steam did not replace water power in
importance in Britain until after the Industrial Revolution. From
Englishmen Thomas Savery's first practical, atmospheric pressure
engine (1698) and Thomas Newcomen's atmospheric engine (1712)
through major developments by Scottish inventor and mechanical
engineer James Watt, the steam engine became used in many
industrial settings. In 1775, Watt formed an engine-building and
engineering partnership with manufacturer Matthew Boulton that
became one of the most important businesses of the Industrial
Revolution and served as a creative technical center for much of the
British economy. The partners solved technical problems and spread
the solutions to other companies. Similar firms did the same thing in
other industries and were especially important in the machine tool
industry. These interactions between companies reduced the amount
of research time and expense that each business had to spend
working with its own resources. The technological advances of the
Industrial Revolution happened more quickly because firms often
shared information they could use to create new techniques or
products.
W att's rotative engine at the Henry
Ford Museum
The Henry Ford Museum in Dearborn, Michigan houses a Watt
rotative engine manufactured in 1788 by Charles Summerfield. This
is a full-scale working Boulton-Watt engine. The American
industrialist Henry Ford moved the engine to Dearborn around 1930.
Major Applications
From mines to mills, steam engines found many uses in a variety of
industries. The introduction of steam engines improved productivity
and technology and allowed the creation of smaller and better
engines. Until about 1800, the most common type of steam engine
was the beam engine, built as an integral part of a stone or brick
engine-house, but soon various patterns of self-contained rotative
engines (readily removable, but not on wheels) were developed,
such as the table engine. Around the start of the 19th century, the
Cornish engineer Richard Trevithick and American Oliver Evans
began to construct higher-pressure non-condensing steam engines,
exhausting against the atmosphere. After Trevithick's development,
transport applications became possible and steam engines found
their way into boats, railways, farms, and road vehicles.
The steam engine was originally invented and perfected to be used

in mines. Before the steam engine, shallow bell pits followed a seam
of coal along the surface and were abandoned as the coal was
extracted. In other cases, if the geology was favorable, the coal was
mined by a drift mine driven into the side of a hill. Shaft mining was
done in some areas, but the limiting factor was the problem of
removing water. It could be done by hauling buckets of water up the
shaft or to a tunnel driven into a hill t. In either case, the water had to
be discharged into a stream or ditch at a level where it could flow
away by gravity. The introduction of the steam pump by Savery in
1698 and the Newcomen steam engine in 1712 greatly facilitated the
removal of water and enabled shafts to be made deeper, enabling
more coal to be extracted. These developments began before the
Industrial Revolution, but the adoption of John Smeaton's
improvements to the Newcomen engine followed by James Watt's
more efficient steam engines from the 1770s reduced the fuel costs
of engines, making mines more profitable.
At the beginning of the Industrial Revolution, inland transport was by

navigable rivers and roads, with coastal vessels employed to move
heavy goods by sea. Wagon ways were used for conveying coal to
rivers for further shipment, but canals had not yet been widely
constructed. Animals supplied all of the motive power on land, with
sails providing the motive power on the sea. The first horse railways
were introduced toward the end of the 18th century, with steam
locomotives introduced in the early decades of the 19th century.
Steam locomotives were invented after the introduction of high-
pressure steam engines when the Boulton and Watt patent expired
in 1800. High-pressure engines exhausted used steam to the
atmosphere, doing away with the condenser and cooling water. A
few of these early locomotives were used in mines. Steam-hauled
public railways began with the Stockton and Darlington Railway in
1825. The use of steam engines on railroads proved extraordinary in
the fact that now you could have large amounts of goods and raw
materials delivered to cities and factories alike. Trains could deliver
these to places far away at a fraction of the cost traveling by wagon.
Particularly in the United States, the introduction and development of

the steamboat resulted in vast changes. Prior to the steamboat,
rivers were generally only used in transporting goods from east to
west, and from north to south as fighting the current was very difficult
and often impossible. Non-powered boats and rafts were assembled
upstream to carry cargo downstream, and would often be
disassembled at the end of their journey and the remains used to
construct homes and commercial buildings. Following the advent of
the steamboat, the U.S. saw incredible growth in the transportation
of goods and people, which was key in westward expansion. The
steamboat dramatically reduced time used to transport goods and
allowed for increased specialization. It was also critical to facilitating
the internal slave trade.
With the steamboat came the need for an improved river system.
The natural river system produced such obstacles as rapids, sand
bars, shallow waters, and waterfalls. To overcome these natural
obstacles, a network of canals, locks, and dams was constructed.
This increased demand for labor along the rivers, resulting in
tremendous job growth. The popularization of the steamboat also led
directly to growth in the coal and insurance industries and demand
for repair facilities along the rivers. Additionally, the demand for
goods in general increased as the steamboat made transport to new
destinations both wide-reaching and efficient.
1920 Steamboat on the Y ukon River

near W hitehorse, Frank G Carpenter
Collection, US Library of Congress.
Prior to the steamboat, it could take between three and four months
to make the passage from New Orleans to Louisville, averaging
twenty miles a day. With the steamboat this time was reduced
drastically with trips ranging from twenty-five to thirty-five days. This
was especially beneficial to farmers as their crops could now be
transported elsewhere to be sold.
Steam Engine and Societal
Progress
Steam engines are a particularly illustrative example of how changes
brought by industrialization led to even more changes in other area.
Water power, the world's preceding supply of power, continued to be
an essential source even during the height of steam engine
popularity. The steam engine, however, provided many novel
benefits. While many consider the potential for an increase in power
generated o be the dominant benefit (with the average horsepower
of steam powered mills producing four times the power of water
powered mills), others favor the potential for agglomeration. Steam
engines made it possible to easily work, live, produce, market,
specialize, and viably expand without having to worry about the less
abundant presence of waterways. Cities and towns were now built
around factories, where steam engines served as the foundation for
the livelihood of many of the citizens. By promoting the
agglomeration of individuals, successful local markets were
established. Cities quickly grew and the quality of living eventually
increased as infrastructure was put in place. Finer goods could be
produced as acquisition of materials became less difficult and
expensive. Direct local competition led to higher degrees of
specialization and labor and capital were in rich supply. The steam-
powered towns encouraged growth both locally and on the national
scale.
Attributions
Early Steam Engines
"Aeolipile." https://en.wikipedia.org/wiki/Aeolipile. Wikipedia
CC BY-SA 3.0.
"Beam engine." https://en.wikipedia.org/wiki/Beam_engine.
"Thomas Savery."
https://en.wikipedia.org/wiki/Thomas_Savery. Wikipedia CC
BY-SA 3.0.
"Thomas Newcomen."
https://en.wikipedia.org/wiki/Thomas_Newcomen. Wikipedia
CC BY-SA 3.0.
"Steam power during the Industrial Revolution."
https://en.wikipedia.org/wiki/Steam_power_during_the_Indu
strial_Revolution. Wikipedia CC BY-SA 3.0.
"Newcomen atmospheric engine."
https://en.wikipedia.org/wiki/Newcomen_atmospheric_engin
"Steam engine."
https://en.wikipedia.org/wiki/Steam_engine. Wikipedia CC
BY-SA 3.0.
"Savery-engine.jpg."
https://commons.wikimedia.org/wiki/File:Savery-engine.jpg.
"800px-Newcomen6325.png."
e# /media/File:Newcomen6325.png. Wikipedia Public
domain.
Boulton and Watt
"Watt steam engine."
https://en.wikipedia.org/wiki/Watt_steam_engine. Wikipedia
CC BY-SA 3.0.
"Parallel motion."
https://en.wikipedia.org/wiki/Parallel_motion. Wikipedia CC
BY-SA 3.0.
"Boulton and Watt."
https://en.wikipedia.org/wiki/Boulton_and_Watt. Wikipedia
CC BY-SA 3.0.
"Reciprocating engine."
https://en.wikipedia.org/wiki/Reciprocating_engine.
"Newcomen atmospheric engine."
"Steam engine."
BY-SA 3.0.
"Pantograph (transport)."
https://en.wikipedia.org/wiki/Pantograph_(transport).
"Condenser (heat transfer)."
https://en.wikipedia.org/wiki/Condenser_(heat_transfer).
"800px-Watt_steam_pumping_engine.JPG."
https://commons.wikimedia.org/wiki/File:Watt_steam_pumpi
ng_engine.JPG. Wikimedia Commons Public domain.
"800px-WattParallelMotion.jpg."
https://commons.wikimedia.org/wiki/File:WattParallelMotion.
jpg. Wikimedia Commons GNU FDL 1.2.
The Spread of Steam Power
"Watt steam engine."
https://en.wikipedia.org/wiki/Watt_steam_engine. Wikipedia
CC BY-SA 3.0.
"Beam engine." https://en.wikipedia.org/wiki/Beam_engine.
"Steam power during the Industrial Revolution."
strial_Revolution. Wikipedia CC BY-SA 3.0.
"Boulton and Watt."
https://en.wikipedia.org/wiki/Boulton_and_Watt. Wikipedia
CC BY-SA 3.0.
"Steam engine."
BY-SA 3.0.
"Industrial Revolution ."
"800px-1920_Steamboat_on_the_Yukon_River.jpg."
strial_Revolution# /media/File:1920_Steamboat_on_the_Yu
kon_River.jpg. Wikipedia Public domain.
"15_23_1056_ford_museum.jpg."
https://commons.wikimedia.org/wiki/File:15_23_1056_ford_
museum.jpg. Wikimedia Commons CC0 1.0 Universal.
25 .4: Iron Making
25 .4.1: The Shift to Coal
The advancement of the steam engine dramatically improved the
efficiency of coal mining during the Industrial Revolution, making
coal a cheaper, more abundant, and easily available source of
energy. This resulted in labor conditions that triggered influential
unions and in pollution that sparked the environmental movement.
Learning Objective
Evaluate the effect the rising use of coal had on development and
industry
Key Points
Coal is a combustible black or brownish-black sedimentary rock
occurring in layers or veins called coal beds or coal seams. It is
composed primarily of carbon, along with variable quantities of
other elements, chiefly hydrogen, sulfur, oxygen, and nitrogen. A
fossil fuel, coal forms from dead plant matter.
Early coal extraction was small-scale, with coal lying either on
the surface or very close to it. The early coal mining techniques
left considerable amount of usable coal behind. Although some
deep mining in Britain took place as early as the 1500s, deep
shaft mining began to develop extensively in the late 18th
century, with rapid expansion throughout the 19th century and
early 20th century when the industry peaked. Coalfields helped
to make the regions where they were located prosperous. Coal
was so abundant in Britain that the supply could be stepped up
to meet the rapidly rising demand.
Coal was central to the development of the steam engine and, in
turn, the steam engine dramatically increased the efficiency of
coal mining. The introduction of the steam pump by Thomas
Savery in 1698 and the Newcomen steam engine in 1712
greatly facilitated the removal of water from mines and enabled
shafts to be made deeper, enabling more coal to be extracted.
The next major step occurred when James Watt developed an
improved version of Newcomen's engine. Watt's ten-
horsepower engines enabled a wide range of manufacturing
machinery to be powered.
Coal mining remained very dangerous due to the presence of
firedamp in many coal seams. Conditions of work were very
poor, with a high casualty rate from rock falls. Coal mining has
also been historically linked to bonded labor long after slavery
was formally abolished in many parts of the world. Some of the
worst abuses of child labor continued in coal mines. The miners,
less affected by imported labor or machines than were the
cotton mill workers, began to form trade unions and fight their
grim battle for wages against the coal owners and royalty-
lessees.
The replacement of wood and other bio-fuels with coal was also
a major change in the metal industries during the Industrial
Revolution. For a given amount of heat, coal required much less
labor than cutting wood and converting it to charcoal. Coal was
also more abundant than wood. The reverberatory furnace
technology, which keeps impurities in the coal from migrating
into the metal, was highly advanced during the period. Coal was
also central to the gas lighting industry.
The origins of the environmental movement lay in the response
to increasing levels of smoke pollution in the atmosphere during
the Industrial Revolution. The emergence of large factories and
corresponding immense growth in coal consumption gave rise to
an unprecedented level of air pollution in industrial centers. The
first non-governmental organizations and environment
protection policies were a result of the development of coal-
based industries during the Industrial Revolution.
Key Terms
reverberatory furnace
A metallurgical or process furnace that isolates the material

being processed from contact with the fuel, but not from contact
with combustion gases. The term reverberation is used here in a
generic sense of rebounding or reflecting, not in the
acoustic sense of echoing.
coke
A fuel with few impurities and a high carbon content, the solid
carbonaceous material derived from destructive distillation of
low-ash, low-sulfur bituminous coal. While it can form naturally,
the common form is man-made.
steam engine
A heat engine that performs mechanical work using steam.
Coal and Coal Mining in Britain

Coal is a combustible black or brownish-black sedimentary rock
occurring in layers or veins called coal beds or coal seams. Coal is
composed primarily of carbon, along with variable quantities of other
elements, chiefly hydrogen, sulfur, oxygen, and nitrogen. A fossil
fuel, coal forms when dead plant matter is converted into peat, which
in turn is converted into lignite, then sub-bituminous coal, bituminous
coal, and lastly anthracite. This involves biological and geological
processes that take place over time.
The history of coal mining goes back thousands of years. Early coal
extraction was small-scale, with coal lying either on the surface or
very close to it. The early coal mining techniques left considerable
amount of usable coal behind. Although some deep mining in Britain
took place as early as the 1500s, deep shaft mining began to
develop extensively in the late 18th century, with rapid expansion
throughout the 19th century and early 20th century when the industry
peaked. The location of the coalfields helped to make the prosperity
of Lancashire, Yorkshire, and South Wales. Northumberland and
Durham were the leading coal producers and the sites of the first
deep pits. In much of Britain, coal was worked from drift mines or
scraped off when it outcropped on the surface. Small groups of part-
time miners used shovels and primitive equipment. As a result of
these limited methods, in the deep Tyneside pits (300 to 1,000 ft
deep) for example, only about 40 percent of the coal could be
extracted.
Coal was so abundant in Britain that the supply could be increased

to meet the rapidly rising demand. In 1700, the annual output of coal
was just under 3 million tons. Between 1770 and 1780, the annual
output of coal was some 6.25 million long tons (or about the output
of a week and a half in the 20th century). After 1790 output soared,
reaching 16 million long tons by 1815. By 1830 this rose to over 30
million tons.
Use of Coal During the

The development of the Industrial Revolution led to the large-scale
use of coal as the steam engine took over from the water wheel. In
1700, five-sixths of the world's coal was mined in Britain.
Steam Engine and Coal Mining

Coal was central to the development of the steam engine and in turn,
the steam engine dramatically increased the efficiency of coal
mining. Before the steam engine, shallow bell pits followed a seam
of coal along the surface, which were abandoned as the coal was
extracted. In other cases, if the geology was favorable, the coal was
mined by means of an adit or drift mine driven into the side of a hill.
Shaft mining was done in some areas, but the limiting factor was the
problem of removing water. It could be done by hauling buckets of
water up the shaft or to a sough (a tunnel driven into a hill to drain a
mine). In either case, the water had to be discharged into a stream
or ditch at a level where it could flow away by gravity.
The introduction of the steam pump by Thomas Savery in 1698 and

the Newcomen steam engine in 1712 facilitated the removal of water
and enabled shafts to be made deeper so more coal could be
extracted. A number of Newcomen engines were successfully put to
use in Britain for draining hitherto unworkable deep mines, with the
engine on the surface. These large machines, requiring a lot of
capital to build, were extremely inefficient by modern standards, but
greatly increased the scope of coal miningwhen located where coal
was cheap at pit heads.
Despite their disadvantages, Newcomen engines were reliable and

easy to maintain, and continued to be used in the coalfields until the
early decades of the 19th century. The next major step occurred
when James Watt developed (1763–1775) an improved version of
Newcomen's engine. Boulton and Watt's early engines used half as
much coal as John Smeaton's improved version of Newcomen's.
Watt's ten-horsepower engines could powera wide range of
manufacturing machinery and be sited anywhere that water and coal
or wood fuel could be obtained.
Coal mining remained very dangerous due to the presence of

firedamp in many coal seams. Some degree of safety was provided
by the safety lamp invented in 1816 by Sir Humphry Davy and
independently by George Stephenson. However, the lamps proved a
false dawn because they became unsafe very quickly and provided a
weak light. Firedamp explosions continued, often setting off coal dust
explosions, so casualties grew during the entire 19th century.
Conditions of work were very poor, with a high casualty rate from
rock falls.
Coal mining has also been historically linked to bonded labor long
after slavery was formally abolished in many parts of the world. For
example, Scottish miners had been bonded to their "masters" by a
1606 Act "Anent Coalyers and Salters." A Colliers and Salters
(Scotland) Act 1775, recognized this to be "a state of slavery and
bondage" and formally abolished it. This decision was made effective
by a further law in 1799. Some of the worst abuses of child labor
continued in coal mines throughout the Industrial Revolution. The
miners, less affected by imported labor or machines than were the
cotton mill workers, began to form trade unions and fight their grim
battle for wages against the coal owners and royalty-lessees. In
South Wales, the miners showed a high degree of solidarity. They
lived in isolated villages where they comprised the great majority of
workers. There was a high degree of equality in lifestyle. Combined
with an evangelical religious style based on Methodism, this led to
forging a "community of solidarity" under the leadership of the Miners
Federation.
The 1906 Courriè res mine disaster in
France, anonymous author in Le Petit
J ournal, No. 8 01, 1906.
Mining has always been dangerous because of methane gas
explosions, roof cave-ins, and the difficulty of mine rescue. The
worst single disaster in British coal mining history was at
Senghenydd in the South Wales coalfield. In 1913 an explosion and
subsequent fire killed 436 men and boys. The Courriè res mine
disaster, Europe's worst mining accident, caused the death of 1,099
miners in Northern France in 1906.
Wagonways for moving coal in the mining areas started in the 17th
century and were often associated with canal or river systems for the
further movement of coal. These were all horse-drawn or relied on
gravity, with a stationary steam engine to haul the wagons back to
the top of the incline. The first applications of the steam
locomotive were on wagon or plate ways (as they were then often
called from the cast-iron plates used). Horse-drawn public railways
did not begin until the early years of the 19th century when
improvements to pig and wrought iron production lowered costs. The
development of the steam locomotive by Trevithick early in the 19th
century gave added impetus and coal consumption grew rapidly as
the railway network expanded through the V ictorian period.
Metallurgy
The replacement of wood and other bio-fuels with coal was also a
major change in the metal industries during the Industrial Revolution.
For a given amount of heat, coal required much less labor to mine
than cutting wood and converting it to charcoal, and coal was more
abundant than wood. Use of coal in smelting started somewhat
before the Industrial Revolution, based on innovations by Sir
Clement Clerke and others from 1678, using coal reverberatory
furnaces known as cupolas. These were operated by the flames
playing on the ore and charcoal or coke mixture, reducing the oxide
to metal. This means that impurities (such as sulfur ash) in the coal
do not migrate into the metal. This technology was applied to lead
from 1678 and to copper from 1687. It was also applied to iron
foundry work in the 1690s, but in this case the reverberatory furnace
was known as an air furnace. This was followed by Abraham Darby,
who made great strides using coke to fuel his blast furnaces at
Coalbrookdale in 1709. Coke pig iron was hardly used to produce
wrought iron in forges until the mid-1750s, when Abraham's son,
Abraham Darby II, built Horsehay and Ketley furnaces (not far from
Coalbrookdale). By then, coke pig iron was cheaper than charcoal
pig iron.
Gas Lighting
Another major industry of the later Industrial Revolution where coal
was central was gas lighting. Although others made a similar
innovation elsewhere, its large-scale introduction was the work of
William Murdoch, an employee of Boulton & Watt, the steam engine
pioneers. The process consisted of the large-scale gasification of
coal in furnaces, the purification of the gas (removal of sulfur,
ammonia, and heavy hydrocarbons), and its storage and distribution.
The first gas lighting utilities were established in London between
1812 and 1820. They soon became one of the major consumers of
coal in Britain. Gas lighting affected social and industrial organization
because it allowed factories and stores to remain open longer than
with tallow candles or oil. Its introduction allowed nightlife to flourish
in cities and towns as interiors, and streets could be lighted on a
larger scale than before.
Industrial Revolution, Coal, and

Environmental Movement
The origins of the environmental movement lay in the response to
increasing levels of smoke pollution in the atmosphere during the
Industrial Revolution. The emergence of great factories and the
concomitant immense growth in coal consumption gave rise to an
unprecedented level of air pollution in industrial centers. After 1900
the large volume of industrial chemical discharges added to the
growing load of untreated human waste. The first large-scale,
modern environmental laws came in the form of Britain's Alkali Acts,
passed in 1863, to regulate the deleterious air pollution given off by
the Leblanc process used to produce soda ash.
St. Rollox Chemical W orks in 18 31,
author unknown.
Levels of air pollution rose during the Industrial Revolution, sparking
the first modern environmental laws to be passed in the mid-19th
century.
In industrial cities, local experts and reformers, especially after 1890,

took the lead in identifying environmental degradation and pollution
and initiating grass-roots movements to demand and achieve
reforms. Typically the highest priority was water and air pollution.
The Coal Smoke Abatement Society was formed in Britain in 1898
making it one of the oldest environmental non-governmental
organizations (NGOs). It was founded by artist Sir William Blake
Richmond, who was frustrated with the pall cast by coal smoke.
Although there were earlier pieces of legislation, the Public Health
Act of 1875 required all furnaces and fireplaces to consume their
own smoke. It also provided for sanctions against factories that
emitted large amounts of black smoke.
25 .4.2: Changes to Iron Production

Technological advancements in metallurgy, most notably smelting
with coal or coke, increased the supply and decreased the price of
iron, aiding a number of industries and making iron common in the
rapidly growing machinery and engine sectors.
Learning Objective
Break down how iron production changed during the Industrial
Revolution
Key Points
Early iron smelting used charcoal as both the heat source and
the reducing agent. By the 18th century, the availability of wood
for making charcoal limited the expansion of iron production, so
England became increasingly dependent on imports from
Sweden and Russia. Smelting with coal (or its derivative coke)
was a long-sought objective, with some early advancements
ٞachieved throughout the 17th century. Britain's demand for iron
and steel, combined with ample capital and energetic
entrepreneurs, rapidly made it the world leader of metallurgy.
A major change in the metal industries during the era of the
Industrial Revolution was the replacement of wood and other
bio-fuels with coal. Use of coal in smelting started somewhat
before the Industrial Revolution, based on innovations by Sir
Clement Clerke and others from 1678, using coal reverberatory
furnaces known as cupolas. With cupolas, impurities in the coal
did not migrate into the metal.
Abraham Darby made great strides using coke to fuel his blast
furnaces at Coalbrookdale in 1709. However, coke pig iron was
hardly used to produce wrought iron in forges until the mid-
1750s, when his son Abraham Darby II built Horsehay and
Ketley furnaces. Since cast iron was becoming cheaper and
more plentiful, it became a structural material following the
building of the innovative Iron Bridge in 1778 by Abraham Darby
III.
Wrought iron for smiths to forge into consumer goods was still
made in finery forges, as it long had been. However, new
processes were adopted in the ensuing years. The first is
referred to today as potting and stamping, but this was
superseded by Henry Cort's puddling process. Cort developed
two significant iron manufacturing processes: rolling in 1783 and
puddling in 1784. Rolling replaced hammering for consolidating
wrought iron and expelling some of the dross. Rolling was 15
times faster than hammering with a trip hammer.
Hot blast, patented by James Beaumont Neilson in 1828, was
the most important development of the 19th century for saving
energy in making pig iron. By using waste exhaust heat to
preheat combustion air, the amount of fuel to make a unit of pig
iron was reduced.
The supply of cheaper iron aided a number of industries. The
development of machine tools allowed better working of iron,
increasing its use in the rapidly growing machinery and engine
industries. Prices of many goods decreased, making them more
available and common.
Key Terms
reverberatory furnaces
A metallurgical or process furnace that isolates the material

being processed from contact with the fuel, but not from contact
with combustion gases. The term reverberation is used here in a
generic sense of rebounding or reflecting, not in the
acoustic sense of echoing.
Iron Bridge
A bridge that crosses the River Severn in Shropshire, England.

Opened in 1781, it was the first arch bridge in the world to be
made of cast iron and was greatly celebrated after construction.
pig iron
An intermediate product of the iron industry. It has a very high
carbon content, typically 3.5–4.5%, along with silica and other
constituents of dross, which makes it very brittle and not useful
as a material except in limited applications. It is made by
smelting iron ore into a transportable ingot of impure high
carbon-content iron as an ingredient for further processing
steps. It is the molten iron from the blast furnace, a large
cylinder-shaped furnace charged with iron ore, coke, and
limestone.
coke
A fuel with few impurities and a high carbon content, usually

made from coal. It is the solid carbonaceous material derived
from destructive distillation of low-ash, low-sulfur bituminous
coal. While it can be formed naturally, the commonly used form
is man-made.
Iron and Industrial Revolution

in Britain
Early iron smelting used charcoal as both the heat source and the
reducing agent. By the 18th century, the availability of wood for
making charcoal had limited the expansion of iron production, so
England became increasingly dependent on Sweden (from the mid-
17th century) and then from about 1725 on Russia for the iron
required for industry. Smelting with coal (or its derivative coke) was a
long-sought objective. The production of pig iron with coke was
probably achieved by Dud Dudley in the 1620s, and with a mixed
fuel made from coal and wood again in the 1670s. However this was
only a technological rather than a commercial success. Shadrach
Fox may have smelted iron with coke at Coalbrookdale in Shropshire
in the 1690s, but only to make cannonballs and other cast iron
products such as shells. In the time of peace, they did not enjoy
much demand.
Britain's demand for iron and steel, combined with ample capital and
energetic entrepreneurs, rapidly made it the world leader of the
metallurgy. In 1875, Britain accounted for 47% of world production of
pig iron and almost 40% of steel. Forty percent of British output was
exported to the U.S., which was rapidly building its rail and industrial
infrastructure. The growth of pig iron output was dramatic. Britain
went from 1.3 million tons in 1840 to 6.7 million in 1870 and 10.4 in
1913.
Technological Advancements
A major change in the metal industries during the era of the
Industrial Revolution was the replacement of wood and other bio-
fuels with coal. For a given amount of heat, coal required much less
labor to mine than cutting wood and converting it to charcoal, and
coal was more abundant than wood. Use of coal in smelting started
before the Industrial Revolution based on innovations by Sir Clement
Clerke and others from 1678, using coal reverberatory furnaces
known as cupolas. These were operated by the flames playing on
the ore and charcoal or coke mixture, reducing the oxide to metal.
This has the advantage that impurities such as sulfur ash in the coal
do not migrate into the metal. This technology was applied to lead
from 1678 and to copper from 1687. It was also applied to iron
foundry work in the 1690s, but in this case the reverberatory furnace
was known as an air furnace. The foundry cupola is a different (and
later) innovation.
Reverberatory furnace
The reverberatory furnace could produce cast iron using mined coal.
The burning coal remained separate from the iron ore and so did not
contaminate the iron with impurities like sulfur and ash. This opened
the way to increased iron production.
The diagram shows how hot gas and radiant heat move through the
firebox, hearth, and flue.
Abraham Darby made great strides using coke to fuel his blast
furnaces at Coalbrookdale in 1709. However, the coke pig iron he
made was used mostly for the production of cast iron goods, such as
pots and kettles. He had the advantage over his rivals in that his
pots, cast by his patented process, were thinner and cheaper than
theirs. Coke pig iron was hardly used to produce wrought iron in
forges until the mid-1750s, when his son Abraham Darby II built
Horsehay and Ketley furnaces. By then, coke pig iron was cheaper
than charcoal pig iron. Since cast iron was becoming cheaper and
more plentiful, it became a structural material following the building
of the innovative Iron Bridge in 1778 by Abraham Darby III.
The Iron Bridge, opened in 17 8 1
The Iron Bridge crosses the River Severn in Shropshire, England,
and is the first bridge in the world to be made of cast iron. During the
winter of 1773–74, local newspapers advertised a proposal to
petition Parliament for leave to construct an iron bridge with a single
120 feet (37 m) span. In 1775, Abraham Darby III, the grandson of
Abraham Darby I and an ironmaster working at Coalbrookdale, was
appointed treasurer to the project.
Wrought iron for smiths to forge into consumer goods was still made
in finery forges, as it long had been. However, new processes were
adopted in the ensuing years. The first is referred to today as potting
and stamping, but this was superseded by Henry Cort's puddling
process. Cort developed two significant iron manufacturing
processes: rolling in 1783 and puddling in 1784. Rolling replaced
hammering for consolidating wrought iron and expelling some of the
dross. Rolling was 15 times faster than hammering with a trip
hammer. Roller mills were first used for making sheets, but also
rolled structural shapes such as angles and rails.
Puddling produced structural-grade iron at a relatively low cost. It

was a means of decarburizing pig iron by slow oxidation, with iron
ore as the oxygen source, as the iron was manually stirred using a
long rod. Puddling was done in a reverberatory furnace, allowing
coal or coke to be used as fuel. The decarburized iron, having a
higher melting point than cast iron, was raked into globs by the
puddler. When the glob was large enough, the puddler would remove
it. Puddling was backbreaking and extremely hot work. Few puddlers
lived to age 40. The process continued ntil the late 19th century
when iron was displaced by steel. Because puddling required human
skill in sensing the iron globs, it was never successfully mechanized.
Hot blast, patented by James Beaumont Neilson in 1828, was the

most important development of the 19th century for saving energy in
making pig iron. By using waste exhaust heat to preheat combustion
air, the amount of fuel to make a unit of pig iron was reduced at first
by between one-third using coal or two-thirds using coke. However,
the efficiency gains continued as the technology improved. Hot blast
also raised the operating temperature of furnaces, increasing their
capacity. Using less coal or coke meant introducing fewer impurities
into the pig iron. This meant that lower quality coal or anthracite
could be used in areas where coking coal was unavailable or too
expensive.
The supply of cheaper iron aided a number of industries, such as

those making nails, hinges, wire, and other hardware items. The
development of machine tools allowed better working of iron, leading
to increased use in the rapidly growing machinery and engine
industries. Iron was used in agricultural machines, making farm labor
more effective. The new technological advancements were also
critical to the development of the rail. Prices of many goods, such as
iron cooking utensils, decreased, making them more available and
commonly used.
25 .4.3: Steel Production

Before 1860, steel was expensive and produced in small quantities,
but the development of crucible steel technique by Benjamin
Huntsman in the 1740s, the Bessemer process in the 1850s, and the
Siemens-Martin process in the 1850s-1860s resulted in the mass
production of steel, one of the key advancements behind the Second
Learning Objective
Postulate the effects of improved steel production on the progression
of industry.
Key Points
Steel is an alloy of iron and other elements, primarily carbon,
that is widely used in construction and other applications
because of its high tensile strength and low cost. Steel's base
metal is iron. It was first produced in antiquity, but two decades
before the Industrial Revolution an improvement was made in
the production of steel, which at the time was an expensive
commodity used only where iron would not do.
Benjamin Huntsman developed his crucible steel technique in
the 1740s. He was able to make satisfactory cast steel in clay
pot crucibles, each holding about 34 pounds of blister steel. A
flux was added, and they were covered and heated by coke for
about three hours. The molten steel was then poured into molds
and the crucibles reused. For a long time Huntsman exported
his whole output to France as local producers refused to work
with steel harder than they were already using.
Steel is often cited as the first of several new areas for industrial
mass-production that characterize the Second Industrial
Revolution. Before about 1860, steel was still an expensive
product. The problem of mass-producing cheap steel was
solved in 1855 by Henry Bessemer with the introduction of the
Bessemer converter at his steelworks in Sheffield, England.
Further experiments by Gö ran Fredrik Gö ransson and Robert
Forester Mushet allowed Bessemer to perfect what would be
known as the Bessemer process.
Although initially Bessemer met with rebuffs and was forced to
undertake the exploitation of his process himself, eventually
licences were applied for in such numbers that Bessemer
received royalties exceeding a million pounds sterling. By 1870,
Bessemer steel was widely used for ship plate. The Bessemer
process also made steel railways competitive in price.
Experience quickly proved steel had much greater strength and
durability and could handle the heavier and faster engines and
cars.
After 1890, the Bessemer process was gradually supplanted by
open-hearth steel making. Carl Wilhelm Siemens developed the
Siemens regenerative furnace in the 1850s. This furnace
operated at a high temperature by using regenerative
preheating of fuel and air for combustion. In 1865, Pierre-É mile
Martin took out a license from Siemens and applied his
regenerative furnace for making steel. The Siemens-Martin
process was slower and thus easier to control. It also permitted
the melting and refining of large amounts of scrap steel, further
lowering steel production costs and recycling an otherwise
troublesome waste material.
The Siemens-Martin process became the leading steel-making
process by the early 20th century. The availability of cheap steel
allowed larger bridges, railroads, skyscrapers, and ships. Other
important steel products were steel cable, steel rod, and sheet
steel, which enabled large, high-pressure boilers and high-
tensile strength steel for machinery. Military equipment also
improved significantly.
Key Terms
Second Industrial Revolution
A phase of rapid industrialization in the final third of the 19th

century and the beginning of the 20th, also known as the
Technological Revolution. Although a number of its
characteristic events can be traced to earlier innovations in
manufacturing, such as the establishment of a machine
tool industry, the development of methods for manufacturing
interchangeable parts, and the invention of the Bessemer
Process, it is generally dated between 1870 and 1914 up to the
start of World War I.
Bessemer process
The first inexpensive industrial process for the mass production

of steel from molten pig iron before the development of the open
hearth furnace. The key principle is removal of impurities from
the iron by oxidation with air blown through the molten iron. The
oxidation also raises the temperature of the iron mass and
keeps it molten.
crucible steel
A term that applies to steel made by two different methods in the

modern era and produced in varying locales throughout history.
It is made by melting iron and other materials. It was produced
in South and Central Asia during the medieval era but
techniques for production of high-quality steel were developed
by Benjamin Huntsman in England in the 18th century. However,
Huntsman's process used iron and steel as raw materials rather
than direct conversion from cast iron as in the later Bessemer
process. The homogeneous crystal structure of this cast steel
improved its strength and hardness compared to preceding
forms of steel.
cementation
An obsolete technology for making steel by carburization of iron.

Unlike modern steel making, it increased the amount of
carbon in the iron. It was apparently developed before the 17th
century. Derwentcote Steel Furnace, built in 1720, is the earliest
surviving example of a furnace using this technology.
carburization
A heat treatment process in which iron or steel absorbs

carbon while the metal is heated in the presence of a carbon-
bearing material, such as charcoal or carbon monoxide. The
intent is to make the metal harder. Unlike modern steel making,
the process increased the amount of carbon in the iron.
Steel and the Industrial

Revolution
Steel is an alloy of iron and other elements, primarily carbon, that is
widely used in construction and other applications because of its
high tensile strength and low cost. Steel's base metal is iron, which
is able to take on two crystalline forms, body-centered cubic (BCC)
and face-centered cubic (FCC), depending on its temperature. It is
the interaction of those allotropes with the alloying elements,
primarily carbon, that gives steel and cast iron their range of unique
properties. In the BCC arrangement, there is an iron atom in the
center of each cube, and in the FCC, there is one at the center of
each of the six faces of the cube. Carbon, other elements, and
inclusions within iron act as hardening agents that prevent the
movement of dislocations that otherwise occur in the crystal lattices
of iron atoms.
Steel (with lower carbon content than pig iron but higher than
wrought iron) was first produced in antiquity, but two decades before
the Industrial Revolution an improvement was made in the
production of steel, which at the time was an expensive commodity
used only where iron would not do, such as for cutting-edge tools
and for springs. Benjamin Huntsman developed his crucible steel
technique in the 1740s. After many experiments, Huntsman was able
to make satisfactory cast steel in clay pot crucibles, each holding
about 34 pounds of blister steel. A flux was added, and they were
covered and heated by coke for about three hours. The molten steel
was then poured into molds and the crucibles reused. The local
cutlery manufacturers refused to buy Huntsman's cast steel, as it
was harder than the German steel they were accustomed to using.
For a long time Huntsman exported his whole output to France.
Blister steel used by Huntsman as raw material was made by the
cementation process or by carburization of iron. Carburization is a
heat treatment process, in which iron or steel absorbs carbon while
the metal is heated in the presence of a carbon-bearing material,
such as charcoal or carbon monoxide. The intent is to make the
metal harder. Unlike modern steel making, the process increased the
amount of carbon in the iron.

Steel is often cited as the first of several new areas for industrial
mass-production that characterize the Second Industrial Revolution
beginning around 1850, although a method for mass manufacture of
steel was not invented until the 1860s and became widely available
in the 1870s after the process was modified to produce more uniform
quality.
Before about 1860, steel was an expensive product, made in small

quantities and used mostly for swords, tools, and cutlery. All large
metal structures were made of wrought or cast iron. The problem of
mass-producing cheap steel was solved in 1855 by Henry Bessemer
with the introduction of the Bessemer converter at his steelworks in
Sheffield, England. In the Bessemer process, molten pig iron from
the blast furnace was charged into a large crucible, and air was
blown through the molten iron from below, igniting the dissolved
carbon from the coke. As the carbon burned off, the melting point of
the mixture increased, but the heat from the burning carbon provided
the extra energy needed to keep the mixture molten. After the
carbon content in the melt dropped to the desired level, the air draft
was cut off. A typical Bessemer converter could convert a 25-ton
batch of pig iron to steel in half an hour. Bessemer demonstrated the
process in 1856 and had a successful operation going by 1864.
Bessemer converter, print published
in 18 67 in Great Britain.
Alhough the Bessemer process is no longer commercially used, at
the time of its invention it was of enormous industrial importance
because it lowered the cost of production steel, leading to steel
being widely substituted for cast iron.Bessemer's attention was
drawn to the problem of steel manufacture in an attempt to improve
the construction of guns.
Bessemer licensed the patent for his process to five ironmasters, but
from the outset, the companies had great difficulty producing good
quality steel. Gö ran Fredrik Gö ransson, a Swedish ironmaster, using
the purer charcoal pig iron of that country, was the first to make good
steel by the process, but only after many attempts. His results
prompted Bessemer to try a purer iron obtained from Cumberland
hematite, but had only limited success because the quantity of
carbon was difficult to control. Robert Forester Mushet, after
thousands of experiments at Darkhill Ironworks, had shown that the
quantity of carbon could be controlled by removing almost all of it
from the iron and then adding an exact amount of carbon and
manganese in the form of spiegeleisen (a ferromanganese alloy).
This improved the quality of the finished product and increased its
malleability.
When Bessemer tried to induce makers to take up his improved

system, he met with general rebuffs and was eventually driven to
undertake the exploitation of the process himself. He erected
steelworks in Sheffield in a business partnership with others, such as
W & J Galloway & Sons, and began to manufacture steel. At first the
output was insignificant, but gradually the magnitude of the operation
was enlarged until the competition became effective and steel
traders became aware that the firm of Henry Bessemer & Co. was
underselling them to the extent of UK£ 10-£ 15 a ton. This argument
to the pocket quickly had its effect, and licenses were applied for in
such numbers that, in royalties for the use of his process, Bessemer
received a sum considerably exceeding a million pounds sterling. By
1870, Bessemer steel was widely used for ship plate. By the 1850s,
the speed, weight, and quantity of railway traffic was limited by the
strength of the wrought-iron rails in use. The solution was to turn to
steel rails, which the Bessemer process made competitive in price.
Experience quickly proved steel had much greater strength and
durability and could handle the heavier and faster engines and cars.
However, Mushet received nothing and by 1866 was destitute and in

ill health. In that year his 16-year-old daughter, Mary, traveled to
London alone to confront Bessemer at his offices, arguing that his
success was based on the results of her father’s work. Bessemer
decided to pay Mushet an annual pension of £ 300, a very
considerable sum, which he did for over 20 years, possibly to keep
the Mushets from legal action.
After 1890, the Bessemer process was gradually supplanted by

open-hearth steel making. Sir Carl Wilhelm Siemens developed the
Siemens regenerative furnace in the 1850s and claimed in 1857 to
be recovering enough heat to save 70–80% of the fuel. This furnace
operated at a high temperature by using regenerative preheating of
fuel and air for combustion. In regenerative preheating, the exhaust
gases from the furnace are pumped into a chamber containing
bricks, where heat is transferred from the gases to the bricks. The
flow of the furnace is then reversed so that fuel and air pass through
the chamber and are heated by the bricks. Through this method, an
open-hearth furnace can reach temperatures high enough to melt
steel, but Siemens did not initially use it for that. In 1865, the French
engineer Pierre-É mile Martin took out a license from Siemens and
first applied his regenerative furnace for making steel. The most
appealing characteristic of the Siemens regenerative furnace is the
rapid production of large quantities of basic steel, used for example
to construct high-rise buildings.
Siemens furnace from 18 95

The most appealing characteristic of the Siemens regenerative
furnace was the rapid production of large quantities of basic steel,
used for example to construct high-rise buildings. Through Siemens'
method, an open-hearth furnace could reach temperatures high
enough to melt steel, but Siemens did not initially use it for that. It
was Martin who first applied the regenerative furnace for making
steel.
The Siemens-Martin process complemented rather than replaced the

Bessemer process. It was slower and thus easier to control. It also
permitted the melting and refining of large amounts of scrap steel,
further lowering steel production costs and recycling an otherwise
troublesome waste material. Its worst drawback was and remains
the fact that melting and refining a charge takes several hours.
Furthermore, the work environment around an open hearth furnace
was and remains extremely dangerous.
The Siemens-Martin process became the leading steel making

process by the early 20th century. The availability of cheap steel
allowed larger bridges, railroads, skyscrapers, and ships. Other
important steel products—also made using the open hearth process
—were steel cable, steel rod, and sheet steel which enabled large,
high-pressure boilers and high-tensile strength steel for machinery,
creating much more powerful engines, gears, and axles than were
previously possible. With large amounts of steel, it also became
possible to build much more powerful guns and carriages, tanks,
armored fighting vehicles, and naval ships.
Attributions
The Shift to Coal
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https://en.wikipedia.org/wiki/Reverberatory_furnace.
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https://en.wikipedia.org/wiki/History_of_coal_mining.
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https://en.wikipedia.org/wiki/File:StRolloxChemical_1831.jp
Changes to Iron Production
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https://en.wikipedia.org/wiki/Ferrous_metallurgy. Wikipedia
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https://en.wikipedia.org/wiki/The_Iron_Bridge. Wikipedia CC
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Steel Production
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https://en.wikipedia.org/wiki/Bessemer_process. Wikipedia
CC BY-SA 3.0.
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25 .5 : Innovations in
Transportation
25 .5 .1: Canals
The modern canal network in Britain emerged because the Industrial
Revolution demanded an economic and reliable way to transport
goods and commodities in large quantities, simultaneously
responding to the needs of the Industrial Revolution and fueling its
further advancement.
Learning Objective
Demonstrate the importance of canals to commerce.
Key Points
The British canal system played a vital role in the Industrial
Revolution at a time when roads were only just emerging from
the medieval mud and long trains of packhorses were the only
means of more easily accessible transport. In Britain, the
modern canal network came into being because the Industrial
goods and commodities in large quantities. Some important river
navigation improvements took place in the 16th and 17th
centuries.
Big canals began to be built in the 18th century to link the major
manufacturing centers across the country. Known for its huge
commercial success, the Bridgewater Canal in North West
England opened in 1761. It connected Worsley with the rapidly
growing town of Manchester and was a huge financial success.
This success helped inspire a period of intense canal building,
known as Canal Mania. An embryonic national canal network
came into being and a dramatic rise in the number of schemes
and money invested emerged. New canals were hastily built in
the aim of replicating the commercial success of the
Bridgewater Canal.
By the 1820s a national network - first in the world - was in
existence. The new canals proved highly successful. The boats
on the canals were horse-drawn with a towpath alongside the
canal for the horse to walk along. This horse-drawn system was
highly economical and became standard across the British canal
network.
This success proved the viability of canal transport and soon
industrialists in many other parts of the country wanted canals.
As people saw the high incomes achieved from canal tolls,
canal proposals came to be put forward by investors. In a further
development, there was often out-and-out speculation, in which
people would try to buy shares in a newly floated company
simply to sell them on for an immediate profit, regardless of
whether the canal was ever profitable or even built. Many rival
canal companies were formed and competition was rampant.
On the majority of British canals the canal-owning companies
did not own or run a fleet of boats. Instead, they charged private
operators tolls to use the canal. In the period of the most rapid
development of the canal system, crews were all male and their
families lived in cottages on the bank. Wives and children came
aboard as extra labor and to save rental costs during the latter
part of the 19th century. During this period, whole families lived
aboard the boats. They were often marginalized from land-
based society and perceived as strange outsiders living a
nomadic lifestyle.
From about 1840, railways began to threaten canals. Although
they could not only carry more than the canals, they could
transport people and goods far more quickly than the walking
pace of the canal boats. Most of the investment that had
previously gone into canal building was diverted into railway
building.
Key Terms
flyboat
A European light vessel,developed primarily as a mercantile

cargo carrier, although many served as warships in an auxiliary
role, used in the late 16th and early 17th century. The name was
subsequently applied to a number of disparate vessels, which
achieved high speeds or endurance, including those that worked
day and night on British canals to compete with the rapidly
developing railway.
Bridgewater Canal
A canal that connects Runcorn, Manchester and Leigh, in North

West England. It was commissioned by Francis Egerton, 3rd
Duke of Bridgewater, to transport coal from his mines in
Worsley to Manchester. It was opened in 1761 from Worsley to
Manchester, and later extended from Manchester to Runcorn,
and then from Worsley to Leigh. Its immense economic success
triggered the development of a national canal system.
Canal Mania
The period of intense canal building in Britain between the

1790s and 1810s and the speculative frenzy that accompanied it
in the early 1790s.
Canal Mania
The British canal system of water transport played a vital role in the
Industrial Revolution at a time when roads were only just emerging
from the medieval mud and long trains of packhorses were the only
means of more easily accessible transit of raw materials and finished
products. Building of canals dates to ancient times but in Britain, the
modern canal network came into being because the Industrial
goods and commodities in large quantities. Some 29 river navigation
improvements took place in the 16th and 17th centuries, starting with
the Thames locks and the River Wey Navigation. The biggest growth
was in the so-called narrow canals, which extended water transport
to the emerging industrial areas of the Staffordshire potteries and
Birmingham as well as a network of canals joining Yorkshire and
Lancashire and extending to London.
Big canals began to be built in the 18th century to link the major
manufacturing centers across the country. Known for its huge
commercial success, the Bridgewater Canal in North West England
opened in 1761. It connected Worsley with the rapidly growing town
of Manchester and its construction cost £ 168,000 (equivalent of over
£ 22 million in 2013), but its advantages over land and river transport
meant that within a year of its opening, the price of coal in
Manchester fell by about half. The Bridgewater Canal was a huge
financial success: it repaid the cost of its construction within just a
few years. This success helped inspire a period of intense canal
building, known as Canal Mania. Within just a few years of the
Bridgewater's opening, an embryonic national canal network came
into being, with the construction of canals such as the Oxford Canal
and the Trent & Mersey Canal. There was a dramatic rise in the
number of schemes promoted. Only one canal was authorized by
Act of Parliament in 1790, but by 1793 it was twenty. The capital
authorized in 1790 was £ 90,000 but rose to nearly £ 3 million by
1793. New canals were hastily built in the aim of replicating the
commercial success of the Bridgewater Canal, the most notable
being the Leeds and Liverpool Canal and the Thames and Severn
Canal which opened in 1774 and 1789 respectively.
W orsley Packet House, overlooking
the Bridgewater Canal in W orsley,
Greater Manchester, photo:
W ikipedia.
The Bridgewater Canal is often considered to be the first "true" canal
in England. It required the construction of an aqueduct to cross the
River Irwell, one of the first of its kind. Its success helped inspire a
period of intense canal building in Britain, known as Canal Mania.
By the 1820s a national network - first in the world - was in

existence. The new canals proved highly successful. The boats on
the canals were horse-drawn with a towpath alongside the canal for
the horse to walk along. This horse-drawn system was highly
economical and became standard across the British canal network.
The canal boats could carry thirty tons at a time with only one horse
pulling - more than ten times the amount of cargo per horse that was
possible with a cart. It was this huge increase in supply that
contributed to the reduction of the price of coal.
Speculative Frenz y
This success proved the viability of canal transport and soon
industrialists in many other parts of the country wanted canals. After
the Bridgewater Canal, the early canals were built by groups of
private individuals with an interest in improving communications. In
Staffordshire the famous potter Josiah Wedgwood saw an
opportunity to bring bulky cargoes of clay to his factory doors and to
transport his fragile finished goods to market in Manchester,
Birmingham, or further afield by water, minimizing breakages. The
new canal system was both cause and effect of the rapid
industrialization of the Midlands and the north. The period between
the 1770s and the 1830s is often referred to as the Golden Age of
British canals.
For each canal, an Act of Parliament was necessary to authorize

construction, and as people saw the high incomes achieved from
canal tolls, canal proposals came to be put forward by investors
interested in profiting from dividends, at least as much as by people
whose businesses would profit from cheaper transport of raw
materials and finished goods. In a further development, there was
often out-and-out speculation, in which people would try to buy
shares in a newly floated company simply to sell them on for an
immediate profit, regardless of whether the canal was ever profitable
or even built. During this period of Canal Mania, huge sums were
invested in canal building and although many schemes came to
nothing, the canal system rapidly expanded to nearly 4,000 miles
(over 6,400 kilometers) in length.
Many rival canal companies were formed and competition was

rampant. Perhaps the best example was Worcester Bar in
Birmingham, a point where the Worcester and Birmingham Canal
and the Birmingham Canal Navigations Main Line were only 7 feet
(2.1 m) apart. For many years, a dispute about tolls meant that
goods travelling through Birmingham had to be portaged from boats
in one canal to boats in the other.
Operation
On the majority of British canals the canal-owning companies did not
own or run a fleet of boats, since this was usually prohibited by the
Acts of Parliament setting them up to prevent monopolies. Instead,
they charged private operators tolls to use the canal. These tolls
were also usually regulated by the Acts. From these tolls they would
try, with varying degrees of success, to maintain the canal, pay back
initial loans, and pay dividends to their shareholders.
In winter special icebreaker boats with reinforced hulls would be

used to break the ice. Packet boats carried packages up to 112
pounds (51 kg) in weight as well as passengers at relatively high
speed day and night. To compete with railways, the flyboat was
introduced, cargo-carrying boats working day and night. These boats
were crewed by three men, who operated a watch system whereby
two men worked while the other slept. Horses were changed
regularly. When steam boats were introduced in the late 19th
century, crews were enlarged to four. The boats were owned and
operated by individual carriers, or by carrying companies who would
pay the captain a wage depending on the distance traveled and the
amount of cargo.
Traditional working canal boats,
photo: W ikipedia.
The canal system grew rapidly at first, and became an almost
completely connected network covering the South, Midlands, and
parts of the North of England and Wales. There were canals in
Scotland, but they were not connected to the English canals or,
generally, to each other (with some exceptions).
In the period of the most rapid development of the canal system,

crews were all male and their families lived in cottages on the bank.
The practice of all male crews for steamers continued until after the
First World War. Wives and children came aboard as extra labor and
to save rental costs during the latter part of the 19th century. During
this period, whole families lived aboard the boats. They were often
marginalized from land-based society and perceived as strange
outsiders living a nomadic lifestyle.
Decline
The last major canal to be built in Britain was the Manchester Ship
Canal, which upon opening in 1894 was the largest ship canal in the
world and opened Manchester as a port. However, it never achieved
the commercial success its sponsors had hoped for and signaled
that canals were a dying mode of transport. From about 1840,
railways began to threaten canals. Although they could not only carry
more than the canals, they could transport people and goods far
more quickly than the walking pace of the canal boats. Most of the
investment that had previously gone into canal building was diverted
into railway building.
Canal companies were unable to compete against the speed of the

new railways and in order to survive they had to slash their prices.
This put an end to the huge profits that canal companies had
enjoyed and also had an effect on the boatmen who faced a drop in
wages. Flyboat working virtually ceased, as it could not compete with
the railways on speed and the boatmen found they could only afford
to keep their families by taking them with them on the boats.
By the 1850s, the railway system had become well established and
the amount of cargo carried on the canals had fallen by nearly two-
thirds. In many cases struggling canal companies were bought out
by railway companies. Sometimes this was a tactical move by
railway companies to close the canal company down and remove
competition or to build a railway on the line of the canal. Larger canal
companies survived independently and were able to continue to
make profits. The canals survived through the 19th century largely
by occupying the niches in the transport market that the railways had
missed, or by supplying local markets such as the coal-hungry
factories and mills of the big cities.
During the 19th century, in much of continental Europe the canal

systems of many countries, including France, Germany and the
Netherlands, were drastically modernized and widened to take much
larger boats, often able to transport up to two thousand tonnes,
compared to the thirty to one hundred tonnes that was possible on
the much narrower British canals. As it is economic to transport
freight by canal only if this is done in bulk, the widening ensured that
in many of these countries, canal freight transport is still
economically viable. This canal modernization never occurred on a
large scale in Britain, mainly because of the power of the railway
companies who owned most of the canals and saw no reason to
invest in a competing and from their point of view obsolete form of
transport. The only significant exception to this was the
modernization carried out on the Grand Union Canal in the 1930s.
25 .5 .2: The First Locomotives

As a result of advancements in metallurgy and steam power
technology during the Industrial Revolution, horse-drawn wagonways
were replaced by steam locomotives, making Britain the first country
in the world with modern railways.
Learning Objective
Characterize the first trains and their utilities
Key Points
The first recorded use of rail transport in Great Britain is Sir
Francis Willoughby's Wollaton Wagonway in Nottinghamshire,
built between 1603 and 1604 to carry coal. As early as 1671,
railed roads were in use in Durham to ease the conveyance of
coal. The primitive rails were superseded in 1793 when
Benjamin Outram constructed a tramway with L-shaped flanged
cast-iron plate rails (plateways). Outram's rails were superseded
by William Jessop's cast iron edge rails. Cast iron rails had a
propensity to break easily, and the short lengths soon became
uneven. In 1820, John Birkenshaw introduced a method of
rolling rails in greater lengths using wrought iron, which was
used from then onward.
The earliest railways were built and paid for by the owners of the
mines they served. As railway technology developed, longer
lines became possible, connecting mines with more distant
transshipment points and promising lower costs. These longer
lines often required public subscription to build and crossed over
land not owned by the mine owners. As a result, they needed an
Act of Parliament to build. The first line to obtain such an act, in
1758, was the Middleton Railway in Leeds. The first for public
use and on cast iron rails was the Surrey Iron Railway,
incorporated in 1799. The first passenger-carrying public railway
was the Oystermouth Railway, authorized in 1807.
The first steam railway locomotive was introduced by Richard
Trevithick in 1804. Trevithick's designs proved that steam
traction was a viable proposition, although the use of his
locomotives was quickly abandoned as they were too heavy for
the existing track. The first commercially successful steam
locomotive was the twin cylinder Salamanca, designed by in
1812 by Matthew Murray using John Blenkinsop's patented
design for rack propulsion for the Middleton Railway.
The proprietors of Wylam Colliery wanted to abolish horse-
drawn trains in favor of steam. Two models, Puffing Billy and
Blü cher, were among the first successful designs. In 1821 an
Act of Parliament was approved for a tramway between
Stockton and Darlington. Traffic on the Stockton and Darlington
Railway (S& DR) was originally intended to be horse-drawn, but
the Act was subsequently amended to allow the usage of steam
locomotives. The railway was also empowered to carry
passengers in addition to coal and general merchandise.
The first public steam railway in Scotland was the Monkland and
Kirkintilloch Railway. The Liverpool and Manchester Railway
(L& MR), founded as company in 1823 but opened in 1830, was
the world's first intercity passenger railway in which all the trains
were timetabled and operated by steam locomotives. Further,
horse-drawn traffic could use the Stockton and Darlington upon
payment of a toll.
To determine which locomotives would be suitable, the L& MR
directors organized the Rainhill Trials. These were arranged as
an open contest that would let them see all the locomotive
candidates in action, with the choice to follow. The trials were
won by Rocket, built by George Stephenson and Robert
Stephenson. The Stephensons were accordingly given the
contract to produce locomotives for the L& MR. The line opened
in 1830 with termini at Liverpool Road, Manchester and Edge
Hill, Liverpool.
Key Terms
rack and pinion railway
A steep grade railway with a toothed rack rail, usually between

the running rails. The trains are fitted with one or more cog
wheels or pinions that mesh with this rack rail. The first railway
of this kind was the Middleton Railway between Middleton and
Leeds in West Yorkshire, England, UK, where the first
commercially successful steam locomotive, Salamanca, ran in
1812. This used a system designed and patented in 1811 by
John Blenkinsop.
Stockton and Darlington Railway
A railway company that operated in northeast England from

1825 to 1863. It was the world's first public railway to use steam
locomotives. Its first line connected collieries near Shildon with
Stockton-on-Tees and Darlington and was officially opened on
September 27, 1825.
Liverpool and Manchester Railway
A railway that opened in 1830 between the Lancashire towns of

Liverpool and Manchester in the United Kingdom. It was the first
railway to rely exclusively on steam power, with no horse-
drawn traffic permitted at any time; the first to be entirely double-
track throughout its length; the first to have a signalling system;
the first to be fully timetabled; the first to be powered entirely by
its own motive power; and the first to carry mail.
Rainhill Trials
An important competition in the early days of steam locomotive
railways, run in October 1829 for the nearly completed Liverpool
and Manchester Railway. Five engines competed, running back
and forth along a mile length of level track at Rainhill in
Lancashire (now Merseyside). Stephenson's Rocket was the
only locomotive to complete the trials and was declared the
winner. The Stephensons were accordingly given the contract to
produce locomotives for the railway.
plateway
An early kind of railway or tramway or wagonway with a cast

iron rail. They were mainly used for about 50 years up to 1830,
though some continued later. They consisted of L-shaped rails
where a flange on the rail guided the wheels in contrast to
edgeways, where flanges on the wheels guide it along the track.
They were originally horse-drawn, but cable haulage and
locomotives were sometimes used later.
Salamanca
The first commercially successful steam locomotive, built in

1812 by Matthew Murray of Holbeck using John Blenkinsop's
patented design for rack propulsion, for the edge-railed
Middleton Railway between Middleton and Leeds. It was the first
to have two cylinders. It was named after the Duke of
Wellington's victory at the battle of Salamanca which was fought
that same year.
Early Rails
The first recorded use of rail transport in Great Britain is Sir Francis
Willoughby's Wollaton Wagonway in Nottinghamshire, built between
1603 and 1604 to carry coal. As early as 1671 railed roads were
used in Durham to ease the conveyance of coal. The first of these
was the Tanfield Wagon Way. Many of these tramroads or wagon
ways were built in the 17th and 18th centuries. They used straight
and parallel rails of timber on which carts with simple flanged iron
wheels were drawn by horses, enabling several wagons to be moved
simultaneously.
These primitive rails were superseded in 1793 when the then-

superintendent of the Cromford Canal, Benjamin Outram,
constructed a tramway with L-shaped flanged cast-iron plate rails
(plateways) from the quarry at Crich. Wagons fitted with simple
flangeless wheels were kept on the track by vertical ledges or plates.
Cast-iron rails were a significant improvement over wooden rails as
they could support a greater weight and the friction between wheel
and rail was lower, allowing longer trains to be moved by horses.
Outram's rails were superseded by William Jessop's cast iron edge
rails where flanged wheels ran on the top edge of simple bar-shaped
rails without the guiding ledges of Outram's flanged plate rails. The
rails were first employed in 1789 at Nanpantan at the Loughborough
Charnwood Forest Canal.
Cast iron rails had a propensity to break easily, and the short lengths
soon became uneven. In 1820, John Birkenshaw introduced a
method of rolling rails in greater lengths using wrought iron which
was used from then onward.
Early Railways
The earliest railways were built and paid for by the owners of the
mines they served. As railway technology developed, longer lines
became possible, connecting mines with more distant transshipment
points and promising lower costs. These longer lines often required
public subscription to build and crossed over land not owned by the
mine owners. As a result, they needed an Act of Parliament to build.
The Acts also protected investors from unrealistic or downright
fraudulent schemes. The first line to obtain such an act, in 1758, was
a private coal-owner's wagonway, the Middleton Railway in Leeds.
The first for public use and on cast iron rails was the Surrey Iron
Railway incorporated in 1799. It obtained an Act of Parliament in
1801 to build a tramroad between Wandsworth and Croydon in what
is now south London. The engineer was William Jessop. Meanwhile,
the first passenger-carrying public railway was the Oystermouth
Railway, authorized in 1807. All three of these railways were initially
worked by horses. The Surrey Iron Railway remained horse-drawn
throughout its life. The Kilmarnock and Troon Railway, the first line in
Scotland to carry passengers, was authorized by Act of Parliament in
1808 and was also built by Jessop.
Introduction of Steam
Locomotives
The first steam railway locomotive was introduced by Richard
Trevithick in 1804. He was the first engineer to build a successful
high-pressure stationary steam engine in 1799. He followed this with
a road-going steam carriage in 1801. Although that experiment
ended in failure, in 1804 he built a successful unnamed rail-going
steam locomotive for the narrow-gauge Merthyr Tramroad in South
Wales (sometimes incorrectly called the Penydarren Tramroad).
Amid great interest from the public, in 1804 it successfully carried 10
tons of iron, 5 wagons and 70 men a distance of 9.75 miles
(15.69 km) from Penydarren to Abercynon in 4 hours and 5 minutes,
an average speed of nearly 5 mph (8.0 km/h). This locomotive
proved that steam traction was a viable proposition, although the use
of the locomotive was quickly abandoned as it was too heavy for the
primitive plateway track. A second locomotive, built for the Wylam
colliery, also broke the track. Trevithick built another locomotive in
1808, Catch Me W ho Can, which ran on a temporary demonstration
railway in Bloomsbury, London. Members of the public were able to
ride behind at speeds up to 12 mph (19 km/h). However, it again
broke the rails and Trevithick was forced to abandon the
demonstration after just two months.
The first commercially successful steam locomotive was the twin
cylinder Salamanca, designed by in 1812 by Matthew Murray using
John Blenkinsop's patented design for rack propulsion for the
Middleton Railway. Blenkinsop believed that a locomotive light
enough to move under its own power would be too light to generate
sufficient adhesion, so he designed a rack-and-pinion railway for the
line. This was despite the fact that Trevithick demonstrated
successful adhesion locomotives a decade before. The single rack
ran outside the narrow-gauge edge-rail tracks and was engaged by a
cog-wheel on the left side of the locomotive. The cog-wheel was
driven by two cylinders embedded into the top of the center-flue
boiler. Four such locomotives were built for the railway and they
worked until the early 1830s.
Blenkinsop's rack locomotive
S alam anca, Middleton to Leeds ( UK)
coal tramway, 18 12, author unknown,
riginally published in The Mechanic' s
Magazine, 18 29.
Salamanca was the first commercially successful steam locomotive,
built in 1812.
First Successful Railways

The proprietors of Wylam Colliery wanted to abolish horse-drawn
trains in favor of steam. In 1804, William Hedley, a manager at the
colliery, employed Trevithick to build a steam locomotive. However, it
proved too heavy for the wooden track. William Hedley and Timothy
Hackworth (another colliery employee) designed a locomotive in
1813 that became known as Puffing Billy. A year later George
Stephenson, another of Wylam's employees, improved the design
with Blü cher, the first locomotive to use flanged wheels keeping the
locomotive on the track and had cylinder rods directly connected to
the wheels in the manner of Catch Me W ho Can.
In 1821 an Act of Parliament was approved for a tramway between

Stockton and Darlington. Stephenson's design convinced the
backers of the proposed tramway to appoint Stephenson, who had
recently built the Hetton colliery railway, as engineer. Traffic on the
Stockton and Darlington Railway (S& DR) was originally intended to
be horse-drawn, but Stephenson carried out a fresh survey of the
route to allow steam haulage and the Act was subsequently
amended to allow the usage of steam locomotives. The railway was
also empowered to carry passengers in addition to coal and general
merchandise. The line was 25 miles (40 km) in length and had 100
passing loops along its single track and four branch lines to
collieries. It opened in 1825. The first train was hauled by
Stephenson's Locomotion No 1 at speeds of 12 to 15 miles per hour
(19 to 24 km/h). Four locomotives named Locomotion were
constructed and were effectively beam engines on wheels with
vertical cylinders.
O p ening of the S tock ton and
D arlington R ailway, a watercolor
painted in the 18 8 0s by J ohn Dobbin,
the National Railway Museum, Y ork.
In the painting, crowds are watching the inaugural train cross the
Skerne Bridge in Darlington. The movement of coal to ships rapidly
became a lucrative business and the line was soon extended to a
new port and town at Middlesbrough. While coal wagons were
hauled by steam locomotives from the start, passengers were
carried in coaches drawn by horses until carriages hauled by steam
locomotives were introduced in 1833.
The first public steam railway in Scotland was the Monkland and
Kirkintilloch Railway. An Act of Parliament authorizing the railway
was passed in 1824 and it opened in 1826.
The Liverpool and Manchester Railway (L& MR), founded as

company in 1823 but opened in 1830, was the world's first intercity
passenger railway, in which all the trains were timetabled and
operated by steam locomotives. Further, horse-drawn traffic could
use the Stockton and Darlington upon payment of a toll. The
passenger-carrying Canterbury and Whitstable Railway opened
three months before the L& MR. However, it used cable haulage by
stationary steam engines over much of its length, with steam
locomotives restricted to the level stretch. The L& MR was primarily
built to provide faster transport of raw materials and finished goods
between the port of Liverpool and mills in Manchester in northwest
England.
To determine which locomotives would be suitable, the L& MR

directors organized the Rainhill Trials. These were arranged as an
open contest that would let them see all the locomotive candidates in
action, with the choice to follow. The trials were won by Rocket, built
by George Stephenson and Robert Stephenson. Rocket was the first
locomotive to use a multi-tubular boiler, which allowed more effective
heat transfer from the exhaust gases to the water. It was also the
first to use a blastpipe, where used steam from the cylinders
discharges into the smokebox beneath the chimney to increase the
draft of the fire. With these innovations, Rocket averaged 12 miles
per hour (19 km/h) achieving a top speed of 30 miles per hour
(48 km/h) hauling 13 tons, and was declared the winner of the trials.
The Stephensons were accordingly given the contract to produce
locomotives for the Liverpool & Manchester Railway. The line
opened in 1830 with termini at Liverpool Road, Manchester and
Edge Hill, Liverpool.
Later conjectural drawing of the
Rainhill Trials: in the foreground
is Rocket and in the background are
Sans Pareil ( right) and Novelty, author
unknown, the Illustrated London
News.
Stephenson's Rocket was the only locomotive to complete the
Rainhill Trials and was declared the winner. The Stephenson
brothers were accordingly given the contract to produce locomotives
for the railway.
25 .5 .3: Railways
The development of the railways, starting in the 1830s, transformed
the economy and society by creating powerful railway companies,
attracting massive investments, advancing industries, transforming
human migration patterns, and even changing people's daily diet.
Learning Objective
Describe how railways spread and became common across the
globe
Key Points
The opening of the Liverpool and Manchester Railway (L& MR)
in 1830, the first to rely exclusively on steam power,
revolutionized transportation and paved the way for the
development of railways that would soon take over the world. A
number of lines were approved in the Leeds area the same
year. An unexpected enthusiasm for passenger travel resulted in
opening the London and Birmingham Railway (L& BR) and the
Grand Junction, linking the existing L& MR and the new L& BR in
1837.
A new railway always needed an Act of Parliament, which
typically cost over £ 200,000 to obtain, but opposition could
effectively prevent its construction. The canal companies,
unable or unwilling to upgrade their facilities to compete with
railways, used political power to try to stop them. The railways
responded by purchasing about a fourth of the canal system, in
part to get the right of way and in part to buy off critics. Once an
Act was obtained, there was little government regulation,
as laissez faire and private ownership had become accepted
practices.
The railways largely had exclusive territory, but given the
compact size of Britain, this meant that two or more competing
lines could connect major cities. Between the-mid 1830s and the
mid-1940s, Parliament authorized 8,000 miles of lines at a
projected cost of £ 200 million. The incredible profitability of the
railways attracted many investors together with massive
financial speculation known as the Railway Mania.
The financial success of the early railways was phenomenal, as
they had no real competition. Less than 20 years after the
Liverpool line opened, it was possible to travel from London to
Scotland by train in a small fraction of the former time by road.
Towards the end of the 19th century, competition became so
fierce between companies on the east and west coast routes to
Scotland that it led to what the press called the Race to the
North.
The railways changed British society in numerous and complex
ways, including a substantial impact in many spheres of
economic activity. The building of railways and locomotives
provided a significant stimulus to the coal-mining, iron-
production, engineering, and construction industries. The
railways also helped to reduce transaction costs, which in turn
lowered the costs of goods, bringing positive changes to
people's diet. The railways were also a significant force for the
changing patterns of human mobility.
The Government began to pay attention to safety matters with
the 1840 Act for Regulating Railways, which empowered the
Board of Trade to appoint railway inspectors. The Railway
Inspectorate was established in 1840 to inquire into the causes
of accidents and recommend ways of avoiding them. In 1844,
minimum standards that would require railway companies to
offer services to the poorer passengers on each railway roue at
least once a day were introduced.
Key Terms
Liverpool and Manchester Railway
A railway that opened in 1830 between the Lancashire towns of

Liverpool and Manchester in the United Kingdom. It was the first
railway to rely exclusively on steam power, with no horse-
drawn traffic permitted at any time; the first to be entirely double-
track throughout its length; the first to have a signaling system;
the first to be fully timetabled; the first to be powered entirely by
its own motive power; and the first to carry mail.
Parliamentary carriages
Passenger services required by an Act of Parliament passed in

1844 to allow inexpensive and basic railway travel for less
affluent passengers. The legislation required that at least one
such service per day be run on every railway route in the United
Kingdom.
Race to the North
Name given by the press to the phenomenon that occurred

during two summers of the late 19th century, when British
passenger trains belonging to different companies would literally
race each other from London to Scotland over the two principal
rail trunk routes connecting the English capital city to Scotland:
the West Coast Main Line and the East Coast Main Line.
Railway Mania
Speculative frenzy in Britain in the 1840s caused by the

phenomenal profitability of the early railways.
Railway Clearing House
An organization set up in 1842 to manage the allocation of

revenue collected by pre-grouping railway companies of fares
and charges paid for passengers and goods travelling over the
lines of other companies.
Railways: The Revolution of

Transportation
The Liverpool and Manchester Railway (L& MR), opened in 1830
between the Lancashire towns of Liverpool and Manchester, was not
the first railway, but it was the first one to rely exclusively on steam
power, with no horse-drawn traffic permitted at any time; the first to
be entirely double track throughout its length; the first to have a
signaling system; the first to be fully timetabled; the first to be
powered entirely by its own motive power; and the first to carry mail.
As such, it revolutionized transportation and paved the way for the
phenomenal development of railways that would soon take over the
world.
As Manchester had grown on cotton spinning, Leeds had a growing

trade in weaving. The Pennines restricted canal development, so the
railway provided a realistic alternative, especially with the growth in
coal usage from the mines in the North East and Yorkshire. A
number of lines were approved in the area, such as the Leeds and
Selby Railway in 1830, which linked the former to the port of Hull via
the River Ouse.
While the L& MR had not ousted the Lancashire canal system from
the transport of goods, there was an unexpected enthusiasm for
passenger travel. The financial success of the railway was beyond
all expectations. Soon companies in London and Birmingham
planned to build lines linking these cities together and with Liverpool
and Manchester via the L& MR. These two lines were the London
and Birmingham (L& BR), designed by Robert Stephenson, and the
Grand Junction, engineered by Joseph Locke. The Grand Junction
was designed to link the existing L& MR and the new L& BR. It
opened in July 1837, with the L& BR following a few months later.
Although Acts of Parliament allowed railway companies compulsory

purchase of wayleave, some powerful landowners objected to
railways being built across their land and raised objections in
Parliament to prevent bills from being passed. Some land owners
charged excessive amounts, so early lines did not always follow the
optimal routes. In addition, steep gradients were avoided as they
would require more powerful locomotives.
Railway Mania
It was legally required that each line be authorized by a separate Act
of Parliament. While there were entrepreneurs with the vision of an
intercity network of lines, it was much easier to find investors to back
shorter stretches that were clearly defined in purpose, where rapid
returns on investment could be predicted. A new railway needed an
Act of Parliament, which typically cost over £ 200,000 to obtain, but
opposition could effectively prevent its construction. The canal
companies, unable or unwilling to upgrade their facilities to compete
with railways, used political power to try to stop them. The railways
responded by purchasing about a fourth of the canal system, in part
to get the right of way and in part to buy off critics. Once an Act was
obtained, there was little government regulation, as laissez faire and
private ownership had become accepted practices. The railways
largely had exclusive territory, but given the compact size of Britain,
this meant that two or more competing lines could connect major
cities. Between the-mid 1830s and the mid-1940s, the period of the
railway boom, Parliament authorized 8,000 miles of lines at a
projected cost of £ 200 million, which was about the same value as
the country’s annual gross domestic product (GDP) at that time.
George Hudson became the most important railway promoter of his

time. Called the "railway king" of Britain, Hudson amalgamated
numerous short lines and established the Railway Clearing House in
1842, an organization that provided uniform paperwork and
standardized methods for apportioning fares while transferring
passengers and freight between lines and loaning out freight cars.
Hudson's ability to design complex company and line amalgamations
helped bring about the beginnings of a more modern railway
network. In 1849, he exercised effective control over nearly 30% of
the rail track operating in Britain, most of it owned by four railway
groups: the Eastern Counties Railway, the Midland, the York,
Newcastle and Berwick, and the York and North Midland. Hudson
remains an important figure in railway history also because of a
series of scandalous revelations that forced him out of office. The
financial reporting malpractices of the Eastern Counties Railway
while Hudson was its chairman eventually led to the collapse of his
system.
A railway junction diagram
When coaches or wagons owned by a different company were used,
that company would be entitled to a proportion of the fare or fee. If
the commencement and terminus of the journey were on different
railways, a more complicated situation arose. If the two companies
involved did not provide through ticketing, the passenger or goods
needed to be re-booked at a junction station. If through booking was
provided, the receipts collected by the first company needed to be
divided between them, usually on a mileage basis. The Railway
Clearing House was founded as a means by which these receipts
could be apportioned fairly.
All the railways were promoted by commercial interests. As those

opened by the year 1836 were paying good dividends, it prompted
financiers to invest and by 1845 over 1,000 projected schemes had
been put forward. This led to a speculative frenzy, following a
common pattern: as the price of railway shares increased, more and
more money was poured in by speculators, until the inevitable
collapse in price. The Railway Mania, as it was called, reached its
zenith in 1846, when no fewer than 272 Acts of Parliament setting up
new railway companies were passed. Unlike most stock market
bubbles, there was a net tangible result from all the investment in the
form of a vast expansion of the British railway system, although
perhaps at an inflated cost. When the government stepped in and
announced closure for depositing schemes, the Railway Mania was
brought to an end.
The legacy of Railway Mania can still be seen today, with duplication
of some routes and cities possessing several stations on the same
or different lines, sometimes with no direct connection between them
(however, a significant amount of this duplication was removed by
the Beeching Axe in the 1960s). The best example of this is London,
which has no fewer than twelve main line terminal stations, serving
its dense and complex suburban network. It is basically the result of
the many railway companies during the Mania that were competing
to run their routes in the capital.
Economic and Social Impact

The railway directors often had important political and social
connections and used them to their companies' advantages.
Furthermore, landed aristocrats with established connections in
London were especially welcome on the corporate boards. The
aristocrats saw railway directorships as a socially acceptable form of
contact with the world of commerce and industry. They leveraged the
business acumen and connections gained through railways to join
corporate boardrooms in other industries.
The financial success of the early railways was phenomenal as they

had no real competition. The roads were still very slow and in poor
condition. Prices of fuel and food fell in cities connected to railways
in accordance with the fall in the cost of transport. The layout of lines
with gentle gradients and curves, originating from the need to help
the relatively weak engines and brakes, was a boon when speeds
increased, avoiding for the most part the need to re-survey the
course of a line. Less than 20 years after the Liverpool line opened,
it was possible to travel from London to Scotland by train in a small
fraction of the former time by road. Towards the end of the 19th
century, competition became so fierce between companies on the
east and west coast routes to Scotland that it led to what the press
called the Race to the North. In two summers of the late 19th
century, passenger trains belonging to different companies would
literally race each other from London to Scotland over the two
principal rail trunk routes connecting the English capital city to
Scotland. The races were never official and publicly the companies
denied that what happened was racing at all. Results were not
announced officially and the outcomes have since been hotly
debated.
The railways changed British society in numerous and complex

ways. Although recent attempts to measure the economic
significance of the railways have suggested that their overall
contribution to the growth of GDP was more modest than an earlier
generation of historians argued, it is nonetheless clear that the
railways had a sizable impact in many spheres of economic activity.
The building of railways and locomotives, for example, called for
large quantities of heavy materials and thus provided significant
stimulus to the coal-mining, iron-production, engineering, and
construction industries. The railways also helped reduce transaction
costs, which in turn lowered the costs of goods. The distribution and
sale of perishable goods such as meat, milk, fish, and vegetables
was transformed, giving rise not only to cheaper produce in the
stores but also to far greater variety in people's diets.
The railways were also a significant force for the changing patterns
of human mobility. Rail transport had originally been conceived as a
way of moving coal and industrial goods but the railway operators
quickly realized the potential for market for railway travel, leading to
an extremely rapid expansion in passenger services. The number of
railway passengers tripled in just eight years between 1842 and
1850. Traffic volumes roughly doubled in the 1850s and then
doubled again in the 1860s. In the words of historian Derek Aldcroft,
"In terms of mobility and choice [ the railways] added a new
dimension to everyday life."
Government Involvement
While it had been necessary to obtain an Act of Parliament to build a
new railway, the government initially took a laissez faire approach to
their construction and operation. The state began to pay attention to
safety matters with the 1840 Act for Regulating Railways, which
empowered the Board of Trade to appoint railway inspectors. The
Railway Inspectorate was established in 1840 to inquire into the
causes of accidents and recommend ways of avoiding them. Colonel
Frederic Smith conducted the first investigation into five deaths
caused by a large casting falling from a moving train in 1840
(Howden rail crash). He also conducted an inquiry into the
derailment on the GWR when a mixed goods and passenger train
derailed on Christmas Eve, 1841. As early as 1844 a bill had been
put before Parliament suggesting the state purchase the railways,
but it was not adopted. It did, however, lead to the introduction of
minimum standards that would require railway companies to offer
services available to the poorer passengers on each railway roue at
least once a day (so-called Parliamentary carriages or trains).
Great W estern Railway open
passenger car
In the earliest days of passenger railways in Britain, the poor were
encouraged to travel to find employment in the growing industrial
centers, but trains were generally unaffordable to them except in the
most basic of open wagons, in many cases attached to goods trains.
The Railway Regulation Act, which took effect in 1844, compelled
"the provision of at least one train a day each way at a speed of not
less than 12 miles an hour including stops, which were to be made at
all stations, and of carriages protected from the weather and
provided with seats; for all which luxuries not more than a penny a
mile might be charged."
The commercial interests of the early railway industry were often of a

local nature and there was never a nationwide plan to develop a
logical network of railways. Some railways, however, began to grow
faster than others, often taking over smaller lines to expand their
own. The L& MR success led to the idea of linking Liverpool to
London, and from that the seeds of the London and North Western
Railway (L& NWR), an amalgamation of four hitherto separate
enterprises, including the L& MR, were sown.
Attributions
Canals
"Bridgewater Canal."
https://en.wikipedia.org/wiki/Bridgewater_Canal. Wikipedia
CC BY-SA 3.0.
"Transport during the British Industrial Revolution."
https://en.wikipedia.org/wiki/Transport_during_the_British_I
ndustrial_Revolution. Wikipedia CC BY-SA 3.0.
"History of the British canal system."
https://en.wikipedia.org/wiki/History_of_the_British_canal_s
ystem. Wikipedia CC BY-SA 3.0.
"Canal Mania." https://en.wikipedia.org/wiki/Canal_Mania.
"Flyboat." https://en.wikipedia.org/wiki/Flyboat. Wikipedia
CC BY-SA 3.0.
"Working_canal_boats.jpg."
https://en.wikipedia.org/wiki/History_of_the_British_canal_s
ystem# /media/File:Working_canal_boats.jpg. Wikipedia CC
BY-SA 3.0.
"1024px-
Worsley_packet_house_closeup_large_image.jpg."
https://en.wikipedia.org/wiki/Bridgewater_Canal# /media/File
:Worsley_packet_house_closeup_large_image.jpg.
The First Locomotives
"Puffing Billy (locomotive)."
https://en.wikipedia.org/wiki/Puffing_Billy_(locomotive).
"Rainhill Trials." https://en.wikipedia.org/wiki/Rainhill_Trials.
"Stockton and Darlington Railway."
https://en.wikipedia.org/wiki/Stockton_and_Darlington_Rail
way. Wikipedia CC BY-SA 3.0.
"Rack railway." https://en.wikipedia.org/wiki/Rack_railway.
"Salamanca (locomotive)."
https://en.wikipedia.org/wiki/Salamanca_(locomotive).
"Catch Me Who Can."
https://en.wikipedia.org/wiki/Catch_Me_Who_Can.
"Plateway." https://en.wikipedia.org/wiki/Plateway.
"History of rail transport in Great Britain to 1830."
https://en.wikipedia.org/wiki/History_of_rail_transport_in_Gr
eat_Britain_to_1830. Wikipedia CC BY-SA 3.0.
"Liverpool and Manchester Railway."
https://en.wikipedia.org/wiki/Liverpool_and_Manchester_Ra
ilway. Wikipedia CC BY-SA 3.0.
"Opening_of_Stocking_and_Darlington_Railway_crop.jpg."
https://commons.wikimedia.org/wiki/File:Opening_of_Stocki
ng_and_Darlington_Railway_(crop).jpg. Wikimedia
"1024px-
Blenkinsop's_rack_locomotive_1812_British_Railway_Loco
motives_1803-1853.jpg."
https://commons.wikimedia.org/wiki/File:Blenkinsop%27s_r
ack_locomotive,_1812_(British_Railway_Locomotives_180
3-1853).jpg. Wikimedia Commons Public domain.
"Rainhill_Trials_in_the_Illustrated_London_News.jpg."
https://commons.wikimedia.org/wiki/File:Rainhill_Trials_in_t
he_Illustrated_London_News.jpg. Wikimedia Commons
Public domain.
Railways
"History of rail transport."
https://en.wikipedia.org/wiki/History_of_rail_transport.
"History of rail transport in Great Britain."
eat_Britain. Wikipedia CC BY-SA 3.0.
"Parliamentary train."
https://en.wikipedia.org/wiki/Parliamentary_train. Wikipedia
CC BY-SA 3.0.
"Race to the North."
https://en.wikipedia.org/wiki/Race_to_the_North. Wikipedia
CC BY-SA 3.0.
"History of rail transport in Great Britain 1830–1922."
eat_Britain_1830%E2%80%931922. Wikipedia CC BY-SA
3.0.
"Railway Mania."
https://en.wikipedia.org/wiki/Railway_Mania. Wikipedia CC
BY-SA 3.0.
"History of rail transport in Great Britain to 1830."
eat_Britain_to_1830. Wikipedia CC BY-SA 3.0.
"Railway Clearing House."
https://en.wikipedia.org/wiki/Railway_Clearing_House.
"Liverpool and Manchester Railway."
https://en.wikipedia.org/wiki/Liverpool_and_Manchester_Ra
ilway. Wikipedia CC BY-SA 3.0.
"GWRTruck2.jpg."
https://commons.wikimedia.org/wiki/File:GWRTruck2.jpg.
"Camden_Hampstead_Road_Kentish_Town_King's_Cross_
Maiden_Lane__St_Pancras_Blackfriars_Snow_Hill__West_
Street_RJD_84.jpg."
https://commons.wikimedia.org/wiki/File:Camden,_Hampste
ad_Road,_Kentish_Town,_King%27s_Cross,_Maiden_Lane
_%26_St_Pancras_Blackfriars,_Snow_Hill_%26_West_Str
eet_RJD_84.jpg. Wikimedia Commons Public domain.
25 .6: Social Change
25 .6.1: The Factory System
The factory system, fueled by technological progress, made
production much faster, cheaper, and more uniform, but also
disconnected the workers from the means of production and
placed them under the control of powerful industrialists.
Learning Objective
Describe the factory system and how it functioned
Key Points
One of the earliest factories was John Lombe's water-powered
silk mill at Derby, operational by 1721. By 1746, an integrated
brass mill was working at Warmley near Bristol. Matthew
Boulton at his Soho Manufactory, which started operating in
1766, was among the pioneers of mass production on the
assembly line principle, while Josiah Wedgwood in Staffordshire
opened the first true ceramics factory in 1769.
The factory system began to grow rapidly when cotton spinning
was mechanized. Richard Arkwright, the founder of the first
successful cotton spinning factory in the world, is credited with
inventing the prototype of the modern factory. Other
industrialists and industries followed, introducing novel practices
that advanced the factory system, including mass production
using interchangeable parts or modern materials such as cranes
and rail tracks through the buildings for handling heavy items.
The major characteristics of factory system are that is a
capitalist form of production, where the labor does not own a
significant share of the enterprise; the capitalist owners provide
the means of production and are responsible for the sale;
production relies on unskilled labor; products are produced on a
much larger scale than in either the putting-out or crafts
systems; the location of production is more flexible; precisely
uniform components are produced thanks to machinery; workers
are paid either daily wages or for piece work, either in the form
of money or a combination of money, goods, and services.
necessary by the development of machines, which were too
large to house in a worker's cottage. Working hours were as
long as they had been for the farmer: from dawn to dusk, six
days per week. Factories also essentially reduced skilled and
unskilled workers to replaceable commodities. Debate arose
concerning the morality of the factory system, as workers
complained about unfair working conditions.
The transition to industrialization was not without difficulty. For
example, a group of English textile workers known as Luddites
protested against industrialization and sometimes sabotaged
factories. They feared that the years workers spent learning a
craft would go to waste and unskilled machine operators would
rob them of their livelihood. However, in many industries the
transition to factory production was not so divisive.
One of the best-known accounts of factory worker's living
conditions during the Industrial Revolution is Friedrich Engels'
The Condition of the W orking Class in England in 1 8 4 4 . Since
pointed out that industrialization slowly improved the living
standards of workers, others have concluded that living
standards for the majority of the population did not grow
meaningfully until much later.
Key Terms
Luddites
the 19th century that used the destruction of machinery as a
labor practices. They were fearful that the years they spent
operators would rob them of their livelihoods.
putting-out system
A means of subcontracting work, historically known also as the

workshop system and the domestic system. Work is contracted
by a central agent to subcontractors who complete the work in
off-site facilities, either in their own homes or in workshops with
multiple craftsmen.
factory system
A method of manufacturing using machinery and division of

labor, first adopted in Britain at the beginning of the Industrial
Revolution in the late 18th century and later spread around the
world. Use of machinery with the division of labor reduced the
required skill level of workers and increased the output per
worker.
truck system
An arrangement in which employees are paid in commodities or

some currency substitute (such as vouchers or token coins,
called in some dialects scrip or chit) rather than with standard
currency.
Growth of Factories
One of the earliest factories was John Lombe's water-powered silk
mill at Derby, operational by 1721. By 1746, an integrated brass mill
was working at Warmley near Bristol. Raw material went in at one
end, was smelted into brass, then turned into pans, pins, wire, and
other goods. Housing was provided for workers on site. Matthew
Boulton at his Soho Manufactory, which started operating in
1766, was among the pioneers of mass production on the assembly
line principle while Josiah Wedgwood in Staffordshire opened the
first true ceramics factory in 1769.
The factory system began to grow rapidly when cotton spinning was
mechanized. Richard Arkwright, the founder of the first successful
cotton spinning factory in the world, is credited with inventing the
prototype of the modern factory. After he patented his water frame in
1769, he established Cromford Mill in Derbyshire, England,
significantly expanding the village of Cromford to accommodate the
migrant workers new to the area. Mass production using
interchangeable parts was first achieved in 1803 by Marc Isambard
Brunel in cooperation with Henry Maudslay and Simon Goodrich, for
the British Royal Navy during the Napoleonic War. This method did
not catch on in general manufacturing in Britain for many decades;
when it did, it was imported from the United States, becoming known
as the American system of manufacturing. The Nasmyth, Gaskell
and Company's Bridgewater Foundry, which began operation in
1836, was one of the earliest factories to use modern materials
handling, such as cranes and rail tracks through the buildings for
heavy items.
Between 1820 and 1850, mechanized factories supplanted

traditional artisan shops as the predominant form of manufacturing
institution, because the larger-scale factories enjoyed a significant
technological advantage over the small artisan shops. The earliest
factories under the factory system developed in the cotton and wool
textiles industry. Later generations of factories included mechanized
shoe production and manufacturing of machinery, including machine
tools. Factories that supplied the railroad industry included rolling
mills, foundries, and locomotive works. Agricultural-equipment
factories produced cast-steel plows and reapers. Bicycles were
mass-produced beginning in the 1880s.
The Cromford Mill ( opened in 17 7 1)
today
Richard Arkwright is the person credited with inventing the prototype
of the modern factory. After he patented his water frame in 1769, he
established Cromford Mill, in Derbyshire, England, significantly
expanding the village of Cromford to accommodate the migrant
workers new to the area. It laid the foundation of Arkwright's fortune
and was quickly copied by mills in Lancashire, Germany and the
United States.
Characteristics of Factory
System
The factory system, considered a capitalist form of production, differs
dramatically from the earlier systems of production. First, the labor
generally does not own a significant share of the enterprise. The
capitalist owners provide all machinery, buildings, management and
administration, and raw or semi-finished materials, and are
responsible for the sale of all production as well as any resulting
losses. The cost and complexity of machinery, especially that
powered by water or steam, was more than cottage industry workers
could afford or had the skills to maintain. Second, production relies
on unskilled labor. Before the factory system, skilled craftsmen would
usually custom-made an entire article. In contrast, factories practiced
division of labor, in which most workers were either lowskilled
laborers who tended or operated machinery, or unskilled laborers
who moved materials and semi-finished and finished goods. Third,
factories produced products on a much larger scale than in either the
putting-out or crafts systems.
The factory system also made the location of production much more
flexible. Before the widespread use of steam engines and railroads,
most factories were located at water power sites and near water
transportation. When railroads became widespread, factories could
be located away from water power sites but nearer railroads.
Workers and machines were brought together in a central factory
complex. Although the earliest factories were usually all under one
roof, different operations were sometimes on different floors. Further,
machinery made it possible to produce precisely uniform
components.
Workers were paid either daily wages or for piece work, either in the
form of money or some combination of money, housing, meals, and
goods from a company store (the truck system). Piece work
presented accounting difficulties, especially as volumes increased
and workers did a narrower scope of work on each piece. Piece work
went out of favor with the advent of the production line, which was
designed on standard times for each operation in the sequence and
workers had to keep up with the work flow.
Factory System and Society

house in a worker's cottage. Working hours were as long as they had
been for the farmer: from dawn to dusk, six days per week. Factories
also essentially reduced skilled and unskilled workers to replaceable
commodities. At the farm or in the cottage industry, each family
member and worker was indispensable to a given operation and
workers had to posses knowledge and often advanced skills that
resulted from years of learning through practice. Conversely, under
the factory system, workers were easily replaceable as skills
required to operate machines could be acquired very quickly. Factory
workers typically lived within walking distance to work until the
introduction of bicycles and electric street railways in the 1890s.
Thus, the factory system was partly responsible for the rise of urban
living, as large numbers of workers migrated into the towns in search
of employment in the factories. Many mills had to provide dormitories
for workers, especially for girls and women.
Much manufacturing in the 18th century was carried out in homes

under the domestic or putting-out system, especially the weaving of
cloth and spinning of thread and yarn, often with just a single loom or
spinning wheel. As these devices were mechanized, machine-made
goods were able to underprice the cottagers, leaving them unable to
earn enough to make their efforts worthwhile.
The transition to industrialization was not without difficulty. For

example, a group of English textile workers known as Luddites
protested against industrialization and sometimes sabotaged
factories. They continued an already established tradition of workers
opposing labor-saving machinery. Numerous inventors in the textile
industry suffered harassment when developing their machines or
devices. Despite the common stereotype of Luddites as opponent of
progress, the group was in fact protesting the use of machinery in a
"fraudulent and deceitful manner" to get around standard labor
practices. They feared that the years workers had spent learning a
craft would go to waste and unskilled machine operators would rob
them of their livelihoods. However, in many industries the transition
to factory production was not so divisive.
Frame-breakers, or Luddites,
smashing a loom
Machine-breaking was criminalized by the Parliament of the United
Kingdom as early as 1721. Parliament subsequently made "machine
breaking" (i.e. industrial sabotage) a capital crime with the Frame
Breaking Act of 1812 and the Malicious Damage Act of 1861. Lord
Byron opposed this legislation, becoming one of the few prominent
defenders of the Luddites.
Debate arose concerning the morality of the factory system, as

workers complained about unfair working conditions. One of the
problems concerned women's labor. Women were always paid less
than men and in many cases, as little as a quarter of what men
made. Child labor was also a major part of the system. However, in
the early 19th century, education was not compulsory and in working
families, children's wages were seen as a necessary contribution to
the family budget. Automation in the late 19th century is credited with
ending child labor and according to many historians, it was more
effective than gradually changing child labor laws. Years of schooling
began to increase sharply from the end of the 19th century, when
elementary state-provided education for all became a viable concept
(with the Prussian and Austrian empires as pioneers of obligatory
education laws). Some industrialists themselves tried to improve
factory and living conditions for their workers. One of the earliest
such reformers was Robert Owen, known for his pioneering efforts in
improving conditions for workers at the New Lanark mills and often
regarded as one of the key thinkers of the early socialist movement.
One of the best-known accounts of factory worker's living conditions

during the Industrial Revolution is Friedrich Engels' The Condition of
the W orking Class in England in 1 8 4 4 . In it, Engels described
backstreet sections of Manchester and other mill towns where
people lived in crude shanties and shacks, some not completely
enclosed, some with dirt floors. These shanty towns had narrow
walkways between irregularly shaped lots and dwellings. There were
no sanitary facilities. Population density was extremely high. Eight to
ten unrelated mill workers often shared a room with no furniture and
slept on a pile of straw or sawdust. Disease spread through a
contaminated water supply. By the late 1880s, Engels noted that the
extreme poverty and lack of sanitation he wrote about in 1844 had
largely disappeared. Since then, the historical debate on the
question of living conditions of factory workers has been very
controversial. While some have pointed out that living conditions of
the poor workers were tragic everywhere and industrialization, in
fact, slowly improved the living standards of a steadily increasing
number of workers, others have concluded that living standards for
the majority of the population did not grow meaningfully until the late
19th and 20th centuries and that in many ways workers' living
standards declined under early capitalism.
25 .6.2: Urbaniz ation

Industrialization and emergence of the factory system triggered rural-
to-urban migration and thus led to a rapid growth of cities, where
during the Industrial Revolution workers faced the challenge of dire
conditions and developed new ways of living.
Learning Objective
Connect the development of factories to urbanization
Key Points
Industrialization led to the creation of the factory, and the factory
system contributed to the growth of urban areas as large
numbers of workers migrated into the cities in search of work in
the factories. In England and Wales, the proportion of the
population living in cities jumped from 17% in 1801 to 72% in
1891.
In 1844, Friedrich Engels published The Condition of the
W orking Class in England, arguably the most important record
of how workers lived during the early era of industrialization in
British cities. He described backstreet sections of Manchester
and other mill towns where people lived in crude shanties and
overcrowded shacks, constantly exposed to contagious
diseases. These conditions improved over the course of the
19th century.
Before the Industrial Revolution, advances in agriculture or
technology led to an increase in population, which again
strained food and other resources, limiting increases in per
capita income. This condition is called the Malthusian trap and
according to some economists, it was overcome by the
Industrial Revolution. Transportation advancements lowered
transaction and food costs, improved distribution, and made
more varied foods available in cities.
The historical debate on the question of living conditions of
pointed out that industrialization slowly improved the living
standards of workers, others have concluded that living
standards for the majority of the population did not grow
meaningfully until much later.
Not everyone lived in poor conditions and struggled with the
challenges of rapid industrialization. The Industrial Revolution
also created a middle class of industrialists and professionals
who lived in much better conditions. In fact, one of the earlier
definitions of the middle class equated the middle class to the
original meaning of capitalist: someone with so much capital that
they could rival nobles.
During the Industrial Revolution, the family structure changed.
Marriage shifted to a more sociable union between wife and
husband in the laboring class. Women and men tended to marry
someone from the same job, geographical location, or social
group. Factories and mills also undermined the old patriarchal
authority to a certain extent. Women working in factories faced
many new challenges, including limited child-raising
opportunities.
Key Terms

the population over the century to 1770, and thereafter
productivity remained among the highest in the world. This
increase in the food supply contributed to the rapid growth of
population in England and Wales.
Malthusian trap
The putative unsustainability of improvements in a society's

standard of living because of population growth. It is named for
Thomas Robert Malthus, who suggested that while
technological advances could increase a society's supply of
resources such as food and thereby improve the standard of
living, the resource abundance would encourage population
growth, which would eventually bring the per capita supply of
resources back to its original level. Some economists contend
that since the Industrial Revolution, mankind has broken out of
the trap. Others argue that the continuation of extreme
poverty indicates that the Malthusian trap continues to operate.
Cottonopolis
A metropolis centered on cotton trading servicing the cotton

mills in its hinterland. It was originally applied to Manchester,
England, because of its status as the international center of the
cotton and textile trade during the Industrial Revolution.
Factories and Urbaniz ation

Industrialization led to the creation of the factory and the factory
system contributed to the growth of urban areas as large numbers of
workers migrated into the cities in search of work in the factories.
Nowhere was this better illustrated than in Manchester, the world's
first industrial city, nicknamed Cottonopolis because of its mills and
associated industries that made it the global center of the textile
industry. Manchester experienced a six-times increase in its
population between 1771 and 1831. It had a population of 10,000 in
1717, but by 1911 it had burgeoned to 2.3 million. Bradford grew by
50% every ten years between 1811 and 1851 and by 1851 only 50%
of the population of Bradford was actually born there. In England and
Wales, the proportion of the population living in cities jumped from
17% in 1801 to 72% in 1891.
Manchester known as Cottonopolis,
pictured in 18 40, showing the mass of
factory chimneys, Engraving
by Edward Goodall ( 17 95 -18 7 0) ,
original title Manchester, from Kersal
Moor after a p ainting of W. Wylde.
Although initially inefficient, the arrival of steam power signified the
beginning of the mechanization that would enhance the burgeoning
textile industries in Manchester into the world's first center of mass
production. As textile manufacture switched from the home to
factories, Manchester and towns in south and east Lancashire
became the largest and most productive cotton spinning center in
the world in 1871, with 32% of global cotton production.
Standards of Living
Friedrich Engels' The Condition of the W orking Class in England in
1 8 4 4 is arguably the most important record of how workers lived
during the early era of industrialization in British cities. Engels, who
remains one of the most important philosophers of the 19th century
but also came from a family of wealthy industrialists, described
backstreet sections of Manchester and other mill towns where
people lived in crude shanties and shacks, some not completely
enclosed, some with dirt floors. These towns had narrow walkways
between irregularly shaped lots and dwellings. There were no
sanitary facilities. Population density was extremely high. Eight to ten
unrelated mill workers often shared a room with no furniture and
slept on a pile of straw or sawdust. Toilet facilities were shared if they
existed. Disease spread through a contaminated water supply. New
urbanites—especially small children—died due to diseases
spreading because of the cramped living conditions. Tuberculosis,
lung diseases from the mines, cholera from polluted water, and
typhoid were all common.
The original title page of The
C ondition of the Work ing C lass in
E ngland in 1 9 4 4 , published in German
in Leipz ig in 18 45 .
Engels' interpretation proved to be extremely influential with British
historians of the Industrial Revolution. He focused on both the
workers' wages and their living conditions. He argued that the
industrial workers had lower incomes than their pre-industrial peers
and lived in more unhealthy environments. This proved to be a wide-
ranging critique of industrialization and one that was echoed by
many of the Marxist historians who studied the industrial revolution in
the 20th century.
Conditions improved over the course of the 19th century due to new
public health acts regulating things like sewage, hygiene, and home
construction. In the introduction of his 1892 edition, Engels notes
that most of the conditions he wrote about in 1844 had been greatly
improved.
Chronic hunger and malnutrition were the norm for the majority of
the population of the world, including Britain and France, until the
late 19th century. Until about 1750, in part due to malnutrition, life
expectancy in France was about 35 years, and only slightly higher in
Britain. In Britain and the Netherlands, food supply had been
increasing and prices falling before the Industrial Revolution due to
better agricultural practices (Agricultural Revolution).
However, population grew as well. Before the Industrial Revolution,

advances in agriculture or technology led to an increase in
population, which again strained food and other resources, limiting
increases in per capita income. This condition is called the
Malthusian trap and according to some economists, it was overcome
by the Industrial Revolution. Transportation improvements, such as
canals and improved roads, also lowered food costs. The post-1830
rapid development of railway further reduced transaction costs,
which in turn lowered the costs of goods, including food. The
distribution and sale of perishable goods such as meat, milk, fish,
and vegetables was transformed by the emergence of the railways,
giving rise not only to cheaper produce in the shops but also to far
greater variety in people's diets.
The question of how living conditions changed in the newly

industrialized urban environment has been very controversial. A
series of 1950s essays by Henry Phelps Brown and Sheila V .
Hopkins set the academic consensus that the bulk of the population
at the bottom of the social ladder suffered severe reductions in their
living standards. Conversely, economist Robert E. Lucas, Jr., argues
that the real impact of the Industrial Revolution was that the
standards of living of the poorest segments of the society gradually,
if slowly, improved. Others, however, have noted that while growth of
the economy's overall productive powers was unprecedented during
the Industrial Revolution, living standards for the majority of the
population did not grow meaningfully until the late 19th and 20th
centuries and that in many ways workers' living standards declined
under early capitalism. For instance, studies have shown that real
wages in Britain increased only 15% between the 1780s and 1850s
and that life expectancy in Britain did not begin to dramatically
increase until the 1870s.
Not everyone lived in poor conditions and struggled with the

challenges of rapid industrialization. The Industrial Revolution also
created a middle class of industrialists and professionals who lived in
much better conditions. In fact, one of the earlier definitions of the
middle class equated it to the original meaning of capitalist: someone
with so much capital that they could rival nobles. To be a capital-
owning millionaire was an important criterion of the middle class
during the Industrial Revolution although the period witnessed also a
growth of a class of professionals (e.g., lawyers, doctors, small
business owners) who did not share the fate of the early industrial
working class and enjoyed a comfortable standard of living in
growing cities.
Changes in Family Structure

In the laboring class at the end of the 18th and beginning of the 19th
centuries, women traditionally married men of the same social status
(e.g., a shoemaker’s daughter would marry a shoemaker’s son).
Marriage outside this norm was not common. During the Industrial
Revolution, marriage shifted from this tradition to a more sociable
union between wife and husband in the laboring class. Women and
men tended to marry someone from the same job, geographical
location, or ocial group. Miners remained an exception to this trend
and a coal miner’s daughter still tended to marry a coal miner’s son.
The rural pre-industrial work sphere was usually shaped by the

father, who controlled the pace of work for his family. However,
factories and mills undermined the old patriarchal authority to a
certain extent. Factories put husbands, wives, and children under the
same conditions and authority of the manufacturer masters. In the
latter half of the Industrial Revolution, women who worked in
factories or mills tended not to have children or had children that
were old enough to take care of themselves, as life in the city made
it impossible to take a child to work (unlike in the case of farm labor
or cottage industry where women were more flexible to combine
domestic and work spheres) and deprived women of a traditional
network of support established in rural communities.
25 .6.3: Labor Conditions

During the Industrial Revolution, laborers in factories, mills, and
mines worked long hours under very dangerous conditions, though
historians continue to debate the extent to which those conditions
worsened the fate of the worker in pre-industrial society.
Learning Objective
Review the conditions workers labored under in the early factories
Key Points
As a result of industrialization, ordinary working people found
increased opportunities for employment in the new mills and
factories, but these were often under strict working conditions
with long hours of labor dominated by a pace set by machines.
The nature of work changed from a craft production model to a
factory-centric model.
In the textile industry, factories set hours of work and the
machinery within them shaped the pace of work. Factories
brought workers together within one building and increased the
division of labor, narrowing the number and scope of tasks and
including children and women within a common production
process. Maltreatment, industrial accidents, and ill health from
overwork and contagious diseases were common in the
enclosed conditions of cotton mills. Children were particularly
vulnerable.
Work discipline was forcefully instilled upon the workforce by the
factory owners, and the working conditions were dangerous and
even deadly. Early industrial factories and mines created
numerous health risks, and injury compensation for the workers
did not exist. Machinery accidents could lead to burns, arm and
leg injuries, amputation of fingers and limbs, and death.
However, diseases were the most common health issues that
had long-term effects.
Mining has always been especially dangerous, and at the
beginning of the 19th century, methods of coal extraction
exposed men, women, and children to very risky conditions. In
1841, about 216,000 people were employed in the mines.
Women and children worked underground for 11-12 hours a day.
The public became aware of conditions in the country's collieries
in 1838 after an accident at Huskar Colliery in Silkstone. The
disaster came to the attention of Queen V ictoria who ordered an
inquiry.
Lord Ashley headed the royal commission of inquiry, which
investigated the conditions of workers, especially children, in the
coal mines in 1840. Commissioners visited collieries and mining
communities gathering information, sometimes against the mine
owners' wishes. The report, illustrated by engraved illustrations
and the personal accounts of mine workers, was published in
1842. The investigation led to passing one of the earlier pieces
of labor legislation: the Mines and Collieries Act of 1842. It
prohibited all girls and boys under ten years old from working
underground in coal mines.
Over time, more men than women would find that industrial
employment and industrial wages provided a higher level of
material security than agricultural employment. Consequently,
women would be left behind in less-profitable agriculture. By the
late 1860s, very low wages in agricultural work turned women to
industrial employment on assembly lines, providing industrial
laundry services, and in the textile mills. Women were never
paid the same wage as a man for the same work.
Key Terms
Mines and Collieries Act
An 1842 act of the Parliament of the United Kingdom, which

underground in coal mines. It was a response to the working
conditions of children revealed in the Children's Employment
Commission (Mines) 1842 report.
hurrier
A child or woman employed by a collier to transport the coal that

they had mined. Women would normally get the children to help
them because of the difficulty of carrying the coal. Common
particularly in the early 19th century, they pulled a corf (basket
or small wagon) full of coal along roadways as small as
16 inches in height. They would often work 12-hour shifts,
making several runs down to the coal face and back to the
surface again.
Industrial W orking Practices

As a result of industrialization, ordinary working people found
increased opportunities for employment in the new mills and
factories, but these were often under strict working conditions with
long hours of labor dominated by a pace set by machines. The
nature of work changed from a craft production model to a factory-
centric model. Between the 1760s and 1850, factories organized
workers' lives much differently than did craft production. The textile
industry, central to the Industrial Revolution, serves as an illustrative
example of these changes. Prior to industrialization, handloom
weavers worked at their own pace, with their own tools, within their
own cottages. Now, factories set hours of work and the machinery
within them shaped the pace. Factories brought workers together
within one building to work on machinery that they did not own. They
also increased the division of labor, narrowing the number and scope
of tasks and including children and women within a common
production process. The early textile factories employed a large
share of children and women. In 1800, there were 20,000
apprentices (usually pauper children) working in cotton mills. The
apprentices were particularly vulnerable to maltreatment, industrial
accidents, and ill health from overwork and widespread contagious
diseases such as smallpox, typhoid, and typhus. The enclosed
conditions (to reduce the frequency of thread breakage, cotton mills
were usually very warm and as draft-free as possible) and close
contact within mills and factories allowed contagious diseases to
spread rapidly. Typhoid was spread through poor sanitation in mills
and the settlements around them. In all industries, women and
children made significantly lower wages than men for the same work.
A Roberts loom in a weaving shed in
18 35 . Illustrator T. Allom in History of
the cotton m anufacture in Great
B ritain by Sir Edward Baines.
In reference to the growing number of women in the textile industry,
Friedrich Engels argued the family structure was "turned upside
down" as women's wages undercut men's, forcing men to "sit at
home" and care for children while the wife worked long hours.
Historical records have shown, however, that women working the
same long hours under the same dangerous conditions as men
never made the same wages as men and the patriarchal model of
the family was hardly undermined.
Work discipline was forcefully instilled upon the workforce by the

factory owners and the working conditions were dangerous and even
deadly. Early industrial factories and mines created numerous health
risks, and injury compensation for the workers did not exist.
Machinery accidents could lead to burns, arm and leg injuries,
amputation of fingers and limbs, and death. However, diseases were
the most common health issues that had long-term effects. Cotton
mills, coal mines, iron-works, and brick factories all had bad air,
which caused chest diseases, coughs, blood-spitting, hard breathing,
pains in chest, and insomnia. Workers usually toiled extremely long
hours, six days a week. However, it is important to note that
historians continue to debate the question of to what extent early
industrialization worsened and to what extent it improved the fate of
the workers, as working practices and conditions in the pre-industrial
society were similarly difficult. Child labor, dangerous working
conditions, and long hours were just as prevalent before the
Mining has always been especially dangerous and at the beginning

of the 19th century, methods of coal extraction exposed men,
women, and children to very risky conditions. In 1841, about 216,000
people were employed in the mines. Women and children worked
underground for 11-12 hours a day. The public became aware of
conditions in the country's collieries in 1838 after an accident at
Huskar Colliery in Silkstone, near Barnsley. A stream overflowed into
the ventilation drift after violent thunderstorms, causing the death of
26 children, 11 girls ages 8 to 16 and 15 boys between 9 and 12
years of age. The disaster came to the attention of Queen V ictoria,
who ordered an inquiry. Lord Ashley headed the royal commission of
inquiry, which investigated the conditions of workers, especially
children, in the coal mines in 1840. Commissioners visited collieries
and mining communities gathering information, sometimes against
the mine owners' wishes. The report, illustrated by engraved
illustrations and the personal accounts of mine workers, was
published in 1842. The middle class and elites were shocked to learn
that children as young as five or six worked as trappers, opening and
shutting ventilation doors down the mine before becoming hurriers,
pushing and pulling coal tubs and corfs. The investigation led to one
of the earlier pieces of labor legislation: the Mines and Collieries Act
of 1842. It prohibited all girls and boys under ten years old from
working underground in coal mines.
W orking-Class W omen
Before the Mines and Collieries Act 1842, women (and children)
worked underground as hurriers who carted tubs of coal up through
the narrow mine shafts. In Wolverhampton, the law did not have
much of an impact on women's mining employment because they
mainly worked above-ground at the coal mines, sorting coal, loading
canal boats, and other surface tasks. Over time, more men than
women would find industrial employment, and industrial wages
provided a higher level of material security than agricultural
employment. Consequently, women, who were traditionally involved
in all agricultural labor, would be left behind in less-profitable
agriculture. By the late 1860s, very low wages in agricultural work
turned women to industrial employment.
In industrialized areas, women could find employment on assembly

lines, providing industrial laundry services, and in the textile mills that
sprang up during the Industrial Revolution in such cities as
Manchester, Leeds, and Birmingham. Spinning and winding wool,
silk, and other types of piecework were a common way of earning
income by working from home, but wages were very low and hours
long. Often 14 hours per day were needed to earn enough to
survive. Needlework was the single highest-paid occupation for
women working from home, but the work paid little and women often
had to rent sewing machines that they could not afford to buy. These
home manufacturing industries became known as "sweated
industries" (think of today's sweat shops). The Select Committee of
the House of Commons defined sweated industries in 1890 as "work
carried on for inadequate wages and for excessive hours in
unsanitary conditions." By 1906, such workers earned about a penny
an hour. Women were never paid the same wage as a man for the
same work, despite the fact that they were as likely as men to be
married and supporting children.
25 .6.4: Child Labor

Although child labor was widespread prior to industrialization, the
exploitation of child workforce intensified during the Industrial
Revolution.
Learning Objective
Indicate the circumstances leading to the use of industrial child labor
Key Points
With the onset of the Industrial Revolution in Britain in the late
18th century, there was a rapid increase in the industrial
exploitation of labor, including child labor. Child labor became
the labor of choice for manufacturing in the early phases of the
Industrial Revolution because children were paid much less
while being as productive as adults and were more vulnerable.
Their smaller size was also perceived as an advantage.
Children as young as four were employed in production factories
and mines working long hours in dangerous, often fatal
conditions. In coal mines, children would crawl through tunnels
too narrow and low for adults. They also worked as errand boys,
crossing sweepers, shoe blacks, or selling matches, flowers,
and other cheap goods.
Many children were forced to work in very poor conditions for
much lower pay than their elders, usually 10–20% of an adult
male's wage. Beatings and long hours were common, with some
child coal miners and hurriers working from 4 a.m. until 5 p.m.
Many children developed lung cancer and other diseases. Death
before age 25 was common for child workers.
Workhouses would sell orphans and abandoned children as
"pauper apprentices," working without wages for board and
lodging. In 1800, there were 20,000 apprentices working in
cotton mills. The apprentices were particularly vulnerable to
maltreatment, industrial accidents, and ill health from overwork,
and contagious diseases such as smallpox, typhoid, and typhus.
The first legislation in response to the abuses experienced by
child laborers did not even attempt to ban child labor, but merely
improve working conditions for some child workers. The Health
and Morals of Apprentices Act 1802 was designed to improve
conditions for apprentices working in cotton mills. It was not until
1819 that an Act to limit the hours of work and set a minimum
age for free children working in cotton mills was piloted through
Parliament.
A series of acts limiting provisions under which children could be
employed followed the two largely ineffective Acts of 1802 and
1819, including the Mines and Collieries Act 1842, the Factories
Act 1844, and the Factories Act 1847. The last two major factory
acts of the Industrial Revolution were introduced in 1850 and
1856. Factories could no longer dictate work hours for women
and children.
Key Terms
Cotton Mills and Factories Act of 1819
An 1819 Act of Parliament in the United Kingdom that stated

that no children under 9 were to be employed and that children
aged 9–16 years were limited to 12 hours' work per day. It
applied to the cotton industry only, but covered all children,
whether apprentices or not. It was seen through Parliament by
Sir Robert Peel but had its origins in a draft prepared by Robert
Owen in 1815. The Act that emerged in 1819 was watered down
from Owen's draft.
Mines and Collieries Act 1842
An 1842 act of the Parliament of the United Kingdom that

prohibited banned) all girls and boys younger than age 10 from
working underground in coal mines. It was a response to the
working conditions of children revealed in the Children's
Employment Commission (Mines) 1842 report.

A phase of rapid industrialization in the final third of the 19th
century and the beginning of the 20th. Although a number of its
characteristic events can be traced to earlier innovations in
manufacturing, such as the establishment of a machine
tool industry, the development of methods for manufacturing
interchangeable parts, and the invention of the Bessemer
Process, it is generally dated between 1870 and 1914.
hurrier
A child or woman employed by a collier to transport the coal that

they had mined. Women would normally get the children to help
them because of the difficulty of carrying the coal. Common
particularly in the early 19th century, they pulled a corf (basket
or small wagon) full of coal along roadways as small as
16 inches in height. They would often work 12-hour shifts,
making several runs down to the coal face and back to the
surface again.
Health and Morals of Apprentices Act 1802
An 1802 Act of the Parliament of the United Kingdom,

sometimes known as the Factory Act 1802, was designed to
improve conditions for apprentices working in cotton mills. The
Act was introduced by Sir Robert Peel, who became concerned
with the issue after an 1784 outbreak of a "malignant fever" at
one of his cotton mills, which he later blamed on "gross
mismanagement" by his subordinates.
The Industrial Child W orkforce

With the onset of the Industrial Revolution in Britain in the late 18th
century, there was a rapid increase in the industrial exploitation of
labor, including child labor. The population grew and although
chances of surviving childhood did not improve, infant mortality rates
decreased markedly. Education opportunities for working-class
families were limited and children were expected to contribute to
family budgets just like adult family members. Child labor became
the labor of choice for manufacturing in the early phases of the
Industrial Revolution in the 18th and 19th centuries. In England and
Scotland in 1788, two-thirds of the workers in 143 water-powered
cotton mills were described as children. Employers paid a child less
than an adult even though their productivity was comparable. There
was no need for strength to operate an industrial machine and since
the industrial system was completely new, there were no
experienced adult laborers. Factory and mine owners preferred child
labor also because they perceived the child workers' smaller size as
an advantage. In textile factories, children were desired because of
their supposed "nimble fingers," while low and narrow mine galleries
made children particularly effective mine workers.
The V ictorian era (overlapping with approximately the last decade of

the Industrial Revolution and largely with what is known as the
Second Industrial Revolution) in particular became notorious for the
conditions, under which children were employed. Children as young
as four worked long hours in production factories and mines in
dangerous, often fatal conditions. In coal mines, children would crawl
through tunnels too narrow and low for adults. They also worked as
errand boys, crossing sweepers, shoe blacks, or selling matches,
flowers, and other cheap goods. Some children undertook work as
apprentices to trades considered respectable, such as building or as
domestic servants (there were over 120,000 domestic servants in
London in the mid-18th century). Working hours were long: builders
worked 64 hours a week in summer and 52 in winter, while domestic
servants worked 80-hour weeks.
A young drawer pulling a coal tub
along a mine gallery, source unknown.
Agile boys were employed by the chimney sweeps. Small children
were employed to scramble under machinery to retrieve cotton
bobbins and in coal mines, crawling through tunnels too narrow and
low for adults. Many young people worked as prostitutes (the
majority of prostitutes in London were between 15 and 22 years of
age).
Labor Conditions
Child labor existed long before the Industrial Revolution, but with the
increase in population and education, it became more visible.
Furthermore, unlike in agriculture and cottage industries where
children often contributed to the family operation, children in the
industrial employment were independent workers with no protective
mechanisms in place. Many children were forced to work in very
poor conditions for much lower pay than their elders, usually 10–
20% of an adult male's wage. Children as young as four were
employed. Beatings and long hours were common, with some child
coal miners and hurriers working from 4 a.m. until 5 p.m. Conditions
were dangerous, with some children killed when they dozed off and
fell into the path of the carts, while others died from gas explosions.
Many children developed lung cancer and other diseases. Death
before the age of 25 was common for child workers.
Those child laborers who ran away would be whipped and returned
to their masters, with some masters shackling them to prevent
escape. Children employed as mule scavengers by cotton mills
would crawl under machinery to pick up cotton, working 14 hours a
day, six days a week. Some lost hands or limbs, others were
crushed under the machines, and some were decapitated. Young
girls worked at match factories, where phosphorus fumes would
cause many to develop phossy jaw, an extremely painful condition
that disfigured the patient and eventually caused brain damage, with
dying bone tissue accompanied by a foul-smelling discharge.
Children employed at glassworks were regularly burned and blinded,
and those working at potteries were vulnerable to poisonous clay
dust.
Workhouses would sell orphans and abandoned children as "pauper

apprentices," working without wages for board and lodging. In 1800,
there were 20,000 apprentices working in cotton mills. The
apprentices were particularly vulnerable to maltreatment, industrial
accidents, and ill health from overwork and contagious diseases
such as smallpox, typhoid, and typhus. The enclosed conditions (to
reduce the frequency of thread breakage, cotton mills were usually
very warm and as draft-free as possible) and close contact within
mills and factories allowed contagious diseases such as typhus and
smallpox to spread rapidly, especially because sanitation in mills and
the settlements around them was often poor. Around 1780, a water-
powered cotton mill was built for Robert Peel on the River Irwell near
Radcliffe. The mill employed children bought from workhouses in
Birmingham and London. They were unpaid and bound apprentices
until they were 21, which in practice made them enslaved labor.
They boarded on an upper floor of the building and were locked
inside. Shifts were typically 10–10.5 hours in length (i.e. 12 hours
after allowing for meal breaks) and the apprentices "hot bunked,"
meaning a child who had just finished his shift would sleep in a bed
just vacated by a child now starting his shift.
Children at work in a cotton mill ( Mule
spinning, England 18 35 ) . Illustrations
from Edward Baines, The History of
the C otton Manufacture in Great
B ritain, H. Fisher, R. Fisher, and P.
J ackson, 18 35 .
Children as young as 4 were put to work. In coal mines, children
began work at the age of 5 and generally died before the age of 25.
Many children (and adults) worked 16-hour days.
Early Attempts to Ban Child

Labor
The first legislation in response to the abuses experienced by child
laborers did not even attempt to ban child labor but merely to
improve working conditions for some child workers. The Health and
Morals of Apprentices Act 1802, sometimes known as the Factory
Act 1802, was designed to improve conditions for apprentices
working in cotton mills. The Act was introduced by Sir Robert Peel,
who became concerned after a 1784 outbreak of a "malignant fever"
at one of his cotton mills, which he later blamed on "gross
mismanagement" by his subordinates. The Act required that cotton
mills and factories be properly ventilated and basic requirements on
cleanliness be met. Apprentices in these premises were to be given
a basic education and attend a religious service at least once a
month. They were to be provided with clothing and their working
hours were limited to no more than twelve hours a day (excluding
meal breaks). They were not to work at night.
Despite its modest provisions, the 1802 Act was not effectively
enforced and did not address the working conditions of free children,
who were not apprentices and who rapidly came to heavily
outnumber the apprentices in mills. Regulating the way masters
treated their apprentices was a recognized responsibility of
Parliament and hence the Act itself was non-contentious, but coming
between employer and employee to specify on what terms a person
might sell their labor (or that of their children) was highly contentious.
Hence it was not until 1819 that an Act to limit the hours of work (and
set a minimum age) for free children working in cotton mills was
piloted through Parliament by Peel and his son Robert (the future
Prime Minister). Strictly speaking, Peel's Cotton Mills and Factories
Act of 1819 paved the way for subsequent Factory Acts and set up
effective means of industry regulation.
These 1802 and 1819 Acts were largely ineffective and after radical
agitation by child labor opponents, a Royal Commission
recommended in 1833 that children aged 11–18 should work a
maximum of 12 hours per day, children aged 9–11 a maximum of
eight hours, and children under the age of nine were no longer
permitted to work. This act, however, only applied to the textile
industry, and further agitation led to another act in 1847 limiting both
adults and children to 10-hour working days.
In 1841, about 216,000 people were employed in the mines. Women

and children worked underground for 11 or 12 hours a day for
smaller wages than men. The public became aware of conditions in
the country's collieries in 1838 after an accident at Huskar Colliery in
Silkstone, near Barnsley. A stream overflowed into the ventilation
drift after violent thunderstorms causing the death of 26 children, 11
girls ages 8 to 16 and 15 boys between 9 and 12 years of age. The
disaster came to the attention of Queen V ictoria, who ordered an
inquiry. Lord Ashley headed the royal commission of inquiry that
investigated the conditions of workers, especially children, in the coal
mines in 1840. Commissioners visited collieries and mining
communities gathering information, sometimes against the mine
owners' wishes. The report, illustrated by engraved illustrations and
the personal accounts of mine workers, was published in 1842.
V ictorian society was shocked to discover that children as young as
five or six worked as trappers, opening and shutting ventilation doors
down the mine before becoming hurriers, pushing and pulling coal
tubs and corfs. As a result, the Mines and Collieries Act 1842,
commonly known as the Mines Act of 1842, was passed. It
underground in coal mines.
The Factories Act 1844 banned women and young adults from
working more than 12-hour days and children from the ages 9 to 13
from working 9-hour days. The Factories Act 1847, also known as
the Ten Hours Act, made it illegal for women and young people (13-
18) to work more than 10 hours and maximum 63 hours a week in
textile mills. The last two major factory acts of the Industrial
Revolution were introduced in 1850 and 1856. Factories could no
longer dictate work hours for women and children, who were to work
from 6 a.m. to 6 p.m. in the summer and 7 a.m. to 7 p.m. in the
winter. These acts deprived the manufacturers of a significant
amount of power and authority.
25 .6.5 : Organiz ed Labor

The concentration of workers in factories, mines, and mills facilitated
the development of trade unions during the Industrial Revolution.
After the initial decades of political hostility towards organized labor,
skilled male workers emerged as the early beneficiaries of the labor
movement.
Learning Objective
Describe the grievances that gave rise to organized labor
Key Points
The rapid expansion of industrial society during the Industrial
Revolution drew women, children, rural workers, and immigrants
into the industrial work force in large numbers and in new roles.
This pool of unskilled and semi-skilled labor spontaneously
organized in fits and starts throughout the early phases of
industrialization and would later be an important arena for the
development of trade unions.
As collective bargaining and early worker unions grew with the
onset of the Industrial Revolution, the government began to
clamp down on what it saw as the danger of popular unrest at
the time of the Napoleonic Wars. In 1799, the Combination Act
was passed, which banned trade unions and collective
bargaining by British workers. Although the unions were subject
to often severe repression until 1824, they were already
widespread in some cities and workplace militancy manifested
itself in many different ways.
By the 1810s, the first labor organizations to bring together
workers of divergent occupations were formed. Possibly the first
such union was the General Union of Trades, also known as the
Philanthropic Society, founded in 1818 in Manchester. Under the
pressure of both workers and the middle and upper-class
activists sympathetic of the workers' repeal, the law banning
unions was repealed in 1824. However, the Combinations of
Workmen Act 1825 severely restricted their activity.
The first attempts at a national general union were made in the
1820s and 1830s. The National Association for the Protection of
Labor was established in 1830 by John Doherty. The
Association quickly enrolled approximately 150 unions,
consisting mostly of textile workers but also mechanics,
blacksmiths, and various others. In 1834, Welsh socialist Robert
Owen established the Grand National Consolidated Trades
Union. The organization attracted a range of socialists from
Owenites to revolutionaries and played a part in the protests
after the Tolpuddle Martyrs' case.
In the later 1830s and 1840s, trade unionism was
overshadowed by political activity. Of particular importance was
Chartism, a working-class movement for political reform in
Britain that existed from 1838 to 1858. The strategy employed
the large-scale support to put pressure on politicians to concede
manhood suffrage. Chartism thus relied on constitutional
methods to secure its aims.
More permanent trade unions followed from the 1850s. They
were usually better resourced but often less radical. In some
trades, unions were led and controlled by skilled workers, which
essentially excluded the interests of the unskilled labor. Women
were largely excluded from trade union formation, membership,
and hierarchies until the late 20th century. Unions were
eventually legalized in 1871 with the adoption of the Trade
Union Act 1871.
Key Terms
Tolpuddle Martyrs
A group of 19th century Dorset agricultural laborers who were

convicted of swearing a secret oath as members of the Friendly
Society of Agricultural Laborers. At the time, friendly societies
had strong elements of what are now considered to be the
predominant role of trade unions. The group were subsequently
sentenced to penal transportation to Australia.
Chartism
A working-class movement for political reform in Britain that
existed from 1838 to 1857. It took its name from the People's
Charter of 1838 and was a national protest movement. The
strategy employed was to use the large scale of support for
numerous petitions and the accompanying mass meetings to
put pressure on politicians to concede manhood suffrage.
Radical War
A week of strikes and unrest, also known as the Scottish

Insurrection of 1820, that was a culmination of Radical demands
for reform in the United Kingdom of Great Britain and
Ireland which became prominent in the early years of the French
Revolution, but were then repressed during the long Napoleonic
Wars.
Luddites

the 19th century who used the destruction of machinery as a
labor practices. They were fearful that the years they had spent
operators would rob them of their livelihood.
Combination Act
A 1799 Act of Parliament that prohibited trade unions and

collective bargaining by British workers.
Combinations of Workmen Act 1825
An 1825 Act of Parliament of the United Kingdom, which

prohibited trade unions from attempting to collectively
bargain for better terms and conditions at work and suppressed
the right to strike.
Industrializ ation and Labor
Organiz ation
The rapid expansion of industrial society during the Industrial
Revolution drew women, children, rural workers, and immigrants into
the industrial work force in large numbers and in new roles. This pool
of unskilled and semi-skilled labor spontaneously organized in fits
and starts throughout the early phases of industrialization and would
later be an important arena for the development of trade unions.
Trade unions have sometimes been seen as successors to the
guilds of medieval Europe, although the relationship between the two
is disputed as the masters of the guilds employed workers
(apprentices and journeymen) who were not allowed to organize.
The concentration of labor in mills, factories, and mines facilitated
the organization of workers to help advance the interests of working
people. A union could demand better terms by withdrawing all labor
and causing a consequent cessation of production. Employers had
to decide between giving in to the union demands at a cost to
themselves or suffering the cost of the lost production. Skilled
workers were hard to replace and these were the first groups to
successfully advance their conditions through this kind of bargaining.
Trade unions and collective bargaining were outlawed from no later

than the middle of the 14th century when the Ordinance of Laborers
was enacted in the Kingdom of England. As collective bargaining
and early worker unions grew with the onset of the Industrial
Revolution, the government began to clamp down on what it saw as
the danger of popular unrest at the time of the Napoleonic Wars. In
1799, the Combination Act was passed, which banned trade unions
and collective bargaining by British workers. Although the unions
were subject to often severe repression until 1824, they were already
widespread in some cities.
Workplace militancy manifested itself in many different ways. For

example, Luddites were a group of English textile workers and self-
employed weavers who in the 19th century destroyed weaving
machinery as a form of protest. The group was protesting the use of
machinery to get around standard labor practices, fearing that the
years they had spent learning the craft would go to waste and
unskilled machine operators would rob them of their livelihoods. One
of the first mass work strikes emerged in 1820 in Scotland, an event
known today as the Radical War. 60,000 workers went on a general
strike. Their demands went far beyond labor regulations and
included a general call for reforms. The strike was quickly crushed.
Early Trade Unions

By the 1810s, the first labor organizations to bring together workers
of divergent occupations were formed. Possibly the first such union
was the General Union of Trades, also known as the Philanthropic
Society, founded in 1818 in Manchester. The latter name was to hide
the organization's real purpose in a time when trade unions were still
illegal.
Under the pressure of both workers and the middle and upper class
activists sympathetic of the workers' repeal, the law banning unions
was repealed in 1824. However, the Combinations of Workmen Act
1825 severely restricted their activity. It prohibited trade unions from
attempting to collectively bargain for better terms and conditions at
work and suppressed the right to strike. That did not stop the
fledgling labor movements and unions began forming rapidly.
The first attempts at setting up a national general union were made

in the 1820s and 1830s. The National Association for the Protection
of Labor was established in 1830 by John Doherty, after an
apparently unsuccessful attempt to create a similar national
presence with the National Union of Cotton Spinners. The
Association quickly enrolled approximately 150 unions, consisting
mostly of textile workers, but also including mechanics, blacksmiths,
and various others. Membership rose to between 10,000 and 20,000
individuals spread across the five counties of Lancashire, Cheshire,
Derbyshire, Nottinghamshire, and Leicestershire within a year. To
establish awareness and legitimacy, the union started the weekly
V oice of the People publication, with the declared intention "to unite
the productive classes of the community in one common bond of
union."
Meeting of the trade unionists in

Copenhagen Fields in 18 34, for the
purpose of carrying a petition to the
King for a remission of the sentence
passed on the Dorchester ( Dorset
county) laborers
In England, the members of the Friendly Society of Agricultural
laborers became popular heroes and 800,000 signatures were
collected for their release. Their supporters organized a political
march, one of the first successful marches in the UK, and all were
pardoned on condition of good conduct in 1836.
In 1834, Welsh socialist Robert Owen established the Grand
National Consolidated Trades Union. The organization attracted a
range of socialists from Owenites to revolutionaries and played a
part in the protests after the Tolpuddle Martyrs' case. In 1833, six
men from Tolpuddle in Dorset founded the Friendly Society of
Agricultural Laborers to protest against the gradual lowering of
agricultural wages. The Tolpuddle laborers refused to work for less
than 10 shillings a week, although by this time wages had been
reduced to seven shillings and would be further reduced to six. In
1834, James Frampton, a local landowner and magistrate, wrote to
Home Secretary Lord Melbourne to complain about the union. As a
result of obscure law that prohibited the swearing of secret oaths, six
men were arrested, tried, found guilty, and transported to Australia.
Owen's union collapsed shortly afterwards.
Chartism
In the later 1830s and 1840s, trade unionism was overshadowed by
political activity. Of particular importance was Chartism, a working-
class movement for political reform in Britain that existed from 1838
to 1858. It took its name from the People's Charter of 1838 and was
a national protest movement, with particular strongholds of support
in Northern England, the East Midlands, the Staffordshire Potteries,
the Black Country, and the South Wales V alleys. Support for the
movement was at its highest in 1839, 1842, and 1848, when
petitions signed by millions of working people were presented to
Parliament. The strategy used the scale of support demonstrated
these petitions and the accompanying mass meetings to put
pressure on politicians to concede manhood suffrage. Chartism thus
relied on constitutional methods to secure its aims, although there
were some who became involved in radical activities, notably in
south Wales and Yorkshire. The government did not yield to any of
the demands and suffrage had to wait another two decades.
Chartism was popular among some trade unions, especially
London's tailors, shoemakers, carpenters, and masons. One reason
was the fear of the influx of unskilled labor, especially in tailoring and
shoe making. In Manchester and Glasgow, engineers were deeply
involved in Chartist activities. Many trade unions were active in the
general strike of 1842, which spread to 15 counties in England and
Wales and eight in Scotland. Chartism taught techniques and
political skills that inspired trade union leadership.
Photograph of the Great Chartist

Meeting on Kennington Common,
London in 18 48 , by W illiam Edward
Kilburn.
Chartists saw themselves fighting against political corruption and for
democracy in an industrial society, but attracted support beyond the
radical political groups for economic reasons, such as opposing
wage cuts and unemployment.
Full Legaliz ation

After the Chartist movement of 1848 fragmented, efforts were made
to form a labor coalition. The Miners' and Seamen's United
Association in the North-East operated 1851–1854 before it too
collapsed because of outside hostility and internal disputes over
goals. The leaders sought working-class solidarity as a long-term
aim. More permanent trade unions followed from the 1850s. They
were usually better resourced but often less radical. The London
Trades Council was founded in 1860 and the Sheffield Outrages
spurred the establishment of the Trades Union Congress in 1868. By
this time, the existence and the demands of the trade unions were
becoming accepted by liberal middle-class opinion. Further, in some
trades, unions were led and controlled by skilled workers, which
essentially excluded the interests of the unskilled labor. For example,
in textiles and engineering, union activity from the 1850s to as late
as the mid-20th century was largely in the hands of the skilled
workers. They supported differentials in pay and status as opposed
to the unskilled. They focused on control over machine production
and were aided by competition among firms in the local labor market.
The legal status of trade unions in the United Kingdom was

eventually established by a Royal Commission on Trade Unions in
1867, which agreed that the establishment of the organizations was
to the advantage of both employers and employees. Unions were
legalized with the adoption of the Trade Union Act 1871.
Ex clusion of W omen
Women were largely excluded from trade union formation,
membership, and hierarchies until the late 20th century. When
women did succeed in challenging male hegemony and made
inroads into the representation of labor and combination, it was
originally not working-class women but middle-class reformers such
as the Women's Protective and Provident League (WPPL), which
sought to amiably discuss conditions with employers in the 1870s. It
became the Women's Trade Union League, members of which were
largely upper-middle-class men and women interested in social
reform, who wanted to educate women in trade unionism and fund
the establishment of trade unions. Militant socialists broke away
from the WPPL and formed the Women's Trade Union Association,
but they had little impact. However, there were a few cases in the
19th century where women trade union members took initiative. For
example, women played a central role in the 1875 West Yorkshire
weavers' strike.
Attributions
The Factory System
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https://en.wikipedia.org/wiki/Josiah_Wedgwood. Wikipedia
CC BY-SA 3.0.
"Cromford Mill." https://en.wikipedia.org/wiki/Cromford_Mill.
CC BY-SA 3.0.
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1812.jpg. Wikimedia Commons Public domain.
"Cromford_1771_mill.jpg."
https://commons.wikimedia.org/wiki/File:Cromford_1771_mi
ll.jpg. Wikimedia Commons Public domain.
Urbanization
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"Die_Lage_der_arbeitenden_Klasse_in_England.png."
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Public domain.
Labor Conditions
"Mines and Collieries Act 1842."
https://en.wikipedia.org/wiki/Mines_and_Collieries_Act_184
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Child Labor
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https://en.wikipedia.org/wiki/Mines_and_Collieries_Act_184
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de_unionists_in_Copenhagen_Fields,_April_21,_1834,_for
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Public domain.
26: Change in the Americas
26.1: The South American
Revolutions
26.1.1: The Spread of Revolution
The Latin American Wars of Independence, which took place during
the late 18th and early 19th centuries, were deeply influenced by the
American and French Revolutions and resulted in the creation of a
number of independent countries in Latin America.
Learning Objective
Relate the South American Revolutions to the American and French
Revolutions
Key Points
The revolutionary fervor of the 18th century, influenced by
Enlightenment ideals of liberty and equality, resulted in massive
political upheaval across the world, starting with the American
Revolution in 1776 and the French Revolution in 1789.
The principles expounded by the revolutionaries in Europe and
their political success in overthrowing the autocratic rule of the
monarchy inspired similar movements in Latin America, first in
Haiti (then the French colony of Saint Domingue), whose
revolution began just two years after the start of the French
Revolution.
At first, the white settler-colonists were inspired by the French
Revolution to gain independent control over their colonies, but
soon the revolution became centered on a slave-led rebellion
against slavery and colonization, a trend that would continue
throughout the America with varying degrees of success.
Soon after the French Revolution and its resulting political
instability, Napoleon Bonaparte took power, further destabilizing
the Latin American colonies and leading to more revolution.
The Peninsular War, which resulted from the Napoleonic
occupation of Spain, caused Spanish Creoles in Spanish
America to question their allegiance to Spain, stoking
independence movements that culminated in the wars of
independence, which lasted almost two decades.
At the time of the wars of independence, there was discussion
of creating a regional state or confederation of Latin American
nations to protect the area's new autonomy, but after several
projects failed, the issue was not taken up again until the late
19th century.
Key Terms
Haitian Revolution
A successful anti-slavery and anti-colonial insurrection that took

place in the former French colony of Saint Domingue from 1791
until 1804. It affected the institution of slavery throughout the
Americas. Self-liberated slaves destroyed slavery at home,
fought to preserve their freedom, and with the collaboration of
mulattoes, founded the sovereign state of Haiti.
Napoleonic wars

by the United Kingdom. The wars resulted from the unresolved
disputes associated with the French Revolution and the
Revolutionary Wars, which raged for years before concluding
with the Treaty of Amiens in 1802. The resumption of hostilities
the following year paved the way for more than a decade of
constant warfare. These wars had profound consequences for
global and European history, leading to the spread of
nationalism and liberalism, the rise of the British Empire as the
world's premier power, the independence movements in Latin
America and the collapse of the Spanish Empire, the
fundamental reorganization of German and Italian territories into
larger states, and the establishment of radically new methods in
warfare.
Libertadores
Refers to the principal leaders of the Latin American wars of

independence from Spain and Portugal. They are named in
contrast with the Conq uistadors, who were so far the only
Spanish/Portuguese peoples recorded in the South American
history. They were largely bourgeois criollos (local-born people
of European, mostly of Spanish or Portuguese, ancestry)
influenced by liberalism and in most cases with military training
in the metropole (mother country).
The Latin American Wars of Independence were the revolutions that

took place during the late 18th and early 19th centuries and resulted
in the creation of a number of independent countries in Latin
America. These revolutions followed the American and French
Revolutions, which had profound effects on the Spanish,
Portuguese, and French colonies in the Americas. Haiti, a French
slave colony, was the first to follow the United States to
independence during the Haitian Revolution, which lasted from 1791
to 1804. From this Napoleon Bonaparte emerged as French ruler,
whose armies set out to conquer Europe, including Spain and
Portugal, in 1808.
The Peninsular War, which resulted from the Napoleonic occupation

of Spain, caused Spanish Creoles in Spanish America to question
their allegiance to Spain, stoking independence movements that
culminated in the wars of independence, lasting almost two decades.
The crisis of political legitimacy in Spain with the Napoleonic
invasion sparked reaction in Spain's overseas empire. The outcome
in Spanish America was that most of the region achieved political
independence and instigated the creation of sovereign nations. The
areas that were most recently formed as viceroyalties were the first
to achieve independence, while the old centers of Spanish power in
Mexico and Peru with strong and entrenched institutions and the
elites were the last to achieve independence. The two exceptions
were the islands of Cuba and Puerto Rico, which along with the
Philippines remained Spanish colonies until the 1898 Spanish-
America War. At the same time, the Portuguese monarchy relocated
to Brazil during Portugal's French occupation. After the royal court
returned to Lisbon, the prince regent, Pedro, remained in Brazil and
in 1822 successfully declared himself emperor of a newly
independent Brazil.
Spanish America: Hope for a

Unified Latin America
The chaos of the Napoleonic wars in Europe cut the direct links
between Spain and its American colonies, allowing decolonization to
begin.
During the Peninsula War, Napoleon installed his brother Joseph

Bonaparte on the Spanish Throne and captured King Fernando V II.
Several assemblies were established after 1810 by the Criollos to
recover the sovereignty and self-government based in Seven-Part
Code and restore the laws of Castilian succession to rule the lands
in the name of Ferdinand V II of Spain.
This experience of self-government, along with the influence of

Liberalism and the ideas of the French and American Revolutions,
brought about a struggle for independence led by the Libertadores.
The territories freed themselves, often with help from foreign
mercenaries and privateers. United States, Europe and the British
Empire were neutral, aiming to achieve political influence and trade
without the Spanish monopoly.
In South America, Simó n Bolívar and José de San Martín led the
final phase of the independence struggle. Although Bolívar
attempted to keep the Spanish-speaking parts of the continent
politically unified, they rapidly became independent of one another
as well, and several further wars were fought, such as the
Paraguayan War and the War of the Pacific. At the time, there was
discussion of creating a regional state or confederation of Latin
American nations to protect the area's newly won autonomy. After
several projects failed, the issue was not taken up again until the late
19th century.
A related process took place in Spain's North and Central American

colonies with the Mexican War of Independence and related
struggles. Independence was achieved in 1821 by a coalition uniting
under Agustín de Iturbide and the Army of the Three Guarantees.
Unity was maintained for a short period under the First Mexican
Empire, but within a decade the region had also split into various
nations.
In 1898, in the Greater Antilles, the United States won the Spanish-
American War and occupied Cuba and Puerto Rico, ending Spanish
territorial control in the Americas.
Impact of the French

Revolution: Haiti
The Haitian Revolution was a successful anti-slavery and anti-
colonial insurrection that took place in the former French colony of
Saint Domingue from 1791 until 1804. It affected the institution of
slavery throughout the Americas. Self-liberated slaves destroyed
slavery at home, fought to preserve their freedom, and with the
collaboration of mulattoes, founded the sovereign state of Haiti.
From the beginning of colonization, white colonists and black slaves

frequently came into violent conflict. The French Revolution, which
began in 1789, shaped the course of the ongoing conflict in Saint-
Domingue and was at first welcomed in the island. In France, the
National Assembly made radical changes in French laws, and on
August 26, 1789, published the Declaration of the Rights of Man,
declaring all men free and equal. Wealthy whites saw it as an
opportunity to gain independence from France, which would allow
elite plantation-owners to take control of the island and create trade
regulations that would further their own wealth and power. There
were so many twists and turns in the leadership in France and so
many complex events in Saint-Domingue that various classes and
parties changed their alignments many times. However, the Haitian
Revolution quickly became a test of the ideology of the French
Revolution, as it radicalized the slavery question and forced French
leaders to recognize the full meaning of their revolution.
The African population on the island began to hear of the agitation

for independence by the rich European planters, the grands blancs,
who resented France's limitations on the island's foreign trade. The
Africans mostly allied with the royalists and the British, as they
understood that if Saint-Domingue's independence were to be led by
white slave masters, it would probably mean even harsher treatment
and increased injustice for the African population. The plantation
owners would be free to operate slavery as they pleased without the
existing minimal accountability to their French peers.
Saint-Domingue's free people of color, most notably Julien Raimond,

had been actively appealing to France for full civil equality with
whites since the 1780s. Raimond used the French Revolution to
make this the major colonial issue before the National Assembly of
France. In October 1790, V incent Ogé , another wealthy free man of
color from the colony, returned home from Paris, where he had been
working with Raimond. Convinced that a law passed by the French
Constituent Assembly gave full civil rights to wealthy men of color,
Ogé demanded the right to vote. When the colonial governor
refused, Ogé led a brief insurgency in the area around Cap Franç ais.
He and an army of around 300 free blacks fought to end racial
discrimination in the area. He was captured in early 1791, and
brutally executed by being "broken on the wheel" before being
beheaded. Ogé was not fighting against slavery, but his treatment
was cited by later slave rebels as one of the factors in their decision
to rise up in August 1791 and resist treaties with the colonists. The
conflict up to this point was between factions of whites and between
whites and free blacks. Enslaved blacks watched from the sidelines.
The Revolution in Haiti did not wait on the Revolution in France. The
individuals in Haiti relied on no resolution but their own. The call for
modification of society was influenced by the revolution in France,
but once the hope for change found a place in the hearts of the
Haitian people, there was no stopping the radical reformation that
was occurring. The Enlightenment ideals and the initiation of the
French Revolution were enough to inspire the Haitian Revolution,
which evolved into the most successful and comprehensive slave
rebellion. Just as the French were successful in transforming their
society, so were the Haitians. On April 4, 1792, The French National
Assembly granted freedom to slaves in Haiti and the revolution
culminated in 1804; Haiti was an independent nation comprised
solely of free people. The activities of the revolutions sparked
change across the world. France’s transformation was most
influential in Europe, and Haiti’s influence spanned across every
location that continued to practice slavery. John E. Baur honors Haiti
as home of the most influential revolution in history.
Haitian Revolution
Battle at San Domingo, a painting by January Suchodolski, depicting
a struggle between Polish troops in French service and the slave
rebels and freed revolutionary soldiers.
Battle at San Domingo, a painting by January Suchodolski, depicting

a struggle between Polish troops in French service and the slave
rebels and freed revolutionary soldiers. The battle takes place of a
small hill covered in palm trees. One black soldiers holds the
severed head of a white soldier.
26.1.2: Simó n Bolí var

Simó n Bolívar was a V enezuelan military and political leader who
played a leading role in the Latin American wars of independence
and was a major proponent of a unified Latin America.
Learning Objective
Recall Simó n Bolívar and his contributions to South American
independence movements
Key Points
The military and political career of Simó n Bolívar, which included
both formal service in the armies of various revolutionary
regimes and actions organized by himself or in collaboration
with other exiled patriot leaders from 1811 to 1830, was
important in the success of the independence wars in South
America.
These wars, often under the leadership of Bolívar, resulted in
the creation of several South American states out of the former
Spanish colonies: the currently existing V enezuela, Colombia,
Ecuador, Peru, and Bolivia, and the now-defunct Gran
Colombia.
Bolívar first found success in his native V enezuela, taking
advantage of the instability caused by Napoleon's Peninsular
War and leading the revolutionary forces to a victory in 1821,
which resulted in the creation of an independent V enezuela.
Throughout his military career, he also lead efforts to oust
Spanish rulers from Ecuador, Peru, and Bolivia.
Bolívar was passionate about the creation of a unified Latin
America, through military and economic alliances and various
confederations to protect the area's newly won autonomy, but in
the end, nationalistic enterprises won out.
Key Terms
Gran Colombia
A name used today for the state that encompassed much of

northern South America and part of southern Central America
from 1819 to 1831. It included the territories of present-day
Colombia, V enezuela, Ecuador, Panama, northern Peru,
western Guyana, and northwest Brazil.
caudillismo
A cultural and political phenomenon first appearing during the
early 19th century in revolutionary Spanish America,
characterized by a military land owners who possessed political
power, charismatic personalities, and populist politics and
created authoritarian regimes in Latin American nations.
Creole
A social class in the hierarchy of the overseas colonies

established by Spain in the 16th century, especially in Hispanic
America, comprising the locally born people of confirmed
European (primarily Spanish) ancestry. Although they were
legally Spaniards, in practice, they ranked below the Iberian-
born Peninsulares. Nevertheless, they had preeminence over all
the other populations: Amerindians, enslaved Africans, and
people of mixed descent.
Peninsular War
A military conflict between Napoleon's empire and the allied

powers of Spain, Britain, and Portugal for control of the Iberian
Peninsula during the Napoleonic Wars. The war started when
French and Spanish armies invaded and occupied Portugal in
1807, and escalated in 1808 when France turned on Spain, its
previous ally. The war on the peninsula lasted until the Sixth
Coalition defeated Napoleon in 1814, and is regarded as one of
the first wars of national liberation, significant for the emergence
of large-scale guerrilla warfare.
E l Libertador: Simó n Bolí var

Simó n Bolívar (July 24, 1783 – December 17, 1830) was a
V enezuelan military and political leader who played a key role in the
establishment of V enezuela, Bolivia, Colombia, Ecuador, Peru, and
Panama as sovereign states independent of Spanish rule.
Bolívar was born into a wealthy, aristocratic Creole family and like
others of his day was educated abroad at a young age, arriving in
Spain when he was 16 and later moving to France. While in Europe,
he was introduced to the ideas of Enlightenment philosophers, which
gave him the ambition to replace the Spanish as rulers. Taking
advantage of the disorder in Spain prompted by the Peninsular War,
Bolívar began his campaign for V enezuelan independence in 1808,
appealing to the wealthy Creole population through a conservative
process, and established an organized national congress within
three years. Despite a number of hindrances, including the arrival of
an unprecedentedly large Spanish expeditionary force, the
revolutionaries eventually prevailed, culminating in a patriot victory at
the Battle of Carabobo in 1821 that effectively made V enezuela an
independent country.
Following this triumph over the Spanish monarchy, Bolívar

participated in the foundation of the first union of independent
nations in Latin America, Gran Colombia, of which he was president
from 1819 to 1830. Through further military campaigns, he ousted
Spanish rulers from Ecuador, Peru, and Bolivia (which was named
after him). He was simultaneously president of Gran Colombia
(current V enezuela, Colombia, Panamá, and Ecuador) and Peru,
while his second in command Antonio José de Sucre was appointed
president of Bolivia. He aimed at a strong and united Spanish
America able to cope not only with the threats emanating from Spain
and the European Holy Alliance but also with the emerging power of
the United States. At the peak of his power, Bolívar ruled over a vast
territory from the Argentine border to the Caribbean Sea.
In his 21-year career, Bolívar faced two main challenges. First was
gaining acceptance as undisputed leader of the republican cause.
Despite claiming such a role since 1813, he began to achieve
acceptance only in 1817, and consolidated his hold on power after
his dramatic and unexpected victory in New Granada in 1819. His
second challenge was implementing a vision to unify the region into
one large state, which he believed (and most would agree, correctly)
would be the only guarantee of maintaining American independence
from the Spanish in northern South America. His early experiences
under the First V enezuelan Republic and in New Granada convinced
him that divisions among republicans, augmented by federal forms of
government, only allowed Spanish American royalists to eventually
gain the upper hand. Once again, it was his victory in 1819 that gave
him the leverage to bring about the creation of a unified state, Gran
Colombia, with which to oppose the Spanish Monarchy on the
continent.
Bolívar is, along with Argentine General José de San Martín,

considered one of the great heroes of the Hispanic independence
movements of the early 19th century.
Simó n Bolí var
A portait of Simó n Bolívar by Arturo Michelena. Bolívar is considered
one of the leading figures in the Latin American wars of
independence.
A painted portrait of Simó n Bolívar, dressed in military attire.

Failed Dream of a Unified Latin
America
At the end of the wars of independence (1808–1825), many new
sovereign states emerged in the Americas from the former Spanish
colonies. Throughout this revolutionary era, Bolívar envisioned
various unions that would ensure the independence of Spanish
America vis-à -vis the European powers—in particular Britain—and
the expanding United States. Already in his 1815 Cartagena
Manifesto, Bolívar advocated that the Spanish American provinces
should present a united front to the Spanish in order to prevent being
re-conquered piecemeal, though he did not yet propose a political
union of any kind. During the wars of independence, the fight against
Spain was marked by an incipient sense of nationalism. It was
unclear what the new states that replaced the Spanish Monarchy
should be. Most of those who fought for independence identified with
both their birth provinces and Spanish America as a whole, both of
which they referred to as their patria, a term roughly translated as
"fatherland" and "homeland."
For Bolivar, Hispanic America was the fatherland. He dreamed of a

united Spanish America and in the pursuit of that purpose not only
created Gran Colombia but also the Confederation of the Andes,
which was to gather the latter together with Peru and Bolivia.
Moreover, he envisaged and promoted a network of treaties that
would hold together the newly liberated Hispanic American
countries. Nonetheless, he was unable to control the centrifugal
process that pushed in all directions. On January 20, 1830, as his
dream fell apart, Bolívar delivered his last address to the nation,
announcing that he would be stepping down from the presidency of
Gran Colombia. In his speech, a distraught Bolívar urged the people
to maintain the union and to be wary of the intentions of those who
advocated for separation. At the time, "Colombians" referred to the
people of Gran Colombia (V enezuela, New Granada, and Ecuador),
not modern-day Colombia:
Colombians! Today I cease to govern you. I have served you for
twenty years as soldier and leader. During this long period we
have taken back our country, liberated three republics, fomented
many civil wars, and four times I have returned to the people
their omnipotence, convening personally four constitutional
congresses. These services were inspired by your virtues, your
courage, and your patriotism; mine is the great privilege of
having governed you...
Colombians! Gather around the constitutional congress. It

represents the wisdom of the nation, the legitimate hope of the
people, and the final point of reunion of the patriots. Its
sovereign decrees will determine our lives, the happiness of the
Republic, and the glory of Colombia. If dire circumstances
should cause you to abandon it, there will be no health for the
country, and you will drown in the ocean of anarchy, leaving as
your children's legacy nothing but crime, blood, and death.
Fellow Countrymen! Hear my final plea as I end my political

career; in the name of Colombia I ask you, beg you, to remain
united, lest you become the assassins of the country and your
own executioners.
Bolívar ultimately failed in his attempt to prevent the collapse of the

union. Gran Colombia was dissolved later that year and replaced by
the republics of V enezuela, New Granada, and Ecuador. Ironically,
these countries were established as centralist nations and would be
governed for decades this way by leaders who, during Bolívar's last
years, accused him of betraying republican principles and wanting to
establish a permanent dictatorship. These separatists, among them
José Antonio Páez and Francisco de Paula Santander, justified their
opposition to Bolívar for this reason and publicly denounced him as a
monarch.
For the rest of the 19th century and into the early 20th century, the
political environment of Latin America was fraught with civil wars and
characterized by a sociopolitical phenomenon known as caudillismo.
This was characterized by the arrival of an authoritarian but
charismatic political figure who would typically rise to power in an
unconventional way, often legitimizing his right to govern through
undemocratic processes. These caudillos would maintain their
control primarily on the basis of a cult of personality, populist politics,
and military might. On his deathbed, Bolívar envisaged the
emergence of countless "caudillos" competing for the pieces of the
great nation he once dreamed about.
26.1.3: Gran Colombia

Gran Colombia, a state that encompassed much of northern South
America and part of southern Central America, was created in 1819
by Simó n Bolívar as part of his vision for a unified Latin America, but
was fraught with political instability and collapsed in 1831.
Learning Objective
Identify Gran Colombia and the modern states it later became
Key Points
As the wars of independence in Latin America were being
fought, Simó n Bolívar developed a vision for a unified Latin
America to protect the new independence from European
interests.
Out of this vision, Gran Colombia was formed in 1819 following
Bolívar's victory against the Spanish at the Battle of Carabobo;
he was elected the president.
In its first years, Gran Colombia helped other provinces still at
war with Spain become independent, adding more territories to
its federation; by 1824 it had 12 administrative departments.
The history of Gran Colombia was marked by a struggle
between those who supported a centralized government with a
strong presidency and those who supported a decentralized,
federal form of government.
After years of struggle between the centralists and federalists, in
1828 delegates met to create a new constitution which Bolívar
proposed to base on Bolivia's, but it was unpopular and the
constitutional convention fell apart.
In two years, Bolívar resigned as president and within a year,
Gran Colombia dissolved, forming the independent states of
V enezuela, Ecuador, and New Granada.
Gran Colombia included the territories of present-day Colombia,
V enezuela, Ecuador, Panama, northern Peru, western Guyana,
and northwest Brazil.
Key Terms
Battle of Carabobo
A battle fought between independence fighters led by

V enezuelan General Simó n Bolívar and the Royalist forces led
by Spanish Field Marshal Miguel de la Torre. Bolívar's decisive
victory at Carabobo led to the independence of V enezuela and
establishment of the Republic of Gran Colombia.
federation
A political entity characterized by a union of partially self-

governing states or regions under a central government.
Typically, the self-governing status of the component states, as
well as the division of power between them and the central
government, is constitutionally entrenched and may not be
altered by a unilateral decision of either party.
New Granada
The name given on May 27, 1717, to the jurisdiction of the

Spanish Empire in northern South America, corresponding to
modern Colombia, Ecuador, Panama, and V enezuela.
Gran Colombia is a name used today for the state that encompassed
much of northern South America and part of southern Central
America from 1819 to 1831. It included the territories of present-day
Colombia, V enezuela, Ecuador, Panama, northern Peru, western
Guyana, and northwest Brazil.
The first three were the successor states to Gran Colombia at its
dissolution. Panama was separated from Colombia in 1903. Since
Gran Colombia's territory corresponded more or less to the original
jurisdiction of the former V iceroyalty of New Granada, it also claimed
the Caribbean coast of Nicaragua, the Mosquito Coast.
Its existence was marked by a struggle between those who

supported a centralized government with a strong presidency and
those who supported a decentralized, federal form of government.
At the same time, another political division emerged between those

who supported the Constitution of Cú cuta and two groups who
sought to do away with the Constitution, either in favor of breaking
up the nation into smaller republics or maintaining the union but
creating an even stronger presidency. The faction that favored
constitutional rule coalesced around V ice-President Francisco de
Paula Santander, while those who supported the creation of a
stronger presidency were led by President Simó n Bolívar. The two
men had been allies in the war against Spanish rule, but by 1825,
their differences became public and contributed to the political
instability from that year onward. Gran Columbia broke apart in
1831.
History of Gran Colombia

As Bolívar made advances against the royalist forces during the
V enezuelan war of independence, he began to propose the creation
of various large states and confederations, inspired by Francisco de
Miranda's idea of an independent state consisting of all of Spanish
America, called "Colombia," the "American Empire," or the
"American Federation." The aim was to ensure the independence of
Spanish America and protect the area's newly won autonomy. In
1819 Bolívar was able to successfully create a nation called
"Colombia" (today referred to as Gran Colombia) out of several
Spanish American provinces.
Since the new nation was quickly proclaimed after Bolívar's

unexpected victory in New Granada, its government was temporarily
set up as a federal republic, made up of three departments headed
by a vice-president and with capitals in the cities of cities of Bogotá
(Cundinamarca Department), Caracas (V enezuela Department), and
Quito (Quito Department).
The Constitution of Cú cuta was drafted in 1821 at the Congress of

Cú cuta, establishing the republic's capital in Bogotá. Bolívar and
Santander were elected as the nation's president and vice-president.
A great degree of centralization was established by the assembly at
Cú cuta, since several New Granadan and V enezuelan deputies of
the Congress who were formerly ardent federalists now came to
believe that centralism was necessary to successfully manage the
war against the royalists. The departments created in 1819 were split
into 12 smaller departments, each governed by an intendant
appointed by the central government. Since not all of the provinces
were represented at Cú cuta because many areas of the nation
remained in royalist hands, the congress called for a new
constitutional convention to meet in ten years.
In its first years, Gran Colombia helped other provinces still at war
with Spain to become independent: all of V enezuela except Puerto
Cabello was liberated at the Battle of Carabobo, Panama joined the
federation in November 1821, and the provinces of Pasto,
Guayaquil, and Quito in 1822. The Gran Colombian army later
consolidated the independence of Peru in 1824. Bolívar and
Santander were re-elected in 1826.
As the war against Spain came to an end in the mid-1820s, federalist

and regionalist sentiments that were suppressed for the sake of the
war arose once again. There were calls for a modification of the
political division, and related economic and commercial disputes
between regions reappeared. Ecuador had important economic and
political grievances. Since the end of the 18th century, its textile
industry suffered because cheaper textiles were being imported.
After independence, Gran Colombia adopted a low-tariff policy,
which benefited agricultural regions such as V enezuela. Moreover,
from 1820 to 1825, the area was ruled directly by Bolívar because of
the extraordinary powers granted to him. His top priority was the war
in Peru against the royalists, not solving Ecuador's economic
problems.
The strongest calls for a federal arrangement came from V enezuela,

where there was strong federalist sentiment among the region's
liberals, many of whom had not fought in the war of independence
but supported Spanish liberalism in the previous decade and now
allied themselves with the conservative Commandant General of the
Department of V enezuela, José Antonio Páez, against the central
government.
In 1826, V enezuela came close to seceding from Gran Colombia.

That year, Congress began impeachment proceedings against Páez,
who resigned his post on April 28 but reassumed it two days later in
defiance of the central government.
In November, two assemblies met in V enezuela to discuss the future

of the region, but no formal independence was declared at either.
That same month, skirmishes broke out between the supporters of
Páez and Bolívar in the east and south of V enezuela. By the end of
the year, Bolívar was in Maracaibo preparing to march into
V enezuela with an army, if necessary. Ultimately, political
compromises prevented this. In January, Bolívar offered the
rebellious V enezuelans a general amnesty and the promise to
convene a new constitutional assembly before the ten-year period
established by the Constitution of Cú cuta, and Páez backed down
and recognized Bolívar's authority. The reforms, however, never fully
satisfied the different political factions in Gran Colombia, and no
permanent consolidation was achieved. The instability of the state's
structure was now apparent to all.
In 1828, the new constitutional assembly, the Convention of Ocañ a,

began its sessions. At its opening, Bolívar again proposed a new
constitution based on the Bolivian one, but this suggestion continued
to be unpopular. The convention fell apart when pro-Bolívar
delegates walked out rather than sign a federalist constitution. After
this failure, Bolívar believed that by centralizing his constitutional
powers he could prevent the separatists from bringing down the
union. He ultimately failed to do so. As the collapse of the nation
became evident in 1830, Bolívar resigned from the presidency.
Internal political strife between the different regions intensified even
as General Rafael Urdaneta temporarily took power in Bogotá,
attempting to use his authority to ostensibly restore order but actually
hoping to convince Bolívar to return to the presidency and the nation
to accept him. The federation finally dissolved in the closing months
of 1830 and was formally abolished in 1831. V enezuela, Ecuador,
and New Granada came to exist as independent states.
Gran Colombia
A map of Gran Colombia showing the 12 departments created in
1824 and territories disputed with neighboring countries.
A map of Gran Colombia showing the 12 departments created in

1824 and territories disputed with neighboring countries
26.1.4: J osé de San Martí n

José de San Martín was one of the prime leaders of Latin America's
successful struggle for freedom from the Spanish Empire,
commanding crucial military campaigns that led to independence for
Argentina, Chile, and Peru.
Learning Objective
Compare José de San Martín's efforts to Bolívar's
Key Points
José de San Martín, along with Simó n Bolívar, was one of the
most important leaders of the Latin American independence
movements.
His military leadership was crucial in the wars of independence
in Argentina, Chile, and Peru.
Born in what became Argentina, San Martín mostly grew up in
Spain, taking part in the Peninsular War against Napoleon.
He left Spain and joined the Argentine War of Independence in
1811, a choice debated by historians.
He provided a much-needed boost to the revolution, mustering
the Army of the Andes, whose crossing of the Andes was
instrumental in freeing Argentina and Chile from Spanish rule.
From there he went to Peru, where he fought for several years
in collaboration and conflict with Simó n Bolívar. He left suddenly
in 1822 for France, leaving the remainder of the war for
independence to be led by Bolívar, who succeeded against the
Spanish forces in 1824.
Key Terms
Crossing of the Andes
One of the most important feats in the Argentine and Chilean

wars of independence, in which a combined army of Argentine
soldiers and Chilean exiles invaded Chile, leading to Chile's
liberation from Spanish rule. The crossing of the Andes was a
major step in the strategy devised by José de San Martín to
defeat the royalist forces at their stronghold of Lima, V iceroyalty
of Perú , and secure the Spanish American independence
movements.
Army of the Andes
A military force created by the United Provinces of the Río de la

Plata (Argentina) and mustered by general José de San Martín
in his campaign to free Chile from the Spanish Empire. In 1817,
it crossed the Andes Mountains from the Argentine province of
Cuyo (at the current-day province of Mendoza, Argentina), and
succeeded in dislodging the Spanish from the country.
José de San Martín was an Argentine general and the prime leader
of the southern part of South America's successful struggle for
independence from the Spanish Empire. Born in Yapeyú , Corrientes,
in modern-day Argentina, he left his mother country at the early age
of seven to study in Málaga, Spain.
In 1808, after taking part in the Peninsular War against Napoleon's

France, San Martín contacted South American supporters of
independence from Spain. In 1812, he set sail for Buenos Aires and
offered his services to the United Provinces of the Río de la Plata,
present-day Argentina. After the Battle of San Lorenzo and time
commanding the Army of the North during 1814, he organized a plan
to defeat the Spanish forces that menaced the United Provinces
from the north, using an alternative path to the V iceroyalty of Peru.
This objective first involved the establishment of a new army, the
Army of the Andes, in Cuyo Province, Argentina. From there, he led
the Crossing of the Andes to Chile and triumphed at the Battle of
Chacabuco and the Battle of Maipú (1818), thus liberating Chile from
royalist rule. Then he sailed to attack the Spanish stronghold of
Lima, Peru.
On July 12, 1821, after seizing partial control of Lima, San Martín
was appointed Protector of Peru, and Peruvian independence was
officially declared on July 28. On July 22, after a closed-door
meeting with fellow libertador Simó n Bolívar at Guayaquil, Ecuador,
Bolívar took over the task of fully liberating Peru. San Martín
unexpectedly left the country and resigned the command of his army,
excluding himself from politics and the military, and moved to France
in 1824. The details of the July 22 meeting would be a subject of
debate by later historians.
San Martín is regarded as a national hero of Argentina and Peru,

and together with Bolívar, one of the Liberators of Spanish South
America. The Order of the Liberator General San Martín (Orden del
Libertador General San Martín), created in his honor, is the highest
decoration conferred by the Argentine government.
W ars of Independence:
Argentina, Chile, Peru
San Martín entered the Argentine War of Independence about a year
after it started. The reasons that he left Spain in 1811 to join the
Spanish American wars of independence as a patriot remain
contentious among historians. The action would seem contradictory
and out of character, because if the patriots were waging an
independentist and anti-Hispanic war, then he would be a traitor or
deserter. There are a variety of explanations by different historians.
Some argue that he returned because he missed South America,
and the war of independence justified changing sides to support it.
Other contend that the wars in the Americas were not initially
separatist but between supporters of absolutism and liberalism,
which thus maintains a continuity between San Martín's actions in
Spain and in Latin America.
The Argentine War of Independence started with the May Revolution

and other military campaigns with mixed success. The undesired
outcomes of the Paraguay and Upper Peru campaigns led the Junta
(the provisional government after the May Revolution) to be replaced
by an executive Triumvirate in September 1811.
A few days after his arrival in Buenos Aires, San Martín was
interviewed by the First Triumvirate. They appointed him a lieutenant
colonel of cavalry and asked him to create a cavalry unit, as Buenos
Aires did not have good cavalry. He began to organize the Regiment
of Mounted Grenadiers with Alvear and Zapiola. As Buenos Aires
lacked professional military leaders, San Martín was entrusted with
the protection of the whole city, but kept focused in the task of
building the military unit. A year later the Triumvirate was renewed
and San Martín was promoted to colonel.
San Martín came up with a plan: organize an army in Mendoza,
cross the Andes to Chile, and move to Peru by sea, all while another
general defended the north frontier. This would place him in Peru
without crossing the harsh terrain of Upper Peru, where two
campaigns had already been defeated. To advance this plan, he
requested the governorship of the Cuyo province, which was
accepted.
San Martín began immediately to organize the Army of the Andes.

He drafted all citizens who could bear arms and all slaves from ages
16 to 30, requested reinforcements to Buenos Aires, and
reorganized the economy for war production. San Martín proposed
that the country declare independence immediately, before the
crossing. That way, they would be acting as a sovereign nation and
not as a mere rebellion, but the proposal never was accepted.
Needing even more soldiers, San Martín extended the emancipation
of slaves to ages 14 to 55, and even allowed them to be promoted to
higher military ranks. He proposed a similar measure at the national
level, but Pueyrredó n encountered severe resistance. He included
the Chileans who escaped Chile after the disaster of Rancagua, and
organized them in four units: infantry, cavalry, artillery, and dragoons.
At the end of 1816, the Army of the Andes had 5,000 men, 10,000
mules, and 1,500 horses. San Martin organized military intelligence,
propaganda, and disinformation to confuse the royalist armies (such
as the specific routes taken in the Andes), boost the national fervor
of his army, and promote desertion among the royalists.
In early 1817, San Martín led the Crossing of the Andes into Chile,
obtaining a decisive victory at the battle of Chacabuco on February
17, which allowed the exiled Chilean leader Bernardo O'Higgins to
enter Santiago de Chile unopposed and install a new independent
government. In December 1817, a popular referendum was set up to
decide about the Independence of Chile. On February 18, 1818, the
first anniversary of the battle of Chacabuco, Chile declared its
independence from the Spanish Crown.
From there, San Martín took the Army of the Andes to fight in Peru.
To begin the liberation of Peru, Argentina and Chile signed a treaty
on February 5, 1819, to prepare for the invasion. General José de
San Martín believed that the liberation of Argentina wouldn't be
secure until the royalist stronghold in Peru was defeated. Peru had
armed forces nearly four times the strength of those of San Martín.
With this disparity, San Martín tried to avoid battles. He tried instead
to divide the enemy forces in several locations, as during the
Crossing of the Andes, and trap the royalists with a pincer movement
with either reinforcements of the Army of the North from the South or
the army of Simó n Bolívar from the North. He also tried to promote
rebellions and insurrection within the royalist ranks, and promised
the emancipation of any slaves that deserted their Peruvian masters
and joined the army of San Martín. When he reached Lima, San
Martín invited all of the populace of Lima to swear oath to the
Independence cause. The signing of the Act of Independence of
Peru was held on July 15, 1821. San Martín became the leader of
the government, even though he did not want to lead. He was
appointed Protector of Peru. After several years of fighting, San
Martín abandoned Peru in September 1822 and left the whole
command of the Independence movement to Simon Bolivar. The
Peruvian War culminated in 1824 with the defeat of the Spanish
Empire in the battles of Junin and Ayacucho.
Guayaquil Conference
The Guayaquil Conference was a meeting that took place on July
26, 1822, in Guayaquil, Ecuador, between José de San Martín and
Simó n Bolívar, to discuss the future of Perú (and South America in
general). San Martín arrived in Guayaquil on July 25, where he was
enthusiastically greeted by Bolívar. However, the two men could not
come to an agreement, despite their common goals and mutual
respect, even when San Martín offered to serve under Bolívar. Both
men had very different ideas about how to organize the governments
of the countries that they had liberated. Bolívar was in favor of
forming a series of republics in the newly independent nations,
whereas San Martín preferred the European system of rule and
wanted to put monarchies in place. San Martín was also in favor of
placing a European prince in power as King of Peru when it was
liberated. The conference, consequently, was a failure, at least for
San Martín.
San Martín, after meeting with Bolívar for several hours on July 26,
stayed for a banquet and ball given in his honor. Bolívar proposed a
toast to “ the two greatest men in South America: the general San
Martín and myself," whereas San Martín drank to “ the prompt
conclusion of the war, the organization of the different Republics of
the continent and the health of the Liberator of Colombia." After the
conference, San Martín abdicated his powers in Peru and returned
to Argentina. Soon afterward, he left South America entirely and
retired in France.
Guayaquil Conference
The conference between Simó n Bolívar and José de San Martín.
The real conference took place inside an office, and not in the
countryside as the portrait suggests.
A painting of the conference between Simó n Bolívar and José de

San Martín. The real conference took place inside an office, and not
in the countryside as the portrait suggests.
Attributions
The Spread of Revolution
"Latin American wars of independence."
https://en.wikipedia.org/wiki/Latin_American_wars_of_indep
endence. Wikipedia CC BY-SA 3.0.
"Decolonization."
https://en.wikipedia.org/wiki/Decolonization. Wikipedia CC
BY-SA 3.0.
"Haitian Revolution."
https://en.wikipedia.org/wiki/Haitian_Revolution. Wikipedia
CC BY-SA 3.0.
"Decolonization of the Americas."
https://en.wikipedia.org/wiki/Decolonization_of_the_Americ
as. Wikipedia CC BY-SA 3.0.
"600px-San_Domingo.jpg."
https://commons.wikimedia.org/wiki/File:San_Domingo.jpg.
Simó n Bolívar
"Latin American integration."
https://en.wikipedia.org/wiki/Latin_American_integration.
"Military career of Simó n Bolívar."
https://en.wikipedia.org/wiki/Military_career_of_Simon_Boliv
ar. Wikipedia CC BY-SA 3.0.
"Simó n Bolívar."
https://en.wikipedia.org/wiki/Simon_Bolivar. Wikipedia CC
BY-SA 3.0.
"Bolivar_Arturo_Michelena.jpg."
https://commons.wikimedia.org/wiki/File:Bolivar_Arturo_Mic
helena.jpg. Wikimedia Commons Public domain.
Gran Colombia
"Latin American integration."
https://en.wikipedia.org/wiki/Latin_American_integration.
"Gran Colombia."
https://en.wikipedia.org/wiki/Gran_Colombia. Wikipedia CC
BY-SA 3.0.
"Simó n Bolívar."
https://en.wikipedia.org/wiki/Simon_Bolivar. Wikipedia CC
BY-SA 3.0.
"Gran_Colombia_map_1824.jpg."
https://commons.wikimedia.org/wiki/File:Gran_Colombia_m
ap_1824.jpg. Wikimedia Commons Public domain.
José de San Martín
"Argentine War of Independence."
https://en.wikipedia.org/wiki/Argentine_War_of_Independen
ce. Wikipedia CC BY-SA 3.0.
"José de San Martín."
https://en.wikipedia.org/wiki/Jose_de_San_Martin.
"Military career of José de San Martín in Spain."
https://en.wikipedia.org/wiki/Military_career_of_Jose_de_Sa
n_Maritn_in_Spain. Wikipedia CC BY-SA 3.0.
"Guayaquil Conference."
https://en.wikipedia.org/wiki/Guayaquil_Conference.
"Entrevista_de_Guayaquil.jpg."
https://commons.wikimedia.org/wiki/File:Entrevista_de_Gua
yaquil.jpg. Wikimedia Commons Public domain.
26.2: Braz ilian Independence
26.2.1: Portugese Coloniz ation of
Braz il
Colonial Brazil comprises the period from 1500 with the arrival of the
Portuguese until 1815 when Brazil was elevated to a kingdom. It was
characterized by the development of sugar and gold production,
slave labor, and conflicts with the French and Dutch.
Learning Objective
Assess the Portuguese colonization of Brazil
Key Points
In 1494, the two kingdoms of the Iberian Peninsula (Portugal
and Spain) divided the New World between them in the Treaty
of Tordesillas
In 1500, navigator Pedro Á lvares Cabral landed in what is now
Brazil and claimed it in the name of King Manuel I of Portugal.
The Portuguese identified brazilwood as a valuable red dye and
an exploitable product and attempted to force indigenous groups
in Brazil to cut the trees, but at first gave little attention to the
area.
Over time, the Portuguese realized that some European
countries, especially France, were also sending excursions to
Brazil to extract brazilwood, and the Portuguese crown decided
to send large missions to take possession of the land by setting
up hereditary captaincies, which were largely a failure.
Starting in the 16th century, sugarcane production became the
base of Brazilian economy and society, with the use of slaves on
large plantations to make sugar for export to Europe.
Throughout most of the colonial period, the Portuguese settlers
fought conflicts with the French and the Dutch for control over
the territory.
The discovery of gold in the early 18th century ushered in a gold
rush, bringing in many new European settlers.
Key Terms
Dutch West India Company
A chartered company of Dutch merchants. On June 3, 1621, it

was granted a charter for a trade monopoly in the West Indies
(meaning the Caribbean) by the Republic of the Seven United
Netherlands and given jurisdiction over the Atlantic slave trade,
Brazil, the Caribbean, and North America. The intended purpose
of the charter was to eliminate competition, particularly Spanish
or Portuguese, between the various trading posts established by
the merchants. The company became instrumental in the Dutch
colonization of the Americas.
Treaty of Tordesillas
A treaty signed on June 7, 1494, that divided the newly

discovered lands outside Europe between Portugal and the
Crown of Castile (Spain) along a meridian 370 leagues west of
the Cape V erde islands off the west coast of Africa. This line of
demarcation was about halfway between the Cape V erde
islands (already Portuguese) and the islands entered by
Christopher Columbus on his first voyage (claimed for Castile
and Leó n), named in the treaty as Cipangu and Antilia (Cuba
and Hispaniola). It created the Tordesillas Meridian, dividing the
world between those two kingdoms. All land discovered or to be
discovered east of that meridian was to be the property of
Portugal, and everything to the west of it went to Spain.
engenhos
A colonial-era Portuguese term for a sugar cane mill and the
associated facilities.
European Discovery and Early

Coloniz ation of Braz il
The Portuguese "discovery" of Brazil was preceded by a series of
treaties between the kings of Portugal and Castile, following
Portuguese sailings down the coast of Africa to India and the
voyages to the Caribbean of the Genoese mariner sailing for Castile,
Christopher Columbus. The most decisive of these treaties was the
Treaty of Tordesillas, signed in 1494, that created the Tordesillas
Meridian, dividing the world between those two kingdoms. All land
discovered or to be discovered east of that meridian was to be the
property of Portugal, and everything to the west of it went to Spain.
The Tordesillas Meridian divided South America into two parts,

leaving a large chunk of land to be exploited by the Spaniards. The
Treaty of Tordesillas was one of the most decisive events in all
Brazilian history, since it alone determined that a portion of South
America would be settled by Portugal instead of Spain. The present
extent of Brazil's coastline is almost exactly that defined by the
Treaty of Madrid, which was approved in 1750.
On April 22, 1500, during the reign of King Manuel I, a fleet led by
navigator Pedro Á lvares Cabral landed in Brazil and took possession
of the land in the name of the king. Although it is debated whether
previous Portuguese explorers had already been in Brazil, this date
is widely and politically accepted as the day of the discovery of Brazil
by Europeans. Á lvares Cabral was leading a large fleet of 13 ships
and more than 1,000 men following V asco da Gama's way to India,
around Africa. The place where Á lvares Cabral arrived is now known
as Porto Seguro ("safe harbor") in Northeastern Brazil.
After the voyage of Á lvares Cabral, the Portuguese concentrated
their efforts on the lucrative possessions in Africa and India and
showed little interest in Brazil. Between 1500 and 1530, relatively
few Portuguese expeditions came to the new land to chart the coast
and obtain brazilwood, which the Portuguese had identified as a
valuable commodity upon arrival and from where Brazil gets its
name. In Europe, this wood was used to produce a valuable dye to
give color to luxury textiles. To extract brazilwood from the tropical
rainforest, the Portuguese and other Europeans relied on the work of
the natives, who initially labored in exchange for European goods
like mirrors, scissors, knives, and axes.
In this early stage of the colonization of Brazil and also later, the
Portuguese frequently relied on the help of Europeans who lived
together with the indigenous peoples and knew their languages and
culture. The most famous of these were Joã o Ramalho, who lived
among the Guaianaz tribe near today's Sã o Paulo, and Diogo
Á lvares Correia, nicknamed Caramuru, who lived among the
Tupinambá natives near today's Salvador da Bahia.
Colonial Braz il
Portuguese map by Lopo Homem (c. 1519) showing the coast of
Brazil and natives extracting brazilwood, as well as Portuguese
ships.
Portuguese map by Lopo Homem (c. 1519) showing the coast of

Brazil and natives extracting brazilwood, as well as Portuguese
ships.
Colonial Braz il
Portugal's relative lack of interest allowed traders, pirates, and
privateers of several countries to poach profitable brazilwood in
lands claimed by Portugal. Over time, the Portuguese realized that
some European countries, especially France, were also sending
excursions to the land to extract brazilwood. Worried about foreign
incursions and hoping to find mineral riches, the Portuguese crown
decided to send large missions to take possession of the land and
combat the French.
In 1530, an expedition led by Martim Afonso de Sousa arrived in

Brazil to patrol the entire coast, ban the French, and create the first
colonial villages like Sã o V icente on the coast. The Portuguese
crown devised a system to effectively occupy Brazil without paying
the costs. Through the hereditary Captaincies system, Brazil was
divided into strips of land that were donated to Portuguese
noblemen, who were in turn responsible for the occupation and
administration of the land and answered to the king. The system was
a failure with only four lots successfully occupied: Pernambuco, Sã o
V icente (later called Sã o Paulo), Captaincy of Ilhé us, and Captaincy
of Porto Seguro. The captaincies gradually reverted to the Crown
and became provinces and eventually states of the country.
Starting in the 16th century, sugarcane grown on plantations called

engenhos along the northeast coast became the base of Brazilian
economy and society, with the use of slaves on large plantations to
make sugar for export to Europe. At first, settlers tried to enslave the
natives as labor to work the fields. The initial exploration of Brazil's
interior was largely due to paramilitary adventurers, the
bandeirantes, who entered the jungle in search of gold and Native
slaves. However, colonists were unable to sustainably enslave
Natives, and Portuguese land owners soon imported millions of
slaves from Africa. Mortality rates for slaves in sugar and gold
enterprises were very high, and there were often not enough females
or proper conditions to replenish the slave population. Still, Africans
became a substantial section of Brazilian population, and long before
the end of slavery in 1888, they began to merge with the European
Brazilian population through interracial marriage.
During the first 150 years of the colonial period, attracted by the vast
natural resources and untapped land, other European powers tried
to establish colonies in several parts of Brazilian territory in defiance
of the Treaty of Tordesillas. French colonists tried to settle in present-
day Rio de Janeiro from 1555 to 1567 (the so-called France
Antarctique episode), and in present-day Sã o Luís from 1612 to
1614 (the so-called France É quinoxiale). Jesuits arrived early and
established Sao Paulo, evangelizing the natives. These native allies
of the Jesuits assisted the Portuguese in driving out the French.
The unsuccessful Dutch intrusion into Brazil was longer-lasting and
more troublesome to Portugal. Dutch privateers began by plundering
the coast; they sacked Bahia in 1604, and even temporarily captured
the capital Salvador. From 1630 to 1654, the Dutch set up more
permanently in the northwest and controlled a long stretch of the
coast most accessible to Europe, without penetrating the interior. But
the colonists of the Dutch West India Company in Brazil were in a
constant state of siege. After several years of open warfare, the
Dutch withdrew by 1654. Little French and Dutch cultural and ethnic
influence remained of these failed attempts.
The discovery of gold in the early 18th century was met with great
enthusiasm by Portugal, which had an economy in disarray following
years of wars against Spain and the Netherlands. A gold rush quickly
ensued, with people from other parts of the colony and Portugal
flooding the region in the first half of the 18th century.
The Napoleonic Wars in Europe, especially the Peninsular War and

its resulting treaties, would reshape the political structure of Brazil in
the early 19th century from a colony of Portugal to the Kingdom of
Brazil.
26.2.2: Braz il's Ex ports

During the first 300 years of Brazilian colonial history, the economic
exploitation of the territory was based on brazilwood extraction (16th
century), sugar production (16th-18th centuries), and finally on gold
and diamond mining (18th century).
Learning Objective
List Brazil's economic power and role in the Portuguese Empire
Key Points
The Portuguese colony of Brazil was centered upon a series of
commodity productions: first brazilwood extraction, then sugar
production, and finally gold and diamond mining.
Initially, colonists were heavily dependent on indigenous labor,
often through capture and coercion, during the early phases of
settlement, subsistence farming, and brazilwood production.
The importation of African slaves began midway through the
16th century, but the enslavement of indigenous peoples
continued well into the 17th and 18th centuries.
During the Atlantic slave trade era, Brazil imported more African
slaves than any other country, with an estimated 4.9 million
slaves from Africa coming to Brazil from 1501 to 1866.
Slave labor was the driving force behind the growth of the sugar
economy in Brazil, and sugar was the primary export of the
colony from 1600–1650.
Gold and diamond deposits were discovered in Brazil in 1690,
which sparked an increase in the importation of African slaves to
power this newly profitable market.
Gold production declined towards the end of the 18th century,
beginning a period of relative stagnation of the Brazilian
hinterland.
Key Terms
Triangular trade
A historical term indicating trade among three ports or regions,

especially the transatlantic slave trade. This operated from the
late 16th to early 19th centuries, carrying slaves, cash crops,
and manufactured goods between West Africa, Caribbean or
American colonies, and the European colonial powers, with the
northern colonies of British North America, especially New
England, sometimes taking over the role of Europe.
X ica da Silva
A Brazilian woman who became famous for becoming rich and
powerful despite being born into slavery. Her life has been a
source of inspiration for many works in television, film, theater,
and literature. She is popularly known as the slave who became
a queen.
brazilwood
A genus of flowering plants in the legume family, Fabaceae.

This plant has a dense, orange-red heartwood that takes a high
shine, and it is the premier wood used to make bows for
stringed instruments. The wood also yields a red dye called
brazilin, which oxidizes to brazilein. Starting in the 16th
centuries, this tree became highly valued in Europe and quite
difficult to get.
During the first 300 years of Brazilian colonial history, the economic
exploitation of the territory was based on brazilwood extraction (16th
century), sugar production (16th–18th centuries), and finally gold and
diamond mining (18th century). Slaves, especially those brought
from Africa, provided most of the working force of the Brazilian
export economy after a brief period of Indian slavery. The boom and
bust economic cycles were linked to export products. Brazil's sugar
age, with the development of plantation slavery (merchants serving
as middle men between production sites, Brazilian ports, and
Europe) was undermined by the growth of the sugar industry in the
Caribbean on islands that European powers had seized from Spain.
Gold and diamonds were discovered and mined in southern Brazil
through the end of the colonial era. Brazilian cities were largely port
cities and the colonial administrative capital was moved several
times in response to the rise and fall of export products' importance.
Braz ilwood Production

After European arrival, the land's major export was a type of tree the
traders and colonists called pau-Brasil (Latin for wood red like an
ember) or brazilwood from whence the country got its name. This
large tree (Caesalpinia echinata) has a trunk that yields a prized red
dye, and was nearly wiped out as a result of exploitation. Starting in
the 16th centuries, brazilwood became highly valued in Europe and
quite difficult to get. A related wood from Asia, sappanwood, was
traded in powder form and used as a red dye in the manufacture of
luxury textiles, such as velvet, in high demand during the
Renaissance.
When Portuguese navigators discovered present-day Brazil on April

22, 1500, they immediately saw that brazilwood was extremely
abundant along the coast and in its hinterland along the rivers. In a
few years, a hectic and very profitable operation for felling and
shipping all the brazilwood logs they could get was established as a
crown-granted Portuguese monopoly. The rich commerce that soon
followed stimulated other nations to try to harvest and smuggle
brazilwood contraband out of Brazil and corsairs to attack loaded
Portuguese ships in order to steal their cargo. For example, the
unsuccessful attempt in 1555 of a French expedition led by Nicolas
Durand de V illegaignon, vice-admiral of Brittany and corsair under
the King, to establish a colony in present-day Rio de Janeiro (France
Antarctique) was motivated in part by the bounty generated by
economic exploitation of brazilwood.
The Sugar Age ( 15 30– 17 00)

Since the initial attempts to find gold and silver failed, the
Portuguese colonists adopted an economy based on the production
of agricultural goods to be exported to Europe. Tobacco, cotton and
other crops were produced, but sugar became by far the most
important Brazilian colonial product until the early 18th century. The
first sugarcane farms were established in the mid-16th century and
were the key for the success of the captaincies of Sã o V icente and
Pernambuco, leading sugarcane plantations to quickly spread to
other coastal areas in colonial Brazil. Initially, the Portuguese
attempted to utilize Indian slaves for sugar cultivation, but shifted to
the use of black African slave labor.
The period of sugar-based economy (1530 – c. 1700) is known as

the sugar age in Brazil. The development of the sugar complex
occurred over time with a variety of models. The dependencies of
the farm included a casagrande (big house) where the owner of the
farm lived with his family, and the senz ala, where the slaves were
kept.
Portugal owned several commercial facilities in Western Africa,

where slaves were bought from African merchants. These slaves
were then sent by ship to Brazil, chained and in crowded conditions.
The idea of using African slaves in colonial farms was also adopted
by other European colonial powers in tropical regions of America
(Spain in Cuba, France in Haiti, the Netherlands in the Dutch
Antilles, and England in Jamaica).
The Portuguese attempted to severely restrict colonial trade,

meaning that Brazil was only allowed to export and import goods
from Portugal and other Portuguese colonies. Brazil exported sugar,
tobacco, cotton, and native products and imported from Portugal
wine, olive oil, textiles, and luxury goods – the latter imported by
Portugal from other European countries. Africa played an essential
role as the supplier of slaves, and Brazilian slave traders in Africa
frequently exchanged cachaç a, a distilled spirit derived from
sugarcane, and shells for slaves. This comprised what is now known
as the triangular trade between Europe, Africa and the Americas
during the colonial period.
Merchants during the sugar age were crucial to the economic

development of the colony as the link between the sugar production
areas, coastal Portuguese cities, and Europe. Merchants initially
came from many nations, including Germany, Italy, and modern-day
Belgium, but Portuguese merchants came to dominate the trade in
Brazil.
Even though Brazilian sugar had a reputation for quality, the industry
faced a crisis during the 17th and 18th centuries when the Dutch and
the French started producing sugar in the Antilles, located much
closer to Europe, causing sugar prices to fall.
The Sugar Age

V iew of a sugar-producing farm (engenho) in colonial Pernambuco
by Dutch painter Frans Post (17th century).
V iew of a sugar-producing farm (engenho) in colonial Pernambuco

by Dutch painter Frans Post (17th century). A rural landscape, with
palm trees, overlooking a vast, hilly area.
Gold Rush
The discovery of gold was met with great enthusiasm by Portugal,
which had an economy in disarray following years of wars against
Spain and the Netherlands. A gold rush quickly ensued, with people
from other parts of the colony and Portugal flooding the region in the
first half of the 18th century. The large portion of the Brazilian inland
where gold was extracted became known as the Minas Gerais
(General Mines). Gold mining in this area became the main
economic activity of colonial Brazil during the 18th century. In
Portugal, the gold was mainly used to pay for industrialized goods
(textiles, weapons) obtained from countries like England and
especially during the reign of King John V , to build magnificent
Baroque monuments like the Convent of Mafra. Apart from gold,
diamond deposits were also found in 1729 around the village of
Tijuco, now Diamantina. A famous figure in Brazilian history of this
era was X ica da Silva, a slave woman who had a long term
relationship in Diamantina with a Portuguese official; the couple had
13 children and she died a rich woman.
Minas Gerais was the gold mining center of Brazil during the 18th
century. Slave labor was generally used for the workforce. The
discovery of gold in the area caused a huge influx of European
immigrants and the government decided to bring in bureaucrats from
Portugal to control operations. They set up numerous bureaucracies,
often with conflicting duties and jurisdictions. The officials generally
proved unequal to the task of controlling this highly lucrative industry.
In 1830, the Saint John d'El Rey Mining Company, controlled by the
British, opened the largest gold mine in Latin America. The British
brought in modern management techniques and engineering
expertise. Located in Nova Lima, the mine produced ore for 125
years.
Gold production declined towards the end of the 18th century,

beginning a period of relative stagnation of the Brazilian hinterland.
Diamond Mining
Slaves mine for diamonds in Minas Gerais (ca. 1770s). Gold and
diamond deposits were discovered in Brazil in 1690, which sparked
an increase in the importation of African slaves to power this newly
profitable market.
Slaves mine for diamonds in Minas Gerais (ca. 1770s). It shows

several slaves in a rocky valley using pick-axes and carrying piles of
stone. One white man oversees the operation.
26.2.3: Constitutionalist Movement in

Portugal
In 1820, 13 years after the Portuguese king fled to Brazil during the
Napoleonic Wars, the Constitutionalist Revolution erupted in the city
of Porto and quickly and peacefully spread to the rest of the country,
resulting in the return of the Portuguese crown to Europe and the
declaration of Brazil's independence from Portugal in 1822.
Learning Objective
Describe the ties between the Constitutionalist Movement and
Brazilian Independence
Key Points
In 1807, at the time of the first invasion of Portugal by
Napoleon's forces, the King of Portugal, Joã o V I, fled to Brazil.
When French forces were finally defeated in Europe in 1815,
King Joã o decided to continue ruling from Brazil, founding the
United Kingdom of Portugal, Brazil and the Algarves, leaving a
strong British presence in Portugal.
Many people resented British influence and began a movement
to reestablish the monarchy in Portugal, specifically a liberal,
constitutional monarchy.
In 1820, the constitutionalists rose up in revolution, created a
constitution, and forced the return of the Portuguese King.
King Joã o returned to Portugal in April 1821, leaving behind his
son and heir, Prince Dom Pedro, to rule Brazil as his regent.
On September 7, 1822, Prince Dom Pedro declared Brazil's
independence from Portugal, founding the Empire of Brazil,
which led to a two-year war of independence.
Formal recognition came with a treaty signed by both Brazil and
Portugal in late 1825.
Key Terms
Brazilian war of independence
A war waged between the newly independent Empire of Brazil
and United Kingdom of Portugal, Brazil and the Algarves which
had just undergone the Liberal Revolution of 1820. It lasted from
February 1822, when the first skirmishes took place, to March
1824, when the last Portuguese garrison of Montevideo
surrendered to Commander Sinian Kersey.
United Kingdom of Portugal, Brazil, and the Algarves
A monarchy formed by the elevation of the Portuguese colony of

Brazil to the status of a kingdom and by the simultaneous union
of that Kingdom of Brazil with the Kingdom of Portugal and the
Kingdom of the Algarves, constituting a single state consisting of
three kingdoms. It was formed in 1815 after the transfer of the
Portuguese Court to Brazil during the Napoleonic invasions of
Portugal and continued to exist for about one year after the
return of the Court to Europe. It was de facto dissolved in 1822
when Brazil proclaimed its independence.
Constitutionalist Revolution
A Portuguese political revolution that erupted in 1820. It began

with a military insurrection in the city of Porto, in northern
Portugal, that quickly and peacefully spread to the rest of the
country. The Revolution resulted in the return in 1821 of the
Portuguese Court to Portugal from Brazil, where it had fled
during the Peninsular War, and initiated a constitutional period in
which the 1822 Constitution was ratified and implemented.
Napoleonic W ars and

Constitutionalist Revolution
From 1807 to 1811, Napoleonic French forces invaded Portugal
three times. During the invasion of Portugal (1807), the Portuguese
royal family fled to Brazil, establishing Rio de Janeiro as the de facto
capital of Portugal. From Brazil, the Portuguese king Joã o V I ruled
his trans-Atlantic empire for 13 years.
The capital's move to Rio de Janeiro accentuated the economic,

institutional, and social crises in mainland Portugal, which was
administered by English commercial and military interests under
William Beresford's rule in the absence of the monarch. The
influence of liberal ideals was strengthened by the aftermath of the
war, the continuing impact of the American and French revolutions,
discontent under absolutist government, and the general indifference
shown by the Portuguese regency for the plight of its people.
This also had the side effect of creating within Brazil many of the
institutions required to exist as an independent state; most
importantly, it freed the country to trade with other nations at will.
After Napoleon's army was finally defeated in 1815, to maintain the
capital in Brazil and allay Brazilian fears of being returned to colonial
status, King Joã o V I of Portugal raised the de jure status of Brazil to
an equal, integral part of a United Kingdom of Portugal, Brazil, and
the Algarves, rather than a mere colony. It enjoyed this status for the
next seven years.
Following the defeat of the French forces, Portugal experienced a

prolonged period of political turmoil in which many sought greater
self-rule for the Portuguese people. Eventually this unrest put an end
to the king's long stay in Brazil, when his return to Portugal was
demanded by the revolutionaries.
Even though the Portuguese participated in the defeat of the French,

the country found itself virtually a British protectorate. The officers of
the Portuguese Army resented British control of the Portuguese
armed forces. After Napoleon's definite defeat in 1815, a clandestine
Supreme Regenerative Council of Portugal and the Algarve was
formed in Lisbon by army officers and freemasons, headed by
General Gomes Freire de Andrade—Grand Master of the Grande
Oriente Lusitano and former general under Napoleon until his defeat
in 1814—with the objective to end British control of the country and
promote "salvation and independence."
In 1820 the Constitutionalist Revolution erupted in Portugal. The
movement initiated by the liberal constitutionalists resulted in the
meeting of the Cortes (or Constituent Assembly) that would create
the kingdom's first constitution. The Cortes demanded the return of
King Joã o V I, who had been living in Brazil since 1808. The
revolution began with a military insurrection in the city of Porto, in
northern Portugal, that quickly and peacefully spread to the rest of
the country. The Revolution resulted in the return in 1821 of the
Portuguese Court to Portugal from Brazil, where it had fled during
the Peninsular War, and initiated a constitutional period in which the
1822 Constitution was ratified and implemented. The revolutionaries
also sought to restore Portuguese exclusivity in the trade with Brazil,
reverting Brazil to the status of a colony. It was officialy reduced to a
"Principality of Brazil," instead of the Kingdom of Brazil, which it had
been for the past five years. The movement's liberal ideas had an
important influence on Portuguese society and political organization
in the 19th century.
The Constitutionalists
The G eneral and Ex traordinary Cortes of the Portuguese Nation that
wrote and approved the first Constitution. This constitutional
assembly was composed of diplomatic functionaries, merchants,
agrarian burghers, and university-educated representatives who
were usually lawyers.
The General and Extraordinary Cortes of the Portuguese Nation that

wrote and approved the first Constitution. The painting depicts a
lavishly decorated room filled with men arguing with each other.
Braz ilian Independence

King Joã o returned to Portugal in April 1821, leaving behind his son
and heir, Prince Dom Pedro, to rule Brazil as his regent. The
Portuguese government immediately moved to revoke the political
autonomy that Brazil had been granted since 1808. The threat of
losing their limited control over local affairs ignited widespread
opposition among Brazilians. José Bonifácio de Andrada, along with
other Brazilian leaders, convinced Pedro to declare Brazil's
independence from Portugal on September 7, 1822. On October 12,
the prince was acclaimed Pedro I, first Emperor of the newly created
Empire of Brazil, a constitutional monarchy. The declaration of
independence was opposed throughout Brazil by armed military
units loyal to Portugal. The ensuing Brazilian war of independence
was fought across the country, with battles in the northern,
northeastern, and southern regions. The war lasted from February
1822, when the first skirmishes took place, to March 1824, when the
last Portuguese garrison of Montevideo surrendered to Commander
Sinian Kersey. It was fought on land and sea and involved both
regular forces and civilian militia. Independence was recognized by
Portugal in August 1825.
26.2.4: The Braz ilian Empire

The Empire of Brazil, founded in 1822 when the prince regent of
Portugal, Pedro I, declared its independence from Portugal, was a
relatively stable and democratic constitutional monarchy that saw
several wars and the abolition of slavery in 1888.
Learning Objective
Summarize the breadth and structure of the Brazilian Empire
Key Points
Brazil was one of only three modern states in the Americas to
have its own indigenous monarchy (the other two were Mexico
and Haiti) for a period of almost 90 years.
In 1808, the Portuguese court, fleeing from Napoleon's invasion
of Portugal during the Peninsular War, moved the government
apparatus to its then-colony, Brazil, establishing themselves in
the city of Rio de Janeiro from where the Portuguese king ruled
his huge empire for 15 years.
When the king left Brazil to return to Portugal in 1821, his elder
son, Pedro I, stayed in his stead as regent of Brazil.
One year later, Pedro stated the reasons for the secession of
Brazil from Portugal and led the Independence War. He
instituted a constitutional monarchy in Brazil, assuming its head
as Emperor Pedro I.
Also known as "Dom Pedro I" after his abdication in 1831 for
political incompatibilities (disliked both by the landed elites who
thought him too liberal and the intellectuals who felt he was not
liberal enough), he left for Portugal, leaving behind his five-year-
old son as Emperor Pedro II. This left the country ruled by
regents between 1831 and 1840.
This period was beset by rebellions of various motivations and
political instability.
After this period, Pedro II was declared of age and assumed his
full prerogatives, leading Brazil into a period of peace and
stability.
Although there was no desire for a change in the form of
government among most Brazilians, the Emperor was
overthrown in a sudden coup d'é tat that had almost no support
outside a clique of military leaders who desired a republic
headed by a dictator.
The reign of Pedro II and the Brazilian Empire came to an
unusual end—he was overthrown while highly regarded by the
people and at the pinnacle of his popularity. Some of his
accomplishments were soon brought to naught as Brazil slipped
into a long period of weak governments, dictatorships, and
constitutional and economic crises.
Key Terms
bicameral parliament
A legislature in which the legislators are divided into two

separate assemblies, chambers, or houses. Often, the members
of the two chambers are elected or selected using different
methods that vary from country to country.
Pedro II
The second and last ruler of the Empire of Brazil, reigning for
over 58 years. Inheriting an empire on the verge of
disintegration, he turned Portuguese-speaking Brazil into an
emerging power in the international arena. The nation grew
distinguished from its Hispanic neighbors on account of its
political stability, zealously guarded freedom of speech, respect
for civil rights, vibrant economic growth, and especially its
government: a functional, representative parliamentary
monarchy.
Pedro I
Nicknamed "the Liberator," he was the founder and first ruler of

the Empire of Brazil. He reigned briefly over Portugal.
First Brazilian Republic
The period of Brazilian history from 1889 to 1930. It ended with

a military coup, also known as the Brazilian Revolution of 1930,
that installed Getú lio V argas as a dictator.
Early Y ears
The Empire of Brazil was a 19th-century state that broadly
comprised the territories of modern Brazil and Uruguay. Its
government was a representative parliamentary constitutional
monarchy under the rule of Emperors Dom Pedro I and his son Dom
Pedro II. A colony of the Kingdom of Portugal, Brazil became the
seat of the Portuguese colonial Empire in 1808 when the Portuguese
prince regent, later King Dom Joã o V I, fled from Napoleon's invasion
of Portugal and established himself and his government in the
Brazilian city of Rio de Janeiro. Joã o V I later returned to Portugal,
leaving his eldest son and heir, Pedro, to rule the Kingdom of Brazil
as regent. On September 7, 1822, Pedro declared the independence
of Brazil and after waging a successful war against his father's
kingdom, was acclaimed on October 12 as Pedro I, the first Emperor
of Brazil. The new country was huge but sparsely populated and
ethnically diverse.
Unlike most of the neighboring Hispanic American republics, Brazil

had political stability, vibrant economic growth, constitutionally
guaranteed freedom of speech, and respect for civil rights of its
subjects, albeit with legal restrictions on women and slaves, the
latter regarded as property and not citizens. The empire's bicameral
parliament was elected under comparatively democratic methods for
the era, as were the provincial and local legislatures. This led to a
long ideological conflict between Pedro I and a sizable parliamentary
faction over the role of the monarch in the government.
He also faced other obstacles. The unsuccessful Cisplatine War

against the neighboring United Provinces of the Río de la Plata in
1828 led to the secession of the province of Cisplatina (later
Uruguay). In 1826, despite his role in Brazilian independence, Pedro
I became the king of Portugal; he immediately abdicated the
Portuguese throne in favor of his eldest daughter. Two years later,
she was usurped by Pedro I's younger brother Miguel. Unable to
deal with both Brazilian and Portuguese affairs, Pedro I abdicated
his Brazilian throne on April 7, 1831, and immediately departed for
Europe to restore his daughter to the Portuguese throne.
Pedro II
Pedro I's successor in Brazil was his five-year-old son, Pedro II. As
the latter was still a minor, a weak regency was created. The power
vacuum resulting from the absence of a ruling monarch led to
regional civil wars between local factions. Having inherited an empire
on the verge of disintegration, Pedro II, once he was declared of
age, managed to bring peace and stability to the country, which
eventually became an emerging international power.
Brazil was victorious in three international conflicts (the Platine War,

the Uruguayan War, and the Paraguayan War) under Pedro II's rule,
and the Empire prevailed in several other international disputes and
outbreaks of domestic strife. With prosperity and economic
development came an influx of European immigration, including
Protestants and Jews, although Brazil remained mostly Catholic.
Slavery, which was initially widespread, was restricted by successive
legislation until its final abolition in 1888. Brazilian visual arts,
literature, and theater developed during this time of progress.
Although heavily influenced by European styles that ranged from
Neoclassicism to Romanticism, each concept was adapted to create
a culture that was uniquely Brazilian.
End of the Empire

Even though the last four decades of Pedro II's reign were marked
by continuous internal peace and economic prosperity, he had no
desire to see the monarchy survive beyond his lifetime and made no
effort to maintain support for the institution. The next in line to the
throne was his daughter Isabel, but neither Pedro II nor the ruling
classes considered a female monarch acceptable. Lacking any
viable heir, the Empire's political leaders saw no reason to defend
the monarchy.
Although there was no desire for a change in the form of government

among most Brazilians, after a 58-year reign, on November 15,
1889, the emperor was overthrown in a sudden coup d'é tat led by a
clique of military leaders whose goal was the formation of a republic
headed by a dictator, forming the First Brazilian Republic. Pedro II
had become weary of emperorship and despaired over the
monarchy's future prospects, despite its overwhelming popular
support. He allowed no prevention of his ouster and did not support
any attempt to restore the monarchy. He spent the last two years of
his life in exile in Europe, living alone on very little money.
The reign of Pedro II thus came to an unusual end—he was

overthrown while highly regarded by the people and at the pinnacle
of his popularity, and some of his accomplishments were soon
brought to naught as Brazil slipped into a long period of weak
governments, dictatorships, and constitutional and economic crises.
The men who had exiled him soon began to see in him a model for
the Brazilian republic.
Braz ilian Senate, 18 8 8

The senators are voting on the Golden Law, which abolished slavery
in Brazil, as a large crowd watches in the background.
A photo of the Brazilian parliament, a large amphitheater type room

filled with legislators. They are voting on the abolition of slavery.
Attributions
Portugese Colonization of Brazil
"Colonial Brazil."
https://en.wikipedia.org/wiki/Colonial_Brazil. Wikipedia CC
BY-SA 3.0.
"History of Brazil."
https://en.wikipedia.org/wiki/History_of_Brazil. Wikipedia
CC BY-SA 3.0.
"Brazil_16thc_map.jpg."
https://commons.wikimedia.org/wiki/File:Brazil_16thc_map.j
Brazil's Exports
"Colonial Brazil."
https://en.wikipedia.org/wiki/Colonial_Brazil. Wikipedia CC
BY-SA 3.0.
CC BY-SA 3.0.
"Slavery in Brazil."
https://en.wikipedia.org/wiki/Slavery_in_Brazil. Wikipedia
CC BY-SA 3.0.
"Paubrasilia." https://en.wikipedia.org/wiki/Paubrasilia.
"Engenho_com_capela.jpg."
https://commons.wikimedia.org/wiki/File:Engenho_com_cap
ela.jpg. Wikimedia Commons Public domain.
"Juliao06.JPG."
https://commons.wikimedia.org/wiki/File:Juliao06.JPG.
Constitutionalist Movement in Portugal
"Liberal Revolution of 1820."
https://en.wikipedia.org/wiki/Liberal_Revolution_of_1820.
"Empire of Brazil."
https://en.wikipedia.org/wiki/Empire_of_Brazil. Wikipedia
CC BY-SA 3.0.
"Independence of Brazil."
https://en.wikipedia.org/wiki/Independence_of_Brazil.
"History of Portugal (1777–1834)."
https://en.wikipedia.org/wiki/History_of_Portugal_(1777-
"Portuguese_Cortes_1822.jpg."
https://commons.wikimedia.org/wiki/File:Portuguese_Cortes
_1822.jpg. Wikimedia Commons Public domain.
The Brazilian Empire
"Pedro II of Brazil."
https://en.wikipedia.org/wiki/Pedro_II_of_Brazil. Wikipedia
CC BY-SA 3.0.
"Empire of Brazil."
https://en.wikipedia.org/wiki/Empire_of_Brazil. Wikipedia
CC BY-SA 3.0.
CC BY-SA 3.0.
"400px-Golden_law_1888_Brazilian_senate.png."
https://commons.wikimedia.org/wiki/File:Golden_law_1888_
Brazilian_senate.png. Wikimedia Commons Public domain.
26.3: The Mex ican W ar of
Independence
26.3.1: The Effect of Events in Europe
on Mex ico
In 1808, Napoleon turned on Spain, a previous ally, during the
Peninsular War, forcing the abdication of the Spanish king and
replacing him with Napoleon's brother Joseph. This created a crisis
and power vacuum in Spain that rippled out to its American colonies,
including New Spain (Mexico).
Learning Objective
Analyze the effect events in Europe had on Mexico in 1808
Key Points
Events in Spain during the Peninsular War had profound effects
on Spanish America, leading to numerous successful
independence movements.
In 1808, a year after Napoleon invaded Portugal, the French
turned on Spain, a previous ally, which led to a political crisis.
Napoleon forced the abdication of the Spanish king, Charles IV ,
and replaced him with his brother, Joseph Bonaparte, who ruled
Spain for five years.
Numerous revolts occurred throughout Spain in response,
causing confusion and crisis.
A number of juntas (councils) were set up Spain to fill the power
vacuum and lead the charge against the French.
This crisis also resulted in a shift in leadership over the colonies
in the Americas, where juntas were also set up. Some of these
were loyal to Charles IV 's son, Ferdinand V II, and some pushed
for independence, which was achieved in 1821.
Key Terms
juntas
A Spanish and Portuguese term for a civil deliberative or

administrative council. In English, it predominantly refers to the
government of an authoritarian state run by high-ranking officers
of a military. The term literally means "union" and often refers to
the army, navy, and air force commanders taking over the power
of the president, prime minister, king, or other non-military
leader.
Spanish Constitution of 1812
Established on March 19, 1812, by the Cádiz Cortes, Spain's

first national sovereign assembly. It established the principles of
universal male suffrage, national sovereignty, constitutional
monarchy, and freedom of the press, and supported land reform
and free enterprise. This constitution, one of the most liberal of
its time, was effectively Spain's first.
Peninsular War
A military conflict between Napoleon's empire and the allied

powers of Spain, Britain, and Portugal for control of the Iberian
Peninsula during the Napoleonic Wars.
The Peninsular W ar and the

Crisis in Spain
The Peninsular War (1807–14) was a military conflict between
Napoleon's empire and the allied powers of Spain, Britain, and
Portugal for control of the Iberian Peninsula during the Napoleonic
Wars. The war started when French and Spanish armies invaded
and occupied Portugal in 1807, and escalated in 1808 when France
turned on Spain, its ally until then. The war on the peninsula lasted
until the Sixth Coalition defeated Napoleon in 1814, and is regarded
as one of the first wars of national liberation, significant for the
emergence of large-scale guerrilla warfare.
Spain had been allied with France against the United Kingdom since
the Second Treaty of San Ildefonso in 1796. However, after the
defeat of the combined Spanish and French fleets by the British at
the Battle of Trafalgar in 1805, cracks began to appear in the
alliance, with Spain preparing to invade France from the south after
the outbreak of the War of the Fourth Coalition. In 1806, Spain
readied for an invasion in case of a Prussia victory, but Napoleon's
rout of the Prussian army at the Battle of Jena-Auerstaedt caused
Spain to back down. However, Spain continued to resent the loss of
its fleet at Trafalgar and the fact that they were forced to join the
Continental System. Nevertheless, the two allies agreed to partition
Portugal, a long-standing British trading partner and ally that refused
to join the Continental System. Napoleon was fully aware of the
disastrous state of Spain's economy and administration and its
political fragility, and felt it had little value as an ally. He insisted on
positioning French troops in Spain to prepare for a French invasion
of Portugal, but once this was done, he continued to move additional
French troops into Spain without any sign of an advance into
Portugal. The presence of French troops on Spanish soil was
extremely unpopular in Spain, resulting in the Mutiny of Aranjuez and
the abdication of Charles IV of Spain in March 1808.
Charles IV hoped that Napoleon, who by this time had 100,000

troops stationed in Spain, would help him regain the throne.
However, Napoleon refused to help Charles and refused to
recognize his son, Ferdinand V II, as the new king. Instead, he
succeeded in pressuring both Charles and Ferdinand to cede the
crown to his brother, Joseph Bonaparte. The head of the French
forces in Spain, Marshal Joachim Murat, meanwhile pressed for the
former Prime Minister of Spain, Manuel de Godoy, whose role in
inviting the French forces into Spain had led to the mutiny of
Aranjuez, to be set free. The failure of the remaining Spanish
government to stand up to Murat caused popular anger. On May 2,
1808, Murat ordered the younger son of Charles IV , the Infante
Francisco de Paula, to leave Spain for France, leading to a
widespread rebellion in the streets of Madrid.
The Council of Castile, the main organ of central government in

Spain under Charles IV , was now in Napoleon's control. However,
due to the popular anger at French rule, it quickly lost authority
outside the population centers that were directly French-occupied. To
oppose this occupation, former regional governing institutions, such
as the Parliament of Aragon and the Board of the Principality of
Asturias, resurfaced in parts of Spain; elsewhere, juntas (councils)
were created to fill the power vacuum and lead the struggle against
French imperial forces. Provincial juntas began to coordinate their
actions; regional juntas were formed to oversee the provincial ones.
The move, however, led to more confusion, since there was no
central authority and most juntas did not recognize the
presumptuous claim of others to represent the monarchy as a whole.
The Junta of Seville, in particular, claimed authority over the
overseas empire.
J oseph Bonaparte, King of Spain
During the Peninsular War, Napoleon forced the abdication of the
Spanish King and replaced him with his brother, Joseph Bonaparte.
Painting of Joseph Bonaparte.
Effect on Spanish America

This impasse was resolved through negotiations between the juntas
and the Council of Castile, which led to the creation of a "Supreme
Central and Governmental Junta of Spain and the Indies" on
September 25, 1808. It was agreed that the traditional kingdoms of
the peninsula would send two representatives to this Central Junta,
and that the overseas kingdoms would send one representative
each. These "kingdoms" were defined as "the viceroyalties of New
Spain [ Mexico] , Peru, New Granada, and Buenos Aires, and the
independent captaincies general of the island of Cuba, Puerto Rico,
Guatemala, Chile, Province of V enezuela, and the Philippines."
This scheme was criticized for providing unequal representation to

the overseas territories. The dissolution of the Supreme Junta on
January 29, 1810, because of the reverses suffered after the Battle
of Ocañ a by the Spanish forces paid with Spanish American money
set off another wave of juntas in the Americas. French forces had
taken over southern Spain and forced the Supreme Junta to seek
refuge in the island-city of Cadiz. The Junta replaced itself with a
smaller, five-man council, the Council of Regency of Spain and the
Indies. Most Spanish Americans saw no reason to recognize a rump
government that was under the threat of capture by the French at
any moment, and began to work for the creation of local juntas to
preserve the region's independence from the French. Junta
movements were successful in New Granada (Colombia),
V enezuela, Chile, and Río de la Plata (Argentina).
The creation of juntas in Spanish America, such as the Junta

Suprema de Caracas on April 19, 1810, set the stage for the fighting
that would afflict the region for the next decade and a half. Political
fault lines appeared and often caused military conflict. Although the
juntas claimed to carry out their actions in the name of the deposed
king, Ferdinand V II, their creation provided an opportunity for people
who favored outright independence to publicly and safely promote
their agenda. The proponents of independence called themselves
patriots, a term which eventually was generally applied to them.
The Spanish Constitution of 1812 adopted by the Cortes de Cadiz

served as the basis for independence in New Spain (Mexico) and
Central America, since in both regions it was a coalition of
conservative and liberal royalist leaders who led the establishment of
new states. The restoration of the Spanish Constitution and
representative government was enthusiastically welcomed in New
Spain and Central America. Elections were held, local governments
formed, and deputies sent to the Cortes. Among liberals, however,
there was fear that the new regime would not last, and conservatives
and the Church worried that the new liberal government would
expand its reforms and anti-clerical legislation. This climate of
instability created the conditions for the two sides to forge an
alliance. This coalesced towards the end of 1820 behind Agustín de
Iturbide, a colonel in the royal army, who at the time was assigned to
destroy the guerrilla forces led by V icente Guerrero.
In January 1821, Iturbide began peace negotiations with Guerrero,

suggesting they unite to establish an independent New Spain. The
simple terms that Iturbide proposed became the basis of the Plan of
Iguala: the independence of New Spain (now called the Mexican
Empire) with Ferdinand V II or another Bourbon as emperor; the
retention of the Catholic Church as the official state religion and the
protection of its existing privileges; and the equality of all New
Spaniards, whether immigrants or native-born. The resulting Treaty
of Có rdoba, signed on August 24, kept all existing laws, including the
1812 Constitution, in force until a new constitution for Mexico was
written. O'Donojú became part of the provisional governing junta
until his death on October 8. Both the Spanish Cortes and Ferdinand
V II rejected the Treaty of Có rdoba, and the final break with the
mother country came on May 19, 1822, when the Mexican Congress
conferred the throne on Itrubide.
26.3.2: Spanish Rule in Mex ico

New Spain was a colonial territory of the Spanish Empire that
included the land of Mexico, Central America, and the Southwestern
United States. It was administered based on a hierarchical racial
classification system, with Spaniards at the top and indigenous
Indians at the bottom.
Learning Objective
Describe Spanish rule in Mexico
Key Points
New Spain, a colonial kingdom ruled by Spain, was founded
after the Spanish conquest over the Aztec people in the 16th
century.
Along with the territory of what is now Mexico, it also included
Cuba, Puerto Rico, Central America as far south as Costa Rica,
the southwestern United States as well as Florida, and the
Philippines.
The monarch of Spain had tremendous power and control over
New Spain including property rights, although much of the law
was made and administered by local councils, elected positions
limited to Spaniards.
New Spain had a hierarchical racial classification system, which
not only determined social class, but also had an effect on every
aspect of life, including economics and taxation.
The racial system ranked Spanish-born Spaniards at the top,
then American-born Spaniards (Crioles), then Mestizo (mixed
Spaniard and Indian), then indigenous Indian and African.
The Creoles, Mestizos, and Indians often disagreed, but all
resented the small minority of Spaniards who had all the political
power, leading eventually to the Mexican independence
movement.
Key Terms
Cabildos
A Spanish colonial and early post-colonial administrative council

which governed a municipality. They were sometimes
appointed, sometimes elected, but always considered
representative of all land-owning heads of household (vecinos).
New Spain
A colonial territory of the Spanish Empire, in the New World

north of the Isthmus of Panama. It was established following the
Spanish conquest of the Aztec Empire in 1521, and following
additional conquests, it was made a viceroyalty in 1535. The
first of four viceroyalties Spain created in the Americas, it
comprised Mexico, Central America, much of the Southwestern
and Central United States, and Spanish Florida as well as the
Philippines, Guam, Mariana, and Caroline Islands.
El Dorado
The term used by the Spanish Empire to describe a mythical

tribal chief (zipa) of the Muisca native people of Colombia, who
as an initiation rite covered himself with gold dust and
submerged in Lake Guatavita. The legends changed over time,
evolving from a man, to a city, to a kingdom, and then finally an
empire. In pursuit of the legend, Spanish conquistadors and
numerous others searched Colombia, V enezuela, and parts of
Guyana and northern Brazil for the city and its fabulous king. In
the course of these explorations, much of northern South
America, including the Amazon River, was mapped.
Mestizos
A person of mixed race, especially the offspring of a Spaniard

and an American Indian.
New Spain
As a colony, Mexico was part of the much larger V iceroyalty of New
Spain, which included Cuba, Puerto Rico, Central America as far
south as Costa Rica, the southwestern United States as well as
Florida, and the Philippines. Hernán Corté s conquered the great
empire of the Aztecs and established New Spain as the largest and
most important Spanish colony. During the 16th century, Spain
focused on conquering areas with dense populations that produced
Pre-Columbian civilizations, because such populations had a
disciplined labor force and people to evangelize with the Christian
faith.
Territories populated by nomadic peoples were harder to conquer,

and although the Spanish explored much of North America, seeking
the fabled "El Dorado," they made no concerted effort to settle the
northern desert regions in what is now the United States until the
end of 16th century (Santa Fe, 1598). The northern area of Mexico,
a region of nomadic and semi-nomadic indigenous populations, was
thus not generally conducive to dense settlements, but the discovery
of silver in Zacatecas in the 1540s drew settlement there to exploit
the mines. Silver mining not only became the engine of the economy
of New Spain, but vastly enriched Spain and transformed the global
economy.
Although New Spain was a dependency of Spain, it was a kingdom

not a colony, subject to the presiding monarch on the Iberian
Peninsula. The monarch had sweeping power in the overseas
territories. According to historian Clarence Haring:
The king possessed not only the sovereign right but the property
rights; he was the absolute proprietor, the sole political head of
his American dominions. Every privilege and position, economic
political, or religious came from him. It was on this basis that the
conquest, occupation, and government of the [ Spanish] New
World was achieved.
New Spain lost parts of its territory to other European powers and
independence, but the core area remained under Spanish control
until 1821, when it achieved independence as the Mexican Empire—
when the latter dissolved, it became modern Mexico and Central
America. It developed highly regional divisions, which reflect the
impact of climate, topography, the presence or absence of dense
indigenous populations, and the presence or absence of mineral
resources. The areas of central and southern Mexico had dense
indigenous populations with complex social, political, and economic
organization.
Laws were introduced that created a balance between local

jurisdiction (the Cabildos) and the Crown, whereby upper
administrative offices were closed to natives, even those of pure
Spanish blood.
Racial Divides
The population of New Spain was divided into four main groups or
classes. The group a person belonged to was determined by racial
background and birthplace. Created by Hispanic elites, this
hierarchical system of race classification (sistema de castas), was
based on the principle that people varied due to their birth, color,
race and origin of ethnic types. The system of castas was more than
socio-racial classification. It had an effect on every aspect of life,
including economics and taxation. Both the Spanish colonial state
and the Church required more tax and tribute payments from those
of lower socio-racial categories. Related to Spanish ideas about
purity of blood (which historically also related to its reconquest of
Spain from the Moors), the colonists established a caste system in
Latin America by which a person's socio-economic status generally
correlated with race or racial mix in the known family background, or
simply on phenotype (physical appearance) if the family background
was unknown.
From the colonial period on when the Spanish imposed control,

many wealthy persons and high government officials were of
peninsular (Iberian) and/or European background, while African or
indigenous ancestry, or dark skin, generally was correlated with
inferiority and poverty. The "whiter" the heritage a person could
claim, the higher in status they could claim; conversely, darker
features meant less opportunity.
The most powerful group was the Spaniards, people born in Spain
and sent across the Atlantic to rule the colony. Only Spaniards could
hold high-level jobs in the colonial government.
The second group, called Creoles, were those of Spanish

background born in Mexico. Many Creoles were prosperous
landowners and merchants, but even the wealthiest had little say in
government.
The third group, the Mestizos, were people who had some Spanish
ancestors and some Indian ancestors. The word Mestizo means
"mixed." Mestizos had a much lower position and were looked down
upon by both the Spaniards and the Creoles, who held the racist
belief that people of pure European background were superior to
everyone else.
The poorest, most marginalized group in New Spain was the Indians,
descendants of pre-Columbian peoples. They had less power and
endured harsher conditions than other groups. Indians were forced
to work as laborers on the ranches and farms (called haciendas) of
the Spaniards and Creoles.
In addition to the four main groups, there were also black Africans in
colonial Mexico. They were imported as laborers and shared the low
status of the Indians. They made up about 4% to 5% of the
population, and their mixed-race descendants, called mulattoes,
eventually grew to represent about 9%.
D e Mestizo y d' India; C oyote by
Miguel Cabrera, 17 63.
A painting of a Mestizo man with his Indian wife and their children.
The child of a Mestizo and an Indian is called a Coyote.
The hierarchical system of race classification created by the Spanish
during colonial rule had Spaniards born in Spain at the top and
indigenous Indians and Africans at the bottom.
A painting of a Mestizo man with his Indian wife, along with their
children, one of which is riding a donkey.
Economy and Culture

From an economic point of view, New Spain was administered
principally for the benefit of the Empire and its military and defensive
efforts. Mexico provided more than half of the Empire taxes and
supported the administration of all North and Central America.
Competition with Spain was discouraged; for example, cultivation of
grapes and olives, introduced by Cortez himself, was banned out of
fear that these crops would compete with Spain's.
Education was encouraged by the Crown from the very beginning,

and Mexico boasts the first primary school (Texcoco, 1523), first
university, the University of Mexico (1551) and the first printing press
(1524) of the Americas. Indigenous languages were studied mainly
by the religious orders during the first centuries, and became official
languages in the so-called Republic of Indians, only to be outlawed
and ignored after independence by the prevailing Spanish-speaking
creoles.
The syncretism between indigenous and Spanish cultures gave rise

to many of nowadays Mexican staple and world-famous cultural
traits like tequila (since the 16th century), mariachi (18th), jarabe
(17th), churros (17th) and the highly prized Mexican cuisine, fruit of
the mixture of European and indigenous ingredients and techniques.
The Creoles, Mestizos, and Indians often disagreed, but all resented
the small minority of Spaniards who had all the political power. By
the early 1800s, many native-born Mexicans believed that Mexico
should become independent of Spain, following the example of the
United States. The man who finally touched off the revolt against
Spain was the Catholic priest Father Miguel Hidalgo Y Costilla. He is
remembered today as the Father of Mexican Independence.
26.3.3: Indigenous Efforts Against

Colonialism
After the Spanish conquest of Central America, there were several
indigenous uprisings against colonial rule, most notably the Mixtó n
War and the Chichimeca War. The latter shifted many of the policies
and attitudes of the Spanish toward the indigenous populations.
Learning Objective
Examine some of the indigenous uprisings against the Spanish
Key Points
After the Spanish conquest of the Aztec Empire, the Spanish
created the colony and kingdom of New Spain, which placed the
indigenous populations at the bottom of the racial hierarchy.
Territories populated by indigenous nomadic peoples were
harder to conquer, and once the natives got hold of horses,
many populations evaded Spanish rule for much of the colonial
period.
Other natives in densely populated areas suffered continual
abuse and oppression under the Spaniards, leading to several
revolts.
The first revolt, named the Mixtó n war, pitted the viceroy of New
Spain, Don Antonio de Mendoza, against the Caxcanes Indians,
who began a rebellion in 1440.
After two years of fighting, with the natives repeatedly repelling
the Spanish army, the stronghold of Mixtó n fell to the Spaniards
and the rebellion was over.
Skirmishes continued, and by 1550, another war broke out
against the Chichimeca Indians. It lasted for forty years and led
the Spanish to take an approach of assimilation rather than
enslavement and abuse.
Key Terms
Chichimeca War
A military conflict between Spanish colonizers and their Indian

allies against a confederation of Chichimeca Indians. It was the
longest and most expensive conflict between Spaniards and the
indigenous peoples of New Spain in the history of the colony.
assimilation
The process by which a minority group gradually adapts to the

customs and attitudes of the prevailing culture and customs.
Mixtó n War
A war fought from 1540 until 1542 between the Caxcanes and
other semi-nomadic indigenous people of the area of
northwestern Mexico against Spanish invaders, including their
Aztec and Tlaxcalan allies.
Indigenous Uprisings in New

Spain
After the conquest of central Mexico, several major Indian revolts
challenged Spanish rule. The first was in 1541, the Mixtó n war, in
which the viceroy himself, Don Antonio de Mendoza, led an army
against the uprising by Caxcanes. The other was the 1680 Pueblo
revolt, in which Indians in 24 settlements in New Mexico expelled the
Spanish who left for Texas, an exile lasting a decade. The
Chichimeca war lasted over fifty years, 1550-1606, between the
Spanish and various indigenous groups of northern New Spain,
particularly in silver mining regions and the transportation trunk lines.
Non-sedentary or semi-sedentary Northern Indians were difficult to
control once they acquired horses. In 1616, the Tepehuan revolted
against the Spanish, but were quickly suppressed by the Spanish.
The Tarahumara Indians were in revolt in the mountains of
Chihuahua for several years. In 1670 Chichimecas invaded
Durango, and the governor, Francisco González, abandoned its
defense.
In the southern area of New Spain, the Tzeltal Maya and other
indigenous groups, including the Tzotzil and Chol, revolted in 1712.
It was a multiethnic revolt sparked by religious issues in several
communities. In 1704, viceroy Francisco Fernández de la Cueva
suppressed a rebellion of the Pima Indians in Nueva V izcaya.
Mix tó n W ar
The Mixtó n War was fought from 1540 until 1542 between the
Caxcanes and other semi-nomadic indigenous people of the area of
northwestern Mexico against Spanish invaders, including Aztec and
Tlaxcalan allies. The war was named after Mixtó n, a hill in the
southern part of Zacatecas state in Mexico that served as an
Indigenous stronghold.
Although other indigenous groups also fought against the Spanish in

the Mixtó n War, the Caxcanes were the “ heart and soul” of the
resistance. The Caxcanes lived in the northern part of the present-
day Mexican state of Jalisco, in southern Zacatecas and
Aquascalientes. They are often considered part of the Chichimeca, a
generic term used by the Spaniards and Aztecs for all the nomadic
and semi-nomadic Native Americans living in the deserts of northern
Mexico. However, the Caxcanes seem to have been sedentary,
depending upon agriculture for their livelihood and living in
permanent towns and settlements.
The first contact of the Caxcan and other indigenous peoples of the
northwestern Mexico with the Spanish was in 1529 when Nuñ o
Beltrán de Guzmán set forth from Mexico City with 300-400
Spaniards and 5,000 to 8,000 Azteca and Tlaxcalan allies on a
march through Nayarit, Jalisco, Durango, Sinaloa, and Zacatecas.
Over a six-year period, Guzmán, brutal even by the standards of the
day, killed, tortured, and enslaved thousands of Indians. Guzmán’s
policy was to "terrorize the natives with often unprovoked killing,
torture, and enslavement." Guzmán and his lieutenants founded
towns and Spanish settlements in the region, called Nueva Galicia,
including Guadalajara in or near the homeland of the Caxcanes. But
the Spaniards encountered increased resistance as they moved
further from the complex hierarchical societies of Central Mexico and
attempted to force Indians into servitude through the encomienda
system.
In Spring 1540, the Caxcanes and their allies struck back,

emboldened perhaps by the fact that Governor Francisco V ásquez
de Coronado had taken more than 1,600 Spaniards and Amerindian
allies from the region northward with him on his expedition to what
would become the southwestern United States. The province was
thus bereft of many of its most competent soldiers. The spark which
set off the war was the arrest of 18 rebellious Indian leaders and the
hanging of nine of them in mid-1540. Later in the same year, the
Indians rose up to kill, roast, and eat the encomendero Juan de
Arze. Spanish authorities also became aware that the Indians were
participating in “ devilish” dances. After killing two Catholic priests,
many Indians fled the encomiendas and took refuge in the
mountains, especially on the hill fortress of Mixtó n. Acting Governor
Cristobal de Oñ ate led a Spanish and Indian force to quell the
rebellion. The Caxcanes killed a delegation of one priest and ten
Spanish soldiers. Oñ ate attempted to storm Mixtó n, but the Indians
on the summit repelled his attack.
The V iceroy Antonio de Mendoza called upon the experienced

conquistador Pedro de Alvarado to assist in putting down the revolt.
Alvarado declined to await reinforcements and attacked Mixton in
June 1541 with 400 Spaniards and an unknown number of Indian
allies. He was met by an estimated 15,000 Indians under Tenamaztle
and Don Diego, a Zacateco Indian. The first attack of the Spanish
was repulsed with ten Spaniards and many Indian allies killed.
Subsequent attacks by Alvarado were also unsuccessful and on
June 24 he was crushed when a horse fell on him.
The Spanish authorities were now thoroughly alarmed and feared

that the revolt would spread. They assembled a force of 450
Spaniards and 30 to 60 thousand Aztec, Tlaxcalan and other Indians
and under V iceroy Antonio de Mendoza invaded the land of the
Caxcanes. With his overwhelming force, Mendoza captured the city
of Nochistlan and Tenamaztle, but the Indian leader later escaped.
Tenamaztle would remain at large as a guerrilla until 1550. In early
1542 the stronghold of Mixtó n fell to the Spaniards and the rebellion
was over.
The aftermath of the Indians' defeat was that “ thousands were

dragged off in chains to the mines, and many of the survivors (mostly
women and children) were transported from their homelands to work
on Spanish farms and haciendas.” By the viceroy's order, men,
women, and children were seized and executed, some by cannon
fire, some torn apart by dogs, and others stabbed. The reports of the
excessive violence against civilian Indians caused the Council of the
Indies to undertake a secret investigation into the conduct of the
viceroy.
Mix tó n W ar
V iceroy don Antonio de Mendoza and Tlaxcalan Indians battle with
the Caxcanes in the Mixtó n war, 1541-42 in Nueva Galicia.
An indigenous painting depicting the Mixton War. V iceroy Antonio de

Mendoza and Tlaxcalan Indians battle with the Caxcanes.
Chichimeca W ar
The Chichimeca War (1550–90) was a military conflict between
Spanish colonizers and their Indian allies against a confederation of
Chichimeca Indians. It was the longest and most expensive conflict
between Spaniards and the indigenous peoples of New Spain in the
history of the colony.
The Chichimeca wars began eight years after the Mixtó n War. It can
be considered a continuation of the rebellion as the fighting did not
halt in the intervening years. The war was fought in the Bajío region
known as La Gran Chichimeca, specifically in the Mexican states of
Zacatecas, Guanajuato, Aguascalientes, Jalisco, and San Luis
Potosí.
The conflict proved much more difficult and enduring than the
Spanish anticipated. The Chichimecas seemed primitive and
unorganized but proved a many-headed hydra. Although the
Spanish often attacked and defeated bands of Chichimecas,
Spanish military successes had little impact on other independent
groups who continued the war. The increase in number of Spanish
soldiers in the Gran Chichimeca was not entirely favorable to the war
effort as the soldiers often supplemented their income by slaving,
thus reinforcing the animosity of the Chichimeca. Moreover, the
Spanish were short of soldiers, often staffing their presidios with only
three Spaniards.
As the war continued unabated, it became clear that the Spanish

policy of a war of fire and blood had failed. The royal treasury was
emptied by the demands of the war. Churchmen and others who
initially supported the war of fire and blood now questioned the
policy. Mistreatment and enslavement of the Chichimeca by
Spaniards was increasingly seen as the cause of the war. In 1574,
the Dominicans, contrary to the Augustinians and Franciscans,
declared that the Chichimeca War was unjust and caused by
Spanish aggression. Thus, to end the conflict, the Spanish began to
work toward an effective counterinsurgency policy which rewarded
the Chichimeca for peaceful behavior while taking steps to assimilate
them.
The Spanish policy that evolved to pacify the Chichimecas had four
components: negotiation of peace agreements, converting Indians to
Christianity with missionaries, resettling Native Americans allies to
the frontier to serve as examples and role models, and providing
food, other commodities, and tools to potentially hostile Indians to
encourage them to become sedentary. This established the pattern
of Spanish policy for the assimilation of Native Americans on their
northern frontier. The principal components of the policy of peace by
purchase would continue for nearly three centuries and would not be
uniformly successful, as later threats from hostile Indians such as
Apaches and Comanches would demonstrate.
26.3.4: The Hidalgo Revolt

On September 16, 1810, a Criole priest named Miguel Hidalgo
issued the "Cry of Delores" from his pulpit, calling on the people to
revolt against the Spaniards. He then led a poorly organized army to
Mexico City, but retreated at the last minute, leading to defeat.
Learning Objective
Explain the goals of the Hidalgo Revolt
Key Points
Inspired by the American and French Revolutions, Mexican
insurgents who sought independence saw an opportunity in
1808 as the king abdicated in Madrid and Spain was
overwhelmed by war and occupation.
The rebellion began as a peasants' and miners' movement led
by a local priest Miguel Hidalgo y Costilla, for whom it is called
the Hidalgo revolt.
Hidalgo issued "The Cry of Dolores" on September 16, 1810,
when he called upon the townspeople to revolt; the day is
celebrated as Independence Day.
Shouting "Independence and death to the Spaniards! " Hidalgo
marched on the capital with a very large, poorly organized army.
Gathering more people along the way, Hidalgo's army,
supported by Spanish military captain Ignacio Allende,
continued to march successfully while killing Spaniards until
reaching Mexico City. Hidalgo then decided to retreat against
the advice of Allende, a choice that has puzzled historians
since.
The retreat is considered a tactical error, leading to the
suppression of the revolt and the execution of Hidalgo and
Allende.
Key Terms
hagiographic
A biography of a saint or an ecclesiastical leader in any of the

world's spiritual traditions. The term, especially in contemporary
times, is often used as a pejorative reference to biographies and
histories whose authors are perceived to be uncritical of or
reverential to their subject.
Ignacio Allende
A captain of the Spanish Army in Mexico who came to

sympathize with the Mexican independence movement. He
attended the secret meetings organized by Josefa Ortiz de
Domínguez where the possibility of an independent New Spain
was discussed. He fought along with Miguel Hidalgo y Costilla in
the first stage of the struggle, eventually succeeding him in
leadership of the rebellion.
Miguel Hidalgo y Costilla

A Mexican Roman Catholic priest and a leader of the Mexican
War of Independence.
Start of the Mex ican W ar of

Independence
The Mexican War of Independence was an armed conflict, the
culmination of a political and social process which ended the rule of
Spain in 1821 in the territory of New Spain. The war had its
antecedent in the French invasion of Spain in 1808; it extended from
the G rito de Dolores by Father Miguel Hidalgo y Costilla on
September 16, 1810, to the entrance of the Army of the Three
Guarantees led by Augustín de Iturbide to Mexico City on September
27, 1821. September 16 is celebrated as Mexican Independence
Day.
The movement for independence was inspired by the Age of

Enlightenment and the liberal revolutions of the last part of the 18th
century. By that time, the educated elite of New Spain began to
reflect on the relations between Spain and its colonial kingdoms.
Changes in the social and political structure occasioned by Bourbon
reforms and a deep economic crisis in New Spain caused discomfort
among the Creole (native-born) elite.
Political events in Europe had a decisive effect on events in most of

Spanish America. In 1808, King Charles IV and Ferdinand V II
abdicated in favor of French leader Napoleon Bonaparte, who left
the crown of Spain to his brother Joseph Bonaparte. The same year,
the ayuntamiento (city council) of Mexico City, supported by viceroy
José de Iturrigaray, claimed sovereignty in the absence of the
legitimate king. That led to a coup against the viceroy; when it was
suppressed, the leaders of the movement were jailed.
Despite the defeat in Mexico City, small groups of conspirators met

in other cities of New Spain to raise movements against colonial rule.
In 1810, after being discovered, Queré taro conspirators chose to
take up arms on September 16 in the company of peasants and
indigenous inhabitants of Dolores (Guanajuato), who were called to
action by the secular Catholic priest Miguel Hidalgo, former rector of
the Colegio de San Nicolás Obispo.
The Hidalgo Revolt

Miguel Hidalgo y Costilla, a priest and member of a group of
educated Criollos in Queré taro, hosted secret gatherings in his home
to discuss whether it was better to obey or to revolt against a
tyrannical government, as he defined the Spanish colonial
government in Mexico. Famed military leader Ignacio Allende was
among the attendees. In 1810, Hidalgo concluded that a revolt was
needed because of injustices against the poor of Mexico. By this
time, Hidalgo was known for his achievements at the prestigious San
Nicolás Obispo school in V alladolid (now Morelia), and later served
there as rector. He also became known as a top theologian. When
his older brother died in 1803, Hidalgo took over as priest for the
town of Dolores.
Hidalgo was in Dolores on September 15, 1810, with other rebel

leaders including commander Allende, when they learned their
conspiracy had been discovered. Hidalgo ran to the church, calling
for all the people to gather, where from the pulpit he called upon
them to revolt. They all shouted in agreement. They were a
comparatively small group and poorly armed with whatever was at
hand, including sticks and rocks. On the morning of September 16,
1810, Hidalgo called upon the remaining locals who happened to be
in the market, and again, from the pulpit, exhorted the people of
Dolores to join him. Most did; Hidalgo had a mob of some 600 men
within minutes. This became known as the G rito de Dolores or Cry of
Dolores.
Hidalgo's G rito didn't condemn the notion of monarchy or criticize the

current social order in detail, but his opposition to the events in Spain
and the current viceregal government was clearly expressed in his
reference to bad government. The Grito also emphasized loyalty to
the Catholic religion, a sentiment with which both Creoles and
Peninsulares could sympathize. Hidalgo was met with an outpouring
of support. Intellectuals, liberal priests and many poor people
followed Hidalgo with enthusiasm. Hidalgo also permitted Indians
and mestizos to join his war.
Hidalgo and Allende marched their little army through towns

including San Miguel and Celaya, where the angry rebels killed all
the Spaniards they found. Along the way they adopted the standard
of the V irgin of Guadalupe as their symbol and protector. When they
reached the town of Guanajuato on September 28, they found
Spanish forces barricaded inside the public granary. Among them
were some "forced" Royalists, Creoles who had served and sided
with the Spanish. By this time, the rebels numbered 30,000 and the
battle was horrific. They killed more than 500 Spanish and creoles,
and marched on toward Mexico City.
The V iceroy quickly organized a defense, sending out the Spanish

general Torcuato Trujillo with 1,000 men, 400 horsemen, and 2
cannons, all that could be found on such short notice. On October
30, Hidalgo's army encountered Spanish military resistance at the
Battle of Monte de las Cruces, fought them, and achieved victory.
When the cannons were captured by the rebels, the surviving
Royalists retreated to the City.
Despite having the advantage, Hidalgo retreated against the counsel

of Allende. This retreat on the verge of apparent victory has puzzled
historians and biographers ever since. They generally believe that
Hidalgo wanted to spare the numerous Mexican citizens in Mexico
City from the inevitable sacking and plunder that would have ensued.
His retreat is considered Hidalgo's greatest tactical error.
Rebel survivors sought refuge in nearby provinces and villages. The

insurgent forces planned a defensive strategy at a bridge on the
Calderó n River, pursued by the Spanish army. In January 1811,
Spanish forces fought the Battle of the Bridge of Calderó n and
defeated the insurgent army, forcing the rebels to flee towards the
United States-Mexican border, where they hoped to escape.
Unfortunately, they were intercepted by the Spanish army. Hidalgo

and his remaining soldiers were captured in the state of Coahuila at
the Wells of Baján (Norias de Baján). All of the rebel leaders were
found guilty of treason and sentenced to death, except for Mariano
Abasolo. He was sent to Spain to serve a life sentence in prison.
Allende, Jimé nez, and Aldama were executed on June 26, 1811,
shot in the back as a sign of dishonor. Hidalgo, as a priest, had to
undergo a civil trial and review by the Inquisition. He was eventually
stripped of his priesthood, found guilty, and executed on July 30. The
heads of Hidalgo, Allende, Aldama, and Jimé nez were preserved
and hung from the four corners of the granary of Guanajuato as a
warning to those who dared follow in their footsteps.
Following the execution of Hidalgo, José María Morelos took over

leadership of the insurgency. He achieved the occupation of the
cities of Oaxaca and Acapulco. In 1813, he convened the Congress
of Chilpancingo to bring representatives together and, on November
6 of that year, the Congress signed the first official document of
independence, known as the "Solemn Act of the Declaration of
Independence of Northern America." A long period of war followed.
In 1815, Morelos was captured by Spanish colonial authorities, tried,
and executed for treason.
Miguel Hidalgo y Costilla
An expressionistic painting of Miguel Hidalgo y Costilla, a priest who
led a major revolt against the ruling Spaniards in Mexico.
An expressionistic painting of Miguel Hidalgo y Costilla, a priest who

led a major revolt against the ruling Spaniards in Mexico. It depicts
him holding is left hand above his head and his right hand waving a
red flag. He stand atop a group of men also waving red flags.
Legacy and Analysis of the

Hidalgo Revolt
Father Hidalgo is today remembered as the Father of his Country,
the great hero of Mexico's War for Independence. There are
numerous hagiographic biographies about him.
The truth about Hidalgo is more complex. His was the first serious
insurrection on Mexican soil against Spanish authority, and his
achievements with a poorly armed mob were significant. He was a
charismatic leader and worked well with Allende despite their
differences. But Hidalgo's shortcomings have made historians ask,
"What if? " After decades of abuse of Creoles and poor Mestizos,
Hidalgo found that there was a vast well of resentment and hatred of
the Spanish government. He provided the catalyst for Mexico's poor
to vent their anger on the hated Spaniards, but his "army" was
impossible to manage or control.
His leadership decisions, most importantly his retreat from Mexico

City, contributed to his defeat. Historians can only speculate about
the result if Hidalgo had pushed into Mexico City in November 1810.
Hidalgo appeared to be too proud or stubborn to listen to the sound
military advice offered by Allende and others and press his
advantage.
Finally, Hidalgo's approval of the violent sacking and looting by his

forces in Guanajuato and other towns alienated the group most vital
to any independence movement: middle-class and wealthy Creoles
like himself. They were needed to develop a new identity and
government for Mexico, one that would allow Mexicans to break from
Spain.
Hidalgo achieved mythic status after his death. His martyrdom was
an example to others who picked up the fallen banner of freedom
and independence. He influenced later fighters such as José María
Morelos, Guadalupe V ictoria, and others. Today, Hidalgo's remains
are held in a Mexico City monument known as "the Angel of
Independence," along with other Revolutionary heroes.
26.3.5 : W inning Independence

Agustín de Iturbide, a military captain previously helped defeat
Hidalgo's army, led a conservative group of rebels against the
Spanish viceroy, achieving victory and independence on August 24,
1821, when both sides signed the Treaty of Cordoba.
Learning Objective
Discuss the state formed after Mexico achieved independence
Key Points
After the suppression of the Hidalgo Revolt, the war for
independence entered a new phase, which for the next six years
was characterized by fighting by small, isolated guerrilla bands.
In 1820, the conservative Creoles (American-born Spaniards)
joined the rebellion, led by Agustín de Iturbide, a military captain
who previously helped defeat Hidalgo's army.
The rebels formulated the "Plan of Iguala," demanding an
independent constitutional monarchy, a religious monopoly for
the Catholic Church, and equality for Spaniards and Creoles.
On September 27, 1821, Iturbide and the viceroy signed the
Treaty of Cordoba whereby Spain granted the demands and
withdrew.
On the night of May 18, 1822, a mass demonstration led by the
Regiment of Celaya, which Iturbide had commanded during the
war, marched through the streets and demanded their
commander-in-chief to accept the throne; the following day, the
congress declared Iturbide emperor of Mexico.
Key Terms
Agustín de Iturbide
A Mexican army general and politician. During the Mexican War

of Independence, he built a successful political and military
coalition that took control in Mexico City on September 27,
1821, decisively gaining independence for Mexico. After the
secession of Mexico was secured, he was proclaimed President
of the Regency in 1821. A year later, he was announced as the
Constitutional Emperor of Mexico, reigning briefly from May 19,
1822, to March 19, 1823. He is credited as the original designer
of the first Mexican flag.
Plan of Iguala
A revolutionary proclamation promulgated on February 24,

1821, in the final stage of the Mexican War of Independence
from Spain. The Plan stated that Mexico was to become a
constitutional monarchy whose sole official religion would be
Roman Catholicism. The Peninsulares and Creoles of Mexico
would enjoy equal political and social rights.
After the suppression of Hidalgo's revolt, from 1815 to 1821 most

fighting for independence from Spain was by small and isolated
guerrilla bands. From these, two leaders arose: Guadalupe V ictoria
(born José Miguel Fernández y Fé lix) in Puebla and V icente
Guerrero in Oaxaca, both of whom gained allegiance and respect
from their followers. Believing the situation under control, the
Spanish viceroy issued a general pardon to every rebel who would
lay down his arms. After ten years of civil war and the death of two of
its founders, by early 1820 the independence movement was
stalemated and close to collapse. The rebels faced stiff Spanish
military resistance and the apathy of many of the most influential
criollos.
In what was supposed to be the final government campaign against

the insurgents, in December 1820 V iceroy Juan Ruiz de Apodaca
sent a force led by a royalist criollo Colonel Agustín de Iturbide to
defeat Guerrero's army in Oaxaca. Iturbide, a native of V alladolid
(now Morelia), gained renown for his zeal against Hidalgo's and
Morelos's rebels during the early independence struggle. A favorite
of the Mexican church hierarchy, Iturbide symbolized conservative
criollo values; he was devoutly religious and committed to the
defense of property rights and social privileges. He also resented his
lack of promotion and failure to gain wealth.
Iturbide's assignment to the Oaxaca expedition coincided with a

successful military coup in Spain against the monarchy of Ferdinand
V II. The coup leaders, part of an expeditionary force assembled to
suppress the independence movements in the Americas, had turned
against the monarchy. They compelled the reluctant Ferdinand to
reinstate the liberal Spanish Constitution of 1812 that created a
constitutional monarchy. When news of the liberal charter reached
Mexico, Iturbide perceived it both as a threat to the status quo and a
catalyst to rouse the criollos to gain control of Mexico. The tides
turned when conservative Royalist forces in the colonies chose to
rise up against the liberal regime in Spain; it was a total turnaround
compared to their previous opposition to the peasant insurgency.
After an initial clash with Guerrero's forces, Iturbide assumed
command of the royal army. At Iguala, he allied his formerly royalist
force with Guerrero’s radical insurgents to discuss the renewed
struggle for independence.
While stationed in the town of Iguala, Iturbide proclaimed three

principles, or "guarantees," for Mexican independence from Spain.
Mexico would be an independent monarchy governed by King
Ferdinand, another Bourbon prince, or some other conservative
European prince; criollos would be given equal rights and privileges
to peninsulares (those born in Spain); and the Roman Catholic
Church in Mexico would retain its privileges and position as the
established religion of the land. After convincing his troops to accept
the principles, which were promulgated on February 24, 1821, as the
Plan of Iguala, Iturbide persuaded Guerrero to join his forces in
support of this conservative independence movement. A new army,
the Army of the Three Guarantees, was placed under Iturbide's
command to enforce the Plan of Iguala. The plan was so broadly
based that it pleased both patriots and loyalists. The goal of
independence and the protection of Roman Catholicism brought
together all factions.
Iturbide's army was joined by rebel forces from all over Mexico.
When the rebels' victory became certain, the V iceroy resigned. On
August 24, 1821, representatives of the Spanish crown and Iturbide
signed the Treaty of Có rdoba, which recognized Mexican
independence under the Plan of Iguala. On September 27, 1821, the
Army of the Three Guarantees entered Mexico City, and the
following day Iturbide proclaimed the independence of the Mexican
Empire, as New Spain would henceforth be called.
On the night of May 18, 1822, a mass demonstration led by the

Regiment of Celaya, which Iturbide had commanded during the war,
marched through the streets and demanded their commander-in-
chief to accept the throne. The following day, the congress declared
Iturbide emperor of Mexico. On October 31, 1822, Iturbide dissolved
Congress and replaced it with a sympathetic junta.
Agustí n de Iturbide
Oil painting of Agustín de Iturbide, leader of independence who was
declared Emperor Augustín I, in 1822 following independence.
The painting depicts Agustín de Iturbide dressed in military garb.
After Independence: The

Mex ican Empire
After independence, Mexican politics were chaotic. The presidency
changed hands 75 times in the next 55 years (1821–76).
The Spanish attempts to reconquer Mexico comprised episodes of

war between Spain and the new nation. The designation mainly
covers two periods: from 1821 to 1825 in Mexico's waters, and a
second period of two stages, including a Mexican plan to take the
Spanish-held island of Cuba between 1826 and 1828, and the 1829
landing of Spanish General Isidro Barradas in Mexico to reconquer
the territory. Although Spain never regained control of the country, it
damaged the fledgling economy.
The newly independent nation was in dire straits after 11 years of the
War of Independence. No plans or guidelines were established by
the revolutionaries, so internal struggles for control of the
government ensued. Mexico suffered a complete lack of funds to
administer a country of over 4.5 million km² , and faced the threats of
emerging internal rebellions and of invasion by Spanish forces from
their base in nearby Cuba.
Mexico now had its own government, but Iturbide quickly became a
dictator. He even had himself proclaimed emperor of Mexico,
copying the ceremony used by Napoleon when he proclaimed
himself emperor of France. No one was allowed to speak against
Iturbide. He filled his government with corrupt officials who became
rich by taking bribes and making dishonest business deals.
In 1822, Mexico annexed the Federal Republic of Central America,

which includes present-day Costa Rica, El Salvador, Guatemala,
Honduras, Nicaragua, and part of Chiapas.
26.3.6: The Archduke Max imilian in

Mex ico
Maximilian I of Mexico was an Austrian-born Archduke placed on the
throne of the Second Mexican Empire by Napoleon III of France,
who invaded Mexico in 1861.
Learning Objective
Critique Maximilian's efforts to establish a state in Mexico
Key Points
In 1862, the country was invaded by France to collect debts on
which that the Juárez government had defaulted, but the larger
purpose was to install a ruler under French control.
They chose a member of the Habsburg dynasty, Archduke
Ferdinand Maximilian of Austria, as Emperor of Mexico, with
support from the Catholic Church, conservative elements of the
upper class, and some indigenous communities.
Although the French suffered an initial defeat (the Battle of
Puebla on May 5, 1862, now commemorated as the Cinco de
Mayo holiday), the French eventually defeated the Mexican
army and set Maximilian on the throne.
Despite the aims of the French and the conservatives in Mexico,
Maximilian I was actually quite liberal and supported many of
the reforms initiated by president Juárez, including land reforms,
religious freedom, and extending the right to vote beyond the
landholding class.
Maximilian, too liberal for the conservatives and an enemy of the
liberals because he represented the monarchy, had few friends
in Mexico, despite his best efforts at positive reform.
The United States, who never recognized Maximilian, after the
end of the American Civil War pressured Napoleon III to
withdraw the French from Mexico, thereby ending the Second
Mexican Empire and ousting Maximilian.
Maximilian chose to remain in Mexico rather than return to
Europe and was captured and executed along with two Mexican
supporters on June 19, 1867.
Key Terms
Napoleon III
The only President (1848–52) of the French Second Republic

and the Emperor (1852–70) of the Second French Empire. He
was the nephew and heir of Napoleon I and the first president of
France to be elected by a direct popular vote. He was blocked
by the Constitution and Parliament from running for a second
term, so he organized a coup d'é tat in 1851 and then took the
throne as Emperor on December 2, 1852, the 48th anniversary
of Napoleon I's coronation. He remains the longest-serving
French head of state since the French Revolution.
Maximilian I
The only monarch of the Second Mexican Empire, a younger

brother of the Austrian emperor Francis Joseph I. After a
distinguished career in the Austrian Navy, he accepted an offer
by Napoleon III of France to rule Mexico.
Benito Juárez
A Mexican lawyer and politician of Zapotec origin from Oaxaca

who served as the president of Mexico for five terms: 1858–
1861 as interim, then 1861–1865, 1865–1867, 1867–1871, and
1871–1872 as constitutional president. He resisted the French
occupation of Mexico, overthrew the Second Mexican Empire,
restored the Republic, and used liberal measures to modernize
the country.
French Intervention in Mex ico

The War of the French Intervention was an invasion of Mexico in late
1861 by the Second French Empire, supported in the beginning by
the United Kingdom and Spain. It followed Mexican President Benito
Juárez's suspension of interest payments to foreign countries on
July 17, 1861, which angered these creditors of Mexico.
Emperor Napoleon III of France was the instigator, justifying military
intervention by claiming a broad foreign policy of commitment to free
trade. For him, a friendly government in Mexico would ensure
European access to Latin American markets. Napoleon also wanted
the silver that could be mined in Mexico to finance his empire.
Napoleon built a coalition with Spain and Britain while the U.S. was
deeply engaged in its civil war.
The three European powers signed the Treaty of London on October

31, 1861, to unite their efforts to receive payments from Mexico. On
December 8, the Spanish fleet and troops arrived at Mexico's main
port, V eracruz. When the British and Spanish discovered that France
planned to seize all of Mexico, they quickly withdrew from the
coalition.
The subsequent French invasion resulted in the Second Mexican

Empire. In Mexico, the French-imposed empire was supported by
the Roman Catholic clergy, many conservative elements of the upper
class, and some indigenous communities. Conservatives and many
in the Mexican nobility tried to revive the monarchy by bringing to
Mexico an archduke from the Royal House of Austria, Maximilian
Ferdinand, or Maximilian I. France had various interests in this
Mexican affair, such as seeking reconciliation with Austria, n
defeated during the Franco-Austrian War of 1859; counterbalancing
the growing American Protestant power by developing a powerful
Catholic neighboring empire; and exploiting the rich mines in the
northwest of the country.
After heavy guerrilla resistance led by Juárez, which never ceased

even after the capital had fallen to the French in 1863, the French
eventually withdrew from Mexico and Maximilian I was executed in
1867.
Max imilian I of Mex ico

Maximilian I was the only monarch of the Second Mexican Empire, a
younger brother of the Austrian emperor Francis Joseph I. After a
distinguished career in the Austrian Navy, he accepted an offer by
Napoleon III of France to rule Mexico. France invaded Mexico in the
winter of 1861, as part of the War of the French Intervention.
Seeking to legitimize French rule in the Americas, Napoleon III
invited Maximilian to establish a new Mexican monarchy for him.
With the support of the French army and a group of conservative
Mexican monarchists hostile to the liberal administration of new
Mexican President Benito Juárez, Maximilian traveled to Mexico.
Once there, he declared himself Emperor of Mexico on April 10,
1864.
Maximilian's consort was Empress Carlota of Mexico, and they

chose Chapultepec Castle as their home. The Imperial couple
noticed the mistreatment of Mexicans, especially Indians, and
wanted to ensure their human rights. One of Maximilian's first acts
as Emperor was to restrict working hours and abolish child labor. He
cancelled all debts over 10 pesos for peasants, restored communal
property, and forbade all forms of corporal punishment. He also
broke the monopoly of the Hacienda stores and decreed that
henceforth peons could no longer be bought and sold for the price of
their debt. By contrast, Napoleon III wanted to exploit the mines in
the northwest of the country and grow cotton.
Maximilian was a liberal, a fact that Mexican conservatives

seemingly did not know when he was chosen to head the
government. He favored the establishment of a limited monarchy
that would share power with a democratically elected congress.
Maximilian upheld several liberal policies proposed by the Juárez
administration, such as land reforms, religious freedom, and
extending the right to vote beyond the landholding class. At first,
Maximilian offered Juárez an amnesty if he would swear allegiance
to the crown, even offering the post of Prime Minister, which Juárez
refused. All these policies were too liberal for conservatives, while
liberals refused to accept any monarch, considering the republican
government of Benito Juárez legitimate. This left Maximilian with few
enthusiastic allies within Mexico. Meanwhile, Juárez remained head
of the republican government. He continued to be recognized by the
United States, which was engaged in its Civil War (1861–65) and at
that juncture was in no position to aid Juárez directly against the
French intervention until 1865.
France never made a profit in Mexico and its Mexican expedition

grew increasingly unpopular. Finally in the spring of 1865, after the
US Civil War was over, the U.S. demanded the withdrawal of French
troops from Mexico. Napoleon III quietly complied. In mid-1867,
despite repeated Imperial losses in battle to the Republican Army
and ever-decreasing support from Napoleon III, Maximilian chose to
remain in Mexico rather than return to Europe. He was captured and
executed along with two Mexican supporters on June 19, 1867,
immortalized in a famous painting by Eduard Manet. Juárez
remained in office until his death in 1872.
Maximilian has been praised by some historians for his liberal

reforms, his genuine desire to help the people of Mexico, his refusal
to desert his loyal followers, and his personal bravery during the
siege of Queré taro. However, other researchers consider him short-
sighted in political and military affairs and unwilling to restore
democracy in Mexico even during the imminent collapse of the
Second Mexican Empire.
É douard Manet's E xecution of
E m p eror Maxim ilian ( 18 68 – 18 69)
One of five versions of Manet's representation of the execution of the
Austrian-born Emperor of Mexico, which took place on June 19,
1867. Manet borrowed heavily, thematically and technically, from
Goya's The Third of May 1 8 0 8 .
É douard Manet's Execution of Emperor Maximilian (1868–1869), is

one of five versions of his representation of the execution of the
Austrian-born Emperor of Mexico, which took place on June 19,
1867. Manet borrowed heavily, thematically and technically, from
Goya's The Third of May 1808. It shows a group of military men in
uniform firing rifles at Maximilian and two other men.
Attributions
The Effect of Events in Europe on Mexico
"Kingdom of Spain under Joseph Bonaparte."
https://en.wikipedia.org/wiki/Kingdom_of_Spain_under_Jos
eph_Bonaparte. Wikipedia CC BY-SA 3.0.
"Spanish American wars of independence."
https://en.wikipedia.org/wiki/Spanish_American_wars_of_in
dependence. Wikipedia CC BY-SA 3.0.
"Peninsular War."
BY-SA 3.0.
"Joseph-Bonaparte.jpg."
https://commons.wikimedia.org/wiki/File:Joseph-
Bonaparte.jpg. Wikimedia Commons Public domain.
Spanish Rule in Mexico
"History of Mexico."
https://en.wikipedia.org/wiki/History_of_Mexico. Wikipedia
CC BY-SA 3.0.
"New Spain." https://en.wikipedia.org/wiki/New_Spain.
"Casta." https://en.wikipedia.org/wiki/Casta. Wikipedia CC
BY-SA 3.0.
"340px-Cabrera_15_Coyote.jpg."
https://commons.wikimedia.org/wiki/File:Cabrera_15_Coyot
e.jpg. Wikimedia Commons Public domain.
Indigenous Efforts Against Colonialism
"New Spain." https://en.wikipedia.org/wiki/New_Spain.
"Mixtó n War." https://en.wikipedia.org/wiki/Mixton_War.
"Chichimeca War."
https://en.wikipedia.org/wiki/Chichimeca_War. Wikipedia
CC BY-SA 3.0.
"440px-X ochipilla.jpg."
https://commons.wikimedia.org/wiki/File:X ochipilla.jpg.
The Hidalgo Revolt
"Cry of Dolores."
https://en.wikipedia.org/wiki/Cry_of_Dolores. Wikipedia CC
BY-SA 3.0.
"Miguel Hidalgo y Costilla."
https://en.wikipedia.org/wiki/Miguel_Hidalgo_y_Costilla.
"Mexican War of Independence."
https://en.wikipedia.org/wiki/Mexican_War_of_Independenc
"Orozco_Hidalgo_mural.jpg."
https://commons.wikimedia.org/wiki/File:Orozco_Hidalgo_m
ural.jpg. Wikimedia Commons Public domain.
Winning Independence
CC BY-SA 3.0.
"Mexican War of Independence."
https://en.wikipedia.org/wiki/Mexican_War_of_Independenc
"Agustín de Iturbide."
https://en.wikipedia.org/wiki/Agustin_de_Iturbide. Wikipedia
CC BY-SA 3.0.
"Agustin_de_Iturbide_Oleo_Primitivo_Miranda.png."
https://commons.wikimedia.org/wiki/File:Agustin_de_Iturbid
e_Oleo_Primitivo_Miranda.png. Wikimedia Commons
Public domain.
The Archduke Maximilian in Mexico
CC BY-SA 3.0.
"French intervention in Mexico."
https://en.wikipedia.org/wiki/French_intervention_in_Mexico
"Maximilian I of Mexico."
https://en.wikipedia.org/wiki/Maximilian_I_of_Mexico.
"440px-Edouard_Manet_022.jpg."
https://commons.wikimedia.org/wiki/File:Edouard_Manet_0
26.4: North America
26.4.1: The Rising Power of the United
States
After decades of western expansion and industrial development, by
1890 American production and per capita income exceeded that of
all other world nations. The U.S. also emerged as a major military
power after the Spanish-American War, exerting its influence
throughout the continent and beyond.
Learning Objective
Detail the increasing influence of the United States in the New World
Key Points
The American Revolutionary War was the first successful
colonial war of independence against a European power.
The Second Continental Congress adopted the Declaration of
Independence on July 4, 1776, which proclaimed in a long
preamble that humanity is created equal in their unalienable
rights and that those rights were not being protected by Great
Britain. It declared, in the words of the resolution, that the
Thirteen Colonies were independent states and had no
allegiance to the British crown in the United States.
Britain recognized the independence of the United States
following their defeat at Yorktown in 1781.
Americans' eagerness to expand westward prompted a long
series of American Indian Wars.
The Louisiana Purchase of French-claimed territory in 1803
almost doubled the nation's area.
A series of military incursions into Florida led Spain to cede it
and other Gulf Coast territory in 1819.
After the American Civil War, new transcontinental railways
made relocation easier for settlers, expanded internal trade, and
increased conflict with Native Americans.
Rapid economic development during the late 19th and early
20th centuries fostered the rise of many prominent industrialists.
The American economy boomed, becoming the world's largest,
and the United States achieved great status.
Key Terms
Gilded Age
A term that Mark Twain used to describe the period of the late
19th century with a dramatic expansion of American wealth and
prosperity, in which the rapid expansion of industrialization led to
real wage growth of 60% between 1860 and 1890, spread
across the ever-increasing labor force.
Spanish–American War
A conflict between Spain and the United States in 1898.

Hostilities began in the aftermath of the internal explosion of the
USS Maine in Havana harbor in Cuba, leading to United States
intervention in the Cuban War of Independence. American
acquisition of Spain's Pacific possessions led to its involvement
in the Philippine Revolution and ultimately in the Philippine-
American War.
Manifest Destiny
A widely held belief in the United States that its settlers were
destined to expand across North America. There are three basic
themes to manifest destiny: the special virtues of the American
people and their institutions; the mission of the United States to
redeem and remake the west in the image of agrarian America;
and an irresistible destiny to accomplish this essential duty.
Brief History of the U.S.

Through the 19th Century
In 1776, the Second Continental Congress declared the United
States a new, independent nation, no longer just a collection of
disparate colonies. With large-scale military and financial support
from France and military leadership by General George Washington,
the American Patriots won the Revolutionary War against the British,
confirming the new nation.
A peace treaty of 1783 gave the U.S. the land east of the Mississippi
River (except Florida and Canada). The central government
established by the Articles of Confederation proved ineffectual at
providing stability, as it had no authority to collect taxes and no
executive officer. Congress called a convention to meet secretly in
Philadelphia in 1787 and wrote a new Constitution, which was
adopted in 1789. In 1791, a Bill of Rights was added to guarantee
inalienable rights to all Americans. With Washington as the first
president and Alexander Hamilton his chief political and financial
adviser, a strong central government was created. When Thomas
Jefferson became president he purchased the Louisiana Territory
from France, doubling the size of the United States. A second and
final war with Britain was fought in 1812.
Encouraged by the notion of Manifest Destiny, federal territory

expanded all the way to the Pacific. The U.S. always was large in
terms of area, but its population was small: only 4 million in 1790.
Population growth was rapid, reaching 7.2 million in 1810, 32 million
in 1860, 76 million in 1900, 132 million in 1940, and 321 million in
2015. Economic growth in terms of overall gross domestic product
(GDP) was even faster. The expansion was driven by a quest for
inexpensive land for yeoman farmers and slave owners. The
expansion of slavery was increasingly controversial and fueled
political and constitutional battles that were resolved by
compromises. Slavery was abolished in all states north of the
Mason–Dixon line by 1804, but the South continued to profit off the
institution, producing high-value cotton exports to feed increasingly
high demand in Europe. The 1860 presidential election of
Republican Abraham Lincoln was on a platform of ending the
expansion of slavery and putting it on a path to extinction.
Seven cotton-based deep South slave states seceded and founded

the Confederacy months before Lincoln's inauguration. No nation
ever recognized the Confederacy, but it opened the war by attacking
Fort Sumter in 1861. A surge of nationalist outrage in the North
fueled a long, intense American Civil War (1861–1865). It was fought
largely in the South as the overwhelming material and manpower
advantages of the North proved decisive in a long war. The results
were restoration of the Union, the impoverishment of the South, and
the abolition of slavery. In the Reconstruction era (1863–1877), legal
and voting rights were extended to the freed slave. The national
government emerged much stronger, and because of the Fourteenth
Amendment in 1868, it gained the explicit duty to protect individual
rights. However, when white Democrats regained their power in the
South during the 1870s, often by paramilitary suppression of voting,
they passed Jim Crow laws to maintain white supremacy and new
disfranchising constitutions that prevented most African Americans
and many poor whites from voting. This situation that continued for
decades until gains of the civil rights movement in the 1960s and
passage of federal legislation to enforce constitutional rights.
W estward Ex pansion and

Manifest Destiny
Through wars and treaties; establishment of law and order; building
farms, ranches, and towns; marking trails and digging mines; and
pulling in great migrations of foreigners, the United States expanded
from coast to coast, fulfilling the dreams of Manifest Destiny.
From the early 1830s to 1869, the Oregon Trail and its many
offshoots were used by over 300,000 settlers. '49ers (in the
California Gold Rush), ranchers, farmers, and entrepreneurs and
their families headed to California, Oregon, and other points in the
far west. Wagon trains took five or six months on foot; after 1869, the
trip took sixdays by rail.
Manifest Destiny was the belief that the United States was
preordained to expand from the Atlantic coast to the Pacific coast.
The concept was expressed during Colonial times, but the term was
coined in the 1840s by a popular magazine which editorialized, "the
fulfillment of our manifest destiny...to overspread the continent
allotted by Providence for the free development of our yearly
multiplying millions." As the nation grew, manifest destiny became a
rallying cry for expansionists in the Democratic Party. In the 1840s
the Tyler and Polk administrations (1841–49) successfully promoted
this nationalistic doctrine. However, the Whig Party, which
represented business and financial interests, was opposed. Whig
leaders such as Henry Clay and Abraham Lincoln called for
deepening society through modernization and urbanization instead
of simple horizontal expansion. Starting with the annexation of
Texas, the expansionists had the upper hand. John Quincy Adams,
an anti-slavery Whig, felt the Texas annexation in 1845 to be "the
heaviest calamity that ever befell myself and my country."
Mexico became independent of Spain in 1821 and took over Spain's

northern possessions from Texas to California. The Spanish and
Mexican governments attracted American settlers to Texas with
generous terms. Tensions rose, however, after an abortive attempt to
establish the independent nation of Fredonia in 1826. William Travis,
leading the "war party," advocated for independence from Mexico,
while the "peace party" led by Austin attempted to get more
autonomy within the current relationship. Immigration continued and
30,000 Anglos with 3,000 slaves were settled in Texas by 1835. In
1836, the Texas Revolution erupted. Following losses at the Alamo
and Goliad, the Texans won the decisive Battle of San Jacinto to
secure independence. The U.S. Congress declined to annex Texas,
stalemated by contentious arguments over slavery and regional
power. Thus, the Republic of Texas remained an independent power
for nearly a decade before it was annexed as the 28th state in 1845.
The government of Mexico, however, viewed Texas as a runaway
province and asserted its ownership.
The latter half of the 19th century was marked by the rapid
development and settlement of the far West, first by wagon trains
and riverboats and then aided by the completion of the
transcontinental railroad. Large numbers of European immigrants
(especially from Germany and Scandinavia) took up low-cost or free
farms in the Prairie States. Mining for silver and copper opened up
the Mountain West. The United States Army fought frequent small-
scale wars with Native Americans as settlers encroached on their
traditional lands. Gradually the U.S. purchased the Native American
tribal lands and extinguished their claims, forcing most tribes onto
subsidized reservations.
Manifest Destiny
U.S. territorial acquisitions throughout U.S. history. The new nation
grew rapidly in population and area, as pioneers pushed the frontier
of settlement west.
A map depicting U.S. territorial acquisitions throughout U.S. history.
A Rising Power: American

Industrialism and Imperialism
The "Gilded Age" was a term that Mark Twain used to describe the
period of the late 19th century with a dramatic expansion of
American wealth and prosperity. The Gilded Age was an era of rapid
economic growth, especially in the North and West. As American
wages were much higher than those in Europe, especially for skilled
workers, the period saw an influx of millions of European immigrants.
The rapid expansion of industrialization led to real wage growth of
60% between 1860 and 1890, spread across the ever-increasing
labor force. The average annual wage per industrial worker
(including men, women and children) rose from $ 380 in 1880 to $ 564
in 1890, a gain of 48%. By 1890 American industrial production and
per capita income exceeded those of all other world nations.
However, the Gilded Age was also an era of abject poverty and
inequality as millions of immigrants—many from impoverished
European nations—poured into the United States, and the high
concentration of wealth became more visible and contentious.
Railroads were the major growth industry, with the factory system,
mining, and finance increasing in importance. Immigration from
Europe and the eastern states led to the rapid growth of the West,
based on farming, ranching and mining. Labor unions became
important in the rapidly growing industrial cities.
The United States emerged as a world economic and military power

after 1890. The main episode was the Spanish-American War, which
began when Spain refused American demands to reform its
oppressive policies in Cuba. The "splendid little war," as one official
called it, involved a series of quick American victories on land and at
sea. At the Treaty of Paris peace conference the United States
acquired the Philippines, Puerto Rico, and Guam.
Cuba became an independent country under close American

tutelage. Although the war itself was widely popular, the peace terms
proved controversial. William Jennings Bryan led his Democratic
Party in opposition to control of the Philippines, which he denounced
as imperialism unbecoming to American democracy. President
William McKinley defended the acquisition and was riding high as
the nation had returned to prosperity and felt triumphant in the war.
McKinley easily defeated Bryan in a rematch in the 1900 presidential
election.
After defeating an insurrection by Filipino nationalists, the United

States engaged in a large-scale program to modernize the economy
of the Philippines and dramatically upgrade the public health
facilities. By 1908, however, Americans lost interest in an empire and
turned their international attention to the Caribbean, especially the
building of the Panama Canal. In 1912 when Arizona became the
final mainland state, the American Frontier came to an end. The
canal opened in 1914 and increased trade with Japan and the rest of
the Far East. A key innovation was the Open Door Policy, in which
the imperial powers were given equal access to Chinese business,
with not one of them allowed to take control of China.
26.4.2: The Monroe Doctrine

The Monroe Doctrine, first expressed in 1823 by U.S. President
James Monroe, proclaimed that European powers should no longer
colonize or interfere in the Americas.
Learning Objective
Synthesize the Monroe Doctrine and its place in global affairs
Key Points
The Monroe Doctrine, first promoted in James Monroe's State of
the Union Address in 1823, stated that Europe should no longer
interfere in the affairs of the American continent, particularly
opposing any new colonial efforts.
At the same time, the doctrine noted that the United States
would recognize and not interfere with existing European
colonies nor meddle in the internal concerns of European
countries.
Initially, because the United States was not seen as a major
military power, the doctrine was largely ignored by Europe,
although Britain generally agreed with its terms for its own
reasons.
The doctrine was welcomed and applauded by most Latin
Americans, many of whom were in the midst of freeing
themselves from European colonialism.
In many instances, the United States did not intervene against
European actions in the Americas and thus the doctrine was
often not enforced. Later in the century, the United States
backed Cuba in their fight for independence from Spain in what
became the Spanish-American War.
Key Terms
Spanish–American War
A conflict fought between Spain and the United States in 1898.

Hostilities began in the aftermath of the internal explosion of the
USS Maine in Havana harbor in Cuba, leading to United States
intervention in the Cuban War of Independence. American
acquisition of Spain's Pacific possessions led to its involvement
in the Philippine Revolution and ultimately in the Philippine-
American War.
James Monroe
An American statesman who served as the fifth President of the

United States from 1817 to 1825. He was the last president who
was a founding father of the United States and the last president
from the V irginian dynasty and the Republican Generation. In
1823, he announced the United States' opposition to any
European intervention in the recently independent countries of
the Americas with the Monroe Doctrine, which became a
landmark in American foreign policy.
Pax Britannica
The period of relative peace in Europe (1815–1914) during

which the British Empire became the global hegemonic power
and adopted the role of a global police force.
The Monroe Doctrine was a U.S. policy of opposing European

colonialism in the Americas beginning in 1823. It stated that further
efforts by European nations to take control of any independent state
in North or South America would be viewed as "the manifestation of
an unfriendly disposition toward the United States." At the same
time, the doctrine noted that the United States would recognize and
not interfere with existing European colonies nor meddle in the
internal concerns of European countries. The Doctrine was issued in
1823 at a time when nearly all Latin American colonies of Spain and
Portugal had achieved or were at the point of gaining independence
from the Portuguese and Spanish Empires.
President James Monroe first stated the doctrine during his seventh
annual State of the Union Address to Congress. The term "Monroe
Doctrine" itself was coined in 1850. By the end of the 19th century,
Monroe's declaration was seen as a defining moment in the foreign
policy of the United States and one of its longest-standing tenets. It
would be invoked by many U.S. statesmen and several U.S.
presidents, including Ulysses S. Grant, Theodore Roosevelt, John F.
Kennedy, and Ronald Reagan.
The intent and impact of the Monroe Doctrine persisted with only
minor variations for more than a century. Its stated objective was to
free the newly independent colonies of Latin America from European
intervention and avoid situations that could make the New World a
battleground for the Old World powers, so that the United States
could exert its own influence undisturbed. The doctrine asserted that
the New World and the Old World were to remain distinctly separate
spheres of influence, for they were composed of entirely separate
and independent nations.
After 1898, Latin American lawyers and intellectuals reinterpreted

the Monroe doctrine in terms of multilateralism and non-intervention.
In 1933, under President Franklin Roosevelt, the United States went
along with the new reinterpretation, especially in terms of the
Organization of American States.
International Response
Because the United States lacked both a credible navy and army at
the time, the doctrine was largely disregarded internationally. Prince
Metternich of Austria was angered by the statement, and wrote
privately that the doctrine was a "new act of revolt" by the United
States that would grant "new strength to the apostles of sedition and
reanimate the courage of every conspirator."
The doctrine, however, met with tacit British approval. They enforced
it tactically as part of the wider Pax Britannica, which included
enforcement of the neutrality of the seas. This was in line with the
developing British policy of laissez-faire free trade against
mercantilism. Fast-growing British industry sought markets for its
manufactured goods, and if the newly independent Latin American
states became Spanish colonies again, British access to these
markets would be cut off by Spanish mercantilist policy.
The reaction in Latin America to the Monroe Doctrine was generally

favorable but in some occasions suspicious. Historian John Crow
states, "Simó n Bolívar himself, still in the midst of his last campaign
against the Spaniards, Santander in Colombia, Rivadavia in
Argentina, V ictoria in Mexico—leaders of the emancipation
movement everywhere—received Monroe's words with sincerest
gratitude." Crow argues that the leaders of Latin America were
realists. They knew that the President of the United States wielded
very little power at the time, particularly without the backing of the
British forces, and figured that the Monroe Doctrine was
unenforceable if the United States stood alone against the Holy
Alliance. While they appreciated and praised their support in the
north, they knew that the future of their independence was in the
hands of the British and their powerful navy. In 1826, Bolivar called
upon his Congress of Panama to host the first "Pan-American"
meeting. In the eyes of Bolivar and his men, the Monroe Doctrine
was to become nothing more than a tool of national policy. According
to Crow, "It was not meant to be, and was never intended to be a
charter for concerted hemispheric action."
Enforcement
In early 1843, the British reasserted their sovereignty over the
Falkland Islands. No action was taken by the United States, and
George C. Herring wrote that the inaction "confirmed Latin American
and especially Argentine suspicions of the United States." In 1838-
50 Argentina was blockaded by the French and later by the British.
No action was taken by the United States, despite protestations.
In 1842, U.S. President John Tyler applied the Monroe Doctrine to

Hawaii and warned Britain not to interfere there. This began the
process of annexing Hawaii to the United States.
On December 2, 1845, U.S. President James Polk announced that

the principle of the Monroe Doctrine should be strictly enforced,
reinterpreting it to argue that no European nation should interfere
with the American western expansion ("Manifest Destiny").
In 1862, French forces under Napoleon III invaded and conquered

Mexico, giving control to the puppet monarch Emperor Maximilian.
Washington denounced this as a violation of the doctrine but was
unable to intervene because of the American Civil War. This marked
the first time the Monroe Doctrine was widely referred to as a
"doctrine." In 1865 the United States stationed a large combat army
on the border to emphasize its demand that France leave. France
did pull out, and Mexican nationalists executed Maximilian.
In 1862, Belize was turned into a crown colony of the British empire
and renamed British Honduras. The United States took no action
against Britain, either during or after the Civil War.
In the 1870s, President Ulysses S. Grant and his Secretary of State

Hamilton Fish endeavored to supplant European influence in Latin
America with that of the United States. In 1870, the Monroe Doctrine
was expanded under the proclamation "hereafter no territory on this
continent [ referring to Central and South America] shall be regarded
as subject to transfer to a European power."
In 1898, the United States intervened in support of Cuba during its

war for independence from Spain. The United States won what is
known in the United States as the Spanish-American War and in
Cuba as the Cuban War for Independence. Under the terms of the
peace treaty from which Cuba was excluded, Spain ceded Puerto
Rico, the Philippines, and Guam to the United States in exchange for
$ 20 million. Cuba came under U.S. control and remained so until it
was granted formal independence in 1902.
Spanish-American W ar
Spanish–American War, the result of U.S. intervention in the Cuban
War of Independence, which released Cuba from European
influence as per the Monroe Doctrine.
A painting depicting Teddy Roosevelt atop a horse leading soldier

through a field during the Spanish-American War.
26.4.3: The Canadian Confederation

In 1867, the Province of Canada was joined with two other British
colonies, New Brunswick and Nova Scotia, through Confederation,
forming a self-governing entity named Canada.
Learning Objective
Describe the Canadian Confederation
Key Points
The Confederation of Canada emerged from multiple impulses.
The British wanted Canada to defend itself; British-Canadian
nationalism sought to unite the lands into one country,
dominated by the English language and British culture; and the
fear of possible U.S. expansion northward.
On a political level, there was a desire for the expansion of
responsible government and elimination of the legislative
deadlock between Upper and Lower Canada, and their
replacement with provincial legislatures in a federation.
Unification had been discussed as early 1839, but it was not
until the 1860s that terms of federation were officially on the
table.
In 1864, there were two important conferences to discuss
federation, the Charlottetown Conference and the Quebec
Conference. Those who attended are referred to as the Fathers
of Confederation.
The resolutions decided at the Quebec Conference laid out the
framework for uniting British colonies in North America into a
federation, officially put into effect by Queen V ictoria on March
29, 1867, with a royal proclamation.
While confederation eventually resulted in Canada having more
autonomy, it was far from full independence from the United
Kingdom.
Key Terms
Fathers of Confederation
The 36 people who attended at least one of the Charlottetown

(23 attendees) and Quebec (33) Conferences in 1864 and the
London Conference of 1866 (16) in England, preceding
Canadian Confederation.
Dominion
A semi-independent polity under the British Crown constituting

the British Empire, beginning with Canadian Confederation in
1867. They included Canada, Australia, New Zealand,
Newfoundland, South Africa, and the Irish Free State, and from
the late 1940s also India, Pakistan, and Ceylon (now Sri Lanka).
Background
In the 1860s, the British were concerned with the possibility of an
American assault on Canada in the wake of the American Civil War.
Britain also feared that American settlers might expand to the north,
into land that was technically British but sparsely settled. There were
also problems with raids into Canada launched by the Fenian
Brotherhood, a group of Irish Americans who wanted to pressure
Britain into granting independence to Ireland. Canada was already
essentially a self-governing colony since the 1840s, and Britain no
longer felt it was worth the expense of keeping it as a colony. Both
sides would be better off politically and economically if Canada was
independent. These factors led to the first serious discussions about
real political union in Canada. However, there were internal political
obstacles to overcome first. The Province of Canada had little
success in keeping a stable government for any period of time; the
Tories, led by John A. Macdonald and George-É tienne Cartier, were
constantly at odds with the "Clear Grits" led by George Brown. In
1864, the two parties decided to unite in the "Great Coalition." This
was an important step towards Confederation.
Meanwhile, the colonies farther east—Nova Scotia, New Brunswick,

Prince Edward Island, and Newfoundland—were also discussing a
political union. Representatives from the Province of Canada joined
them at the Charlottetown Conference in Charlottetown, Prince
Edward Island in 1864 to discuss a union of all the colonies, and
these discussions extended into the Quebec Conference of 1864.
Canadian Confederation
The Canadian Confederation was the process by which the British
colonies of Canada, Nova Scotia, and New Brunswick were united
into one Dominion of Canada on July 1, 1867. Upon Confederation,
the old province of Canada was divided into Ontario and Quebec;
along with Nova Scotia and New Brunswick, the new federal state
was thus composed of four provinces. Over the years since
Confederation, Canada has seen numerous territorial changes and
expansions, resulting in the current configuration of ten provinces
and three territories.
Technically, Canada is a federation and not a confederate

association of sovereign states. It is nevertheless often considered to
be among the world's more decentralized federations.
The Seventy-Two Resolutions from the 1864 Quebec Conference

and Charlottetown Conference laid out the framework for uniting
British colonies in North America into a federation. They were
adopted by the majority of the provinces of Canada and became the
basis for the London Conference of 1866, which led to the formation
of the Dominion of Canada on July 1, 1867. The term dominion was
chosen to indicate Canada's status as a self-governing colony of the
British Empire, the first time it was used in reference to a country.
With the passage of the British North America Act enacted by the
British Parliament, the Province of Canada, New Brunswick, and
Nova Scotia became a federated kingdom in its own right.
Confederation was accomplished when the Queen gave royal assent

to the British North America Act (BNA Act) on March 29, 1867,
followed by a royal proclamation stating: "We do ordain, declare, and
command that on and after the First day of July, One Thousand
Eight Hundred and Sixty-seven, the Provinces of Canada, Nova
Scotia, and New Brunswick, shall form and be One Dominion, under
the name of Canada." That act, which united the Province of Canada
with the colonies of New Brunswick and Nova Scotia, came into
effect on July 1 that year. It replaced the Act of Union (1840) that
previously unified Upper Canada and Lower Canada into the united
Province of Canada. Separate provinces were re-established under
their current names of Ontario and Quebec. July 1 is now celebrated
as a public holiday, Canada Day, the country's official National Day.
The form of the country's government was influenced by the

American republic to the south. Noting the flaws in the American
system, the Fathers of Confederation opted to retain a monarchical
form of government.
While the BNA Act eventually resulted in Canada having more

autonomy than before, it was far from fully independent from the
United Kingdom. Defense of British North America became a
Canadian responsibility. Foreign policy remained in British hands,
the Judicial Committee of the Privy Council remained Canada's
highest court of appeal, and the constitution could be amended only
in Britain.
Gradually, Canada gained more autonomy, and in 1931, obtained

almost full autonomy within the British Commonwealth with the
Statute of Westminster. Because the provinces of Canada were
unable to agree on a constitutional amending formula, this power
remained with the British Parliament. In 1982, the constitution was
patriated when Elizabeth II gave her royal assent to the Canada Act
1982. The Constitution of Canada is made up of a number of
codified acts and uncodified traditions; one of the principal
documents is the Constitution Act, 1982, which renamed the BNA
Act 1867 to Constitution Act, 1867.
Fathers of Confederation
1885 photo of Robert Harris' 1884 painting, Conference at Q uebec in
1 8 6 4 , to settle the basics of a union of the British North American
Provinces, also known as The Fathers of Confederation. The original
painting was destroyed in the 1916 Parliament Buildings Centre
Block fire. The scene is an amalgamation of the Charlottetown and
Quebec City conference sites and attendees.
1885 photo of Robert Harris' 1884 painting, Conference at Quebec in

1864, to settle the basics of a union of the British North American
Provinces, also known as The Fathers of Confederation. It depicts a
room filled with a few dozen men, sitting and standing around a
conference table.
Attributions
The Rising Power of the United States
"Gilded Age." https://en.wikipedia.org/wiki/Gilded_Age.
"Manifest destiny."
https://en.wikipedia.org/wiki/Manifest_destiny. Wikipedia
CC BY-SA 3.0.
"American frontier."
https://en.wikipedia.org/wiki/American_frontier. Wikipedia
CC BY-SA 3.0.
"History of the United States."
https://en.wikipedia.org/wiki/History_of_the_United_States.
"U.S._Territorial_Acquisitions.png."
https://commons.wikimedia.org/wiki/File:U.S._Territorial_Ac
quisitions.png. Wikimedia Commons Public domain.
The Monroe Doctrine
"Monroe Doctrine."
https://en.wikipedia.org/wiki/Monroe_Doctrine. Wikipedia
CC BY-SA 3.0.
"West_minstrel_jubilee_rough_riders.jpg."
https://commons.wikimedia.org/wiki/File:West_minstrel_jubil
ee_rough_riders.jpg. Wikimedia Commons Public domain.
The Canadian Confederation
"History of Canada."
https://en.wikipedia.org/wiki/History_of_Canada. Wikipedia
CC BY-SA 3.0.
"Canadian Confederation."
https://en.wikipedia.org/wiki/Canadian_Confederation.
"Fathers_of_Confederation_LAC_c001855.jpg."
https://commons.wikimedia.org/wiki/File:Fathers_of_Confed
eration_LAC_c001855.jpg. Wikimedia Commons Public
domain.
27 : European Imperialism in
East Asia
27 .1: The Last Chinese Dynasty
27 .1.1: The Qing Dynasty
At the peak of the Qing dynasty (1644-1912), China ruled more than
one-third of the world's population, had the largest economy in the
world, and by area was one of the largest empires ever.
Learning Objective
Describe the lifespan of the Qing Dynasty
Key Points
The Qing dynasty was the last imperial dynasty in China. What
would become the Manchu state was founded by Nurhaci, the
chieftain of a minor Jurchen tribe known as Aisin Gioro in
Jianzhou (Manchuria) in the early 17th century. Originally a
vassal of the Ming emperors, Nurhachi embarked on an
intertribal feud in 1582 that escalated into a campaign to unify
the nearby tribes. In 1635, Nurchaci's son and successor
Huangtaiji changed the name of the Jurchen ethnic group to the
Manchu.
In 1618, Nurhachi announced the Seven Grievances and began
to rebel against the Ming domination, effectively a declaration of
war. Relocating his court to Liaodong in 1621 brought Nurhachi
in close contact with the Khorchin Mongol domains on the plains
of Mongolia. The Khorchin proved a useful ally in the war. Two
of Nurhaci's critical contributions were ordering the creation of a
written Manchu script based on the Mongolian and the creation
of the civil and military administrative system, which eventually
evolved into the Eight Banners.
At the same time, the Ming dynasty was fighting for its survival.
Ming government officials fought against each other, against
fiscal collapse, and against a series of peasant rebellions. In
1644, Beijing fell to a rebel army led by Li Zicheng. During the
turmoil, the last Ming emperor hanged himself on a tree in the
imperial garden outside the Forbidden City. Li Zicheng, a former
minor Ming official, established a short-lived Shun dynasty.
Under the reign of Dorgon, whom historians have called "the
mastermind of the Qing conquest" and "the principal architect of
the great Manchu enterprise," the Qing continued to subdue all
areas previously under the Ming. The decades of Manchu
conquest caused enormous loss of lives and the economy of
China shrank drastically. In total, the Qing conquest of the
Ming (1618–1683) cost as many as 25 million lives.
The Qianlong reign (1735–96) saw the dynasty's apogee and
initial decline in prosperity and imperial control. The population
rose to some 400 million, but taxes and government revenues
were fixed at a low rate, virtually guaranteeing eventual fiscal
crisis. Corruption set in, rebels tested government legitimacy,
and ruling elites did not change their mindsets in the face of
changes in the world system.
The early Qing emperors adopted the bureaucratic structures
and institutions from the preceding Ming dynasty but split rule
between Han Chinese and Manchus, with some positions also
given to Mongols. Like previous dynasties, the Qing recruited
officials via the imperial examination system until it was
abolished in 1905. To keep routine administration from
subsuming the running of the empire, the Qing emperors made
sure that all important matters were decided in the Inner Court,
dominated by the imperial family and Manchu nobility.
Key Terms
Forbidden City
The Chinese imperial palace from the Ming dynasty to the end
of the Qing dynasty (1420 to 1912). It is located in the center of
Beijing, China, and now houses the Palace Museum. It served
as the home of emperors and their households as well as the
ceremonial and political center of Chinese government for
almost 500 years.
Ten Great Campaigns
A series of military campaigns launched by the Qing Empire of

China in the mid to late 18th century during the reign of the
Qianlong Emperor (1735–96). They included three campaigns to
enlarge the area of Qing control in Central Asia and seven
police actions on frontiers already established.
Revolt of the Three Feudatories
A rebellion lasting from 1673 to 1681 in the Qing dynasty (1644–

1912) during the early reign of the Kangxi Emperor (1661–
1722). The revolt was led by the three lords of the fiefdoms in
Yunnan, Guangdong, and Fujian provinces against the Qing
central government.
Eight Banners
Administrative/military divisions under the Qing dynasty into

which all Manchu households were placed. In war, they
functioned as armies, but the system was also the basic
organizational framework of Manchu society. Created in the
early 17th century by Nurhaci, the armies played an
instrumental role in his unification of the fragmented Jurchen
people (later renamed the Manchus) and in the Qing dynasty's
conquest of the Ming dynasty.
Seven Grievances
A manifesto announced by Nurhaci in 1618. It enumerated

grievances and effectively declared war against the Ming
dynasty.
Qing dynasty
The last imperial dynasty of China, ruling from 1644 to 1912 with
a brief, abortive restoration in 1917. It was preceded by the Ming
dynasty and succeeded by the Republic of China. Its multi-
cultural empire lasted almost three centuries and formed the
territorial base for the modern Chinese state.
Rise to Power
The Qing dynasty (1644–1911) was the last imperial dynasty in
China. It was founded not by Han Chinese, who constitute the
majority of the Chinese population, but by a sedentary farming
people known as the Jurchen. What would become the Manchu
state was founded by Nurhaci, the chieftain of a minor Jurchen tribe
known as Aisin Gioro in Jianzhou (Manchuria) in the early 17th
century. Originally a vassal of the Ming emperors, Nurhachi
embarked on an intertribal feud in 1582 that escalated into a
campaign to unify the nearby tribes. By 1616, he sufficiently
consolidated Jianzhou to be able to proclaim himself Khan of the
Great Jin, in reference to the previous Jurchen dynasty. In 1635,
Nurchaci's son and successor Huangtaiji changed the name of the
Jurchen ethnic group to the Manchu.
In 1618, Nurhachi announced the Seven Grievances, a document

that enumerated grievances against the Ming, and began to rebel
against the Ming domination. Nurhaci's demand that the Ming pay
tribute to him to redress the grievances was effectively a declaration
of war, as the Ming were not willing to pay a former tributary. Shortly
after, Nurhaci began to invade the Ming in Liaoning in southern
Manchuria. After a series of successful battles, he relocated his
capital from Hetu Ala to successively bigger captured Ming cities in
Liaodong Peninsula: first Liaoyang in 1621, then Shenyang
(Mukden) in 1625.
Relocating his court to Liaodong brought Nurhachi in close contact
with the Khorchin Mongol domains on the plains of Mongolia.
Nurhachi's policy towards the Khorchins was to seek their friendship
and cooperation against the Ming, securing his western border from
a powerful potential enemy. Further, the Khorchin proved a useful
ally in the war, lending the Jurchens their expertise as cavalry
archers. To guarantee this new alliance, Nurhachi initiated a policy of
inter-marriages between the Jurchen and Khorchin nobilities. This is
a typical example of Nurhachi initiatives that eventually became
official Qing government policy. During most of the Qing period, the
Mongols gave military assistance to the Manchus.
Two of Nurhaci's critical contributions were ordering the creation of a

written Manchu script based on the Mongolian after the earlier
Jurchen script was forgotten and the creation of the civil and military
administrative system, which eventually evolved into the Eight
Banners, the defining element of Manchu identity. The Eight Banners
were administrative/military divisions under the Qing dynasty into
which all Manchu households were placed. In war, the Eight Banners
functioned as armies, but the banner system was also the basic
organizational framework of Manchu society. The banner armies
played an instrumental role in his unification of the fragmented
Jurchen people and in the Qing dynasty's conquest of the Ming
dynasty.
At the same time, the Ming dynasty was fighting for its survival. Ming
government officials fought against each other, against fiscal
collapse, and against a series of peasant rebellions. In 1640,
masses of Chinese peasants who were starving, unable to pay their
taxes, and no longer in fear of the frequently defeated Chinese army
began to form huge bands of rebels. The Chinese military, caught
between fruitless efforts to defeat the Manchu raiders from the north
and huge peasant revolts in the provinces, essentially fell apart.
Unpaid and unfed, the army was defeated by Li Zicheng – now self-
styled as the Prince of Shun. In 1644, Beijing fell to a rebel army led
by Li Zicheng when the city gates were opened from within. During
the turmoil, the last Ming emperor hanged himself on a tree in the
imperial garden outside the Forbidden City. Li Zicheng, a former
minor Ming official, established a short-lived Shun dynasty.
Decisive Battle of Shanhai Pass in

1644 that led to the formation of the
Qing dynasty
At the Battle of Shanhai Pass, Qing Prince-Regent Dorgon allied
with former Ming general Wu Sangui to defeat rebel leader Li
Zicheng of the Shun dynasty, allowing Dorgon and the Manchus to
rapidly conquer Beijing and replace the Ming dynasty.
A Ming dynasty map of Shanhaiguan, the final decisive Manchu vs.

Ming battle.
Qing Empire
Under the reign of Dorgon, whom historians have called "the
mastermind of the Qing conquest" and "the principal architect of the
great Manchu enterprise," the Qing eventually subdued the capital
area, received the capitulation of Shandong local elites and officials,
and conquered Shanxi and Shaanxi, then turned their eyes to the
rich commercial and agricultural region of Jiangnan south of the
lower Yangtze River. They also wiped out the last remnants of rival
regimes (Li Zicheng was killed in 1645). Finally, they managed to kill
claimants to the throne of the Southern Ming in Nanjing (1645) and
Fuzhou (1646) and chased Zhu Youlang, the last Southern Ming
emperor, out of Guangzhou (1647) and into the far southwestern
reaches of China.
Over the next half-century, all areas previously under the Ming
dynasty were consolidated under the Qing. X injiang, Tibet, and
Mongolia were also formally incorporated into Chinese territory.
Between 1673 and 1681, the Kangxi Emperor suppressed the Revolt
of the Three Feudatories, an uprising of three generals in Southern
China denied hereditary rule of large fiefdoms granted by the
previous emperor. In 1683, the Qing staged an amphibious assault
on southern Taiwan, bringing down the rebel Kingdom of Tungning,
which was founded by the Ming loyalist Koxinga in 1662 after the fall
of the Southern Ming and had served as a base for continued Ming
resistance in Southern China. The Qing defeated the Russians at
Albazin, resulting in the Treaty of Nerchinsk. The Russians gave up
the area north of the Amur River as far as the Stanovoy
Mountains and kept the area between the Argun River and Lake
Baikal. This border along the Argun River and Stanovoy Mountains
lasted until 1860. The decades of Manchu conquest caused
enormous loss of lives and the economy of China shrank drastically.
In total, the Qing conquest of the Ming (1618–1683) cost as many as
25 million lives.
Dorgon ( 1612 – 165 0) , also known as
Hoš oi Mergen Cin W ang, the Prince
Rui, was Nurhaci's 14th son and a
prince of the Qing Dynasty
Because of his own political insecurity, Dorgon ruled in the name of
the emperor at the expense of rival Manchu princes, many of whom
he demoted or imprisoned under one pretext or another. Although
the period of his regency was relatively short, Dorgon cast a long
shadow over the Qing dynasty.
The Ten Great Campaigns of the Qianlong Emperor from the 1750s
to the 1790s extended Qing control into Central Asia. The early
rulers maintained their Manchu ways and while their title was
Emperor, they used khan to the Mongols and were patrons of
Tibetan Buddhism. They governed using Confucian styles and
institutions of bureaucratic government and retained the imperial
examinations to recruit Han Chinese to work under or in parallel with
Manchus. They also adapted the ideals of the tributary system in
dealing with neighboring territories.
The Qianlong reign (1735–96) saw the dynasty's apogee and initial
decline in prosperity and imperial control. The population rose to
some 400 million, but taxes and government revenues were fixed at
a low rate, virtually guaranteeing eventual fiscal crisis. Corruption set
in, rebels tested government legitimacy, and ruling elites did not
change their mindsets in the face of changes in the world system.
Still, by the end of Qianlong Emperor's long reign, the Qing Empire
was at its zenith. China ruled more than one-third of the world's
population and had the largest economy in the world. By area it was
one of the largest empires ever.
Government
The early Qing emperors adopted the bureaucratic structures and
institutions from the preceding Ming dynasty but split rule between
Han Chinese and Manchus, with some positions also given to
Mongols. Like previous dynasties, the Qing recruited officials via the
imperial examination system until the system was abolished in 1905.
The Qing divided the positions into civil and military positions. Civil
appointments ranged from an attendant to the emperor or a Grand
Secretary in the Forbidden City (highest) to prefectural tax collector,
deputy jail warden, deputy police commissioner, or tax examiner.
Military appointments ranged from a field marshal or chamberlain of
the imperial bodyguard to third class sergeant, corporal, or first or
second class private.
The formal structure of the Qing government centered on the

Emperor as the absolute ruler, who presided over six boards
(Ministries), each headed by two presidents and assisted by four
vice presidents. In contrast to the Ming system, however, Qing ethnic
policy dictated that appointments be split between Manchu
noblemen and Han officials who had passed the highest levels of the
state examinations. The Grand Secretariat, a key policy-making
body under the Ming, lost its importance during the Qing and evolved
into an imperial chancery. The institutions inherited from the Ming
formed the core of the Qing Outer Court, which handled routine
matters and was located in the southern part of the Forbidden City.
In order to keep routine administration from taking over the empire,

the Qing emperors made sure that all important matters were
decided in the Inner Court, dominated by the imperial family and
Manchu nobility and located in the northern part of the Forbidden
City. The core institution of the inner court was the Grand Council. It
emerged in the 1720s under the reign of the Yongzheng Emperor as
a body charged with handling Qing military campaigns against the
Mongols, but soon took over other military and administrative duties
and centralized authority under the crown. The Grand Councillors
served as a sort of privy council to the emperor.
27 .1.2: Society Under the Qing

Under Qing rule, the empire's population expanded rapidly and
migrated extensively, the economy grew, and arts and culture
flourished, but the development of the military gradually weakened
central government's grip on the country.
Learning Objective
Describe the characteristics of Qing society
Key Points
During the early and mid-Qing period, the population grew
rapidly and was remarkably mobile. Evidence suggests that the
empire's expanding population moved in a manner
unprecedented in Chinese history. Migrants relocated hoping for
either permanent resettlement or, at least in theory, a temporary
stay.
The Qing society was divided into five relatively closed estates.
The elites consisted of the estates of the officials, the
comparatively minuscule aristocracy, and the intelligentsia.
There also existed two major categories of ordinary citizens: the
"good" and the "mean."
In the 18th century, markets continued to expand but with more
trade between regions, a greater dependence on overseas
markets, and a greatly increased population. The government
broadened land ownership by returning land that was sold to
large landowners in the late Ming period by families unable to
pay the land tax. To give people more incentive to participate in
the market, the tax burden was reduced and the corvé e system
replaced with a head tax used to hire laborers. The relative
peace and import of new crops to China from the Americas
contributed to population growth.
The early Qing military was rooted in the Eight Banners first
developed by Nurhaci. During Qianlong's reign, the emperor
emphasized Manchu ethnicity, ancestry, language, and culture
in the Eight Banners, and in 1754 started a mass discharge of
Han bannermen. This led to a change from Han majority to a
Manchu majority within the Eight Banner system. The eventual
decision to turn the banner troops into a professional force led to
their decline.
After a series of military defeats in the mid-19th century, the
Qing court ordered a Chinese official, Zeng Guofan, to organize
regional and village militias into an emergency army. Zeng
Guofan relied on local gentry to raise a new type of military
organization, known as the X iang Army. The X iang Army and its
successor the Huai Army were collectively called the Yong Ying
(Brave Camp). The Yong Ying system signaled the end of
Manchu dominance in Qing military establishment.
Under the Qing, traditional forms of art flourished and
innovations developed rapidly. High levels of literacy, a
successful publishing industry, prosperous cities, and the
Confucian emphasis on cultivation all fed a lively and creative
set of cultural fields, including literature, fine arts, and even
cuisine.
Key Terms
Eight Banners
Administrative/military divisions under the Qing dynasty into

which all Manchu households were placed. In war, they
functioned as armies, but the system was also the basic
organizational framework of Manchu society. Created in the
early 17th century by Nurhaci, the armies played an
instrumental role in his unification of the fragmented Jurchen
people (later renamed the Manchus) and in the Qing dynasty's
conquest of the Ming dynasty.
Great Divergence
A term coined by Samuel Huntington (also known as the

European miracle, a term coined by Eric Jones in 1981),
referring to the process by which the Western world (i.e.
Western Europe and the parts of the New World where its
people became the dominant populations) overcame pre-
modern growth constraints and emerged during the 19th century
as the most powerful and wealthy world civilization of all time,
eclipsing Qing China, Mughal India, Tokugawa Japan, Joseon
Korea, and the Ottoman Empire.
X iang Army
A standing army organized by Zeng Guofan from existing

regional and village militia forces to contain the Taiping
rebellion in Qing China (1850 to 1864). The name is taken from
the Hunan region where the army was raised. It was financed
through local nobles and gentry as opposed to the centralized
Manchu-led Qing dynasty. Although it was raised specifically to
address problems in Hunan, the army formed the core of the
new Qing military establishment and thus forever weakened the
Manchu influence within the military.
Green Standard Army
A category of military units under the control of the Qing

dynasty. It was made up mostly of ethnic Han soldiers and
operated concurrently with the Manchu-Mongol-Han Eight
Banner armies. In areas with a high concentration of Hui people,
Muslims served as soldiers. After the Qing consolidated control
over China, it was primarily used as a police force.
Yong Ying
A type of regional army that emerged in the 1800s in Qing

dynasty army, which fought in most of China's wars after the
Opium War and numerous rebellions exposed the
ineffectiveness of the Manchu Eight Banners and Green
Standard Army. It was created from the earlier tuanlian militias.
During the early and mid-Qing period, the population grew rapidly
and was remarkably mobile. Evidence suggests that the empire's
expanding population moved in a manner unprecedented in Chinese
history. Migrants relocated hoping for either permanent resettlement
or at least in theory, a temporary stay. The latter included the
empire's increasingly large and mobile manual workforce, its densely
overlapping internal diaspora of merchant groups, and the
movement of Qing subjects overseas, largely to Southeastern Asia,
in search of trade and other economic opportunities.
The Qing society was divided into five relatively closed estates. The
elites consisted of the estates of the officials, the comparatively
minuscule aristocracy, and the intelligentsia. There also existed two
major categories of ordinary citizens: the "good" and the "mean."
The majority of the population belonged to the first category and
were described as liangmin, a legal term meaning good people, as
opposed to j ianmin meaning the mean (or ignoble) people. Qing law
explicitly stated that the traditional four occupational groups of
scholars, farmers, artisans, and merchants were "good," with the
status of commoners. On the other hand, slaves or bonded servants,
entertainers (including prostitutes and actors), and low-level
employees of government officials were the "mean" people,
considered legally inferior to commoners.
Economy
By the end of the 17th century, the Chinese economy had recovered
from the devastation caused by the wars in which the Ming dynasty
were overthrown. In the 18th century, markets continued to expand
but with more trade between regions, a greater dependence on
overseas markets, and a greatly increased population. After the re-
opening of the southeast coast, which was closed in the late 17th
century, foreign trade was quickly re-established and expanded at
4% per annum throughout the latter part of the 18th century. China
continued to export tea, silk, and manufactures, creating a large,
favorable trade balance with the West. The resulting inflow of silver
expanded the money supply, facilitating the growth of competitive
and stable markets.
The government broadened land ownership by returning land that

was sold to large landowners in the late Ming period by families
unable to pay the land tax. To give people more incentives to
participate in the market, the tax burden was reduced in comparison
with the late Ming and the corvé e system replaced with a head tax
used to hire laborers. A system of monitoring grain prices eliminated
severe shortages and enabled the price of rice to rise slowly and
smoothly through the 18th century. Wary of the power of wealthy
merchants, Qing rulers limited their trading licenses and usually
banned new mines, except in poor areas. Some scholars see these
restrictions on the exploitation of domestic resources and limits
imposed on foreign trade as a cause of the Great Divergence by
which the Western world overtook China economically.
By the end of the 18th century the population had risen to 300 million
from approximately 150 million during the late Ming dynasty. This
rise is attributed to the long period of peace and stability in the 18th
century and the import of new crops China received from the
Americas, including peanuts, sweet potatoes, and maize. New
species of rice from Southeast Asia led to a huge increase in
production. Merchant guilds proliferated in all of the growing Chinese
cities and often acquired great social and even political influence.
Rich merchants with official connections built up huge fortunes and
patronized literature, theater, and the arts. Textile and handicraft
production boomed.
Military
The early Qing military was rooted in the Eight Banners first
developed by Nurhaci to organize Jurchen society beyond petty clan
affiliations. The banners were differentiated by color. The yellow,
bordered yellow, and white banners were known as the Upper Three
Banners and remained under the direct command of the emperor.
The remaining banners were known as the Lower Five Banners.
They were commanded by hereditary Manchu princes descended
from Nurhachi's immediate family. Together, they formed the ruling
council of the Manchu nation as well as high command of the army.
Nurhachi's son Hong Taiji expanded the system to include mirrored
Mongol and Han Banners. After capturing Beijing in 1644, the
relatively small Banner armies were further augmented by the Green
Standard Army, made up of Ming troops who had surrendered to the
Qing. They eventually outnumbered Banner troops three to one.
They maintained their Ming-era organization and were led by a mix
of Banner and Green Standard officers.
Banner armies were organized along ethnic lines, namely Manchu

and Mongol, but including non-Manchu bonded servants registered
under the household of their Manchu masters. During Qianlong's
reign, the Qianlong Emperor emphasized Manchu ethnicity, ancestry,
language, and culture in the Eight Banners, and in 1754 started a
mass discharge of Han bannermen. This led to a change from Han
majority to a Manchu majority within the Eight Banner system. The
eventual decision to turn the banner troops into a professional force
led to its decline as a fighting force.
Soldiers of the blue banner parading

in front of Emperor Qianlong
Initially, Nurhaci's forces were organized into small hunting parties of
about a dozen men related by blood, marriage, clan, or place of
residence, as was the Jurchen custom. In 1601, Nurhaci reorganized
his troops. Four banners were originally created: Yellow, White, Red,
and Blue, each named after the color of its flag. In 1615, the number
of banners was doubled through the creation of "bordered" banners.
The troops of each of the original four banners would be split
between a plain and a bordered banner. The bordered variant of
each flag was to have a red border, except for the Bordered Red
Banner, which had a white border instead.
After a series of military defeats in the mid-19th century, the Qing

court ordered a Chinese official, Zeng Guofan, to organize regional
and village militias into an emergency army. He relied on local gentry
to raise a new type of military organization that became known as
the X iang Army, named after the Hunan region where it was raised.
The X iang Army was a hybrid of local militia and a standing army. It
was given professional training, but was paid for out of regional
coffers and funds its commanders – mostly members of the Chinese
gentry – could muster. The X iang Army and its successor, the Huai
Army, created by Zeng Guofan's colleague and mentee Li
Hongzhang, were collectively called the Yong Ying (Brave Camp).
The Yong Ying system signaled the end of Manchu dominance in
Qing military establishment. The fact that the corps were financed
through provincial coffers and were led by regional commanders
weakened central government's grip on the whole country. This
structure fostered nepotism and cronyism among its commanders,
who laid the seeds of regional warlordism in the first half of the 20th
century.
Arts and Culture

Under the Qing, traditional forms of art flourished and innovations
developed rapidly. High levels of literacy, a successful publishing
industry, prosperous cities, and the Confucian emphasis on
cultivation all fed a lively and creative set of cultural fields.
The Qing emperors were generally adept at poetry, often skilled in

painting, and offered their patronage to Confucian culture. The
Kangxi and Qianlong emperors, for instance, embraced Chinese
traditions both to control the people and proclaim their own
legitimacy. Imperial patronage encouraged literary and fine arts as
well as the industrial production of ceramics and Chinese export
porcelain. However, the most impressive aesthetic works were by
the scholars and urban elite. Calligraphy and painting remained a
central interest to both court painters and scholar-gentry who
considered the arts part of their cultural identity and social standing.
Literature grew to new heights in the Qing period. Poetry continued

as a mark of the cultivated gentleman, but women wrote in larger
numbers and poets came from all walks of life. The poetry of the
Qing dynasty is a field studied (along with the poetry of the Ming
dynasty) for its association with Chinese opera, developmental
trends of classical Chinese poetry, the transition to a greater role for
vernacular language, and poetry by women in Chinese culture. In
drama, the most prestigious form became the so-called Peking
opera, although local and folk opera were also widely popular. Even
cuisine became a form of artistic expression. Works that detailed the
culinary aesthetics and theory, along with a wide range of recipes,
were published.
A full-page delicate gouache painting
showing the daily life of family of the
officials in the Qing Dynasty. The
image is bordered by a bright blue silk
ribbon.
The Qing emperors generously supported the arts and sciences. For
example, the Kangxi Emperor sponsored the Peiwen Y unfu, a rhyme
dictionary published in 1711, and the K angx i Dictionary published in
1716, which remains to this day an authoritative reference. The
Qianlong Emperor sponsored the largest collection of writings in
Chinese history, the Siku Q uanshu, completed in 1782. Court
painters made new versions of the Song masterpiece, Zhang
Zeduan's Along the River During the Q ingming Festival, whose
depiction of a prosperous and happy realm demonstrated the
beneficence of the emperor.
By the end of the 19th century, all elements of national artistic and
cultural life recognized and began to come to terms with world
culture as found in the West and Japan. Whether to stay within old
forms or welcome Western models was now a conscious choice
rather than an unchallenged acceptance of tradition.
27 .1.3: The Qing Dynasty and the

W est
The Qing dynasty tightly controlled its relations with Western
governments by carefully limiting European states' access to the
Chinese market and establishing foreign relations based on
traditions that emphasized the superiority of China.
Learning Objective
Examine the early interactions between the Qing and Western
governments
Key Points
The imperial Chinese tributary system was the network of trade
and foreign relations between China and its tributaries. It
consisted almost entirely of mutually beneficial economic
relationships; member states were politically autonomous and
usually independent. This system was the primary instrument of
diplomatic exchange throughout the Imperial Era. While most
member states of the system during the Qing rule were smaller
Asian states, Great Britain, the Netherlands, and Portugal sent
tributes to China at the time.
British ships began to appear sporadically around the coasts of
China from 1635. However, trade began to flourish after the
Qing dynasty relaxed maritime trade restrictions in the 1680s
and after Taiwan came under Qing control in 1683. Even
rhetoric regarding the tributary status of Europeans was muted.
Official British trade was conducted through the auspices of the
British East India Company, which gradually came to dominate
Sino-European trade from its position in India.
From 1700–1842, the port of Guangzhou (Canton) came to
dominate maritime trade with China, and this period became
known as the Canton System. From the inception of the Canton
System in 1757, goods from China were extremely lucrative for
European and Chinese merchants alike. However, foreign
traders were only permitted to do business through a body of
Chinese merchants known as the Cohong and were restricted to
Canton.
While silk and porcelain drove trade through their popularity in
the west, an insatiable demand for tea existed in Britain.
However, only silver was accepted in payment by China, which
resulted in a chronic trade deficit. Britain had been on the gold
standard since the 18th century, so it had to purchase silver
from continental Europe and Mexico. By 1817, the British
realized they could reduce the trade deficit and make the Indian
colony profitable by counter-trading in narcotic Indian opium, a
critical decision for China's future relations with the West.
An issue facing Western embassies to China was the act of
prostration known as the kowtow. Western diplomats
understood that kowtowing meant accepting the superiority of
the Emperor of China over their own monarchs, an act they
found unacceptable. Unlike other European partners, China did
not deal with Russia through the Ministry of Tributary Affairs, but
rather through the same ministry as the Mongols, seen by the
Chinese as a problematic partner.
The Chinese worldview changed very little during the Qing
dynasty as China's sinocentric perspectives continued to be
informed and reinforced by deliberate policies and practices
designed to minimize evidence of its growing weakness and
West's evolving power. However, the consequences of the
Opium Wars would change everything.
Key Terms
The imperial Chinese tributary system
The network of trade and foreign relations between China and

its tributaries, which helped to shape much of East Asian affairs.
It consisted almost entirely of mutually beneficial economic
relationships, with politically autonomous and usually
independent member states. It facilitated frequent economic and
cultural exchange.
kowtow
The act of deep respect shown by prostration: kneeling and

bowing so low as to have one's head touching the ground. In
East Asian culture, it is the highest sign of reverence and is
widely used for one's elders, superiors, and especially the
emperor, as well as for religious and cultural objects of worship.
Opium Wars
Two wars in the mid-19th century (1839–1842 and 1856–1860)

involving Anglo-Chinese disputes over British trade in
China and China's sovereignty. The wars and events between
them weakened the Qing dynasty and forced China to trade with
the rest of the world.
British East India Company
An English and later British joint-stock company formed to

pursue trade with the East Indies but in actuality trading mainly
with the Indian subcontinent and Qing China.
Imperial Chinese Tributary
System
The imperial Chinese tributary system was the network of trade and
foreign relations between China and its tributaries, which helped to
shape much of East Asian affairs. Contrary to other tribute systems
around the world, the Chinese system consisted almost entirely of
mutually beneficial economic relationships. Member states of the
system were politically autonomous and usually independent. The
system shaped foreign policy and trade for over 2,000 years of
imperial China's economic and cultural dominance of the region and
thus played a huge role in the history of Asia, particularly East Asia.
The tributary system was the primary instrument of diplomatic
exchange throughout the Imperial Era. While most member states of
the system during the Qing rule were smaller Asian states , Great
Britain, the Netherlands, and Portugal also sent tributes to China.
European Trade with Qing

China
British ships began to appear sporadically around the coasts of
China from 1635. Without establishing formal relations through the
tributary system, British merchants were allowed to trade at the ports
of Zhoushan and X iamen in addition to Guangzhou (Canton).
However, trade began to flourish after the Qing dynasty relaxed
maritime trade restrictions in the 1680s and after Taiwan came under
Qing control in 1683. Even rhetoric about the tributary status of
Europeans was muted. Official British trade was conducted through
the auspices of the British East India Company, which held a royal
charter for trade with the Far East. The British East India Company
gradually came to dominate Sino-European trade from its position in
India.
Guangzhou (Canton) was the port of preference for most foreign
trade. From 1700–1842, Guangzhou came to dominate maritime
trade with China, and this period became known as the Canton
System. From the inception of the Canton System in 1757, trade in
goods from China was extremely lucrative for European and Chinese
merchants alike. However, foreign traders were only permitted to do
business through a body of Chinese merchants known as the
Cohong and were restricted to Canton. Foreigners could only live in
one of the Thirteen Factories, a neighborhood along the Pearl
River in southwestern Guangzhou, and were not allowed to enter,
much less live or trade in, any other part of China.
While silk and porcelain drove trade through popularity in the west,
an insatiable demand for tea existed in Britain. However, only silver
was accepted in payment by China, which resulted in a chronic trade
deficit. From the mid-17th century, around 28 million kilograms of
silver were received by China, principally from European powers, in
exchange for Chinese goods. Britain had been on the gold standard
since the 18th century, so it had to purchase silver from continental
Europe and Mexico to supply the Chinese appetite for silver.
Attempts at the end of the 18th and the beginning of the 19th
centuries by a British embassy (twice), a Dutch mission, and Russia
to negotiate more expansive access to the Chinese market were all
vetoed by successive Emperors. By 1817, the British realized they
could reduce the trade deficit and turn the Indian colony profitable by
counter-trading in narcotic Indian opium. The Qing administration
initially tolerated opium importation because it created an indirect tax
on Chinese subjects while allowing the British to double tea exports
from China to England, thereby profiting the monopoly on tea
exports held by the Qing imperial treasury and its agents. The
increasingly complex opium trade would eventually become a source
of a military conflict between the Qing dynasty and Britain (Opium
Wars).
View of the E urop ean
factories in C anton by W illiam Daniell,
late 18 th/ early 19th century, National
Maritime Museum, Greenwich.
Canton City (Guangzhou), with the Pearl River and the several of
the Thirteen Factories of the Europeans. These warehouses and
stores were the principal and sole legal site of most Western trade
with China from 1757 to 1842.
Foreign Relations
An issue facing Western embassies to China was the act of
prostration known as the kowtow. Western diplomats understood that
kowtowing meant accepting the superiority of the Emperor of China
over their own monarchs, an act they found unacceptable. The
British embassies of George Macartney (1793) and William Pitt
Amherst (1816) were unsuccessful at negotiating the expansion of
trade and interstate relations, partly because kowtowing would mean
acknowledging their king as a subject of the Emperor. Dutch
ambassador Isaac Titsingh did not refuse to kowtow during the
course of his 1794–1795 mission to the imperial court of the
Qianlong Emperor. The members of the Titsingh mission made every
effort to conform with the demands of complex Imperial court
etiquette.
In 1665, Russian explorers met the Manchus in present-day

northeastern China. Using the common language of Latin, which the
Chinese knew from Jesuit missionaries, the Kangxi Emperor of
China and Tsar Peter I of the Russian Empire negotiated the Treaty
of Nerchinsk in 1689. This delineated the borders between Russia
and China, some sections of which still exist today. China did not
deal with Russia through the Ministry of Tributary Affairs, but rather
through the same ministry as the Mongols (seen by the Chinese as a
problematic partner), which served to acknowledge Russia's status
as a nontributary nation.
C anton Harbor and Factories with
Foreign Flags, unknown Chinese
artists, c. 18 05 , Peabody Essex
Museum.
Under the Canton System, between 1757 and 1842, Western
merchants in China were restricted to live and conduct business only
in the approved area of the port of Guangzhou and through a
government-approved merchant houses. Their factories formed a
tight-knit community, which the historian Jacques Downs called a
"golden ghetto" because it was both isolated and lucrative.
The Chinese worldview changed very little during the Qing dynasty
as China's sinocentric perspectives continued to be informed and
reinforced by deliberate policies and practices designed to minimize
evidence of its growing weakness and West's evolving power. After
the Titsingh mission, no further non-Asian ambassadors were even
allowed to approach the Qing capital until the consequences of the
Opium Wars changed everything.
27 .1.4: The Opium W ars

The Opium Wars undermined China's traditional mechanisms of
foreign relations and controlled trade. This made it possible for
Western powers, particularly Britain, to exercise influence over
China's economy and diplomatic relations.
Learning Objective
Evaluate the Opium Wars and the motivations of the imperial powers
in bringing opium to China
Key Points
After the British gained control over the Bengal Presidency in
the mid-18th century, the former monopoly on opium production
held by the Mughal emperors passed to the East India
Company. To redress the trade imbalance with China, the EIC
began auctions of opium in Calcutta and saw its profits soar
from the opium trade. Since importation of opium into China had
been virtually banned, the EIC established a complex trading
scheme of both legal and illicit markets.
A porous Chinese border and rampant local demand facilitated
trade. By the 1820s, China was importing 900 long tons of
Bengali opium annually. In addition to the drain of silver, by 1838
the number of Chinese opium addicts had grown to between
four and 12 million and the Daoguang Emperor demanded
action.
The Emperor sent the leader of the hard line faction, Special
Imperial Commissioner Lin Zexu, to Canton, where he quickly
arrested Chinese opium dealers and summarily demanded that
foreign firms turn over their stocks with no compensation. When
they refused, Lin stopped trade altogether and placed the
foreign residents under virtual siege in their factories.
The First Opium War over the trade and diplomatic relations
between Imperial China and Britain began in 1839. It quickly
revealed the outdated state of the Chinese military. The Qing
surrender in 1842 marked a decisive, humiliating blow to China.
The Treaty of Nanking demanded war reparations and forced
China to open up the Treaty Ports of Canton, Amoy, Fuchow,
Ningpo, and Shanghai to western trade and missionaries and
cede Hong Kong Island to Britain.
The Second Opium War, triggered by further British demands,
began in 1856 and ended with the 1860 Convention of Beijing.
The British, French, and Russians were all granted a permanent
diplomatic presence in Beijing. The Chinese had to pay 8 million
taels to Britain and France. Britain acquired Kowloon, next to
Hong Kong. The opium trade was legalized and Christians were
granted full civil rights, including the right to own property and to
evangelize. The treaty also ceded parts of Outer Manchuria to
the Russian Empire.
The terms of the treaties ending the Opium Wars undermined
China's traditional mechanisms of foreign relations and methods
of controlled trade. More ports were opened for trade and Hong
Kong was seized by the British to become a free and open port.
Tariffs were abolished, preventing the Chinese from raising
future duties to protect domestic industries, and extraterritorial
practices exempted Westerners from Chinese law. In 1858,
opium was legalized. The Qing dynasty never recovered from
the defeat and the Western powers exercised more and more
control over Imperial China.
Key Terms
Treaty of Nanjing
A peace treaty that ended the First Opium War (1839–42)

between the United Kingdom and the Qing dynasty of China,
signed in August 1842. It ended the old Canton System and
created a new framework for China's foreign relations and
overseas trade that would last for almost 100 years. From the
Chinese perspective, the most injurious terms were the fixed
trade tariff, extraterritoriality, and the most favored
nation provisions. It was the first of what the Chinese later called
the uneq ual treaties in which Britain had no obligations in return.
Treaty of Tientsin
A collective name for several documents signed in 1858 that

ended the first phase of the Second Opium War. The Qing,
Russian, and Second French Empires, the United Kingdom, and
the United States were the parties involved. These unequal
treaties opened more Chinese ports to foreign trade, permitted
foreign legations in the Chinese capital Beijing, allowed
Christian missionary activity, and legalized the import of opium.
They were ratified by the Emperor of China in the Convention of
Peking in 1860 after the end of the war.
East India Company

pursue trade with the East Indies but in actuality trading mainly
with the Indian subcontinent and Qing China.
Century of Humiliation
The period of intervention and imperialism by Western powers

and Japan in China between 1839 and 1949. It arose in 1915 in
the atmosphere of increased Chinese nationalism.
Convention of Beijing
An agreement comprising three distinct treaties between the

Qing Empire (China) and the United Kingdom, France, and
Russia in 1860, which ended the Second Opium War.
Second Opium War
A war pitting the British Empire and the French Empire against
the Qing dynasty of China, lasting from 1856 to 1860.
First Opium War
An 1839–1842 war fought between the United Kingdom and the

Qing dynasty over their conflicting viewpoints on diplomatic
relations, trade, and the administration of justice for foreign
nationals in China.
Opium Trade in China

The history of opium in China began with the use of opium for
medicinal purposes during the 7th century. In the 17th century, the
practice of mixing opium with tobacco for smoking spread from
Southeast Asia, creating a far greater demand.
After the British gained control over the Bengal Presidency, the
largest colonial subdivision of British India, in the mid-18th century,
the former monopoly on opium production held by the Mughal
emperors passed to the East India Company (EIC) under the The
East India Company Act, 1793. However, the EIC was £ 28 million in
debt, partly as a result of the insatiable demand for Chinese tea in
the UK market. Chinese tea had to be paid for in silver, so silver
supplies had to be purchased from continental Europe and Mexico.
To redress the imbalance, the EIC began auctions of opium in
Calcutta and saw its profits soar from the opium trade. Considering
that importation of opium into China had been virtually banned by
Chinese law, the EIC established an elaborate trading scheme,
partially relying on legal markets and partially leveraging illicit ones.
British merchants bought tea in Canton on credit and balanced their
debts by selling opium at auction in Calcutta. From there, the opium
would reach the Chinese coast hidden aboard British ships and was
smuggled into China by native merchants.
In 1797, the EIC further tightened its grip on the opium trade by
enforcing direct trade between opium farmers and the British and
ending the role of Bengali purchasing agents. British exports of
opium to China grew from an estimated 15 long tons in 1730 to 75
long tons in 1773 shipped in over 2,000 chests. The Qing dynasty
Jiaqing Emperor issued an imperial decree banning imports of the
drug in 1799. Nevertheless, by 1804, the British trade deficit with
China turned into a surplus, leading to seven million silver dollars
going to India between 1806 and 1809. Meanwhile, Americans
entered the opium trade with less expensive but inferior Turkish
opium and by 1810 had around 10% of the trade in Canton.
In the same year the emperor issued a further imperial edict

prohibiting the use and trade of opium. The decree had little effect.
The Qing government, far away in Beijing in the north of China, was
unable to halt opium smuggling in the southern provinces. A porous
Chinese border and rampant local demand facilitated the trade and
by the 1820s, China was importing 900 long tons of Bengali opium
annually. The opium trafficked into China was processed by the EIC
at its two factories in Patna and Benares. In the 1820s, opium from
Malwa in the non-British controlled part of India became available
and as prices fell due to competition, production was stepped up.
In addition to the drain of silver, by 1838 the number of Chinese

opium addicts had grown to between four and 12 million and the
Daoguang Emperor demanded action. Officials at the court who
advocated legalizing and taxing the trade were defeated by those
who advocated suppressing it. The Emperor sent the leader of the
hard line faction, Special Imperial Commissioner Lin Zexu, to
Canton, where he quickly arrested Chinese opium dealers and
summarily demanded that foreign firms turn over their stocks with no
compensation. When they refused, Lin stopped trade altogether and
placed the foreign residents under virtual siege in their factories. The
British Superintendent of Trade in China Charles Elliot got the British
traders to agree to hand over their opium stock with the promise of
eventual compensation for their loss from the British government.
While this amounted to a tacit acknowledgment that the British
government did not disapprove of the trade, it also placed a huge
liability on the exchequer. This promise and the inability of the British
government to pay it without causing a political storm was an
important casus belli for the subsequent British offensive.
Two poor Chinese opium smokers.
Gouache painting on rice-paper, 19th
century.
Initially used by medical practitioners to control bodily fluid and
preserve q i or vital force, during the Ming dynasty (1368–1644),
opium also functioned as an aphrodisiac. First listed as a taxable
commodity in 1589, opium remained legal until the early Qing
dynasty.
First Opium W ar
In October 1839, the Thomas Coutts arrived in China and sailed to
Canton. The ship was owned by Quakers, who refused to deal in
opium. The ship's captain, Warner, believed Elliot had exceeded his
legal authority by banning the signing of the "no opium trade" bond
and negotiated with the governor of Canton, hoping that all British
ships could unload their goods at Chuenpi, an island near Humen.
To prevent other British ships from following the Thomas Coutts,
Elliot ordered a blockade of the Pearl River. Fighting began on
November 3, 1839, when a second British ship, the Royal Saxon,
attempted to sail to Canton. Then the British Royal Navy ships
HMS V olage and HMS Hyacinth fired warning shots at the Royal
Sax on. The Qing navy's official report claimed that the navy
attempted to protect the British merchant vessel and reported a
victory for that day. In reality, they had been overtaken by the Royal
Naval vessels and many Chinese ships were sunk.
The First Opium War revealed the outdated state of the Chinese
military. The Qing navy was severely outclassed by the modern
tactics and firepower of the British Royal Navy. British soldiers, using
advanced muskets and artillery, easily outmaneuvered and
outgunned Qing forces in ground battles. The Qing surrender in
1842 marked a decisive, humiliating blow to China. The Treaty of
Nanking demanded war reparations, forced China to open up the
Treaty Ports of Canton, Amoy, Fuchow, Ningpo, and Shanghai to
western trade and missionaries, and to cede Hong Kong Island to
Britain. It revealed weaknesses in the Qing government and
provoked rebellions against the regime.
Second Opium W ar
The 1850s saw the rapid growth of Western imperialism. Some
shared goals of the western powers were the expansion of their
overseas markets and the establishment of new ports of call. To
expand their privileges in China, Britain demanded the Qing
authorities renegotiate the 1842 Treaty of Nanking, citing their most
favored nation status. The British demands included opening all of
China to British merchant companies, legalizing the opium trade,
exempting foreign imports from internal transit duties, suppression of
piracy, regulation of the coolie trade, permission for a British
ambassador to reside in Beijing, and for the English-language
version of all treaties to take precedence over the Chinese language.
To give Chinese merchant vessels operating around treaty ports the

same privileges accorded British ships by the Treaty of Nanking,
British authorities granted these vessels British registration in Hong
Kong. In October 1856, Chinese marines in Canton seized a cargo
ship called the Arrow on suspicion of piracy, arresting 12 of its 14
Chinese crew members. The Arrow was previously used by pirates,
captured by the Chinese government, and subsequently resold. It
was then registered as a British ship and still flew the British flag at
the time of its detainment, although its registration expired. Its
captain, Thomas Kennedy, aboard a nearby vessel at the time,
reported seeing Chinese marines pull the British flag down from the
ship. The British consul in Canton, Harry Parkes, contacted Ye
Mingchen, imperial commissioner and V iceroy of Liangguang, to
demand the immediate release of the crew and an apology for the
alleged insult to the flag. Ye released nine of the crew members, but
refused to release the last three.
On October 25, the British demanded to enter Canton. The next day,
they started to bombard the city, firing one shot every 10 minutes. Ye
Mingchen issued a bounty on every British head taken. On October
29, a hole was blasted in the city walls and troops entered, with a
flag of the United States of America being planted by James Keenan
(U.S. Consul) on the walls and residence of Ye Mingchen.
Negotiations failed, the city was bombarded, and the war escalated.
In 1858, with no other options, the X ianfeng Emperor agreed to the

Treaty of Tientsin, which contained clauses deeply insulting to the
Chinese, such as a demand that all official Chinese documents be
written in English and a proviso granting British warships unlimited
access to all navigable Chinese rivers. Shortly after the Qing imperial
court agreed to the disadvantageous treaties, hawkish ministers
prevailed upon the X ianfeng Emperor to resist Western
encroachment, which led to a resumption of hostilities. In 1860, with
Anglo-French forces marching on Beijing, the emperor and his court
fled the capital for the imperial hunting lodge at Rehe. Once in
Beijing, the Anglo-French forces looted the Old Summer Palace and,
in an act of revenge for the arrest of several Englishmen, burnt it to
the ground. Prince Gong, a younger half-brother of the emperor, was
forced to sign the Convention of Beijing. The agreement comprised
three distinct treaties concluded between the Qing Empire and the
United Kingdom, France, and Russia (while Russia had not been a
belligerent, it threatened weakened China with a war on a second
front). The British, French, and Russians were granted a permanent
diplomatic presence in Beijing, something the Qing Empire resisted
to the very end as it suggested equality between China and the
European powers. The Chinese had to pay 8 million taels to Britain
and France. Britain acquired Kowloon (next to Hong Kong). The
opium trade was legalized and Christians were granted full civil
rights, including the right to own property and the right to evangelize.
The treaty also ceded parts of Outer Manchuria to the Russian
Empire.
Legacy
The First Opium War marked the start of what 20th century
nationalists called the Century of Humiliation. The ease with which
the British forces defeated the numerically superior Chinese armies
damaged the Qing dynasty's prestige. The Treaty of Nanking was a
step to opening the lucrative Chinese market to global commerce
and the opium trade.
Opium smokers, c. 18 8 0, by Lai
Afong.
Historian Jonathan Spence notes that the harm opium caused was
clear, but that in a stagnating economy, it supplied fluid capital and
created new tax sources. Smugglers, poor farmers, coolies, retail
merchants and officials all depended on opium for their livelihoods.
In the last decade of the Qing dynasty, however, a focused moral
outrage overcame these vested interests.
The terms of the treaties ending the Opium Wars undermined

China's traditional mechanisms of foreign relations and methods of
controlled trade. More ports were opened for trade, gunboats, and
foreign residence. Hong Kong was seized by the British to become a
free and open port. Tariffs were abolished preventing the Chinese
from raising future duties to protect domestic industries and
extraterritorial practices exempted Westerners from Chinese law.
This made them subject to their own civil and criminal laws of their
home country. Most importantly, the opium problem was never
addressed and after the treaty ending the First War was signed,
opium addiction doubled. Due to the Qing government's inability to
control collection of taxes on imported goods, the British government
convinced the Manchu court to allow Westerners to partake in
government official affairs. In 1858 opium was legalized.
The First Opium War both reflected and contributed to a further
weakening of the Chinese state's power and legitimacy. Anti-Qing
sentiment grew in the form of rebellions such as the Taiping
Rebellion, a civil war lasting from 1850-64 in which at least 20 million
Chinese died.
The opium trade faced intense enmity from the later British Prime
Minister William Ewart Gladstone. As a member of Parliament,
Gladstone called it "most infamous and atrocious," referring to the
opium trade between China and British India in particular. Gladstone
was fiercely against both Opium Wars, denounced British violence
against Chinese, and was ardently opposed to the British trade in
opium to China. Gladstone criticized the First War as "unjust in its
origin, a war more calculated in its progress to cover this country
with permanent disgrace." His hostility to opium stemmed from the
effects of the drug on his sister Helen.
The standard interpretation in the People's Republic of China

presented the war as the beginning of modern China and the
emergence of the Chinese people's resistance to imperialism and
feudalism.
27 .1.5 : Anti-Qing Sentiment

In the mid-19th century, China's Qing Dynasty suffered a series of
natural disasters, economic problems, and defeats at the hands of
the Western powers, which weakened the central imperial authority
and led to a rapid development of anti-Qing movements.
Learning Objective
Paraphrase the reasons for rising Anti-Qing sentiment in China
Key Points
In the mid-19th century, China's Qing Dynasty suffered a series
of natural disasters, economic problems, and defeats at the
hands of the Western powers. The terms of the treaties that
ended the lost First Opium War undermined the traditional
mechanisms of foreign relations and methods of controlled trade
practiced by China for centuries. Shortly after the treaties were
signed, internal rebellions began to threaten the Chinese state
and its foreign trade.
The government, led by ethnic Manchus, was seen by many
Han Chinese as ineffective and corrupt. Anti-Manchu
sentiment was strongest in southern China among the
Hakka community, a Han Chinese subgroup. The Qing dynasty
was blamed for transforming China from the world's premiere
power to a poor, backwards country. In the broadest sense, an
anti-Qing activist was anyone who engaged in anti-Manchu
direct action.
While the Taiping Rebellion was not the first mass expression of
the anti-Qing sentiment, it turned into a long civil war that cost
millions of lives. It lasted from 1850 to 1864 and was fought
between the Qing dynasty and the millenarian movement of the
Heavenly Kingdom of Peace. It was the largest war in China
since the Qing conquest in 1644 and ranks as one of the
bloodiest wars in human history, the bloodiest civil war, and the
largest conflict of the 19th century.
A string of civil disturbances followed, including the Punti-Hakka
Clan Wars, Nian Rebellion, Dungan Revolt, and Panthay
Rebellion. All rebellions were ultimately put down, but at
enormous cost and with millions dead, seriously weakening the
central imperial authority and introducing changes in the military
that would further undermine the influence of the Qing dynasty.
In response to calamities within the empire and threats from
imperialism, some reformist movements emerged, but were
undermined by corrupt officials, cynicism, and quarrels within
the imperial family. The anti-Qing sentiment only strengthened
as the internal chaos and foreign influences grew.
Key Terms
Nian Rebellion
An armed uprising in northern China from 1851 to 1868,

concurrent with the Taiping Rebellion (1851–1864) in South
China. The rebellion failed to topple the Qing dynasty, but
caused the immense economic devastation and loss of life that
became one of the major long-term factors in the collapse of the
Qing regime in the early 20th century.
Taiping Rebellion
A civil war in China (1850-1864) between the established

Manchu-led Qing dynasty and the millenarian movement of the
Heavenly Kingdom of Peace. It began in the southern province
of Guangxi when local officials launched a campaign of
persecution against a millenarian sect known as the God
Worshipping Society led by Hong X iuquan, who believed himself
the younger brother of Jesus Christ. The war ranks as one of
the bloodiest wars in human history, the bloodiest civil war, and
the largest conflict of the 19th century.
First Opium War
An 1839–1842 war between the United Kingdom and the Qing

dynasty over their conflicting viewpoints on diplomatic relations,
trade, and the administration of justice for foreign nationals in
China.
Panthay Rebellion
An 1856-1873 rebellion of the Muslim Hui people and other non-

Muslim ethnic minorities against the Manchu rulers in
southwestern Yunnan Province, China, as part of a wave of Hui-
led multi-ethnic unrest. It started after massacres of Hui
perpetrated by the Manchu authorities.
Dungan Revolt
A mainly ethnic and religious war fought in 19th-century western
China, mostly during the reign of the Tongzhi Emperor (r. 1861–
75) of the Qing dynasty. The term sometimes includes the
Panthay Rebellion in Yunnan, which occurred during the same
period. The 1862-1877 revolt arose over a pricing dispute
involving bamboo poles, when a Han merchant selling to a Hui
did not receive the amount demanded for the goods.
Punti-Hakka Clan Wars
The conflict between the Hakka and Punti (Cantonese people)

in Guangdong, China, between 1855 and 1867. The wars were
particularly fierce around the Pearl River Delta, especially in
Taishan of the Sze Yup counties. They resulted in roughly a
million dead with many more fleeing for their lives.
millenarianism
The belief by a religious, social, or political group or movement

in a major impending societal transformation. It is a concept or
theme that exists in many cultures and religions.
In the mid-19th century, China's Qing Dynasty suffered a series of

natural disasters, economic problems, and defeats at the hands of
the Western powers. In particular, the humiliating defeat in 1842 by
the British Empire in the First Opium War exposed the increasing
weakness of the Imperial government and military. The terms of the
treaties that ended the First Opium War undermined the traditional
mechanisms of foreign relations and methods of controlled trade
practiced by China for centuries. Shortly after the treaties were
signed, internal rebellions began to threaten the Chinese state and
its foreign trade.
The government, led by ethnic Manchus, was seen by many Han

Chinese as ineffective and corrupt. Anti-Manchu sentiments were
strongest in southern China among the Hakka community, a Han
Chinese subgroup. The Qing dynasty was accused of destroying
traditional Han culture by forcing Han to wear their hair in a queue in
the Manchu style. It was blamed for suppressing Chinese science,
causing China to be transformed from the world's premiere power to
a poor, backwards country. In the broadest sense, an anti-Qing
activist was anyone who engaged in anti-Manchu direct action. This
included people from many mainstream political movements and
uprisings that developed throughout the second half of the 19th
century.
Taiping Rebellion
While the Taiping Rebellion was not the first mass expression of the
anti-Qing sentiment, it turned into a long-lasting civil war that cost
millions of lives. In 1837, Hong X iuquan, a Hakka from a poor
mountain village, once again failed the imperial examination, which
meant that he could not follow his dream of becoming a scholar-
official in the civil service. He returned home, fell sick, and was
bedridden for several days, during which he experienced mystical
visions. In 1842, after more carefully reading a pamphlet he had
received years before from a Protestant Christian missionary, Hong
declared that he now understood that his vision meant that he was
the younger brother of Jesus and that he had been sent to rid China
of the "devils," including the corrupt Qing government and Confucian
teachings. It was his duty to spread his message and overthrow the
Qing dynasty. In 1843, Hong and his followers founded the God
Worshiping Society, a movement that combined elements of
Christianity, Taoism, Confucianism, and indigenous millenarianism.
Confucianism due to the efforts of the various Chinese dynastic
imperial regimes. The movement at first grew by suppressing groups
of bandits and pirates in southern China in the late 1840s. The later
suppression by Qing authorities led it to evolve into guerrilla warfare
and subsequently a widespread civil war.
Hostilities began on January 1, 1851 when the Qing Green Standard

Army launched an attack against the God Worshiping Society at the
town of Jintian, Guangxi. Hong declared himself the Heavenly King
of the Heavenly Kingdom of Peace (or Taiping Heavenly Kingdom),
from which the term Taipings has often been applied to them in the
English language. For a decade, the Taiping occupied and fought
across much of the mid and lower Yangzi valley, some of the
wealthiest and most productive lands in the Qing empire. The
Taiping nearly managed to capture the Qing capital of Beijing with a
northern expedition launched in 1853. Qing imperial troops were
ineffective in halting Taiping advances, focusing on a perpetually
stalemated siege of Nanjing. In Hunan Province, a local irregular
army, called the X iang Army or Hunan Army, under the personal
leadership of Zeng Guofan, became the main armed force fighting
for the Qing against the Taiping. Zeng's X iang Army gradually turned
back the Taiping advance in the western theater of the war.
In 1856, the Taiping were weakened after infighting following an

attempted coup led by the East King, Yang X iuqing. During this time,
the X iang Army managed to gradually retake much of Hubei and
Jiangxi province. In 1860, the Taiping defeated the imperial forces
that had been besieging Nanjing since 1853, eliminating imperial
forces from the region and opening the way for a successful invasion
of southern Jiangsu and Zhejiang province, the wealthiest region of
the Qing Empire. While Taiping forces were preoccupied in Jiangsu,
Zeng's forces moved down the Yangzi River capturing Anqing in
1861. In 1862, the X iang Army began directly sieging Nanjing and
managed to hold firm despite numerous attempts by the Taiping
Army to dislodge them with superior numbers. Hong died in 1864
and Nanjing fell shortly after that. The remains of the Taiping
resistance were eventually defeated in 1866.
A drawing of Hong X iuquan as the
Heavenly King, ca. 18 60
The Taiping Rebellion was a total war. Almost every citizen of the
Taiping Heavenly Kingdom was given military training and
conscripted into the army to fight against Qing imperial forces.
During this conflict, both sides tried to deprive each other of the
resources needed to continue the war and it became standard
practice to destroy agricultural areas, butcher the population of cities,
and exact a brutal price from captured enemy lands to drastically
weaken the opposition's war effort.
The Taiping Rebellion was the largest war in China since the Qing
conquest in 1644 and ranks as one of the bloodiest wars in human
history, the bloodiest civil war, and the largest conflict of the 19th
century, with estimates of war dead ranging from 20 to 100 million
and millions more displaced.
Continuous Crisis
A string of civil disturbances followed the outbreak of Taiping
Rebellion, many of which lasted for years and resulted in massive
casualties. For instance, the Punti-Hakka Clan Wars pitted the
Hakka against Punti (Cantonese people) in Guangdong between
1855 and 1867. The wars resulted in roughly a million dead with
many more fleeing for their lives. The Nian Rebellion was an armed
uprising that took place in northern China from 1851 to 1868,
contemporaneously with the Taiping Rebellion in southern China.
The rebellion caused immense economic devastation and loss of life
that eventually became one of the major long-term factors in the
collapse of the Qing regime in the early 20th century. The Dungan
Revolt (1862–1877) was a mainly ethnic and religious war fought in
western China. The revolt arose over a pricing dispute involving
bamboo poles, when a Han merchant selling to a Hui did not receive
the amount demanded for the goods. Up to 12 million Chinese
Muslims were killed during the revolt as a result of anti-Hui
massacres by Qing troops sent to suppress their revolt. Most civilian
deaths were caused by war-induced faneil. The Panthay Rebellion
(1856-1873; discussed sometimes as part of the Dungan Revolt)
was a rebellion of the Muslim Hui people and other non-Muslim
ethnic minorities against the Manchu rulers in southwestern Yunnan
Province as part of a wave of Hui-led multi-ethnic unrest. It started
after massacres of Hui perpetrated by the Manchu authorities.
All rebellions were ultimately put down, but at enormous cost and
with millions dead, seriously weakening the central imperial authority.
The military banner system that the Manchus had relied upon for so
long failed. Banner forces were unable to suppress the rebels and
the government called upon local officials in the provinces, who
raised "New Armies" that successfully crushed the challenges to
Qing authority. As a result of that and with China failing to rebuild a
strong central army, many local officials became warlords who used
military power to effectively rule independently in their provinces.
General Z eng Guofan, author
unknown, scan from J onathan
Spence, In S earch for Modern C hina,
1990.
Zeng Guofan's strategy to fight anti-Qing rebels was to rely on local
gentry to raise a new type of military organization. This new force
became known as the X iang Army, a hybrid of local militia and a
standing army. The army's professional training was paid for out of
regional coffers and funds its commanders – mostly members of the
Chinese gentry – could muster. This model would eventually lead to
the further weakening of the central authority over the military.
In response to calamities within the empire and threats from

imperialism, the Self-Strengthening Movement emerged. This
institutional reform in the second half of the 19th century aimed to
modernize the empire, with prime emphasis on strengthening the
military. However, the reform was undermined by corrupt officials,
cynicism, and quarrels within the imperial family. The Guangxu
Emperor and the reformists then launched a more comprehensive
reform effort, the Hundred Days' Reform (1898), but it was soon
overturned by the conservatives under Empress Dowager Cixi in a
military coup. The anti-Qing sentiment only strengthened as the
internal chaos and foreign influences grew, finally leading to the
Boxer Rebellion, a violent anti-foreign and anti-Christian uprising that
was a turning point in the history of Imperial China.
27 .1.6: The Box er Rebellion

The Boxer Rebellion, a violent anti-foreign and anti-Christian uprising
that took place in China between 1899 and 1901, both exposed and
deepened the weakening of the Qing dynasty's power.
Learning Objective
Discuss the reasons for and consequences of the Boxer Rebellion
Key Points
The Righteous and Harmonious Fists (Yihetuan) arose in the
inland sections of the northern coastal province of Shandong
long known for social unrest, religious sects, and martial
societies. American Christian missionaries were probably the
first to refer to the well-trained young men as Boxers because of
the martial arts they practiced. The excitement and moral force
of the group's rituals were especially attractive to unemployed
and powerless village men.
International tension and domestic unrest fueled the spread of
the Boxer movement. A drought followed by floods in Shandong
province in 1897–1898 forced farmers to flee to cities and seek
food. Another major cause of discontent in north China was
Christian missionary activity. The killing of two German
missionaries in 1897 prompted Germany to occupy Jiaozhou
Bay, which triggered a scramble for concessions by which
Britain, France, Russia, and Japan also secured their own
spheres of influence in China.
The early growth of the Boxer movement coincided with the
Hundred Days' Reform (June 11 – September 21, 1898). The
Guangxu Emperor's progressive reforms alienated many
conservative officials. The opposition from conservative officials
led Empress Dowager Cixi to intervene and reverse the reforms.
The failure of the reform movement disillusioned many educated
Chinese and thus further weakened the Qing government.
In January 1900, Empress Dowager Cixi issued edicts in the
Boxers' defense, causing protests from foreign powers. The
Boxer movement spread rapidly. After several months of
growing violence against both the foreign and Christian
presence in Shandong and the North China plain in June 1900,
Boxer fighters converged on Beijing. Foreigners and Chinese
Christians sought refuge in the Legation Quarter. The Eight-
Nation Alliance sent the Seymour Expedition to relieve the
siege. The Expedition was stopped by the Boxers at the Battle
of Langfang and forced to retreat.
The Alliance's attack on the Dagu Forts led the Qing
government and the initially hesitant Empress Dowager Cixi to
side with and support the Boxers. On June 21, 1900, she issued
an Imperial Decree officially declaring war on the foreign
powers. The Alliance formed the second, much larger Gaselee
Expedition and finally reached Beijing. The Qing government
evacuated to X i'an. The Boxer Protocol ended the war.
As a result of the rebellion, the European powers ceased their
ambitions to colonize China. Concurrently, this period marks the
ceding of European great power interference in Chinese affairs,
with the Japanese replacing the Europeans as the dominant
power. Empress Dowager Cixi reluctantly started reforms known
as the New Policies despite her previous views. The question of
the historical interpretation of the rebellion remains
controversial.
Key Terms
Boxer Protocol
A treaty signed on September 7, 1901, between the Qing

Empire of China and the Eight-Nation Alliance that provided
military forces (Austria-Hungary, France, Germany, Italy, Japan,
Russia, the United Kingdom, and the United States) plus
Belgium, Spain, and the Netherlands, which ended the Boxer
Rebellion. It provided for the execution of government officials
who supported the Boxers, foreign troops to be stationed in
Beijing, and 450 million taels of silver to be paid as indemnity
over the next 39 years to the eight nations involved.
Hundred Days' Reform
A failed 103-day national cultural, political, and educational

reform movement from June 11 to September 21, 1898 in late
Qing dynasty China. It was undertaken by the young Guangxu
Emperor and his reform-minded supporters. The movement was
short-lived, ending in a coup d'é tat by powerful conservative
opponents led by Empress Dowager Cixi.
Boxer Rebellion
A violent anti-foreign and anti-Christian uprising in

China between 1899 and 1901, toward the end of the Qing
dynasty. It was initiated by the Militia United in Righteousness
(Y ihetuan), known in English as the Boxers, and was motivated
by proto-nationalist sentiments and opposition to imperialist
expansion and associated Christian missionary activity.
Boxers
A martial society, known as the Militia United in Righteousness
(Y ihetuan), motivated by proto-nationalist sentiments and
opposition to imperialist expansion and associated Christian
missionary activity in China at the end of the 19th century. Its
members practiced martial arts and claimed supernatural
invulnerability towards Western weaponry. They believed that
millions of soldiers of Heaven would descend to purify China of
foreign oppression, a belief characteristic of
millenarian movements.
Seymour Expedition
An attempt by a multi-national military force to march to

Beijing and protect the diplomatic legations and foreign
nationals in the city from attacks by Boxers in 1900. The
Chinese army forced it to return to Tianjin (Tientsin).
New Policies
A series of political, economical, military, cultural, and

educational reforms implemented in the last decade of the Qing
dynasty to keep it in power after the humiliating defeat in the
Boxer Rebellion. The reforms started in 1901.
Gaselee Expedition
A successful relief by a multi-national military force to march to

Beijing and protect the diplomatic legations and foreign
nationals in the city from attacks in 1900. The expedition was
part of the war of the Boxer Rebellion.
Legation Quarter
The area in Beijing, China, where a number of foreign

legations were located between 1861 and 1959. It is located in
the Dongcheng District, immediately east of Tiananmen Square.
Juye Incident
The killing of two German Catholic missionaries, Richard
Henle and Franz-X avier Nies of the Society of the Divine Word,
in Juye County Shandong Province, China on November 1,
1897.
The Righteous and Harmonious Fists (Yihetuan) arose in the inland

sections of the northern coastal province of Shandong long known
for social unrest, religious sects, and martial societies. American
Christian missionaries were probably the first to refer to the well-
trained, athletic young men as Boxers because of the martial arts
and calisthenics they practiced. Their primary practice was a type of
spiritual possession that involved the whirling of swords, violent
prostrations, and chanting incantations to deities. The excitement
and moral force of these possession rituals were especially attractive
to unemployed and powerless village men, many of whom were
teenagers.
The Boxers believed that through training, diet, martial arts, and
prayer they could perform extraordinary feats. The tradition of
possession and invulnerability went back several hundred years, but
took on special meaning against the powerful new weapons of the
West. The Boxers, armed with rifles and swords, claimed
supernatural invulnerability to blows of cannon, rifle shots, and knife
attacks. Furthermore, the Boxer groups popularly claimed that
millions of soldiers of Heaven would descend to assist them in
purifying China of foreign oppression.
Although women were not allowed to join the Boxer units, they
formed their own groups, the Red Lanterns. Popular local lore
reported that they were able to fly, walk on water, set Christians'
homes on fire, and stop foreign guns, powers which the male Boxers
themselves did not claim. The only reliable account of their actual
activities comes from the 1900 Battle of Tientsin, when they nursed
wounded Boxers and did work such as sewing and cleaning.
Causes of Rebellion
International tension and domestic unrest fueled the spread of the
Boxer movement. First, a drought followed by floods in Shandong
province in 1897–1898 forced farmers to flee to cities and seek food.
Another major cause of discontent in north China was missionary
activity. The treaties signed after the Second Opium War granted
foreign missionaries the freedom to preach anywhere in China and
buy land on which to build churches. In 1897, a band of armed men
who were likely members of the Big Swords Society, a traditional
peasant self-defense group widespread in northern China, stormed
the residence of a German missionary and killed two priests. This
attack is known as the Juye Incident. When Kaiser Wilhelm II
received news of these murders, he dispatched the German East
Asia Squadron to occupy Jiaozhou Bay on the southern coast of the
Shandong peninsula. Germany's action triggered a scramble for
concessions by which Britain, France, Russia, and Japan also
secured their own spheres of influence in China.
" China -- the cake of kings and... of
emperors" ( a French pun on king
cake and kings and emperors wishing
to " consume" China) , Henri Meyer, an
illustration from supplement to Le
Petit J ournal, J anuary 16,
18 98 , Bibliothè que nationale de
France.
A French political cartoon depicting China as a pie about to be
carved up by Queen V ictoria (Britain), Kaiser Wilhelm
II (Germany), Tsar Nicholas II (Russia), Marianne (France), and
a samurai (Japan), while a Chinese mandarin helplessly looks on.
In 1898, a group of Boxers attacked the Christian community of

Liyuantun village where a temple to the Jade Emperor had been
converted into a Catholic church. This incident marked the first time
the Boxers used the slogan "Support the Qing, destroy the
foreigners" that would later characterize them. The Boxers called
themselves the Militia United in Righteousness for the first time at
the Battle of Senluo Temple (1899), a clash between Boxers and
Qing government troops. By using the word militia rather than
Box ers, they distanced themselves from forbidden martial arts sects
and tried to give their movement the legitimacy of a group that
defended orthodoxy.
The early growth of the Boxer movement coincided with the Hundred
Days' Reform (June 11 – September 21, 1898). Progressive Chinese
officials, with support from Protestant missionaries, persuaded the
Guangxu Emperor to institute reforms that alienated many
conservative officials by their sweeping nature. Such opposition from
conservative officials led Empress Dowager Cixi to intervene and
reverse the reforms. The failure of the reform movement
disillusioned many educated Chinese and thus further weakened the
Qing government. After the reforms ended, the conservative
Empress Dowager Cixi seized power and placed the reformist
Guangxu Emperor under house arrest.
Despite the obvious internal weaknesses, the national crisis was

widely seen as being caused by foreign aggression. Foreign powers
had defeated China in several wars, asserted a right to promote
Christianity, and imposed unequal treaties, under which foreigners
and foreign companies in China were accorded special privileges,
extraterritorial rights, and immunity from Chinese law, causing
resentment and xenophobic reactions among the Chinese. When
France, Japan, Russia, and Germany carved out spheres of
influence, it appeared that China would be dismembered, with
foreign powers each ruling a part of the country. By 1900, the Qing
dynasty was crumbling and Chinese culture was under assault by
powerful and unfamiliar religions and secular cultures.
Spreading Rebellion
In January 1900, with a majority of conservatives in the imperial
court, Empress Dowager Cixi changed her long-standing policy of
suppressing Boxers and issued edicts in their defense, causing
protests from foreign powers. The Boxer movement spread rapidly.
They burned Christian churches, killed Chinese Christians, and
intimidated Chinese officials who stood in their way. After several
months of growing violence against both the foreign and Christian
presence in Shandong and the North China plain in June 1900,
Boxer fighters, convinced they were invulnerable to foreign weapons,
converged on Beijing. Foreigners and Chinese Christians sought
refuge in the Legation Quarter. The Eight-Nation Alliance sent the
Seymour Expedition of Japanese, Russian, Italian, German, French,
American, and Austrian troops to relieve the siege. The Expedition
was stopped by the Boxers at the Battle of Langfang and forced to
retreat. Due to the Alliance's attack on the Dagu Forts, the Qing
government in response sided with the Boxers and the initially
hesitant Empress Dowager Cixi supported the Boxers. On June 21,
1900, she issued an Imperial Decree officially declaring war on the
foreign powers. The Alliance formed the second, much larger
Gaselee Expedition and finally reached Beijing. The Qing
government evacuated to X i'an.
A Box er during the revolt, Department
of the Army, Office of the Chief Signal
Officer, 18 99/ 1900.
Chinese officialdom was split between those supporting the Boxers
and those favoring conciliation, led by Prince Qing. The supreme
commander of the Chinese forces, the Manchu General
Ronglu (Junglu), later claimed that he acted to protect the besieged
foreigners.
The Boxer Protocol ended the war, signed on September 7, 1901,

between the Qing Empire of China and the Eight-Nation Alliance that
provided military forces (Austria-Hungary, France, Germany, Italy,
Japan, Russia, the United Kingdom, and the United States) plus
Belgium, Spain and the Netherlands. It provided for the execution of
government officials who had supported the Boxers, for foreign
troops to be stationed in Beijing, and 450 million taels of silver—
more than the government's annual tax revenue—to be paid as
indemnity over the course of the next 39 years to the eight nations
involved. A large portion of the reparations paid to the United States
was diverted to pay for the education of Chinese students in U.S.
universities under the Boxer Indemnity Scholarship Program. To
prepare the students chosen for this program, an institute was
established to teach the English language and serve as a
preparatory school. When the first of these students returned to
China they taught subsequent students. From this institute was born
Tsinghua University. Some of the reparation due to Britain was later
earmarked for a similar program.
Consequences
The European great powers finally ceased their ambitions to
colonize China, having learned from the Boxer Rebellion that it was
best to deal with China's ruling dynasty rather than directly with the
Chinese people. Concurrently, this period marks the ceding of
European great power interference in Chinese affairs, with the
Japanese replacing the Europeans as the dominant power for their
lopsided involvement in the war against the Boxers as well as their
victory in the First Sino-Japanese War (1894-95). With the toppling
of the Qing that followed and the rise of the nationalist Kuomintang,
European sway within China was reduced to symbolic status. After
taking Manchuria in 1905, Japan came to dominate Asian affairs
both militarily and culturally.
In 1900, Russia occupied Manchuria, a move that threatened Anglo-

American hopes of maintaining what remained of China's territorial
integrity and the country's openness to commerce under the Open
Door Policy. Japan's clash with Russia over Liaodong and other
provinces in eastern Manchuria, due to the Russian refusal to honor
the terms of the Boxer protocol that called for their withdrawal, led to
the Russo-Japanese War when two years of negotiations broke
down in 1904. Russia was ultimately defeated by an increasingly
confident Japan.
Besides the compensation, Empress Dowager Cixi reluctantly

started some reforms despite her previous views. Under her reforms
known as the New Policies started in 1901, the imperial examination
system for government service was eliminated and as a result the
system of education through Chinese classics was replaced with a
European liberal system that led to a university degree. Along with
the formation of new military and police organizations, the reforms
also simplified central bureaucracy and revamped taxation policies.
Internal ideological differences between northern-Chinese anti-
foreign royalists and southern-Chinese anti-Qing revolutionists
further deepened.
President William McKinley's decision to send 5,000 American

troops to quell the rebellion without consulting Congress marked a
crucial shift in the presidential employment of armed force overseas.
In the 19th century, military force committed without congressional
authorization was typically used against nongovernmental
organizations but was now used against sovereign states.
From the beginning, views differed as to whether the Boxers were

better seen as anti-imperialist, patriotic, and proto-nationalist or as
violent, irrational, and futile opponents of inevitable change. More
recently, Chinese historians have undermined the dominant history
textbook narrative in China, which presents the Boxer Uprising as an
admirable expression of patriotism. The historians emphasize the
damage and suffering that the rebellion caused and note that the
majority of the Boxer rebels were both violent and xenophobic. This
reinterpretation remains controversial in China.
27 .1.7 : The Open Door Policy

The Open Door Policy was a largely ineffective policy proposed by
the United States at the turn of the 20th century to keep China
equally open to trade with all countries, preventing any one power
from gaining total control.
Learning Objective
Define the Open Door Policy
Key Points
At the end of the 19th century, China faced the threat of being
partitioned and colonized by imperial powers, including Britain,
France, Russia, Japan, and Germany. After winning the
Spanish-American War of 1898 and acquiring the Philippine
Islands, the United States also increased its Asian presence and
was expecting to further its commercial and political interest in
China. However, the United States felt threatened by other
powers' much larger spheres of influence and worried that it
might lose access to the Chinese market should the country be
partitioned.
As a response, U.S. diplomat William Woodville Rockhill
formulated the Open Door Policy to safeguard American
business opportunities and other interests in China. In 1899,
U.S. Secretary of State John Hay sent notes to France,
Germany, Britain, Italy, Japan, and Russia, asking them to
declare formally that they would uphold Chinese territorial and
administrative integrity and not interfere with the free use of the
treaty ports within their spheres of influence in China. The Open
Door Policy stated that all nations, including the United States,
could enjoy equal access to the Chinese market.
In 1902, the United States government protested the Russian
encroachment in Manchuria after the Boxer Rebellion as a
violation of the Open Door Policy. When Japan replaced Russia
in southern Manchuria after the Russo-Japanese War (1904–
05), the Japanese and U.S. governments pledged to maintain a
policy of equality in Manchuria.
In 1917, a diplomatic note was signed between the United
States and Japan to regulate disputes over China. Signed by
U.S. Secretary of State Robert Lansing and Japanese special
envoy Ishii Kikujirō and thus known as the Lansing-Ishii
Agreement, the note pledged to uphold the Open Door Policy in
China with respect to its territorial and administrative integrity.
However, the U.S. government also acknowledged that Japan
had "special interests" in China due to its geographic proximity.
The Lansing–Ishii Agreement was replaced by the 1922 Nine-
Power Treaty. During the Washington Naval Conference of
1921–1922, the U.S. government again raised the Open Door
Policy as an international issue and had all attendees sign the
Nine-Power Treaty, which intended to make the Open Door
Policy international law. The Nine-Power Treaty affirmed the
sovereignty and territorial integrity of China as per the Open
Door Policy. World War II effectively violated the treaty.
The Open Door Policy was a principle that was never formally
adopted via treaty or international law. It was invoked or alluded
to but never enforced as such. In practice, it was used to
mediate competing interests of the colonial powers without
much meaningful input from the Chinese, creating lingering
resentment and causing it to later be seen as a symbol of
national humiliation by Chinese historians.
Key Terms
Lansing-Ishii Agreement
A diplomatic note signed between the United States and the

Empire of Japan on November 2, 1917, over their disputes with
regards to China. Both parties pledged to uphold the Open Door
Policy in China with respect to its territorial and administrative
integrity. However, the United States government also
acknowledged that Japan had "special interests" in China due to
its geographic proximity, which was in effect a contradiction to
the Open Door Policy.
Nine-Power Treaty
A 1922 treaty affirming the sovereignty and territorial integrity of

China as per the Open Door Policy. The treaty was signed on
February 6, 1922, by all attendees to the Washington Naval
Conference: the United States, Belgium, the British Empire,
Republic of China, France, Italy, Imperial Japan, the
Netherlands, and Portugal.
Open Door Policy
A term in foreign affairs initially used to refer to the United

States policy established in the late 19th century and the early
20th century, as enunciated by Secretary of State John Hay. The
policy proposed to keep China open to trade with all countries
on an equal basis, preventing any one power from total control
of the country.
Origins of Open Door Policy

At the end of the 19th century, China faced the threat of being
partitioned and colonized by imperial powers, including Britain,
France, Russia, Japan, and Germany. After winning the Spanish-
American War of 1898 and acquiring the Philippine Islands, the
United States also increased its Asian presence and was expecting
to further its commercial and political interest in China. However, the
United States felt threatened by other powers' much larger spheres
of influence in China and worried that it might lose access to the
Chinese market should the country be partitioned. As a response,
U.S. diplomat William Woodville Rockhill formulated the Open Door
Policy to safeguard American business opportunities and interests in
China. In 1899, U.S. Secretary of State John Hay sent notes to
France, Germany, Britain, Italy, Japan, and Russia, asking them to
declare formally that they would uphold Chinese territorial and
administrative integrity and would not interfere with the free use of
the treaty ports within their spheres of influence in China. The Open
Door Policy stated that all nations, including the United States, could
enjoy equal access to the Chinese market.
In reply, each country tried to evade Hay's request, taking the

position that it could not commit itself until the other nations had
complied. However, Hay announced that each of the powers had
granted consent in principle. In 1900, Britain and Germany signed
the Yangtze Agreement, which provided that they would oppose the
partition of China into spheres of influence. The agreement was an
endorsement of the Open Door Policy. Nonetheless, competition
between the various powers for special concessions within Qing
dynasty China for railroad rights, mining rights, loans, foreign trade
ports, and privilege continued unabated.
" Putting his foot down" by J .S. Pughe,
Punch, August 23, 18 99.
Uncle Sam stands on map of China that is being cut up by German,
Italy, England, Russia, and France (Austria is in the background
sharpening shears); Uncle Sam clutches "Trade Treaty with China"
and says: "Gentleman, you may cut up this map as much as you
like, but remember, I'm here to stay, and you can't divide Me up into
spheres of influence."
Open Door Policy in Practice

In 1902, the United States government protested the Russian
encroachment in Manchuria after the Boxer Rebellion as a violation
of the Open Door Policy. When Japan replaced Russia in southern
Manchuria after the Russo-Japanese War (1904–05), the Japanese
and U.S. governments pledged to maintain a policy of equality in
Manchuria.
In 1917, a diplomatic note was signed between the United States

and Japan to regulate disputes over China. Signed by U.S.
Secretary of State Robert Lansing and Japanese special envoy Ishii
Kikujirō and thus known as the Lansing-Ishii Agreement, the note
pledged to uphold the Open Door Policy in China with respect to its
territorial and administrative integrity. However, the United States
government also acknowledged that Japan had "special interests" in
China due to its geographic proximity, especially in those areas of
China adjacent to Japanese territory, which was in effect a
contradiction to the Open Door Policy. In a secret protocol attached
to the public note, both parties agreed not to take advantage of the
special opportunities presented by World War I to seek special rights
or privileges in China at the expense of other nations allied in the
war effort against Germany.
W illiam W oodville Rockhill ( 18 5 4-
1914) , U.S. Ambassador to Russia,
United States Department of State.
With the outbreak of the Boxer Rebellion, U.S. Secretary of State
John Hay, who knew little of the Far East, turned to Rockhill for
guidance. Rockhill drafted a memorandum that spelled out the Open
Door Policy. The memorandum was circulated to Russia, Britain,
Germany, France, Japan, and Italy and in March 1900, Secretary
Hay announced that all the Great Powers had signed off on the
Open Door Policy.
Photo portrait of William Woodville Rockville
At the time, the Lansing-Ishii Agreement was touted as evidence that

Japan and the United States had laid to rest their increasingly bitter
rivalry over China, and the Agreement was hailed as a landmark in
Japan-U.S. relations. However, critics soon realized that the
vagueness of the Agreement meant that nothing had really been
decided after two months of talks.
The Lansing-Ishii Agreement was replaced in 1923 by the Nine-

Power Treaty. During the Washington Naval Conference of 1921–
1922, the United States government again raised the Open Door
Policy as an international issue and had all of the attendees (United
States, Republic of China, Imperial Japan, France, Great Britain,
Italy, Belgium, Netherlands, and Portugal) sign the Nine-Power
Treaty, which intended to make the Open Door Policy international
law. The Nine-Power Treaty affirmed the sovereignty and territorial
integrity of China as per the Open Door Policy. It also effectively
prompted Japan to return territorial control of Shandong province (a
former German holding in China controlled by Japan as a result of
World War I) to the Republic of China.
The Nine-Power Treaty lacked any enforcement regulations, and

when violated by Japan during its invasion of Manchuria in 1931 and
creation of Manchukuo, the United States could do little more than
issue protests and impose economic sanctions. In 1937, the
signatories of the Nine-Power Treaty convened in Brussels for the
Nine Power Treaty Conference after the outbreak of the Second
Sino-Japanese War, but to no avail. World War II effectively violated
the Nine-Power Treaty.
Significance
The Open Door Policy was a principle that was never formally
adopted via treaty or international law. It was invoked or alluded to
but never enforced as such. In practice, it was used to mediate
competing interests of the colonial powers without much meaningful
input from the Chinese, creating lingering resentment and causing it
to later be seen as a symbol of national humiliation by Chinese
historians.
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27 .2: From the Edo Period to
Meiji Restoration in J apan
27 .2.1: The Edo Period
The Edo period (1603-1868), when Japanese society was under the
rule of the Tokugawa shogunate, was characterized by economic
growth, strict social order, isolationist foreign policies, and stable
population.
Learning Objective
Characterize the Edo Period in Japan
Key Points
Shogun was the military dictator of Japan from 1185 to 1868
(with exceptions). In most of this period, the shoguns were
the de facto rulers of the country, although nominally e
appointed by the Emperor. The shogun held almost absolute
power over territories through military means. A shogun's office
or administration is the shogunate, known in Japanese as
the bakufu. Between 1603 and 1868 Japanese society was
under the rule of the Tokugawa shogunate, a period known as
the Edo period.
This period brought 250 years of stability to Japan. The political
system evolved into what historians call bakuhan, a combination
of the terms bakufu and han (domains) to describe the
government and society of the period. In the bakuhan, the
shogun had national authority and the daimyō s had regional
authority. This represented a new unity in the feudal structure,
which featured an increasingly large bureaucracy to administer
the mixture of centralized and decentralized authorities.
A code of laws was established to regulate the daimyō houses.
It encompassed private conduct, marriage, dress, types of
weapons, and numbers of troops allowed. It required the feudal
lords to reside in Edo every other year, prohibited the
construction of ocean-going ships, proscribed Christianity,
restricted castles to one per domain (han), and stipulated that
bakufu regulations were the national law. The Tokugawa
shogunate also went to great lengths to suppress social unrest.
Edo society had an elaborate social structure in which everyone
knew their place and level of prestige. At the top were the
Emperor and the court nobility, invincible in prestige but weak in
power. Next came the shogun, daimyō s, and layers of feudal
lords. A social order called "the four divisions of society" was
adapted to stabilize the country, comprised of samurai, farming
peasants, artisans, and merchants. The classes were not
arranged by wealth or capital but by what philosophers
described as their moral purity.
The Edo period witnessed the growth of a vital commercial
sector, burgeoning urban centers, relatively well-educated elite,
sophisticated government bureaucracy, productive agriculture,
highly developed financial and marketing systems, and a
national infrastructure of roads. Rice was the base of the
economy. About 80% of the people were rice farmers. Rice
production increased steadily, but population remained stable,
so prosperity increased.
Japan also developed an advanced forest management policy.
Increased demand for timber resources for construction,
shipbuilding, and fuel led to widespread deforestation, which
resulted in forest fires, floods, and soil erosion. In response, the
shogun instituted a policy to reduced logging and increased the
planting of trees.
Key Terms
Shogun
The military dictator of Japan during the period from 1185 to
1868 (with exceptions). In most of this period, they were the de
facto rulers of the country, although nominally they were
appointed by the Emperor as a ceremonial formality. They held
almost absolute power over territories through military means.
Edo period
The period between 1603 and 1868 in the history of Japan,

when Japanese society was under the rule of the Tokugawa
shogunate and the country's 300 regional daimyō . The period
was characterized by economic growth, strict social order, and
isolationist foreign policies.
Sakoku
The foreign relations policy of Japan under which severe

restrictions were placed on the entry of foreigners and Japanese
people were forbidden to leave the country without special
permission on penalty of death if they returned. The policy was
enacted by the Tokugawa shogunate under Tokugawa
Iemitsu through a number of edicts and policies from 1633–39
and largely remained officially in effect until 1866. The arrival of
the American Black Ships of Commodore Matthew Perry, which
started the forced opening of Japan to Western trade, eroded its
enforcement severely.
Tokugawa shogunate
The last feudal Japanese military government, which existed

between 1603 and 1867. The head of government was the
shogun and each was a member of the Tokugawa clan. The
regime ruled from Edo Castle and the years of the shogunate
became known as the Edo period.
Ex ample
Shogun and Shogunate
Shogun was the military dictator of Japan from 1185 to 1868 (with
exceptions). In most of this period, the shoguns were the de
facto rulers of the country, although nominally they were appointed
by the Emperor as a ceremonial formality. The shogun held almost
absolute power over territories through military means. A shogun's
office or administration is the shogunate, known in Japanese as the
bakufu. The shogun's officials were collectively the bakufu and
carried out the actual duties of administration, while the imperial
court retained only nominal authority. In this context, the office of the
shogun had a status equivalent to that of a viceroy or governor-
general, but in reality shoguns dictated orders to everyone including
the reigning Emperor.
Tokugawa Shogunate
During the second half of the 16th century, Japan gradually reunified
under two powerful warlords, Oda Nobunaga and Toyotomi
Hideyoshi. In the hope of founding a new dynasty, Hideyoshi asked
his most trusted subordinates to pledge loyalty to his infant son
Toyotomi Hideyori. Despite this, almost immediately after Hideyoshi's
death (1598), war broke out between Hideyori's allies and those
loyal to Tokugawa Ieyasu, a feudal lord (daimyō ) and former ally of
Hideyoshi. Tokugawa Ieyasu won a decisive victory at the Battle of
Sekigahara in 1600 and although it took him three more years to
consolidate his position of power over the Toyotomi clan and the
daimyō s, Sekigahara is widely considered to be the unofficial
beginning of the Tokugawa bakufu.
In 1603, Emperor Go-Yō zei declared Tokugawa Ieyasu shogun.

Ieyasu abdicated two years later to groom his son as the second
shogun of what became a long dynasty. Despite laws imposing
tighter controls on the daimyō s, the latter continued to maintain a
significant degree of autonomy in their domains. The central
government of the shogunate in Edo, which quickly became the most
populous city in the world, took counsel from a group of senior
advisors known as rō j ū and employed the samurai as bureaucrats.
The Emperor in Kyoto was funded lavishly by the government but
had no political power.
Tokugawa Ieyasu, first shogun of
the Tokugawa shogunate, by Kanō
Tan'yū , Osaka Castle main tower
Ieyasu had a number of qualities that enabled him to rise to power.
He was both careful and bold—at the right times, and in the right
places. Calculating and subtle, Ieyasu switched alliances when he
thought he would benefit from the change.
A painting of Tokugawa Ieyasu
The period of the rule of the Tokugawa shogunate, known as the Edo
period, brought 250 years of stability to Japan. The political system
evolved into what historians call bakuhan, a combination of the terms
bakufu and han (domains). In the bakuhan, the shogun had national
authority and the daimyō s had regional authority. This represented a
new unity in the feudal structure, which featured an increasingly
large bureaucracy to administer the mixture of centralized and
decentralized authorities.
A code of laws was established to regulate the daimyō houses. The

code encompassed private conduct, marriage, dress, types of
weapons, and numbers of troops allowed. It required the feudal lords
to reside in Edo every other year, prohibited the construction of
ocean-going ships, proscribed Christianity, restricted castles to one
per domain (han) and stipulated that bakufu regulations were the
national law. Although the daimyō were not taxed per se, they were
regularly levied for contributions for military and logistical support
and for such public works projects as castles, roads, bridges, and
palaces. The various regulations and levies not only strengthened
the Tokugawa but depleted the wealth of the daimyō s, thus
weakening their threat to the central administration. The han, once
military-centered domains, became mere local administrative units.
The daimyō s did have full administrative control over their territories
and their complex systems of retainers, bureaucrats, and
commoners.
The Tokugawa shogunate went to great lengths to suppress social

unrest. Harsh penalties, including crucifixion, beheading, and death
by boiling, were decreed for even the most minor offenses, although
criminals of high social class were often given the option of seppuku
("self-disembowelment"), an ancient form of suicide that became
ritualized. Christianity, which was seen as a potential threat, was
gradually restricted until it was completely outlawed. To prevent
further foreign ideas from sowing dissent, the third Tokugawa
shogun, Iemitsu, implemented the sakoku ("closed country")
isolationist policy, under which Japanese people were not allowed to
travel abroad, return from overseas, or build ocean-going vessels.
The only Europeans allowed on Japanese soil were the Dutch, who
were granted a single trading post on the island of Dejima. China
and Korea were the only other countries permitted to trade and many
foreign books were banned from import.
Social Structure
Edo society had an elaborate social structure in which everyone
knew their place and level of prestige. At the top were the Emperor
and the court nobility, invincible in prestige but weak in power. Next
came the shogun, daimyō s, and layers of feudal lords, whose rank
was indicated by their closeness to the Tokugawa. The daimyō s
comprised about 250 local lords of local han with annual outputs of
50,000 or more bushels of rice.
The Tokugawa government adapted a social order called "the four

divisions of society" (shinō kō shō or mibunsei) that stabilized the
country. This system was based on the ideas of Confucianism that
spread to Japan from China. Society was composed of samurai,
farming peasants, artisans, and merchants. Samurai were placed at
the top because they started an order and set a high moral example
for others to follow. The system was meant to reinforce their position
of power in society by justifying their ruling status. Peasants came
second because they produced the most important commodity, food.
According to Confucian philosophy, society could not survive without
agriculture. Third were artisans because they produced nonessential
goods. Merchants were at the bottom of the social order because
they generated wealth without producing any goods. As this
indicates, the classes were not arranged by wealth or capital but by
what philosophers described as their moral purity. In actuality,
shinō kō shō does not accurately describe Tokugawa society as many
were excluded from this simplified division (e.g., soldiers, clergy,
service providers like cleaners, etc.).
The individual had no legal rights in Tokugawa Japan. The family

was the smallest legal entity and the maintenance of family status
and privileges was of great importance at all levels of society.
Terakoya, private educational school
( here specifically for girls) by Issunshi
Hanasato
The first terakoya made their appearance at the beginning of the
17th century, as a development from educational facilities founded in
Buddhist temples. Before the Edo period, public educational
institutions were dedicated to the children of samurai and ruling
families, thus the rise of the merchant class in the middle of the Edo
period boosted the popularity of terakoya. They were common in
large cities as Edo and Osaka, as well as in rural and coastal
regions.
A painting showing students and an instructor studying
Economic Development
The Edo period witnessed the growth of a vital commercial sector,
burgeoning urban centers, relatively well-educated elite,
sophisticated government bureaucracy, productive agriculture, highly
developed financial and marketing systems, and a national
infrastructure of roads. Economic development included
urbanization, increased shipping of commodities, a significant
expansion of domestic and initially foreign commerce, and a diffusion
of trade and handicraft industries. The construction trades flourished,
along with banking facilities and merchant associations.
By the mid-18th century, Edo had a population of more than one

million, and Osaka and Kyoto each had more than 400,000
inhabitants. Many other castle towns grew as well. Japan had almost
zero population growth between the 1720s and 1820s. This is often
attributed to lower birth rates in response to widespread famine, but
some historians have presented different theories, such as a high
rate of infanticide as a means to artificially control population.
Rice was the base of the economy. About 80% of the people were
rice farmers. Rice production increased steadily, but population
remained stable, so prosperity increased. Improved technology
helped farmers control the all-important flow of irrigation to their
paddies. Large-scale rice markets developed, centered on Edo and
Ō saka. The daimyō s collected the taxes from the peasants in the
form of rice. Taxes were high, about 40% of the harvest. In the cities
and towns, guilds of merchants and artisans met the growing
demand for goods and services. The merchants, though low in
status, prospered, especially those with official patronage. They
invented credit instruments to transfer money, currency came into
common use, and the strengthening credit market encouraged
entrepreneurship.
It was during the Edo period that Japan developed an advanced
forest management policy. Increased demand for timber resources
for construction, shipbuilding, and fuel had led to widespread
deforestation, which resulted in forest fires, floods, and soil erosion.
In response, the shogun, beginning around 1666, instituted a policy
to reduced logging and increased the planting of trees. The policy
mandated that only the shogun and daimyō s could authorize the use
of wood. By the 18th century, Japan had developed detailed
scientific knowledge about silviculture and plantation forestry.
27 .2.2: Isolationism in the Edo Period

The isolationist policy of the Tofugawa shogunate known as sakoku
tightly controlled Japanese trade and foreign influences for over 200
years, ending with the Perry Expedition that forced Japan to open its
market to European imperial powers.
Learning Objective
Describe Japanese isolationism in the Edo Period
Key Points
Sakoku was the foreign relations policy of Japan, enacted by the
Tokugawa shogunate through a number of edicts and policies
from 1633–39, under which severe restrictions were placed on
the entry of foreigners to Japan and Japanese people were
forbidden to leave the country without special permission.
Historians have argued that the sakoku policy was
established to remove the colonial and religious influence of
Spain and Portugal and for the Tokugawa to acquire sufficient
control over Japan's foreign policy.
Japan was not completely isolated under the sakoku policy, but
strict regulations were applied to commerce and foreign
relations by the shogunate and by certain feudal domains (han).
The shogunate maintained limited and tightly controlled trade
relations with the Dutch, China, Korea, the Ainu people, and the
Ryūkyū Kingdom.
The growing commerce between America and China, the
presence of American whalers in waters off Japan, and the
increasing monopolization of potential coaling stations by the
British and French in Asia were all contributing factors in the
decision by U.S. President Millard Fillmore to dispatch an
expedition to Japan. The Americans were also driven by the
idea that Western civilization and Christianity would benefit and
thus should be imposed on Asian nations.
The Perry Expedition, under Commodore Matthew Calbraith
Perry, left the U.S. in 1852 and reached Japan in 1853. Perry
employed various techniques to intimidate the Japanese and
refused their demands to leave or to proceed to Nagasaki, the
only Japanese port open to foreigners. Eventually the Japanese
decided that simply accepting a letter from the Americans would
not constitute a violation of Japanese sovereignty. After
presenting the letter, Perry departed for Hong Kong, promising
to return the following year for the Japanese reply.
Perry returned in 1854, after only half a year. After initial
resistance, he was permitted to land at Kanagawa, where after
negotiations lasting for around a month the Convention of
Kanagawa was signed on March 31, 1854. The convention
effectively meant the end of Japan’s policy of national seclusion
by opening the ports of Shimoda and Hakodate to American
vessels. It also ensured the safety of American castaways and
established the position of an American consul in Japan.
Externally, the treaty led to treaties with the United States, the
United Kingdom, Russia, and France. Internally, debate over
foreign policy and popular outrage over perceived appeasement
to the foreign powers was a catalyst for the eventual end of the
Tokugawa shogunate.
Key Terms
Sakoku
The foreign relations policy of Japan under which severe
restrictions were placed on the entry of foreigners to Japan and
Japanese people were forbidden to leave the country without
special permission, on penalty of death if they returned. The
policy was enacted by the Tokugawa shogunate under
Tokugawa Iemitsu through a number of edicts and policies from
1633–39 and largely remained officially in effect until 1866,
although the arrival of the American Black Ships of Commodore
Matthew Perry, which started the forced opening of Japan to
Western trade, eroded its enforcement severely.
Perry Expedition
A diplomatic expedition to Japan involving two separate trips by

warships of the United States Navy, during 1853–54. The
primary goal was to force an end to Japan’s 220-year-old policy
of isolation and open Japanese ports to American trade, through
the use of gunboat diplomacy if necessary. It led directly to the
establishment of diplomatic relations between Japan and the
western Great Powers and eventually to collapse of the ruling
Tokugawa shogunate.
Convention of Kanagawa
The first treaty between the United States of America and the
Tokugawa Shogunate. Signed on March 31, 1854, under the
threat of force, it effectively meant the end of Japan’s 220-year-
old policy of national seclusion (sakoku) by opening the ports of
Shimoda and Hakodate to American vessels. It also ensured the
safety of American castaways and established the position of an
American consul in Japan. The treaty precipitated the signing of
similar treaties establishing diplomatic relations with other
western powers.
gunboat diplomacy
The pursuit of foreign policy objectives with the aid of

conspicuous displays of naval power implying or constituting a
direct threat of warfare, should terms not be agreeable to the
superior force.
Harris Treaty of 1858
A treaty, known formally as the Treaty of Amity and Commerce,

between the United States and Japan signed on the deck of the
USS Powhatan in Edo (now Tokyo) Bay on July 29, 1858. It
opened the ports of Kanagawa and four other Japanese cities to
trade and granted extraterritoriality to foreigners, among a
number of trading stipulations.
Tokugawa shogunate

Sakoku
Sakoku was the foreign relations policy of Japan under which severe
restrictions were placed on the entry of foreigners to Japan and
Japanese people were forbidden to leave the country without special
permission, on penalty of death if they returned. The policy was
enacted by the Tokugawa shogunate under Tokugawa Iemitsu, the
third shogun of the Tokugawa dynasty, through a number of edicts
and policies from 1633–39. It largely remained officially in effect until
1866, although the arrival of Commodore Matthew Perry in the
1850s began the opening of Japan to Western trade, eroding its
enforcement.
Historians have argued that the sakoku policy was established to

remove the colonial and religious influence of Spain and Portugal,
perceived as posing a threat to the stability of the shogunate and to
peace in the archipelago. Some scholars, however, have challenged
this view as only a partial explanation. Another important factor
behind sakoku was the Tokugawa government's desire to acquire
sufficient control over Japan's foreign policy to guarantee peace and
maintain Tokugawa supremacy over other powerful lords in the
country.
Japan was not completely isolated under the sakoku policy, but strict
regulations were applied to commerce and foreign relations by the
shogunate and certain feudal domains (han). The policy stated that
the only European influence permitted was the Dutch factory at
Dejima in Nagasaki. Trade with China was also handled at Nagasaki.
Trade with Korea was limited to the Tsushima Domain. Trade with
the Ainu people was limited to the Matsumae Domain in Hokkaidō
and trade with the Ryūkyū Kingdom took place in Satsuma Domain.
Apart from these direct commercial contacts in peripheral provinces,
trading countries sent regular missions to the shogun in Edo and
Osaka Castle. Due to the necessity for Japanese subjects to travel
to and from these trading posts, this trade resembled outgoing trade,
with Japanese subjects making regular contact with foreign traders
in essentially extraterritorial land. Trade with Chinese and Dutch
traders in Nagasaki took place on an island called Dejima, separated
from the city by a small strait. Foreigners could not enter Japan from
Dejima, nor could Japanese enter Dejima, without special
permissions or authority.
W estern Challenges to
J apanese Isolationism
The growing commerce between America and China, the presence
of American whalers in waters off Japan, and the increasing
monopolization of potential coaling stations by the British and French
in Asia were all contributing factors in the decision by U.S. President
Millard Fillmore to dispatch an expedition to Japan. The Americans
were also driven by the idea that Western civilization and Christianity
would benefit and thus should be imposed on Asian nations, which
were seen as "backwards." By the early 19th century, the Japanese
policy of isolation was increasingly challenged. In 1844, King William
II of the Netherlands sent a letter urging Japan to end the isolation
policy on its own before change would be forced from the outside.
Between 1790 and 1853, at least 27 U.S. ships (including three
warships) visited Japan, only to be turned away. There were
increasing sightings and incursions of foreign ships in Japanese
waters and leading to debate in Japan on how to meet this potential
threat to Japan’s economic and political sovereignty.
In 1851, U.S. Secretary of State Daniel Webster drafted a letter

addressed to the “ Japanese Emperor” with assurances that the
planned expedition under the authority of Commodore John H.
Aulick had no religious purpose, but was only to request “ friendship
and commerce” and supplies of coal needed by ships en route to
China. The letter also boasted of American expansion across the
North American continent and the technical prowess of the country. It
was signed by President Fillmore. However, Aulick became involved
in a diplomatic row with a Brazilian diplomat and quarrels with the
captain of his flagship and was relieved of his command before he
could undertake the expedition. His replacement, Commodore
Matthew Calbraith Perry (1794–1858) was a senior-ranking officer in
the United States Navy and had extensive diplomatic experience.
Perry Ex pedition
In 1852, Perry was assigned a mission to force the opening of
Japanese ports to American trade, through the use of gunboat
diplomacy if necessary. On November 24, 1852, Perry embarked
from Norfolk, V irginia, in pursuit of a Japanese trade treaty. On his
way, he met with American-born Sinologist Samuel Wells Williams,
who provided Chinese language translations of his official letters,
and with the Dutch-born American diplomat, Anton L. C. Portman,
who translated his official letters into the Dutch language. Perry
finally reached Uraga at the entrance to Edo Bay in Japan on July 8,
1853. His actions at this crucial juncture were shaped by a careful
study of Japan's previous contacts with Western ships and what he
knew about the Japanese hierarchical culture. As he arrived, Perry
ordered his ships to steam past Japanese lines towards the capital
of Edo and turn their guns towards the town of Uraga. He refused
Japanese demands to leave or to proceed to Nagasaki, the only
Japanese port open to foreigners.
Matthew Calbraith Perry, photo by
Mathew Brady, ca. 18 5 6-5 8 .
When Perry returned to the United States in 1855, Congress voted
to grant him a reward of $ 20,000 (USD $ 514,000 in 2017) in
appreciation of his work in Japan. He used part of this money to
prepare and publish a report on the expedition in three volumes,
titled Narrative of the Ex pedition of an American Sq uadron to the
China Seas and J apan.
Photo portrait of Commodore Matthew Calbraith Perry
Perry attempted to intimidate the Japanese by presenting them a

white flag and a letter, which said that if they chose to fight, the
Americans would destroy them. He also fired blank shots from his 73
cannons, which he claimed was in celebration of the American
Independence Day. Perry's ships were equipped with new Paixhans
shell guns, cannons capable of wreaking explosive destruction with
every shell. He also ordered his ship boats to commence survey
operations of the coastline and surrounding waters over the
objections of local officials.
In the meantime, the Japanese government was paralyzed by the

illness of Shogun Tokugawa Ieyoshi and political indecision on how
to handle the unprecedented threat to the nation’s capital. On July
11, the chief senior councilor (rō j ū ) Abe Masahiro decided that
simply accepting a letter from the Americans would not constitute a
violation of Japanese sovereignty and Perry was asked to move his
fleet slightly southwest to the beach at Kurihama, where he was
allowed to land. After presenting the letter to attending delegates,
Perry departed for Hong Kong, promising to return the following year
for the Japanese reply.
Perry returned on February 13, 1854, after only half a year rather
than the full year promised, with ten ships and 1,600 men. Both
actions were calculated to put even more pressure on the Japanese.
After initial resistance, Perry was permitted to land at Kanagawa,
where after month-long negotiations the Convention of Kanagawa
was signed on March 31, 1854. Signed under the threat of force, the
convention effectively meant the end of Japan’s 220-year-old policy
of national seclusion by opening the ports of Shimoda and
Hakodate to American vessels. It also ensured the safety of
American castaways and established the position of an American
consul in Japan.
Consequences
In the short-term, both sides were satisfied with the agreement.
Perry had achieved his primary objective of breaking Japan’s
sakoku policy and setting the grounds for protection of American
citizens and an eventual commercial agreement. The Tokugawa
shogunate could point out that the treaty was not actually signed by
the Shogun or any of his rō j ū , and by the agreement made, had at
least temporarily averted the possibility of immediate military
confrontation.
J apanese 18 5 4 print relating Perry's

visit
After the signing of the convention, the Americans presented the
Japanese with a miniature steam locomotive, a telegraph apparatus,
various agricultural tools, and small arms as well as 100 gallons of
whiskey, clocks, stoves, and books about the United States. The
Japanese responded with gold-lacquered furniture and boxes,
bronze ornaments, porcelain goblets, and upon learning of Perry’s
personal hobby, a collection of seashells.
Externally, the treaty led to the United States-Japan Treaty of Amity

and Commerce, the Harris Treaty of 1858, which allowed the
establishment of foreign concessions, extraterritoriality for foreigners,
and minimal import taxes for foreign goods. The Kanagawa
Convention was also followed by similar agreements with the United
Kingdom (Anglo-Japanese Friendship Treaty, 1854), the Russians
(Treaty of Shimoda, 1855), and the French (Treaty of Amity and
Commerce between France and Japan, 1858).
Internally, the treaty had far-reaching consequences. Decisions to
suspend previous restrictions on military activities led to re-
armament by many domains and further weakened the position of
the Shogun. Debate over foreign policy and popular outrage over
perceived appeasement to the foreign powers was a catalyst for the
sonnō j ō i movement (the movement to overthrow the Tokugawa
shogunate) and a shift in political power from Edo back to the
Imperial Court in Kyoto. The opposition of Emperor Kō mei to the
treaties further lent support to the tō baku (overthrow the Shogunate)
movement, and eventually to the Meiji Restoration.
27 .2.3: Art and Culture in the Edo

Period
The Edo period witnessed the energetic growth of intellectual and
artistic trends, including the development of sciences shaped by both
Western and national influences, the emergence of new schools of
art, and the rise of new literary genres fueled by the rising literacy
rate among urban populations.
Learning Objective
Identify some artistic trends during the Edo Period
Key Points
During the Edo period, the Japanese studied Western sciences
and techniques (called rangaku, "Dutch studies") through the
information and books received from Dutch traders in Dejima.
The main areas of study included geography, medicine, natural
sciences, astronomy, art, languages, physical sciences, and
mechanical sciences.
The flourishing of neo-Confucianism was the major intellectual
development of the Tokugawa period. Although this system of
thought was not new during the Edo period, its major tenets
became more popular, including a secular view of man and
society, ethical humanism, rationalism, and historical
perspective of neo-Confucian doctrine.
By the mid-17th century, neo-Confucianism was Japan's
dominant legal philosophy and contributed directly to the
development of the kokugaku. This school of Japanese
philology and philosophy worked to refocus Japanese
scholarship away from the then-dominant study of Chinese,
Confucian, and Buddhist texts in favor of research into the early
Japanese classics. It held that the Japanese national character
would reveal its splendor once the foreign (Chinese) influences
were removed.
Advanced studies and growing applications of neo-
Confucianism contributed to the transition of the social and
political order from feudal norms to class- and large-group-
oriented practices. The rule of the people or Confucian man was
gradually replaced by the rule of law. New laws were developed
and new administrative devices were instituted.
For the first time, urban populations had the means and leisure
time to support a new mass culture. Their search for enjoyment
became known as ukiyo (the floating world), an ideal world of
fashion, popular entertainment, and the discovery of aesthetic
qualities in objects and actions of everyday life. Yoshiwara was
a famous district of such enjoyment in Edo. Prostitution based
on the indentured servitude of girls and young women became
the critical component of the district's identity.
Music, popular stories, kabuki and bunraku (puppet theater),
poetry, literature, and art all flourished during the Edo period. A
new style of painting and printmaking known as ukiyo-e
emerged in fine arts. In literature, many genres debuted, helped
by a rising literacy rate among the growing population of
townspeople and the development of lending libraries.
Key Terms
ukiyo-e
A genre of art flourished in Japan from the 17th through 19th
centuries. Its artists produced woodblock prints and paintings of
such subjects as female beauties, kabuki actors, and
sumo wrestlers, scenes from history and folk tales, travel
scenes and landscapes, flora and fauna, and erotica. The term
translates as "picture[ s] of the floating world."
Chō nindō
A distinct culture that arose in cities such as Osaka, Kyoto, and

Edo during the Edo period of Japanese history. It encouraged
aspiration to bushido (samurai code of conduct) qualities—
diligence, honesty, honor, loyalty, and frugality—while
blending Shinto, Neo-Confucian, and Buddhist beliefs. Study of
mathematics, astronomy, cartography, engineering, and
medicine were also encouraged. Emphasis was placed on
quality of workmanship, especially in the arts.
Shinto
A Japanese ethnic religion that focuses on ritual practices to be

carried out diligently and establishing a connection between
present-day Japan and its ancient past. Its practices were first
recorded and codified in the written historical records of the
K oj iki and Nihon Shoki in the 8th century.
Neo-Confucianism
A moral, ethical, and metaphysical Chinese philosophy

influenced by Confucianism that became prominent in Japan
during the Edo period. It was an attempt to create a more
rationalist and secular form of Confucianism by rejecting
superstitious and mystical elements of Taoism and Buddhism
that had influenced Confucianism.
Yoshiwara
A famous pleasure and red-light district in Edo, present-day
Tō kyō . In the early 17th century, there was widespread male
and female prostitution throughout the cities of Kyoto, Edo, and
Osaka. To counter this, an order of Tokugawa Hidetada of the
Tokugawa shogunate restricted prostitution to designated
districts to prevent the nouveau riche (townsmen) from engaging
in political intrigue.
Kokugaku
An academic school of Japanese philology and philosophy that

originated during the Tokugawa period. Its scholars worked to
refocus Japanese scholarship away from the then-dominant
study of Chinese, Confucian, and Buddhist texts in favor of
research into the early Japanese classics.
Intellectual Trends
During the Edo period, the Japanese studied Western sciences and
techniques (called rangaku, "Dutch studies") through the information
and books received from Dutch traders in Dejima. The main areas of
study included geography, medicine, natural sciences, astronomy,
art, languages, physical sciences such as the study of electrical
phenomena, and mechanical sciences as exemplified by the
development of Japanese clockwatches, or wadokei, inspired by
Western techniques.
The flourishing of neo-Confucianism was the major intellectual

development of the Tokugawa period. Confucian studies had long
been kept active in Japan by Buddhist clerics, but during the
Tokugawa period, Confucianism emerged from Buddhist religious
control. Neo-Confucianism was an attempt to create a more
rationalist and secular form of Confucianism by rejecting
superstitious and mystical elements of Taoism and Buddhism that
earlier influenced Confucianism. Although the neo-Confucianists
were critical of Taoism and Buddhism, the new philosophy borrowed
terms and concepts from both. However, unlike the Buddhists and
Taoists, who saw metaphysics as a catalyst for spiritual
development, religious enlightenment, and immortality, the Neo-
Confucianists used metaphysics as a guide for developing a
rationalist ethical philosophy. Although this system of thought was
not new during the Edo period, its major tenets, including a secular
view of man and society, ethical humanism, rationalism, and
historical perspective of neo-Confucian doctrine, grew in popularity.
By the mid-17th century, Neo-Confucianism was Japan's dominant

legal philosophy and contributed directly to the development of
the kokugaku, a school of Japanese philology and philosophy that
originated during the Tokugawa period. Kokugaku scholars worked
to refocus Japanese scholarship away from the then-dominant study
of Chinese, Confucian, and Buddhist texts in favor of research into
the early Japanese classics. The Kokugaku school held that the
Japanese national character was naturally pure and would reveal its
splendor once the foreign (Chinese) influences were removed. The
"Chinese heart" was different from the "true heart" or "Japanese
heart." This true Japanese spirit needed to be revealed by removing
a thousand years of Chinese learning. Kokugaku contributed to the
emperor-centered nationalism of modern Japan and the revival of
Shinto as a national creed in the 18th and 19th centuries. Some
purists in the kokugaku movement, such as Motoori Norinaga, even
criticized the Confucian and Buddhist influences—in effect, foreign
influences—for contaminating Japan's ancient ways.
Members of the samurai class adhered to their ways of life (a code

of conduct known as bushido) with a renewed interest in Japanese
history and in cultivation of the practices of Confucian scholar-
administrators. Another special way of life—chō nindō —also
emerged. Chō nindō ("the way of the townspeople") was a distinct
culture that arose in cities such as Osaka, Kyoto, and Edo. It
encouraged aspiration to bushido qualities—diligence, honesty,
honor, loyalty, and frugality—while blending Shinto, Neo-Confucian,
and Buddhist beliefs. Study of mathematics, astronomy, cartography,
engineering, and medicine were also encouraged. Emphasis was
placed on quality of workmanship, especially in the arts.
Cultural Trends and J apanese

Social Order
Advanced studies and growing applications of neo-Confucianism
contributed to the transition of the social and political order from
feudal norms to class- and large-group-oriented practices. The rule
of the people or Confucian man was gradually replaced by the rule of
law. New laws were developed and new administrative devices were
instituted. A new theory of government and a new vision of society
emerged to justify more comprehensive governance by the
shogunate. Each person had a distinct place in society and was
expected to work to fulfill his or her mission in life. The people were
ruled with benevolence. Government was all-powerful but
responsible and humane. Although the class system was influenced
by neo-Confucianism, it was not identical to it. Whereas soldiers and
clergy were at the bottom of the hierarchy in the Chinese model, in
Japan, some members of these classes constituted the ruling elite.
For the first time, urban populations had the means and leisure time
to support new mass culture. Their search for enjoyment became
known as ukiyo (the floating world), an ideal world of fashion,
popular entertainment, and the discovery of aesthetic qualities in
objects and actions of everyday life. This increasing interest in
pursuing recreational activities developed an array of new industries,
many found in an area known as Yoshiwara. The region was better
known for being the center of Edo’s developing sense of elegance
and refinement. This center of pleasure and luxury became a
destination for the elite and wealthy merchants who wished to flaunt
their fortune. For many who inhabited and worked in this region,
maintaining the illusion of grandeur was the only way of supporting
their businesses.
Yoshiwara was home to many girls and women who provided
services to lure guests into returning. These included dancing,
singing, playing an instrument, gossiping, or providing
companionship, which usually meant prostitution. Girls were often
indentured to the brothels by their parents between the ages of
seven and 12. Some would become an apprentice to a high-
ranking courtesan. When the girl was old enough and had completed
her training, she would become a courtesan herself and work her
way up the ranks. The young women often had a contract to the
brothel for five to ten years, but massive debt sometimes kept them
there for life. The alleged cost of living at Yoshiwara perpetuated the
cycle of abuse as women were forced to pay the cost of rent,
clothing, make-up, gifts, and even their work contract. One way a
woman could get out of Yoshiwara was for a rich man to buy her
contract from the brothel and keep her as his personal wife
or concubine. Another was if she managed to be successful to buy
her own freedom. This did not occur very often. Many women died of
sexually transmitted diseases or from failed abortions before
completing their contracts. A significant number served out their
contracts and married a client, went into other employment (including
other forms of prostitution), or returned to their family homes.
Prostitutes on display in Y oshiwara
during the Meiji period ( the period
following the Edo period in the
J apanese history) , possibly by
Kusakabe Kimbei.
The area was damaged by an extensive fire in 1913, then nearly
wiped out by an earthquake in 1923. It remained in business,
however, until prostitution was outlawed by the Japanese
government in 1958 after World War II.
Arts and Literature

Music, popular stories, kabuki and bunraku (puppet theater), poetry,
literature, and art all flourished during the Edo period.
Around 1661, painted hanging scrolls known as Portraits of Kanbun

Beauties gained popularity. The paintings of the Kanbun era (1661–
73), most of which are anonymous, marked the beginnings of a new
style of painting and printmaking known as ukiyo-e. The paintings
of Iwasa Matabei (1578–1650) are seen by some scholars as
evidence that Matabei he was the genre's founder. In response to
the increasing demand for ukiyo-e works, Hishikawa
Moronobu (1618–1694) produced the first ukiyo-e woodblock
prints. By 1672, Moronobu was so successful that he began to sign
his work—the first of the book illustrators to do so. He was a prolific
illustrator who worked in a wide variety of genres and developed an
influential style of portraying female beauties. Most significantly, he
began to produce illustrations, not just for books, but as single-sheet
images which could stand alone or be used as part of a series. The
Hishikawa school attracted a large number of followers.
Suzuki Harunobu produced the first full-color nishiki-e prints in 1765,

a form that has become synonymous with ukiyo-e. The genre
peaked in technique towards the end of the century with the works of
such artists as Kiyonaga and Utamaro. As the Edo period came to
an end, a great diversity of topics proliferated: warriors, nature,
folklore, and the landscapes of Hokusai and Hiroshige. The genre
declined throughout the rest of the century in the face of
modernization that saw ukiyo-e as both old-fashioned and laborious
to produce compared to Western technologies. Ukiyo-e was a
primary part of the wave of Japanism that swept Western art in the
late 19th century.
Katsushika Hokusai's The Great Wave
off Kanagawa, 18 31 ( from Thirty-six
Views of Mount Fuji) .
This one of the best-known works of Japanese art represents ukiyo-
e. Although it is often used in tsunami literature, there is no reason to
suspect that Hokusai intended it to be interpreted in that way. The
waves in this work are sometimes mistakenly referred to as tsunami
but they are more accurately called okinami, great off-shore waves.
Due in large part to the rise of the working and middle classes in the
new capital of Edo (modern Tokyo), forms of popular drama
developed which would later evolve into kabuki. The jō ruri and
kabuki dramatist Chikamatsu Monzaemon became popular at the
end of the 17th century and is known as Japan's Shakespeare.
Many genres of literature made their dé but during the Edo Period,
helped by a rising literacy rate among the growing population of
townspeople and the development of lending libraries. Although
there was a minor Western influence trickling into the country from
the Dutch settlement at Nagasaki, it was the importation of Chinese
vernacular fiction that proved the greatest outside influence on the
development of early modern Japanese fiction. Ihara Saikaku is
credited for the birth of modern Japanese novel, mixing vernacular
dialogue into his humorous and cautionary tales of the pleasure
quarters. Jippensha Ikku wrote Tō kaidō chū Hiz akurige, a mix of
travelogue and comedy. Tsuga Teisho, Takebe Ayatari, and Okajima
Kanzan were instrumental in developing the yomihon, historical
romances almost entirely in prose, influenced by Chinese vernacular.
Other genres included horror, crime stories, morality stories, comedy,
and pornography—often accompanied by colorful woodcut prints.
During the Tokugawa period, as in earlier periods, scholarly work

continued to be published in Chinese, considered the language of
the learned much as Latin was in Europe.
27 .2.4: The Meiji Restoration

The Meiji Restoration was a chain of events, triggered by an internal
crisis and strong anti-Western sentiments, that ended the Edo period
and thus the rule of the Tokugawa shogunate and restored practical
imperial rule to Japan in 1868 under Emperor Meiji.
Learning Objective
Explain why the Meiji Restoration occurred
Key Points
Bakumatsu refers to the final years of the Edo period when the
Tokugawa shogunate ended. Between 1853 and 1867, Japan
ended its isolationist foreign policy known as sakoku and
changed from a feudal Tokugawa shogunate to the pre-modern
empire of the Meiji government. The major ideological-political
divide during this period was between the pro-imperial
nationalists called ishin shishi and the shogunate forces, which
included the elite shinsengumi swordsmen.
During the last years of the Bakumatsu, the shogunate took
strong measures to try to reassert its dominance, although its
involvement with modernization and foreign powers made it a
target of anti-Western sentiment throughout the country.
Tokugawa Yoshinobu (informally known as Keiki) reluctantly
became head of the Tokugawa house and shogun following the
unexpected death of Tokugawa Iemochi in 1866. In 1867,
Emperor Kō mei died and was succeeded by his second son,
Mutsuhito, as Emperor Meiji. Tokugawa Yoshinobu tried to
reorganize the government under the Emperor while preserving
the shogun's leadership role, a system known as kō bu gattai.
The civil war known as the Boshin War decided the fate of the
Tokugawa shogunate. An alliance of western samurai,
particularly the domains of Chō shū, Satsuma, and Tosa, and
court officials, secured control of the imperial court and
influenced the Emperor Meiji. Tokugawa Yoshinobu, realizing
the futility of his situation, abdicated political power to the
emperor, essentially ending both the power of the Tokugawa
and the shogunate that had ruled Japan for over 250 years.
A new era, Meiji, was proclaimed. The first reform was the
promulgation of the Charter Oath in 1868, a general statement
of the aims of the Meiji leaders to boost morale and win financial
support for the new government. Implicit in the Charter Oath
was an end to exclusive political rule by the bakufu (a shogun's
direct administration including officers), and a move toward
more democratic participation in government. To implement the
Charter Oath, a short-lived constitution was drawn up in 1868.
The Meiji government assured the foreign powers that it would
follow the old treaties. Mutsuhito selected a new reign title—
Meiji, or Enlightened Rule—to mark the beginning of a new era
in Japanese history. The capital was relocated from Kyoto to
Tokyo (Eastern Capital), the new name for Edo. In a move
critical for the consolidation of the new regime, most feudal lords
voluntarily surrendered their land and census records to the
Emperor in the abolition of the han (feudal domain) system,
symbolizing that the land and people were under the Emperor's
jurisdiction.
Key Terms
Bakumatsu
The final years of the Edo period when the Tokugawa

shogunate ended. Between 1853 and 1867 Japan ended its
isolationist foreign policy known as sakoku and changed from a
feudal Tokugawa shogunate to the pre-modern empire of the
Meiji government.
Charter Oath
The 1868 oath that outlined the main aims and the course of
action to be followed during Emperor Meiji's reign, setting the
legal stage for Japan's modernization. It remained influential,
less for governing than inspiring, throughout the Meiji era and
into the 20th century and can be considered the first
constitution of modern Japan.
Boshin War
A civil war in Japan, sometimes known as the Japanese

Revolution, fought from 1868 to 1869 between forces of the
ruling Tokugawa shogunate and those seeking to return political
power to the Imperial Court.
Tokugawa shogunate

Bakumatsu
Bakumatsu refers to the final years of the Edo period when the
Tokugawa shogunate ended. Between 1853 and 1867, Japan ended
its isolationist foreign policy known as sakoku and changed from a
feudal Tokugawa shogunate to the pre-modern empire of the Meiji
government. The major ideological-political divide during this period
was between the pro-imperial nationalists called ishin shishi and the
shogunate forces, which included the elite shinsengumi swordsmen.
Although these two groups were the most visible powers, many other
factions attempted to use the chaos of Bakumatsu to seize personal
power. There were two other main driving forces for dissent: growing
resentment among outside feudal lords and growing anti-western
sentiment following the arrival of Matthew C. Perry and the resulting
end of isolationism. The feudal lords fought against Tokugawa forces
at the Battle of Sekigahara in 1600 and had from that point on been
excluded permanently from all powerful positions within the
shogunate. The anti-Western sentiment was often expressed in the
phrase sonnō j ō i, or "revere the Emperor, expel the barbarians."
During the last years of the Bakumatsu, the shogunate took strong
measures to try to reassert its dominance, although its involvement
with modernization and foreign powers made it a target of anti-
Western sentiment throughout the country. Naval students were sent
to study in Western schools for several years, starting a tradition of
foreign-educated future leaders. By the end of the Tokugawa
shogunate in 1868, the Japanese navy of the shogun already
possessed eight western-style steam warships. A French Military
Mission to Japan (1867) was established to help modernize the
shogunate armies. Japan sent a delegation to and participated in the
1867 World Fair in Paris.
Tokugawa Yoshinobu (informally known as Keiki) reluctantly became

head of the Tokugawa house and shogun following the unexpected
death of Tokugawa Iemochi in 1866. In 1867, Emperor Kō mei died
and was succeeded by his second son, Mutsuhito, as Emperor Meiji.
Tokugawa Yoshinobu tried to reorganize the government under the
Emperor while preserving the shogun's leadership role, a system
known as kō bu gattai. Fearing the growing power of the Satsuma
and Chō shū feudal domains, other domains called for returning the
shogun's political power to the emperor and a council chaired by the
former Tokugawa shogun. With the threat of an imminent Satsuma-
Chō shū led military action, Yoshinobu moved pre-emptively by
surrendering some of his previous authority.
Tokugawa Y oshinobu, the last
shogun, in French military uniform, c.
18 67
Tokugawa Yoshinobu took over the position of shogun at the time of
massive turmoil. The opening of Japan to uncontrolled foreign trade
brought massive economic instability. While some entrepreneurs
prospered, many others went bankrupt. Unemployment and inflation
rose. Coincidentally, major famines increased the price of food
drastically. Incidents occurred between brash foreigners, qualified as
"the scum of the earth" by a contemporary diplomat, and the
Japanese.
Boshin W ar
After Keiki temporarily avoided the growing conflict, anti-shogunal
forces instigated widespread turmoil in the streets of Edo using
groups of masterless samurais known as rō nins. Satsuma and
Chō shū forces then moved on Kyoto in force, pressuring the Imperial
Court for a conclusive edict demolishing the shogunate. Following a
conference of feudal domains (daimyō s), the Imperial Court issued
such an edict, removing the power of the shogunate in 1867. The
Satsuma, Chō shū, and other domain leaders and radical courtiers,
rebelled, seized the imperial palace, and announced their own
restoration on January 3, 1868. Keiki nominally accepted the plan,
retiring from the Imperial Court to Osaka at the same time as
resigning as shogun. Fearing a feigned concession of the shogunal
power to consolidate power, the dispute continued until culminating
in a military confrontation between Tokugawa and allied domains
with Satsuma, Tosa, and Chō shū forces in Fushimi and Toba. With
battle turning toward anti-shogunal forces, Keiki then quit Osaka for
Edo, essentially ending both the power of the Tokugawa and the
shogunate that had ruled Japan for over 250 years.
A teenage Emperor Meiji with foreign
representatives at the end of
the Boshin W ar
The Meiji Restoration and the resultant modernization of Japan
influenced Japanese self-identity with respect to its Asian neighbors,
as Japan became the first Asian state to modernize based on the
European model, replacing the traditional Confucian hierarchical
order that persisted previously under a dominant China with one
based on modernity.
Meiji Restoration
The fall of Edo in 1868 marked the end of the Tokugawa shogunate,
and a new era, Meiji, was proclaimed. The first reform was the
promulgation of the Charter Oath in 1868, a general statement of the
aims of the Meiji leaders to boost morale and win financial support
for the new government. Its main provisions included the
establishment of assemblies, the involvement of all classes in
carrying out state affairs, the revocation of class restrictions on
employment, the introduction of "the "just laws of nature," and
seeking international expertise to strengthen the foundations of
imperial rule. Implicit in the Charter Oath was an end to exclusive
political rule by the bakufu (a shogun's direct administration including
officers), and a move toward more democratic participation in
government. To implement the Charter Oath, a short-lived
constitution was drawn up in 1868. Besides providing for a new
Council of State, legislative bodies, and systems of ranks for nobles
and officials, it limited office tenure to four years, allowed public
balloting, provided for a new taxation system, and ordered new local
administrative rules.
The Meiji government assured the foreign powers that it would follow
the old treaties negotiated by the bakufu and announced that it
would act in accordance with international law. Mutsuhito, who was
to reign until 1912, selected a new reign title—Meij i, or Enlightened
Rule—to mark the beginning of a new era in Japanese history. To
further dramatize the new order, the capital was relocated from
Kyoto, where it had been situated since 794, to Tokyo (Eastern
Capital), the new name for Edo. In a move critical for the
consolidation of the new regime, most daimyō s voluntarily
surrendered their land and census records to the Emperor in the
abolition of the han (feudal domain) system, symbolizing that the
land and people were under the Emperor's jurisdiction. Confirmed in
their hereditary positions, the feudal lords became governors and the
central government assumed their administrative expenses and paid
samurai stipends. The han were replaced with prefectures in 1871
and authority continued to flow to the national government. Officials
from the favored former han, such as Satsuma, Chō shū, Tosa, and
Hizen, staffed the new ministries. Formerly old court nobles and
lower-ranking but more radical samurai became a new ruling class.
27 .2.5 : The Meiji Constitution

The Meiji Constitution, proclaimed in 1889 and enacted in 1890,
established mixed constitutional and absolute monarchy, creating
tensions between democratic and authoritarian tendencies with the
emperor as head of state and the prime minister as head of
government.
Learning Objective
Extrapolate the main ideas of the Meiji Constitution
Key Points
After the Meiji restoration, the leaders of the samurai who
overthrew the Tokugawa shogunate had no pre-developed plan
on how to run Japan. With no official centralized government,
the country was a collection of largely semi-independent feudal
domains (the han system). In 1868, the new Meiji government
summoned delegates from all of the domains to Kyoto to
establish a provisional consultative national assembly. The
Charter Oath and the administrative code known
as Seitaisho were promulgated to establish the new
administrative basis for the Meiji government.
In 1869, the central government led by Ō kubo Toshimichi of
Satsuma felt strong enough to effect centralization. After
merging the armies of Satsuma and Chō shū into a combined
force, Ō kubo convinced the feudal lords (daimyō ) of Satsuma,
Chō shū, Hizen, and Tosa to surrender their domains to the
emperor. Other daimyō were forced to do the same and all were
reappointed as governors to their respective domains. By the
end of 1871, Japan had become a fully centralized state.
Prior to the Meiji Restoration, Japan had no written constitution
and the idea of one became a subject of heated debate. In
1881, Itō Hirobumi was appointed to chair a government bureau
to research various forms of constitutional government and in
1882, Itō led an overseas mission to observe and study various
systems first-hand. The Reichstag and legal structures of the
German Empire, particularly that of Prussia, proved to be of the
most interest to the Constitutional Study Mission. Influence was
also drawn from the British Westminster system.
The draft committee included Japanese officials along with a
number of foreign advisers, in particular some German legal
scholars. The central issue was the balance between
sovereignty vested in the person of the Emperor and an elected
representative legislature with powers that would limit or restrict
the power of the sovereign. The final version, drafted without
public debate, was submitted to Emperor Meiji in 1888.
The new constitution was promulgated in 1889, but came into
effect in 1890. The first National Diet of Japan, a new
representative assembly, reflected both Prussian and British
influences, most notably in the inclusion of the House of
Representatives as the lower house and the House of Peers as
the upper house. The Constitution established clear limits on the
power of the executive branch and the Emperor and guaranteed
some civil rights and liberties, although in many cases they were
subject to limitation by law.
The Meiji Constitution was ambiguous in wording and in many
places self-contradictory. The leaders of the government and
political parties were left to interpret whether the Meiji
Constitution could be used to justify authoritarian or liberal-
democratic rule. It was the struggle between these tendencies
that dominated the government of the Empire of Japan.
Key Terms
Boshin War
A civil war in Japan, sometimes known as the Japanese

Revolution, fought from 1868 to 1869 between forces of the
ruling Tokugawa shogunate and those seeking to return political
power to the Imperial Court.
Han
The Japanese historical term for the estate of a warrior after the
12th century or of a daimyō (feudal lord) in the Edo
period (1603–1868) and early Meiji period (1868–1912).
Charter Oath
The 1868 oath that outlined the main aims and course of action
to be followed during Emperor Meiji's reign, setting the legal
stage for Japan's modernization. It remained influential, less for
governing than inspiring, throughout the Meiji era and into the
20th century and is considered the first constitution of modern
Japan.
Tokugawa shogunate
The last feudal Japanese military government, existing between

1603 and 1867. The head of government was the shogun and
each was a member of the Tokugawa clan. The regime ruled
from Edo Castle and the years of the shogunate became known
as the Edo period.
Meiji Constitution
The constitution of the Empire of Japan proclaimed on February

11, 1889. It established mixed constitutional and absolute
monarchy based on the Prussian and British models. In theory,
the Emperor of Japan was the supreme ruler and the Cabinet,
whose Prime Minister would be elected by a Privy Council, were
his followers. In practice, the Emperor was head of state but the
Prime Minister was the actual head of government. The Prime
Minister and his Cabinet were not necessarily chosen from the
elected members of the Diet.
New Imperial Government

After the Meiji restoration, the leaders of the samurai who overthrew
the Tokugawa shogunate had no clear agenda or pre-developed plan
on how to run Japan. Immediately after the resignation of Tokugawa
Yoshinobu in 1867, with no official centralized government, the
country was a collection of largely semi-independent feudal domains
(the han system), held together by the military strength of the Satchō
Alliance (military alliance between the feudal domains of
Satsuma and Chō shū formed in 1866 to combine their efforts to
restore Imperial rule) and the prestige of the Imperial Court. In 1868,
with the outcome of the Boshin War still uncertain, the new Meiji
government summoned delegates from all of the domains to Kyoto
to establish a provisional consultative national assembly. The
Charter Oath was promulgated, in which Emperor Meiji set out the
broad general outlines for Japan's development and modernization.
The same year, administrative code known as Seitaisho was
promulgated to establish the new administrative basis for the Meiji
government. It was a mixture of western concepts such as division of
powers and a revival of ancient Japanese structures of bureaucracy.
Centraliz ation: Abolition of Han

System
In 1869, the central government led by Ō kubo Toshimichi of
Satsuma felt strong enough to effect centralization. After merging the
armies of Satsuma and Chō shū into a combined force, Ō kubo and
Kido Takayoshi convinced the feudal lords (daimyō ) of Satsuma,
Chō shū, Hizen. and Tosa to surrender their domains to the emperor.
Other daimyō were forced to do the same and all were reappointed
as governors to their respective domains, now treated as sub-
divisions of the central government. In 1871, Ō kubo and several
other leaders held a secret meeting and decided to completely
abolish the han domains. Eventually, all of the ex-daimyō were
summoned to the Emperor, who issued a decree converting the
domains to prefectures headed by a bureaucratic appointee from the
central government. The daimyō were generously pensioned into
retirement and their castles became the local administrative centers
for the central government. By the end of 1871, Japan was a fully
centralized state. The transition was made gradually to avoid
disruption to the lives of the common people and outbreaks of
resistance or violence. The central government absorbed all of the
debts and obligations of the domains and many former officials found
new employment with the central government.
In 1871, the central government supported the creation of

consultative assemblies at the town, village, and county levels. The
membership of the prefectural assemblies was drawn from these
local assemblies. As the local assemblies only had the power of
debate and not legislation, they provided an important safety valve
without the ability to challenge the authority of the central
government.
Constitution
Prior to the Meiji Restoration, Japan had no written constitution, and
the idea of one became a subject of heated debate. The
conservative Meiji oligarchy viewed anything resembling democracy
or republicanism with suspicion, favoring a gradual approach. The
Freedom and People's Rights Movement demanded the immediate
establishment of an elected national assembly and the promulgation
of a constitution. In 1881, Itō Hirobumi was appointed to chair a
government bureau to research various forms of constitutional
government and in 1882, Itō led an overseas mission to observe and
study various systems first-hand. The United States Constitution was
rejected as too liberal. The French and Spanish models were
rejected as tending toward despotism. The Reichstag and legal
structures of the German Empire, particularly that of Prussia, proved
to be of the most interest to the Constitutional Study Mission.
Influence was also drawn from the British Westminster system,
although it was considered being unwieldy and granting too much
power to Parliament.
The Council of State was replaced in 1885 with a cabinet headed by

Itō as Prime Minister. The draft committee included Japanese
officials along with a number of foreign advisers, in particular some
German legal scholars. The central issue was the balance between
sovereignty vested in the person of the Emperor and an elected
representative legislature with powers that would limit or restrict the
power of the sovereign. The final version, drafted without public
debate, was submitted to Emperor Meiji in 1888.
Meiji Constitution promulgation by
Toyohara Chikanobu, undated.
The Meiji Constitution consists of 76 articles in seven chapters,
amounting to around 2,500 words. It is also usually reproduced with
its Preamble, the Imperial Oath Sworn in the Sanctuary in the
Imperial Palace, and the Imperial Rescript on the Promulgation of
the Constitution, which come to nearly another 1,000 words.
The new constitution was promulgated by Emperor Meiji on February

11 (the National Foundation Day of Japan in 660 BC), 1889, but
came into effect in 1890. The first National Diet of Japan, a new
representative assembly, convened on the day the Meiji Constitution
came into force. The organizational structure of the Diet reflected
both Prussian and British influences, most notably in the inclusion of
the House of Representatives as the lower house and the House of
Peers as the upper house. The second chapter of the constitution,
detailing the rights of citizens, bore a resemblance to similar articles
in both European and North American constitutions of the day.
The Meiji Constitution established clear limits on the power of the

executive branch and the Emperor. It also created an independent
judiciary. Civil rights and civil liberties were guaranteed, although in
many cases they were subject to limitation by law. Unlike its modern
successor, the Meiji Constitution was founded on the principle that
sovereignty resided in person of the emperor, by virtue of his divine
ancestry "unbroken for ages eternal," rather than in the people. The
emperor had the right to exercise executive authority and to appoint
and dismiss all government officials. He also had the sole rights to
declare war, make peace, conclude treaties, dissolve the lower
house of Diet, and issue Imperial ordinances in place of laws when
the Diet was not in session. Most importantly, command over the
Imperial Japanese Army and Imperial Japanese Navy was directly
held by the Emperor and not the Diet. Cabinet consisted of Ministers
of State who answered to the Emperor rather than the Diet. The
Privy Council, an advisory council to the Emperor of Japan, was also
established. Not mentioned in the Constitution were the genrō , an
inner circle of advisers to the Emperor, who wielded considerable
influence.
The Emperor meets with his Privy

Councilors, ukiyo-e woodblock prints
by Y ō shū Chikanobu, 18 8 8 .
The Privy Council consisted of a chairman, a vice chairman (non-
voting), 12 (later expanded to 24) councilors, a chief secretary, and
three additional secretaries. All privy councilors were appointed by
the emperor for life, on the advice of the prime minister and the
cabinet. In addition to the 24 voting privy counselors, the prime
minister and the other ministers of state were ex officio members of
the council.
The Meiji Constitution was ambiguous in wording and in many
places self-contradictory. The leaders of the government and the
political parties were left to interpret whether the Meiji Constitution
could be used to justify authoritarian or liberal-democratic rule. It was
the struggle between these tendencies that dominated the
government of the Empire of Japan. Following Japan's defeat
in World War II, the Meiji Constitution was replaced by a new
document, the postwar Constitution of Japan. This document—
officially an amendment to the Meiji Constitution—replaced imperial
rule with a form of Western-style liberal democracy.
27 .2.6: J apan's Industrial Revolution

The rapid industrialization of Japan during the Meiji period resulted
from a carefully engineered transfer of Western technology,
modernization trends, and education led by the government in
partnership with the private sector.
Learning Objective
Analyze the success of Japan's rapid shift to industrialization
Key Points
The Industrial Revolution in Japan began about 1870 as Meiji
period leaders decided to catch up with the West. In 1871, a
group of Japanese statesmen and scholars known as the
Iwakura Mission embarked upon a voyage across Europe and
the United States. The mission aimed to gain recognition for the
newly reinstated imperial dynasty and begin preliminary
renegotiation of the unequal treaties, but it was the exploration
of modern Western industrial, political, military, and educational
systems and structures that became its most consequential
outcome.
Japan's Industrial Revolution first appeared in textiles, including
cotton and especially silk, traditionally made in home workshops
in rural areas. By the 1890s, Japanese textiles dominated the
home markets and competed successfully with British products
in China and India. Japan largely skipped water power and
moved straight to steam-powered mills, which were more
productive. That in turn created a demand for coal.
To promote industrialization, the government decided that while
it should help private business allocate resources and plan, the
private sector was best equipped to stimulate economic growth.
In the early Meiji period, the government built factories and
shipyards that were sold to entrepreneurs at a fraction of their
value. It also provided infrastructure, building railroads,
improving roads, and inaugurating a land reform program to
prepare the country for further development.
Important social changes supported by the government also
fueled industrialization. One of the biggest economic impacts of
the Meiji period was the end of the feudal system. Japanese
people now had the ability to become more educated as the
Meiji period leaders inaugurated a new, more accessible
Western-based education system.
The government initially was involved in economic
modernization, but by the 1890s largely relinquished direct
control of the modernization process. Hand in hand, industrial
and financial business conglomerates known as zaibatsu and
government guided the nation, borrowing technology from the
West. The private sector embraced the government-promoted
Western model of capitalism.
The phenomenal industrial growth sparked rapid urbanization,
and most people lived longer and healthier lives. Like in other
rapidly industrializing countries, poor working conditions in
factories led to growing labor unrest, and many workers and
intellectuals came to embrace socialist ideas. The government
also introduced social legislation in 1911, setting maximum work
hours and a minimum age for employment.
Key Terms
Iwakura Mission
A Japanese diplomatic voyage to the United States and Europe

conducted between 1871 and 1873 by leading statesmen and
scholars of the Meiji period. Although it had a number of
political, diplomatic, and economic goals, it is most well-known
and possibly most significant in terms of its impact on the
modernization of Japan after a long period of isolation from the
West.
zaibatsu
Industrial and financial business conglomerates in the Empire of

Japan, whose influence and size allowed control over significant
parts of the Japanese economy from the Meiji period until the
end of World War II.
Iwakura Mission
The Industrial Revolution in Japan began about 1870 as Meiji period
leaders decided to catch up with the West. In 1871, a group of
Japanese statesmen and scholars known as the Iwakura Mission
embarked upon a voyage across Europe and the United States. The
aim of the mission was threefold: to gain recognition for the newly
reinstated imperial dynasty under the Emperor Meiji, to begin
preliminary renegotiation of the unequal treaties with the dominant
world powers, and to explore modern Western industrial, political,
military, and educational systems and structures.
The mission was named after and headed by Iwakura Tomomi in the
role of extraordinary and plenipotentiary ambassador, assisted by
four vice-ambassadors. It also included a number of administrators
and scholars, totaling 48 people. In addition to the mission staff,
about 53 students and attendants joined. Several students were left
behind to complete their education in the foreign countries, including
five young women who stayed in the United States.
Leaders of the Iwakura Mission
photographed in London in
18 7 2: Kido Takayoshi, Y amaguchi
Masuka, Iwakura Tomomi, Itō
Hirobumi, Ō kubo Toshimichi
The mission is the most well-known and possibly most significant in
terms of its impact on the modernization of Japan after a long period
of isolation from the West. It was first proposed by the influential
Dutch missionary and engineer Guido V erbeck, based to some
degree on the model of the Grand Embassy of Peter I.
Of the initial goals of the mission, the aim of revision of the unequal
treaties was not achieved, prolonging the mission by almost four
months but also impressing the importance of the second goal on its
members. The attempts to negotiate new treaties under better
conditions with the foreign governments led to criticism that
members of the mission were attempting to go beyond the mandate
set by the Japanese government. The missionaries were
nonetheless impressed by industrial modernization in America and
Europe and the tour provided them with a strong impetus to lead
similar modernization initiatives.
Industrializ ation in J apan

Japan's Industrial Revolution first appeared in textiles, including
cotton and especially silk, traditionally made in home workshops in
rural areas. By the 1890s, Japanese textiles dominated the home
markets and competed successfully with British products in China
and India. Japanese shippers competed with European traders to
carry these goods across Asia and even in Europe. As in the West,
the textile mills employed mainly women, half of them younger than
age 20. They were sent by and gave their wages to their fathers.
Japan largely skipped water power and moved straight to steam-
powered mills, which were more productive. That in turn created a
demand for coal.
To promote industrialization, the government decided that while it

should help private business to allocate resources and to plan, the
private sector was best equipped to stimulate economic growth. The
greatest role of government was to help provide the economic
conditions in which business could flourish. In the early Meiji period,
the government built factories and shipyards that were sold to
entrepreneurs at a fraction of their values. Many of these businesses
grew rapidly into larger conglomerates. Government emerged as
chief promoter of private enterprise, enacting a series of pro-
business policies. The government also provided infrastructure,
building railroads, improving roads, and inaugurating a land reform
program to prepare the country for further development.
Social Changes
Important social changes supported by the government also fueled
industrialization. One of the biggest economic impacts of the period
was the end of the feudal system. With a relatively loose social
structure, the Japanese were able to advance through the ranks of
society more easily than before by inventing and selling their own
wares. The Japanese people also now had the ability to become
more educated. The Meiji period leaders inaugurated a new
Western-based education system for all young people, sent
thousands of students to the United States and Europe, and hired
more than 3,000 Westerners to teach modern science, mathematics,
technology, and foreign languages in Japan. With a more educated
population, Japan's industrial sector grew significantly.
The first J apanese study-abroad
female students to the United States,
sponsored by the Meiji Government.
From left: Shigeko Nagai ( age 10) ,
Teiko Ueda ( 16) , Ryō ko Y oshimasu
( 16) , Umeko Tsuda ( 18 64– 1929, age 9
in the picture) , and Sutematsu
Y amakawa ( 18 60– 1919, age 12 in the
picture) .
Tsuda Umeko, who left Japan to study in the US at the age of 7,
returned to Japan in 1900 and founded Tsuda College. It remains
one of the most prestigious women's institutes of higher education in
Japan. Although Tsuda strongly desired social reform for women,
she did not advocate feminist values and opposed the women’s
suffrage movement. Her activities were based on her philosophy that
education should focus on developing individual intelligence and
personality.
Government vs. Private Sector

The government initially was involved in economic modernization,
providing a number of "model factories" to facilitate the transition to
the modern period. Economic reforms included a unified modern
currency based on the yen, banking, commercial and tax laws, stock
exchanges, and a communications network. Establishment of a
modern institutional framework conducive to an advanced capitalist
economy took time, but was completed by the 1890s. By this time,
the government had largely relinquished direct control of the
modernization process, primarily for budgetary reasons.
From the onset, the Meiji rulers embraced the concept of a market
economy and adopted British and North American forms of free
enterprise capitalism. The private sector—in a nation with an
abundance of aggressive entrepreneurs—welcomed such change.
Hand in hand, industrial and financial business conglomerates
known as z aibatsu and government guided the nation, borrowing
technology from the West. Many of the former feudal lords, whose
pensions had been paid in a lump sum, benefited greatly through
investments they made in emerging industries. Those who had been
informally involved in foreign trade before the Meiji Restoration also
flourished. Old firms that clung to their traditional ways failed in the
new business environment.
After the first twenty years of the Meiji period, the industrial economy
expanded rapidly with inputs of advanced Western technology and
large private investments. Implementing the Western ideal of
capitalism into the development of technology and applying it to their
military helped make Japan into both a militaristic and economic
powerhouse by the beginning of the 20th century. Stimulated by
wars and through cautious economic planning, Japan emerged from
World War I as a major industrial nation. Japan gradually took control
of much of Asia's market for manufactured goods. The economic
structure became very mercantilistic, importing raw materials and
exporting finished products—a reflection of Japan's relative poverty
in raw materials.
Consequences
The phenomenal industrial growth sparked rapid urbanization. The
proportion of the population working in agriculture shrank from 75
percent in 1872 to 50 percent by 1920. Japan enjoyed solid
economic growth during the Meiji period and most people lived
longer and healthier lives. The population rose from 34 million in
1872 to 52 million in 1915. Like in other rapidly industrializing
countries, poor working conditions in factories led to growing labor
unrest, and many workers and intellectuals came to embrace
socialist ideas. The Meiji government responded with harsh
suppression of dissent. Radical socialists plotted to assassinate the
Emperor in the High Treason Incident of 1910, after which the Tokkō
secret police force was established to root out left-wing agitators.
The government also introduced social legislation in 1911, setting
maximum work hours and a minimum age for employment.
27 .2.7 : J apanese Militariz ation

The modernization of the Japanese military during the Meiji period
was a response to the growing presence and threat of Western
colonial powers. It followed Western European military models,
ending the centuries-long dominance of the samurai class.
Learning Objective
Interpret the reasons for Japan's militarization
Key Points
In 1854, after Admiral Matthew C. Perry forced the signing of the
Treaty of Kanagawa, Japanese elites concluded that they
needed to modernize the state's military capacities or risk
further coercion from Western powers. The Tokugawa
shogunate did not officially share this point of view and not until
the beginning of the Meiji Era in 1868 did the Japanese
government begin to modernize the military. Two first arsenals
were opened in 1868 and 1870.
In 1868, Masujiro Omura established Japan's first military
academy in Kyoto. Omura, regarded today as the father of the
modern Japanese army, sought to introduce conscription and
military training for commoners rather than rely on a hereditary
feudal force. He faced opposition from many of his peers,
including most conservative samurai, who recognized that these
ideas would end not only the livelihood of thousands of samurai
but also their privileged position in society. In 1869, a group of
ex-samurai assassinated Omura.
When the Emperor Meiji assumed all the powers of state, he
ordered the formation of Imperial Guard to protect himself, the
Japanese imperial family, and their properties. In 1867, the
Imperial Guard was formed from loyal retainers and former
samurai. This unit would go on to form the nucleus of the new
Imperial Japanese Army.
In 1873, the Conscription Law was passed requiring every able-
bodied male Japanese citizen, regardless of class, to serve a
mandatory term of three years with the first reserves and two
additional years with the second reserves. This monumental
law, signifying the beginning of the end for the samurai class,
initially met resistance from both the peasants and warriors. The
law aimed for social control, placing the unruly samurai class
back into their roles as warriors and allowing the military to
educate the enlisted.
In conjunction with the new law, the Japanese government
began modeling their ground forces after the French military,
and the new Japanese army used the same rank structure as
the French. The French government contributed substantial
training to Japanese officers. Many were employed at the
military academy in Kyoto.
Despite the Conscription Law of 1873 and other reforms and
progress, the new Japanese army was still untested. In 1874,
Japan launched a successful military expedition to Taiwan to
assert their claims to the Ryukyu Islands. At home, the decisive
test for the new army came in 1877, when Saigō Takamori led
the Satsuma Rebellion, the last rebellion of the samurai. The
national army's victory validated the modernization of the
Japanese army and ended the era of the samurai.
Key Terms
Satsuma Rebellion
An 1877 revolt of disaffected samurai against the new imperial

government. Its name comes from the domain, which was
influential in the Meiji Restoration and became home to
unemployed samurai after military reforms rendered their status
obsolete. The rebellion was decisively crushed and its leader,
Saigō Takamori, ended his life.
Treaty of Kanagawa
The first treaty between the United States and the Tokugawa
Shogunate. Signed on March 31, 1854, under the threat of
force, it effectively ended Japan’s 220-year-old policy of national
seclusion (sakoku) by opening the ports of Shimoda and
Hakodate to American vessels. It also ensured the safety of
American castaways and established of an American consul in
Japan. The treaty precipitated the signing of similar treaties
establishing diplomatic relations with other western powers.
Imperial Guard
An organization dedicated to protection of the Emperor of
Japan and his family, palaces, and other imperial properties.
Originally formed in 1867, it was dissolved at the conclusion of
World War II and replaced by a civilian counterpart in 1947.
samurai
The military nobility and officer caste of medieval and early-

modern Japan.
Meiji Militariz ation Efforts

In 1854, after Admiral Matthew C. Perry forced the signing of the
Treaty of Kanagawa, Japanese elites concluded that they needed to
modernize the state's military capacities or risk further coercion from
Western powers. The Tokugawa shogunate did not officially share
this point of view, and not until the beginning of the Meiji Era in 1868
did the Japanese government begin to modernize the military.
In 1868, the Japanese government established the Tokyo Arsenal, in

which small arms and associated ammunition were developed and
manufactured. In 1870, another arsenal opened in Osaka. At that
site, machine guns and ammunition were produced and four
gunpowder facilities were opened. Also in 1868, Masujiro Omura
established Japan's first military academy in Kyoto. Under the new
Meiji government, Omura, regarded today as the father of the
modern Japanese army, was appointed to the post equivalent to vice
minister of war. He was tasked with the creation of a national army
along western lines and sought to introduce conscription and military
training for commoners, rather than rely on a hereditary feudal force.
He also strongly supported the abolition of the han system (feudal
domains) and with it the numerous private armies maintained by the
feudal lords, which he considered a drain on resources and a
potential threat to security. Omura faced opposition from many of his
peers, including most conservative samurai who saw his ideas on
modernizing and reforming the Japanese military as too radical,
ending not only the livelihood of thousands of samurai but also their
privileged position in society. In 1869, a group of ex-samurai
assassinated Omura.
When the Emperor Meiji assumed all the powers of state, he ordered
the formation of Imperial Guard to protect himself, the Japanese
imperial family, and their properties. In 1867, the Imperial Guard was
formed from loyal retainers and former samurai. This unit would go
on to form the nucleus of the new Imperial Japanese Army. By the
1870s the Imperial Guard, which had been organized and trained
along French military lines, consisted of 12,000 officers and men. In
1873, the Conscription Law was passed, requiring every able-bodied
male Japanese citizen, regardless of class, to serve a mandatory
term of three years with the first reserves and two additional years
with the second reserves. This monumental law, signifying the
beginning of the end for the samurai class, initially met resistance
from both the peasants and warriors. The peasant class interpreted
the term for military service, ketsu-eki (blood tax), literally and
attempted to avoid service by any means necessary, including
maiming, self-mutilation, and local uprisings. The samurai were
generally resentful of the new, western-style military and at first
refused to stand in formation with the lowly peasant class. The
Conscription Law was also a method of social control, placing the
unruly samurai class back into their roles as warriors. The Meiji
Restoration initially caused dissent among the samurai class and the
conscription system was a way of stabilizing that dissent. Some of
the samurai, more disgruntled than the others, formed pockets of
resistance to circumvent the mandatory military service. Many
committed self-mutilation or openly rebelled.
The law also allowed the military to educate the enlisted, providing
opportunities for both basic (e.g., learning how to read) and
advanced education and career advancement. The government
realized that an educated soldier could be a more productive
member of society, and education was seen as a path to the
advancement of the state. Military service also required a medical
examination. Those unable to pass the exam were sent back to their
families. While there was no material penalty for failing the exam, the
practice created a division between those able to serve the country
and those who were not. The latter were often marginalized by
society.
In conjunction with the new law, the Japanese government began

modeling their ground forces after the French military, and the new
Japanese army used the same rank structure as the French. The
French government contributed substantially to the training of
Japanese officers. Many were employed at the military academy in
Kyoto and many more were feverishly translating French field
manuals for use in the Japanese ranks.
Reception by the Meiji Emperor of
the Second French Military Mission to
J apan, 18 7 2, from a drawing by
Deschamps, Le Monde Illustre,
February 1, 18 7 3.
The task of the mission was to help reorganize the Imperial
Japanese Army and establish the first draft law, enacted in 1873.
The law established military service for all males for a duration of
three years, with additional years in the reserve.
End of the Samurai Class

An imperial rescript of 1882 called for unquestioning loyalty to the
emperor by the new armed forces and asserted that commands from
superior officers were equivalent to commands from the emperor
himself. Thenceforth, the military existed in an intimate and
privileged relationship with the imperial institution. Top-ranking
military leaders were given direct access to the emperor and the
authority to transmit his pronouncements directly to the troops. The
sympathetic relationship between conscripts and officers, particularly
junior officers who were drawn mostly from the peasantry, tended to
bring the military closer to the people. In time, most people came to
look for guidance in national matters from military commanders
rather than from political leaders.
Despite the Conscription Law of 1873 and other reforms and

progress, the new Japanese army was still untested. In 1871, a
Ryukyuan ship was shipwrecked on Taiwan and the crew was
massacred. In 1874, using the incident as a pretext, Japan launched
a military expedition to Taiwan to assert their claims to the Ryukyu
Islands. The expedition featured the first instance of the Japanese
military ignoring the orders of the civilian government as the
expedition set sail after being ordered to postpone.
At home, the decisive test for the new army came in 1877 when
Saigō Takamori led the Satsuma Rebellion, the last rebellion of the
samurai. Its name comes from Satsuma Domain, which became
home to unemployed samurai after military reforms rendered their
status increasingly obsolete. Kumamoto castle was the site of the
first major engagement when garrisoned forces fired on Saigō 's
army as they attempted to force their way into the castle. Two days
later, Saigō 's rebels, while attempting to block a mountain pass,
encountered advanced elements of the national army en route to
reinforce Kumamoto castle. After a short battle, both sides withdrew
to reconstitute their forces. A few weeks later the national army
engaged Saigō 's rebels in a frontal assault at what now is called the
Battle of Tabaruzuka. During this eight-day battle, Saigō 's nearly
10,000-strong army battled hand-to-hand the equally matched
national army. Both sides suffered nearly 4,000 casualties. Due to
conscription, however, the Japanese army was able to reconstitute
its forces, while Saigō 's was not. Later, forces loyal to the emperor
broke through rebel lines and managed to end the siege on
Kumamoto castle after 54 days. Saigō 's troops fled north and were
pursued by the national army. The national army caught up with
Saigō at Mt. Enodake. Saigō 's army was outnumbered seven-to-one,
prompting a mass surrender of many samurai. The rebellion ended
following the final engagement with Imperial forces, which resulted in
the deaths of the remaining 40 samurai including Saigō , who was
honorably beheaded by his retainer after suffering a fatal bullet
wound. The national army's victory validated the the modernization
of the Japanese army and ended the era of the samurai.
Imperial J apanese Army officers of

the Kumamoto garrison, who resisted
Saigō Takamori's siege, 18 7 7
Financially, crushing the Satsuma Rebellion cost the government
greatly, forcing Japan off the gold standard and causing the
government to print paper currency. The rebellion also effectively
ended the samurai class, as the new Imperial Japanese Army built of
conscripts without regard to social class had proven itself in battle.
27 .2.8 : Foreign Policy in the Meiji

Period
V ictories over China and Russia, alliance with Britain, and
annexation of Korea allowed Japan of the Meiji pioerd to become a
leader in East Asia and a highly respected military power among the
most influential countries in the world.
Learning Objective
Characterize the foreign policy goals of the Japanese government in
the Meiji period
Key Points
Meiji Japan's foreign policy was shaped by its need to reconcile
its Asian identity with its desire for status and security in an
international order dominated by the West. The principal foreign
policy goals of the Meiji period (1868–1912) were to protect the
integrity and independence of Japan against Western
domination, including gaining international respect through the
modernization and expansion of the military.
Japan's unequal status was symbolized by the treaties imposed
on the country when it was forcefully opened to foreign
influences. Many social and institutional reforms of the Meiji
period were designed to remove the stigma of backwardness
and inferiority. The major task of Meiji diplomacy was to press
for the revision of the unequal treaties.
The newly created military was used to extend Japanese power
overseas as many leaders believed that national security
depended on expansion and not merely a strong defense. In
1873 and 1874, friction came about between China and Japan
over Taiwan. Later, after Japan's victory in the First Sino-
Japanese War in 1894–95, the peace treaty ceded the island to
Japan. Perhaps most importantly, Japan gained enormous
prestige by being the first non-Western country to operate a
modern colony.
In 1894, China and Japan went to war over Korea in the First
Sino-Japanese War. The 1895 Treaty of Shimonoseki
recognized Korean independence, established indemnity to
Korea from China, and ceded Taiwan, the Penghu Islands, and
the Liaodong Peninsula to Japan, although Japan gave back
Liaodong in return for a larger indemnity from China under the
pressure of Russia, Germany, and France. Ironically, in the
wake of the later Russo-Japanese War, Japan forced Korea to
sign the Eulsa Protective Treaty, which made Korea a
protectorate of Japan. In 1910, Korea was formally annexed to
the Japanese empire.
Japan also succeeded in attracting a Western ally to its cause.
Japan and Britain, both of whom wanted to keep Russia out of
Manchuria, signed the Anglo-Japanese Treaty of Alliance in
1902. This recognized Japanese interests in Korea and assured
Japan they would remain neutral in case of a Russo-Japanese
war, but would become more actively involved if another power
(an allusion to France) entered the war as a Russian ally. In the
following Russo-Japanese War (1904–5), Japan won
possession of southern Sakhalin and a position of paramount
influence in Korea and southern Manchuria.
U.S.-Japanese relations at the time were shaped by anti-
Japanese sentiment, especially on the West Coast, and an
eventual informal Gentlemen's Agreement of 1907 assured
Japan the U.S. would not bar Japanese immigration if Japan
ensured little or no movement to the U.S. The agreement also
rescinded the segregation order of the San Francisco School
Board in California, which had humiliated and angered the
Japanese.
Key Terms
First Sino-Japanese War
An 1894 – 1895 war fought between the Qing Empire of China

and the Empire of Japan, primarily over influence of Korea. After
more than six months of unbroken successes by Japanese land
and naval forces and the loss of the Chinese port of Weihaiwei,
the Qing government sued for peace in February 1895. For the
first time, regional dominance in East Asia shifted from China to
Japan.
Anglo-Japanese Treaty of Alliance

A 1902 treaty signed by Lord Lansdowne (British foreign
secretary) and Hayashi Tadasu (Japanese minister in London).
A diplomatic milestone that saw an end to Britain's splendid
isolation, the treaty was renewed and expanded in scope twice,
in 1905 and 1911, before its demise in 1921. It was officially
terminated in 1923.
Triple Intervention
A diplomatic intervention by Russia, Germany, and France in

1895 over the terms of the Treaty of Shimonoseki, signed
between Japan and Qing Dynasty China that ended the First
Sino-Japanese War. The Japanese reaction against the Triple
Intervention was one of the underlying causes of the
subsequent Russo-Japanese War.
Russo-Japanese War
A 1904 – 1905 war between the Russian Empire and the Empire
of Japan over rival imperial ambitions in Manchuria and Korea.
The major theaters of operations were the Liaodong
Peninsula and Mukden in Southern Manchuria and the seas
around Korea, Japan, and the Yellow Sea.
Treaty of Shimonoseki
An 1895 treaty between the Empire of Japan and the Qing

Empire, ending the First Sino-Japanese War. It accomplished
several things: recognition of Korean independence, cessation
of Korean tribute to China, a 200 million tael (Chinese ounces of
silver, the equivalent in 1895 of US $ 150 million) indemnity to
Korea from China, cession of Taiwan, the Penghu Islands, and
the Liaodong Peninsula to Japan, and opening of Chang Jiang
(Yangtze River) ports to Japanese trade.
unequal treaty
A term applied to any of a series of treaties signed with Western
powers during the 19th century by late Tokugawa Japan after
suffering military defeat by the foreign powers or threat of
military action by those powers. The term is also applied to
treaties imposed during the same time period on late Joseon
Korea by the Meiji era Empire of Japan.
Goals of Meiji Foreign Policy

Meiji Japan's foreign policy was shaped at the outset by the need to
reconcile its Asian identity with desire for status and security in an
international order dominated by the West. The principal foreign
policy goals of the Meiji period (1868–1912) were to protect the
integrity and independence of Japan against Western domination
and win equal status with the leading nations of the West by
reversing the unequal treaties. Because fear of Western military
power was the chief concern for the Meiji leaders, their highest
priority was building up the military, an important objective of which
was to gain the respect of the Western powers and achieve equal
status in the international community.
Japan's unequal status was symbolized by the treaties imposed

when the country was first forcefully opened to foreign influences.
The treaties were objectionable to the Japanese not only because
they imposed low fixed tariffs on foreign imports and thus
handicapped domestic industries, but also because their provisions
gave a virtual monopoly of external trade to foreigners and granted
extraterritorial status to foreign nationals in Japan, exempting them
from Japanese jurisdiction and placing Japan in the inferior category
of nations incapable of determining their own laws. Many of the
social and institutional reforms of the Meiji period were designed to
remove the stigma of backwardness and inferiority represented by
the unequal treaties, and a major task of Meiji diplomacy was to
press for the revision of the treaties.
Overseas Ex pansion
The newly created military was used to extend Japanese power
overseas as many leaders believed that national security depended
on expansion and not merely a strong defense. In 1873 and 1874,
friction came about between China and Japan over Taiwan,
particularly when the Japanese launched a punitive expedition into
Taiwan in the wake of the killing of several Okinawans by Taiwanese
aborigines. Later, after Japan's victory in the First Sino-Japanese
War in 1894–95, the peace treaty ceded the island to Japan. The
Japanese realized that its home islands could only support a limited
resource base and hoped that Taiwan, with its fertile farmlands,
would make up the shortage. By 1905, Taiwan was producing
significant amounts of rice and sugar. Perhaps more importantly,
Japan gained enormous prestige by being the first non-Western
country to operate a modern colony. To maintain order, Japan
installed a police state.
The Korean Peninsula, a strategically located feature critical to the

defense of the Japanese archipelago, occupied Japan's attention in
the 19th century. Earlier tension over Korea had been settled
temporarily through the Japan–Korea Treaty of 1876, which opened
Korean ports to Japan, and through the Tianjin Convention in 1885,
which provided for the removal from Korea of both Chinese and
Japanese troops sent to support contending factions in the Korean
court. In effect, the convention made Korea a co-protectorate of
Beijing and Tokyo at a time when Russian, British, and American
interests in the peninsula were also increasing.
In 1894, China and Japan went to war over Korea in the First Sino-
Japanese War. After nine months of fighting, a cease-fire was called
and peace talks were held. The eventual Treaty of Shimonoseki
accomplished several things: recognition of Korean independence,
cessation of Korean tribute to China, a 200 million tael (Chinese
ounces of silver, the equivalent in 1895 of US$ 150 million) indemnity
to Korea from China, cession of Taiwan, the Penghu Islands, and the
Liaodong Peninsula to Japan, and opening of Chang Jiang (Yangtze
River) ports to Japanese trade. It also assured Japanese rights to
engage in industrial enterprises in China. Ironically, a decade after
the Treaty of Shimonoseki forced China to recognize Korean
independence, Japan, in the wake of the Russo-Japanese War,
effectively forced Korea to sign the Eulsa Protective Treaty, which
made it a protectorate of Japan. In 1910, Korea was formally
annexed to the Japanese empire, beginning a period of Japanese
colonial rule of Korea that would not end until 1945.
Signing of the 18 95 Treaty of

Shimonoseki
The Triple Intervention triggered by signing the Treaty of
Shimonoseki is regarded by many Japanese historians as a crucial
turning point in Japanese foreign affairs. The nationalist,
expansionist, and militant elements began to join ranks and steer
Japan from a foreign policy based mainly on economic hegemony
toward outright imperialism.
W estern Response
Immediately after the terms of the treaty became public, Russia—
with its own designs and sphere of influence in China—expressed
concern about Japanese acquisition of the Liaodong Peninsula and
the possible impact of the terms of the treaty on the stability of
China. Russia persuaded France and Germany to apply diplomatic
pressure on Japan for return of the territory to China in exchange for
a larger indemnity (Triple Intervention). Threatened with a tripartite
naval maneuver in Korean waters, Japan decided to give back
Liaodong in return for a larger indemnity from China. Russia moved
to fill the void by securing from China a 25-year lease of Dalian
(Dairen in Japanese, also known as Port Arthur) and rights to the
South Manchurian Railway Company, a semi-official Japanese
company, to construct a railroad. Russia also wanted to lease more
Manchurian territory, and although Japan was loath to confront
Russia over this issue, it did move to use Korea as a bargaining
point. Japan would recognize Russian leaseholds in southern
Manchuria if Russia would leave Korean affairs to Japan. The
Russians only agreed not to impede the work of Japanese advisers
in Korea, but Japan was able to use diplomatic initiatives to keep
Russia from leasing Korean territory in 1899. At the same time,
Japan was able to wrest a concession from China that the coastal
areas of Fujian Province, across the strait from Taiwan, were within
Japan's sphere of influence and could not be leased to other
powers.
Japan also succeeded in attracting a Western ally to its cause.

Japan and Britain, both of whom wanted to keep Russia out of
Manchuria, signed the Anglo-Japanese Treaty of Alliance in 1902,
which was in effect until in 1921 when the two signed the Four
Power Treaty on Insular Possessions, which took effect in 1923. The
British recognized Japanese interests in Korea and assured Japan
they would remain neutral in case of a Russo-Japanese war but
would become more actively involved if another power (an allusion to
France) entered the war as a Russian ally. In the face of this joint
threat, Russia became more conciliatory toward Japan and agreed
to withdraw its troops from Manchuria in 1903. The new balance of
power in Korea favored Japan and allowed Britain to concentrate its
interests elsewhere in Asia. Hence, Tokyo moved to gain influence
over Korean banks, opened its own financial institutions in Korea,
and began constructing railroads and obstructing Russian and
French undertakings on the peninsula.
In response to the alliance, Russia sought to form alliances with

France and Germany, which Germany declined. In 1902, a mutual
pact was signed between France and Russia. China and the United
States were strongly opposed to the alliance. Nevertheless, the
nature of the Anglo-Japanese alliance meant that France was unable
to come to Russia's aid in the Russo-Japanese War of 1904, as this
would mean war with Britain.
A scan of a cartoon from The New
Punch Library, V ol. 1, p. 44, published
in London in 1932 ( first published in
1905 ) .
The cartoon (1905), accompanied by a quote from Rudyard Kipling,
that appeared in the British press after the Anglo-Japanese alliance
was renewed in 1905 demonstrates that the British public saw the
alliance as an equal treaty between two powers.
The cartoon shows a British official and a Japanese official shaking
hands. Below the image, a quotation dated October 4, 1905 from
Rudyard Kipling reads: "Oh, East is East, and West is West.../But
there is neither East nor West, Border, nor Breed, nor Birth,/ When
two strong men stand face to face, tho' they come from the ends of
the earth! "
Russo-J apanese W ar
When Russia failed to withdraw its troops from Manchuria by an
appointed date, Japan issued a protest. Russia replied that it would
agree to a partition of Korea at the 39th parallel, with a Japanese
sphere to the south and a neutral zone to the north, but Manchuria
was to be outside Japan's sphere and Russia would not guarantee
the evacuation of its troops. The Russo-Japanese War broke out in
1904 with Japanese surprise attacks on Russian warships at Dalian
and Chemulpo (in Korea, now called Incheon). Despite tremendous
loss of life on both sides, the Japanese won a series of land battles
and then decisively defeated Russia's Baltic Sea Fleet (renamed the
Second Pacific Squadron) at the Battle of Tsushima in 1905. At an
American-mediated peace conference in Portsmouth, New
Hampshire, Russia acknowledged Japan's paramount interests in
Korea and agreed to avoid "military measures" in Manchuria and
Korea. Both sides agreed to evacuate Manchuria, except for the
Guandong Territory (a leasehold on the Liaodong Peninsula) and
restore the occupied areas to China. Russia transferred its lease on
Dalian and adjacent territories and railroads to Japan, ceded the
southern half of Sakhalin to Japan, and granted Japan fishing rights
in the Sea of Okhotsk and the Bering Sea.
Relations with the U.S.

In the late 19th century, the opening of sugar plantations in the
kingdom of Hawaii led to the immigration of many Japanese. Hawaii
became part of the U.S. in 1898, and the Japanese have been the
largest element of the population ever since. However, there was
friction over control of Hawaii and the Philippines. The two nations
cooperated with the European powers in suppressing the Boxer
Rebellion in China in 1900, but the U.S. was increasingly troubled by
Japan's denial of the Open Door Policy that would ensure that all
nations could do business with China equally. President Theodore
Roosevelt played a major role in negotiating an end to the war
between Russia and Japan in 1905-6.
Anti-Japanese sentiment, especially on the West Coast, soured

relations in the 1907–1924 (beyond the Meiji period). Washington did
not want to anger Japan by passing legislation that would bar
Japanese immigration to the U.S. as had been done with Chinese
immigration. Instead, there was an informal Gentlemen's Agreement
of 1907 between the U.S. and Japan whereby Japan made sure
there was very little or no movement to the U.S. The agreement also
rescinded the segregation order of the San Francisco School Board
in California, which had humiliated and angered the Japanese. It
remained in effect until 1924 when Congress forbade all immigration
from Japan.
The adoption of the 1907 Agreement spurred the arrival of "picture

brides" — marriages of convenience made at a distance through
photographs. By establishing marital bonds at a distance, women
seeking to emigrate to the United States were able to gain a
passport, while Japanese workers in America were able to gain a
mate of their own nationality. Because of this loophole, which helped
close the gender gap within the community from a ratio of 7 men to
every woman in 1910 to less than 2 to 1 by 1920, the Japanese
American population continued to grow despite the Agreement's
limits on immigration.
Attributions
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27 .3: British India
27 .3.1: The East India Trading
Company
For about 250 years, the British East India Company evolved from a
company chartered by the British Crown to trade with the East Indies
into de facto British administrator of India, which set off the era of
British colonization of the Indian Subcontinent.
Learning Objective
Describe the East India Trading Company
Key Points
After 1588, London merchants presented a petition to Queen
Elizabeth I for permission to sail to the Indian Ocean.
Permission was granted to several ships, but in 1600 a group of
merchants known as the Adventurers succeeded at gaining a
Royal Charter under the name Governor and Company of
Merchants of London trading with the East Indies. For 15 years,
the charter awarded the newly formed company a monopoly on
trade with all countries east of the Cape of Good Hope and west
of the Straits of Magellan.
English traders frequently engaged in hostilities with their Dutch
and Portuguese counterparts in the Indian Ocean. The
Company decided to gain a territorial foothold in mainland India
with official sanction from both Britain and the Mughal Empire.
The requested diplomatic mission launched by James I in 1612
arranged for a commercial treaty that would give the Company
exclusive rights to reside and establish factories in Surat and
other areas. While Portuguese and Spanish influences in the
region were soon eliminated, competition against the Dutch
resulted in the Anglo-Dutch Wars of the 17th and 18th centuries.
In an act aimed at strengthening the power of the EIC, King
Charles II granted the EIC (in a series of five acts around 1670)
the rights to autonomously acquire territory, mint money,
command fortresses and troops and form alliances, make war
and peace, and exercise both civil and criminal jurisdiction over
the acquired areas. These decisions would eventually turn the
EIC from a trading company into de facto an administrative
agent with wide powers granted by the British government.
In 1698, a new "parallel" EIC was established. The two
companies wrestled with each other for some time but it quickly
became evident that in practice, the original company faced
scarcely any measurable competition. The companies merged
in 1708 by a tripartite indenture involving both companies and
the state. With the advent of the Industrial Revolution, the EIC
became the single largest player on the British global market.
With the backing of its own private army, it was able to assert its
interests in new regions in India without further obstacles from
other colonial powers.
In the hundred years from the Battle of Plassey in 1757 to the
Indian Rebellion of 1857, the EIC began to function more as an
administrator and less as a trading concern. The proliferation of
the Company's power chiefly took two forms: the outright
annexation of Indian states and subsequent direct governance
of the underlying regions, or asserting power through treaties in
which Indian rulers acknowledged the Company's hegemony in
return for limited internal autonomy.
In the aftermath of the Indian Rebellion of 1857, under the
provisions of the Government of India Act 1858, the British
government nationalized the EIC. The Crown took over its
Indian possessions, its administrative powers and machinery,
and its armed forces. The EIC was officially dissolved in 1858
and the rebellion also led the British to reorganize the army, the
financial system, and the administration in India. The country
was thereafter directly governed by the Crown as the new
British Raj.
Key Terms
British Raj
The rule of the British Crown in the Indian subcontinent between

1858 and 1947.
Battle of Plassey
A decisive victory of the British East India Company over the

Nawab of Bengal and his French allies on June 23, 1757. The
battle consolidated the Company's presence in Bengal, which
later expanded to cover much of India over the next hundred
years.
Indian Rebellion of 1857
A rebellion in India against the rule of the British East India

Company from May 1857 to July 1859. It began as a mutiny of
sepoys of the East India Company's army in the cantonment of
the town of Meerut and soon escalated into other mutinies and
civilian rebellions. It led to the dissolution of the East India
Company in 1858. India was thereafter directly governed by the
Crown as the new British Raj.
East India Company

pursue trade with the East Indies but actually trading mainly with
the Indian subcontinent and Qing China. The company rose to
account for half of the world's trade, particularly in basic
commodities including cotton, silk, indigo dye, salt, saltpetre,
tea, and opium. It also ruled the beginnings of the British Empire
in India.
Government of India Act 1858
An Act of the Parliament of the United Kingdom (21 & 22 V ict. c.

106) passed on August 2, 1858. Its provisions called for the
liquidation of the British East India Company, which had been
ruling British India under the auspices of Parliament, and the
transference of its functions to the British Crown.
Founding of East India

Company
Soon after the defeat of the Spanish Armada in 1588, London
merchants presented a petition to Queen Elizabeth I for permission
to sail to the Indian Ocean. Permission was granted and in 1591,
three ships sailed from Torbay around the Cape of Good Hope to the
Arabian Sea on one of the earliest English overseas Indian
expeditions. In 1596, three more ships sailed east but were all lost at
sea. In 1599, another group of merchants that eventually became
known as the Adventurers stated their intention to sail to the East
Indies and applied to the Queen for support of the project. Although
their first attempt had not been completely successful, they
nonetheless sought the Queen's unofficial approval to continue,
bought ships for their venture, and increased their capital.
The Adventurers convened again a year later. This time they

succeeded and on December 31, 1600, the Queen granted a Royal
Charter to "George, Earl of Cumberland, and 215 Knights, Aldermen,
and Burgesses" under the name Governor and Company of
Merchants of London trading with the East Indies. For 15 years the
charter awarded the newly formed company a monopoly on trade
with all countries east of the Cape of Good Hope and west of the
Straits of Magellan. Anybody who traded in breach of the charter
without a license from the Company was liable to forfeiture of their
ships and cargo (half of which went to the Crown and the other half
to the Company), as well as imprisonment at the "royal pleasure."
Early Operation
Between 1601 and 1608, four voyages left Britain to establish trade
with East Indies. Initially, the company struggled in the spice trade
because of the competition from the already well-established Dutch
East India Company. The East India Company (EIC or the Company)
opened a factory in Bantam on the first voyage and imports of
pepper from Java were an important part of the Company's trade for
20 years. In the next two years, it established its first factory in south
India in the town of Machilipatnam in Bengal. The high profits
reported by the Company after landing in India initially prompted
King James I to grant subsidiary licences to other trading companies
in England. But in 1609, he renewed the charter given to the EIC for
an indefinite period, including a clause that specified that the charter
would cease if the trade turned unprofitable for three consecutive
years.
English traders frequently engaged in hostilities with their Dutch and

Portuguese counterparts in the Indian Ocean. The Company decided
to explore the feasibility of gaining a territorial foothold in mainland
India with official sanction from both Britain and the Mughal Empire,
and requested that the Crown launch a diplomatic mission. In 1612,
James I instructed Sir Thomas Roe to visit the Mughal Emperor
Nuruddin Salim Jahangir to arrange for a commercial treaty that
would give the Company exclusive rights to reside and establish
factories in Surat and other areas. In return, the Company offered to
provide the Emperor with goods and rarities from the European
market. This mission was highly successful.
Ex pansion
The Company, which benefited from the imperial patronage, soon
expanded its commercial trading operations, eclipsing the
Portuguese Estado da Í ndia, which had established bases in Goa,
Chittagong, and Bombay. Portugal later ceded this land to England
as part of the dowry of Catherine de Braganza, kind Charles II's wife.
The EIC also launched a joint attack with the Dutch United East India
Company on Portuguese and Spanish ships off the coast of China,
which helped secure their ports in China. By 1647, the company had
23 factories and 90 employees in India. The major factories became
the walled forts of Fort William in Bengal, Fort St George in Madras,
and Bombay Castle. With reduced Portuguese and Spanish
influence in the region, the EIC and Dutch East India Company
entered a period of intense competition, resulting in the Anglo-Dutch
Wars of the 17th and 18th centuries.
In an act aimed at strengthening the power of the EIC, King Charles

II granted the EIC (in a series of five acts around 1670) the rights to
autonomously acquire territory, mint money, command fortresses
and troops and form alliances, make war and peace, and exercise
both civil and criminal jurisdiction over the acquired areas. These
decisions would eventually turn the EIC from a trading company into
a de facto administrative agent with wide powers granted by the
British government.
Monopoly
The prosperity that the officers of the Company enjoyed allowed
them to return to Britain and establish sprawling estates and
businesses and obtain political power. The Company developed a
lobby in the English parliament. Under pressure from ambitious
tradesmen and former associates of the Company, who wanted to
establish private trading firms in India, a deregulating act was
passed in 1694. This allowed any English firm to trade with India
unless specifically prohibited by act of parliament, thereby annulling
the charter that had been in force for almost 100 years.
By an act passed in 1698, a new "parallel" East India Company

(officially titled the English Company Trading to the East I ndies) was
floated under a state-backed indemnity of £ 2 million. The two
companies wrestled with each other for some time, both in England
and in India, for a dominant share of the trade. It quickly became
evident that in practice, the original company faced scarcely any
measurable competition. The companies merged in 1708 by a
tripartite indenture involving both companies and the state. Under
this arrangement, the merged company lent to the Treasury a sum of
£ 3,200,000 in return for exclusive privileges for the next three years,
after which the situation was to be reviewed. The amalgamated
company became the United Company of Merchants of England
Trading to the East I ndies.
With the advent of the Industrial Revolution, Britain surged ahead of

its European rivals. Britain's growing prosperity, demand, and
production had a profound influence on overseas trade. The EIC
became the single largest player on the British global market.
Following the Seven Years' War (1756–63) and the defeat of France,
French ambitions on Indian territories were effectively laid to rest,
thus eliminating a major source of economic competition for the EIC.
The Company, with the backing of its own private well-disciplined
and experienced army, was able to assert its interests in new regions
in India without facing obstacles from other colonial powers, although
it continued to experience resistance from local rulers.
Changing Political Role

In the hundred years from the Battle of Plassey in 1757, in which the
EIC defeated the ruler of Bengal Nawab and his French allies and
consolidated the Company's presence in Bengal, to the Indian
Rebellion of 1857, the EIC began to function more as an
administrator and less as a trading concern. The proliferation of the
Company's power chiefly took two forms. The first was the outright
annexation of Indian states and subsequent direct governance of the
underlying regions, which collectively comprised British India. The
second form of asserting power involved treaties in which Indian
rulers acknowledged the Company's hegemony in return for limited
internal autonomy. In the early 19th century, the territories of these
princes accounted for two-thirds of India. When an Indian ruler who
was able to secure his territory wanted to enter such an alliance, the
Company welcomed it as an economical method of indirect rule that
did not involve the economic costs of direct administration or the
political costs of gaining the support of alien subjects. In return, the
company pledged to defend its allies.
This Company painting probably
depicts W illiam Fullerton of
Rosemount, who joined the East India
Company's service in 17 44, by Dip
Chand, c. 17 60-64.
Company style or Company painting is a term for a hybrid Indo-
European style of paintings made in India by Indian artists, many of
whom worked for European patrons in the British East India
Company or other foreign Companies in the 18th and 19th centuries.
The style blended traditional elements from Rajput and Mughal
painting with a more Western treatment of perspective, volume, and
recession.
In the early 19th century, the Indian question of geopolitical
dominance and empire holding remained with the East India
Company. The Company's independent armies, with some locally
raised irregular forces, expanded to a total of 280,000 men by 1857.
First recruited from mercenaries and low-caste volunteers, the
Bengal Army eventually became composed largely of high-caste
Hindus and landowning Muslims. Within the army, British officers
always outranked Indians, no matter how long their service. Indian
officers received no training in administration or leadership so they
would remain dependent on the British officers. During the wars
against the French and their allies in the late 18th and early 19th
centuries, the EIC's armies were used to seize the colonial
possessions of other European nations, including the islands of
Ré union and Mauritius.
Indian Rebellion of 18 5 7
The Indian Rebellion of 1857, which eventually led to the dissolution
of the EIC, had diverse political, economic, military, religious and
social causes. A direct trigger wad the grievances of the sepoys, a
generic term used for native Indian soldiers of the Bengal Army,
against the EIC administration, caused mainly by the ethnic gulf
between the European officers and their Indian troops. The spark
that led directly to a mutiny in several sepoy companies was the
issue of new gunpowder cartridges for the Enfield rifle. In 1857,
British officers insisted that the new cartridges be used by both
Muslim and Hindu soldiers, but the cartridges were made from cow
and pig fat. Loading the Enfield required tearing open the greased
cartridge with one's teeth. This insulted both Hindu and Muslim
religious practices. Underlying grievances over British taxation and
recent land annexations by the EIC were ignited by the sepoy
mutineers and within weeks, dozens of units of the Indian army
joined peasant armies in widespread rebellion. The old Muslim and
Hindu aristocracies, who were seeing their power steadily eroded by
the EIC, also rebelled against the British rule.
In the aftermath of the Rebellion, under the provisions of the
Government of India Act 1858, the British government nationalized
the EIC. The Crown took over its Indian possessions, its
administrative powers and machinery, and its armed forces. The EIC
was officially dissolved in 1858 and the rebellion led the British to
reorganize the army, the financial system, and the administration in
India. The country was thereafter directly governed by the Crown as
the new British Raj.
Capture of the last Mughal

emperor Bahadur Shah Z afar and his
sons by W illiam Hodson in 18 5 7 , by
Robert Montgomery Martin, c. 18 60.
The East India Company had a long lasting impact on the Indian
Subcontinent. Although dissolved following the Rebellion of 1857, it
stimulated the growth of the British Empire. Its armies were to
become the armies of British India after 1857, and it played a key
role in introducing English as an official language in India.
27 .3.2: The British Raj

In the aftermath of the Indian Rebellion of 1857, the British
government dissolved the East India Company and established the
formal colonial rule in India that would become known as the British
Raj.
Learning Objective
Explain why the British Raj was established in India
Key Points
The control of rich Bengal gained in the aftermath of the Battle
of Plassey brought India into the public spotlight in Britain, and
Parliament established regulations to manage the affairs of the
East India Company. Although some wanted the Company's
territories to be taken over by the British state, the eventual
compromise asserted that the Company could act as a
sovereign power on behalf of the Crown while subject to
oversight and regulation by the British government and
parliament.
Under the terms of The Charter Act of 1833, the British
Parliament revoked the Company's trade license, which made
the Company a part of British governance, but administration of
British India remained the responsibility Company officers. The
Act also charged the Governor-General-in-Council (to whose
title was now added "of India") with the supervision of civil and
military administration of India as well as the exclusive power of
legislation.
After the Indian Rebellion of 1857, the British government took
control of the Company. All power was transferred from the EIC
to the British Crown, which began to administer most of India as
a number of provinces. The Crown controlled the Company's
lands directly and had considerable indirect influence over the
rest of India. What followed became known as the British Raj:
the rule of the British Crown in the Indian subcontinent between
1858 and 1947.
The Government of India Act 1858 made changes in the
governance of India at three levels: in the imperial government
in London, in the central government in Calcutta, and in the
provincial governments in the presidencies (and later in the
provinces). In London, it provided for a cabinet-level Secretary
of State for India and a fifteen-member Council of India. In
Calcutta, the Governor-General remained head of the
Government of India, commonly called the V iceroy.
If the Government of India needed to enact new laws, it followed
the decisions of a Legislative Council, half of which consisted of
British officials with voting power and half comprised Indians
and domiciled Britons in India who served only in an advisory
capacity. All laws enacted by Legislative Councils in India
required the final assent of the Secretary of State in London.
This prompted Sir Charles Wood, the second Secretary of State,
to describe the Government of India as "a despotism controlled
from home."
A princely state was a semi-sovereign principality during the
British Raj that was not directly governed by the British, but
rather by a local ruler. The princely states varied greatly in
status, size, and wealth. Their courts existed under the authority
of the respective rulers. The British controlled the external
affairs of the princely states absolutely. As the states were not
British possessions, however, they retained control over their
own internal affairs, subject to a degree of British influence
which in many states was substantial.
Key Terms
princely state
A semi-sovereign principality on the Indian subcontinent during

the British Raj that was not directly governed by the British, but
rather by a local ruler, subject to a form of indirect rule on some
matters.
Charter Act of 1833

An 1833 act that intended to provide for an extension of the
royal charter granted to the East India Company. It extended the
charter by 20 years, redesignated the Governor-General of
Bengal as the Governor-General of India, and deprived the
Governors of Bombay and Madras of their legislative powers.
The Governor-General and his executive council were given
exclusive legislative powers for the whole of British India. The
act ended the activities of the British East India Company as a
commercial body and it became a purely administrative body.
East India Company

pursue trade with the East Indies. It ended up trading mainly
with the Indian subcontinent and Qing China. The company rose
to account for half of the world's trade, particularly in basic
commodities including cotton, silk, indigo dye, salt, saltpetre,
in India.


ruling British India under the auspices of Parliament) and the
British Raj

1858 and 1947.
East India Company vs. British

Government
Until the 1757 Battle of Plassey, the East India Company (EIC or the
Company) territories in India, which consisted largely of the
presidency towns of Calcutta, Madras, and Bombay, were governed
by the mostly autonomous—and sporadically unmanageable—town
councils, all composed of merchants. The councils barely had
enough powers for the effective management of their local affairs
and the ensuing lack of oversight of the overall Company operations
in India led to some grave abuses by Company officers and their
allies. The control of rich Bengal gained in the aftermath of the Battle
of Plassey brought India into the public spotlight in Britain and the
Company's money management practices were questioned.
By 1772, the Company needed British government loans to stay

afloat and there was fear in London that the Company's corrupt
practices could soon seep into British business and public life.
Consequently, the Parliament established regulations at aimed to
manage the affairs of the EIC. Although some wanted the
Company's territories to be taken over by the British state, the
eventual compromise asserted that the Company could act as a
sovereign power on behalf of the Crown and while subject to
oversight and regulation by the British government and parliament.
From 1784, the British government had the final word on all major
appointments in India.
With increased British power in India, supervision of Indian affairs by

the British Crown and Parliament increased as well. By the 1820s,
British nationals could transact business or engage in missionary
work under the protection of the Crown in the three presidencies.
Finally, under the terms of The Charter Act of 1833, the British
Parliament revoked the Company's trade license altogether. This
made the Company a part of British governance, but administration
of British India remained the responsibility of Company officers. The
Charter Act of 1833 also charged the Governor-General-in-Council
(to whose title was now added "of India") with the supervision of civil
and military administration of the totality of India and the exclusive
power of legislation.
The proliferation of the Company's power chiefly took two forms. The
first was the outright annexation of Indian states and subsequent
direct governance of the underlying regions that came to comprise
British India. The second involved treaties in which Indian rulers
acknowledged the Company's hegemony in return for limited internal
autonomy. In the early 19th century, the territories of these princes
accounted for two-thirds of India. When an Indian ruler who was able
to secure his territory wanted to enter such an alliance, the Company
welcomed it as an economical method of indirect rule that did not
involve the economic costs of direct administration or the political
costs of gaining the support of alien subjects. In return, the company
pledged to defend its allies.
British Raj: " Despotism

Controlled from Home"
The Indian Rebellion of 1857, a large-scale rebellion by soldiers
employed by the EIC in northern and central India against the
Company's rule, was brutally suppressed. The British government
took control of the Company and all power was transferred from the
EIC to the British Crown, which began to administer most of India as
a number of provinces. The Crown controlled the Company's lands
directly and had considerable indirect influence over the rest of India,
which consisted of the princely states ruled by local royal families.
What followed became known as the British Raj, the rule of the
British Crown in the Indian subcontinent between 1858 and 1947.
A 1909 map of the British Indian

Empire, Edinburgh Geographical
Institute, J . G. Bartholomew and Sons,
Ox ford University Press, 1909.
The British Raj extended over almost all present-day India, Pakistan,
and Bangladesh, except for small holdings by other European
nations such as Goa and Pondicherry. This area is very diverse,
containing the Himalayan mountains, fertile floodplains, the Indo-
Gangetic Plain, a long coastline, tropical dry forests, arid uplands,
and the Thar desert.
The Government of India Act 1858 made changes in the governance

of India at three levels: in the imperial government in London, in the
central government in Calcutta, and in the provincial governments in
the presidencies (and later in the provinces). In London, it provided
for a cabinet-level Secretary of State for India and a 15-member
Council of India, whose members were required, to have spent at
least ten years in India no more than 10 years ago. The Act
envisaged a system of "double government," in which the Council
ideally served both as a check on excesses in imperial policy making
and as a body of up-to-date expertise on India. However, the
Secretary of State also had special emergency powers that allowed
him to make unilateral decisions and, in reality, the Council's
expertise was sometimes outdated.
In Calcutta, the Governor-General remained head of the

Government of India and now was more commonly called the
V iceroy on account of his secondary role as the Crown's
representative to the nominally sovereign princely states. He was,
however, now responsible to the Secretary of State in London and
through him to Parliament. The Governor-General in the capital,
Calcutta, and the Governor in a subordinate presidency (Madras or
Bombay) was each required to consult his advisory council.
However, in the years of the post-rebellion reconstruction, V iceroy
Lord Canning found the collective decision making of the Council to
be too time-consuming for the pressing tasks ahead, so he
requested the "portfolio system" of an Executive Council, in which
the business of each government department (the portfolio) was
assigned to and became the responsibility of a single council
member. Routine departmental decisions were made exclusively by
the member, but important decisions required the consent of the
Governor-General and in the absence of such consent, required
discussion by the entire Executive Council. This innovation in Indian
governance was promulgated in the Indian Councils Act 1861.
If the Government of India needed to enact new laws, the Councils

Act allowed for a Legislative Council—an expansion of the Executive
Council by up to twelve additional members, each appointed to a
two-year term—with half the members consisting of British officials of
the government (termed official) and allowed to vote and the other
half comprising Indians and domiciled Britons in India (termed non-
official) and serving only in an advisory capacity. All laws enacted by
Legislative Councils in India required the final assent of the
Secretary of State in London. This prompted Sir Charles Wood, the
second Secretary of State, to describe the Government of India as "a
despotism controlled from home." Moreover, although the
appointment of Indians to the Legislative Council was a response to
calls for more consultation with Indians, those appointed were from
the landed aristocracy, often chosen for their British loyalty.
Princely States
A princely state, also called native state, refers to a semi-sovereign
principality during the British Raj that was not directly governed by
the British, but rather by a local ruler, subject to a form of indirect rule
on some matters. The princely states varied greatly in status, size,
and wealth. The British Crown's suzerainty over 175 princely states,
generally the largest and most important, was exercised in the name
of the British Crown by the central government of British India under
the V iceroy. The remaining approximately 500 states were influenced
by agents answerable to the provincial governments of British India
under a Governor, Lieutenant-Governor, or Chief Commissioner. A
clear distinction between "dominion" and "suzerainty" was supplied
by the jurisdiction of the courts of law: the law of British India rested
upon the legislation enacted by the British Parliament and the
legislative powers those laws vested in the various governments of
British India, both central and local. In contrast, the courts of the
princely states existed under the authority of the respective rulers of
those states. By treaty, the British controlled the external affairs of
the princely states absolutely. As the states were not British
possessions, however, they retained control over their own internal
affairs, subject to a degree of British influence which in many states
was substantial.
V iceroy Lord Canning meets
Maharaja Ranbir Singh of J ammu &
Kashmir, March 9, 18 60 by W illiam
Simpson, 18 67 .
Suzerainty over 175 princely states, some of the largest and most
important, was exercised (in the name of the British Crown) by the
central government of British India under the V iceroy. The remaining
approximately 500 states were dependents of the provincial
governments of British India under a Governor, Lieutenant-Governor,
or Chief Commissioner (as the case might have been).
By the beginning of the 20th century, relations between the British

and the four largest states – Hyderabad, Mysore, Jammu and
Kashmir, and Baroda – were directly under the control of the
Governor-General of India in the person of a British Resident. Two
agencies, for Rajputana and Central India, oversaw 20 and 148
princely states respectively. The remaining princely states had their
own British political officers, or agents, who answered to the
administrators of India's provinces.
27 .3.3: The " Civilising Mission"

The British used the rationale of "civilising mission" to justify their
imperial control of India and to introduce limited reforms to produce a
qualified white-collar labor force that loyally supported colonial rule.
Learning Objective
Define the "civilising mission"
Key Points
The mission civilisatrice, a French term that translates literally
into English as civilising mission, is a rationale for intervention or
colonization, purporting to contribute to the spread of civilization
and used mostly in relation to the colonization and
Westernization of indigenous peoples in the 19th and 20th
centuries. Its advocates postulated a duty of Europeans to help
"backwards" peoples "civilize."
In India, the British "civilising mission" focused largely on
educational reforms designed to speed up modernization and
reduce administrative charges. Colonial authorities fervently
debated the question of the best policy. The orientalists believed
that education should happen in Indian languages while the
utilitarians (also called anglicists) strongly believed that
traditional India had nothing to teach regarding modern skills
and the best education would happen in English.
One of the most influential reformers was Thomas Babington
Macaulay, who in 1835 authored "Minute on Indian Education."
In it, he urged the Governor-General to reform secondary
education on utilitarian lines to deliver "useful learning," which to
Macaulay was synonymous with Western culture. He argued
that Sanskrit and Persian were no more accessible than English
to the speakers of the Indian vernacular languages and existing
Sanskrit and Persian texts were of little use for "useful
learning."
Macaulay's text largely coincided with Governor-General William
Bentinck's views and Bentinck's English Education Act 1835
closely matched Macaulay's recommendations. Under
Macaulay, thousands of elementary and secondary schools
were opened, typically with all-male student bodies. However,
Macaulay's views enjoyed little support in London
and subsequent Governors-General took a more conciliatory
approach to existing Indian education.
Missionaries opened their own schools that taught Christianity
and the 3-Rs (reading, writing, and arithmetic). Universities in
Calcutta, Bombay, and Madras were established in 1857. The
government opened 186 universities and colleges of higher
education by 1911. All these benefits, however, went to the
Indian elites and middle classes, who were expected to serve as
loyal supporters of the British rule in India.
The "civilising mission" rhetoric continued, but soon became an
alibi for British misrule and racism without the pretense that
Indian progress was ever a goal. Those who advocated actual
reforms became less influential. The British assumed Indians
had to be ruled by heavy hand, with democratic opportunities
postponed indefinitely.
Key Terms
civilising mission
A rationale for intervention or colonization purporting to

contribute to the spread of civilization, used mostly in relation to
the colonization and Westernization of indigenous peoples in the
19th and 20th centuries.
Whig history
An approach to historiography that presents the past as an

inevitable progression towards ever greater liberty and
enlightenment, culminating in modern forms of liberal
democracy and constitutional monarchy. In general, historians
representing this approach emphasize the rise of constitutional
government, personal freedoms, and scientific progress. The
term is often applied generally (and pejoratively) to histories that
present the past as the inexorable march of progress towards
enlightenment.
Intellectual Origins of
" Civilising Mission"
The mission civilisatrice, a French term which translates literally into
English as civilising mission, is a rationale for intervention or
colonization, purporting to contribute to the spread of civilization and
used mostly in relation to the colonization and Westernization of
indigenous peoples in the 19th and 20th centuries. It was influential
in the French colonies of Algeria, French West Africa, and Indochina
and in the Portuguese colonies of Angola, Guinea, Mozambique, and
Timor. The rationale was also used by the British in their Asian and
African colonies. The European colonial powers argued it was their
duty to bring Western civilization to what they perceived as backward
people. In addition to governing colonies, the Europeans also
attempted to Westernize them in accordance with a colonial ideology
known as "assimilation." They aimed to influence indigenous elites
who would loyally support imperial rule.
The intellectual origins of the mission civilisatrice trace back to

the European thinkers, who discussed the idea of social change by
using a development metaphor. In the 18th century, many saw
history as a linear unending inevitable process of social evolutionism
with the European nations running ahead. Racism underlined the
arguments of two dominant lines of thought that emerged from this
assumption. Some Europeans saw the "backward" nations as
intrinsically incapable of reaching what Europeans saw as a more
advanced level of social development. Others did not deny non-
European societies these capabilities but postulated a duty to help
those peoples "civilize."
The Role of Education
In India, the British "civilising mission" focused largely on educational
reforms. Education in English became a high priority with the goal to
speed up modernization and reduce administrative charges. Colonial
authorities fervently debated the question of the best policy, falling
roughly in one of the two main camps. The orientalists believed that
education should happen in Indian languages and favored classical
or court languages like Sanskrit or Persian. Conversely, the
utilitarians (also called anglicists) strongly believed that traditional
India had nothing to teach regarding modern skills and the best
education would happen in English.
One of the most influential reformers, Thomas Babington Macaulay

(1800–1859), belonged to the latter group. Macaulay was a historian
and politician who represented the tradition of Whig history,
according to which the past is an inevitable progression towards ever
greater liberty and enlightenment, culminating in modern forms of
liberal democracy and constitutional monarchy. In general, Whig
historians emphasize the rise of constitutional government, personal
freedoms, and scientific progress.
Macauley went to India in 1834 and served on the Supreme Council

of India until 1838. At the time, he authored his famous "Minute on
Indian Education" (1835), in which he urged the Governor-General to
reform secondary education on utilitarian lines to deliver "useful
learning," which to Macaulay was synonymous with Western culture.
Macaulay argued that Sanskrit and Persian were no more accessible
than English to the speakers of the Indian vernacular languages and
existing Sanskrit and Persian texts were of little use for "useful
learning." Although he did not know Sanskrit or Arabic, he claimed
that all Western experts could not "deny that a single shelf of a good
European library was worth the whole native literature of India and
Arabia." Hence, he advocated that from the sixth year of schooling,
students should be taught a European curriculum in English. This
aimed to create a class of anglicized Indians to serve as cultural
intermediaries between the British and the Indians. Macualay
assumed that the creation of such a class was necessary before any
reform of vernacular education.
Macaulay's text largely coincided with Governor-General William

Bentinck's views and Bentinck's English Education Act 1835 closely
matched Macaulay's recommendations. Under Macaulay, thousands
of elementary and secondary schools opened, typically with all-male
student bodies. However, Macaulay's views enjoyed little support in
London and subsequent Governors-General took a more conciliatory
approach to existing Indian education.
Missionaries opened their own schools that taught Christianity and

the 3-Rs (reading, writing, and arithmetic). Universities in Calcutta,
Bombay, and Madras were established in 1857, just before the
Rebellion. By 1890, some 60,000 Indians had matriculated, chiefly in
the liberal arts or law. About a third entered public administration and
another third became lawyers. The result was a very well-educated
professional state bureaucracy. By 1887, of 21,000 mid-level civil
service appointments, 45% were held by Hindus, 7% by Muslims,
19% by Eurasians (European father and Indian mother), and 29% by
Europeans. Of the 1,000 top-level positions, almost all were held by
Britons, typically with Oxbridge degrees. The government, often
working with local philanthropists, opened 186 universities and
colleges of higher education by 1911 and enrolled 36,000 students
(over 90% men). By 1939, the number of institutions had doubled
and enrollment reached 145,000. The curriculum followed classical
British standards et by Oxford and Cambridge and stressed English
literature and European history. All these benefits of education,
however, went to the Indian elites and middle classes, who were
expected to serve as loyal supporters of the British rule in India.
Historians of Indian education have generally linked the idea of
educational reform under the British rule to colonial dominance and
control.
The "civilising mission" rhetoric continued, but soon became an alibi

for British misrule and racism, this time without even pretending that
Indian progress was ever a goal. Those who advocated actual
reforms became less influential. Instead, the British assumed Indians
had to be ruled by heavy hand with democratic opportunities
postponed indefinitely, although some English historians argued that
the so-called liberal imperialists truly believed that the British rule
would bring the benefits of "ordered liberty" and Britain could fulfill its
moral duty. Much of the debate on the role of Britain in India took
place in Britain, where the imperialists worked hard to convince the
general population that the "civilising mission" was well under-way.
This campaign served to strengthen imperial support at home and
thus bolster the moral authority of the elites who ran the Empire.
University of Bombay
A photo of University of Mumbai's Fort Campus taken in the 1870s.
Rajabai Clock Tower, seen here shrouded in scaffolding, was
completed in 1878.
27 .3.4: The Great Uprising of 18 5 7

The Indian Rebellion of 1857, triggered by numerous grievances of
both Indian soldiers (sepoys) and civilians against the East India
Company, ended the Company's rule in India and established the
formal imperial rule of the British Crown across the region.
Learning Objective
Analyze the reasons for the Great Uprising of 1857
Key Points
The Indian Rebellion of 1857 resulted from an accumulation of
factors over time rather than any single event. In the military,
sepoys had a number of grievances, including losing their
perquisites as landed gentry and the anticipation of increased
land-revenue payments that the 1856 annexation of Oudh might
bring about; being convinced that the Company was
masterminding mass conversions of Hindus and Muslims to
Christianity; changes in the terms of professional service; and
the issue of promotions based on seniority.
The final spark was provided by the ammunition for the new
Enfield P-53 rifle. To load the rifle, sepoys had to bite the
cartridge open to release the powder, but the grease used on
these cartridges was rumored to include tallow derived from
beef, offensive to Hindus, and pork, offensive to Muslims. While
the Company was quick to reverse the effects of the policy to
quell the unrest, this convinced many sepoys that the rumors
were true and their fears were justified.
Civilians developed their own grievances against the Company.
The nobility felt it interfered with a traditional system of
inheritance through the Doctrine of Lapse. Rural landlords lost
half their landed estates to peasant farmers as a result of the
land reforms in the wake of annexation of Oudh. Some
historians have suggested that heavy land-revenue assessment
in some areas resulted in many landowning families losing their
land or going into great debt.
The rebellion began as a mutiny of sepoys on May 10, 1857, in
the cantonment of the town of Meerut, and soon escalated into
other mutinies and civilian rebellions, largely in the upper
Gangetic plain and central India, with the major hostilities
confined to present-day Uttar Pradesh, western Bihar, northern
Madhya Pradesh, and the Delhi region. In general, the rebels
were disorganized, had differing goals, were poorly equipped,
led, and trained, and had no outside support or funding.
The rebellion and its aftermath resulted in the deaths of more
than 100,000 Indians. The alleged killings of women and
children by the rebels left many British soldiers seeking revenge.
Most of the British press and British public, outraged by the
stories of alleged rape and the killings of civilians and wounded
British soldiers, did not advocate clemency of any kind.
The rebellion saw the end of the East India Company's rule in
India. By the Government of India Act 1858, the company was
formally dissolved and its ruling powers over India were
transferred to the British Crown. The rebellion also transformed
both the native and European armies of British India.
Key Terms

ruling British India under the auspices of Parliament and the
East India Company

pursue trade with the East Indies but trading mainly with the
Indian subcontinent and Qing China. The company rose to
commodities including cotton, silk, indigo dye, salt, saltpeter,
in India.

sepoy
A term used in the forces of the British East India Company that
initially referred to Hindu or Muslim soldiers without regular
uniform or discipline. It later referred to all native soldiers in the
service of the European powers in India.
Causes of 18 5 7 Rebellion
The Indian Rebellion of 1857 (known also as the Great Uprising of
1857) resulted from an accumulation of factors over time rather than
from any single event.
In 1772, Warren Hastings was appointed India's first Governor-

General, and one of his first undertakings was the rapid expansion of
the East India Company’s army. New sepoys (local soldiers, usually
of Hindu or Muslim background) were recruited and to forestall any
social friction, the Company took action to adapt its military practices
to the requirements of their religious rituals. Over time, however,
sepoys developed a number of grievances. After the annexation of
Oudh (Awadh) by the EIC in 1856, many sepoys were disquieted
both from losing their perquisites as landed gentry and from the
anticipation of any increased land-revenue payments that the
annexation might bring about. Furthermore, by 1857, some Indian
soldiers, interpreting the presence of missionaries as a sign of official
intent, were convinced that the Company was masterminding mass
conversions of Hindus and Muslims to Christianity. Finally, changes
in the terms of professional service also created resentment. As the
extent of the EIC's jurisdiction expanded with victories in wars or
annexation, the soldiers were now expected not only to serve in less
familiar regions but also without the "foreign service" remuneration
that had previously been their due. Moreover, the new recruits of the
Bengal Army, who until 1856 had been exempted from overseas
service in observance of certain caste rituals, were now required a
commitment for general service. There were also grievances over
the issue of promotions based on seniority. This as well as the
increasing number of European officers in the battalions made
promotion slow, and many Indian officers did not reach
commissioned rank until they were too old to be effective.
The final spark was provided by the ammunition for the new Enfield
P-53 rifle. These used paper cartridges that came pre-greased. To
load the rifle, sepoys had to bite the cartridges open to release the
powder. The grease used was rumored to include tallow derived
from beef, offensive to Hindus, and pork, offensive to Muslims. There
were rumors that the British sought to destroy the religions of the
Indian people and forcing the native soldiers to break their sacred
code certainly increased this concern. The Company was quick to
reverse the effects of the policy in hopes that the unrest would be
quelled. Colonel Richard Birch, the Military Secretary, ordered that
all cartridges issued from depots were to be free from grease and
that sepoys could grease them themselves using whatever mixture
"they may prefer." A modification was also made to the drill for
loading so that the cartridge was torn with the hands and not bitten.
This, however, convinced many sepoys that the rumors were true
and that their fears were justified.
Civilians developed their own grievances against the Company. The

nobility, many of whom lost titles and domains under the Doctrine of
Lapse which refused to recognize the adopted children of princes as
legal heirs, felt that the Company had interfered with a traditional
system of inheritance. In the areas of central India where such loss
of privilege had not occurred, the princes remained loyal to the
Company, even in areas where the sepoys had rebelled. Rural
landlords called taluq dars lost half their landed estates to peasant
farmers as a result of the land reforms that came in the wake of
annexation of Oudh. Some historians have also suggested that
heavy land-revenue assessment in some areas resulted in many
landowning families either losing their land or going into great debt
(money lenders, in addition to the Company, were particular objects
of the rebels' animosity). Eventually, the civilian rebellion was highly
uneven in its geographic distribution and historians still attempt to
explain why some areas rebelled while others remained calm.
" The Sepoy Revolt at Meerut,"

Illustrated London News, 18 5 7 .
At Meerut, a large military cantonment, 2,357 Indian sepoys and
2,038 British soldiers were stationed along with 12 British-manned
guns. The station held one of the largest concentrations of British
troops in India and this was later cited as evidence that the original
rising was a spontaneous outbreak rather than a pre-planned plot.
Rebellion of 18 5 7
The rebellion began as a mutiny of sepoys on May 10, 1857, in the
cantonment of the town of Meerut, and soon escalated into other
mutinies and civilian rebellions, largely in the upper Gangetic plain
and central India, with the major hostilities confined to present-day
Uttar Pradesh, western Bihar, northern Madhya Pradesh, and the
Delhi region. The rebellion posed a considerable threat to EIC's
power in that region. Other regions of Company-controlled India, the
Bombay Presidency and the Madras Presidency, remained largely
calm. The large princely states of Hyderabad, Mysore, Travancore,
and Kashmir, as well as the smaller ones of Rajputana, did not join
the rebellion. In some regions such as Oudh, the rebellion took on
the attributes of a patriotic revolt against European presence. Some
rebel leaders, such as Lakshmibai, the Rani of Jhansi, became folk
heroes in the nationalist movement in India half a century later. In the
Bengal Presidency, the revolt was entirely centered on Bihar, which
experienced multiple disturbances in the Shahabad region where the
revolt was led by Kunwar Singh. In Punjab, the Sikh princes backed
the Company by providing soldiers and support. In general, the
rebels were disorganized, had differing goals, were poorly equipped,
led, and trained, and had no outside support or funding. The
rebellion was contained only with the Indian defeat in Gwalior on
June 18, 1858, during which Rani of Jhansi was killed. By 1859,
rebel leaders Bakht Khan and Nana Sahib had either been slain or
had fled.
Aftermath
The rebellion and its aftermath resulted in the deaths of more than
100,000 Indians. The alleged killings of women and children by the
rebels as well as wounded British soldiers left many British soldiers
seeking revenge. The mutineers were hung or blown from cannon,
an old Mughal punishment where sentenced rebels were tied over
the mouths of cannons and blown to pieces when the cannons were
fired. Most of the British press, outraged by the stories of alleged
rape and the killings of civilians and wounded British soldiers, did not
advocate clemency of any kind. When Governor-General Canning
ordered moderation in dealing with native sensibilities, he earned the
scornful sobriquet "Clemency Canning" from the press and later
parts of the British public.
Sepoy ex ecution by blowing from a

cannon
Incidents of rape allegedly committed by Indian rebels against
European women and girls appalled the British public. These
atrocities were often used to justify the British reaction to the
rebellion. A series of exhaustive investigations were carried out by
British police and intelligence officials into reports that British women
prisoners had been "dishonored" at the Bibighar and elsewhere. The
consensus was that there was no convincing evidence of such
crimes having been committed, although numbers of European
women and children had been killed outright.
The rebellion saw the end of the East India Company's rule in India.
In August, by the Government of India Act 1858, the company was
formally dissolved and its ruling powers over India were transferred
to the British Crown. A new British government department, the India
Office, was created to handle the governance of India, and its head,
the Secretary of State for India, was entrusted with formulating
Indian policy. The Governor-General of India gained a new title,
V iceroy of India, and implemented the policies devised by the India
Office. On a political level, the British assumed that the previous lack
of consultation between rulers and ruled was a significant factor in
contributing to the uprising. In consequence, Indians were drawn into
government at a local level, although on a limited scale.
Nonetheless, a new white-collar Indian elite comprised of a
professional middle class was starting to arise, in no way bound by
the values of the past.
The Bengal army dominated the Indian army before 1857 and a
direct result after the rebellion was the scaling back of the size of the
Bengali contingent. The Brahmin presence in the Bengal Army was
reduced because of their perceived primary role as mutineers. The
rebellion transformed both the native and European armies of British
India. The old Bengal Army almost completely vanished from the
order of battle. These troops were replaced by new units recruited
from castes hitherto underutilized by the British and from the minority
so-called "martial races," such as the Sikhs and the Gurkhas. There
were also fewer European officers, but they associated themselves
far more closely with their soldiers. More responsibility was given to
the Indian officers.
27 .3.5 : The Economy in British India

The economy of British India was largely designed to protect and
expand interests of the British economy, but the British collaborated
closely with the Indian elites who, unlike the masses of ordinary
Indians, benefited from the many economic changes.
Learning Objective
Describe the economy of British India and how it fit into Britain's
mercantilism
Key Points
Both the direct administration of India by the British Crown and
the technological change ushered in by the Industrial Revolution
closely intertwined the economies of India and Great Britain.
Railways, roads, canals, and bridges were rapidly built in India
and telegraph links established so that raw materials, most
notably cotton, from India's hinterland could be transported
more efficiently to ports for subsequent export to England.
Finished goods from England were transported back just as
efficiently for sale in the burgeoning Indian markets.
Despite Britain's position as the global leader of industrial
development, India's industrialization was limited beyond
textiles. Historians have pointed to two causes: relatively low
labor costs that discouraged investment in new labor-saving
technologies and British control of trade and exports of cheap
Manchester cotton. Entrepreneur Jamsetji Tata became the
symbol of local industrial success, establishing a company that
remains an influential global brand today.
A plan for a rail system in India was first put forward in 1832. A
few short lines were built in the 1830s, but they did not
interconnect. In 1844, Governor-General Lord Hardinge allowed
private entrepreneurs to set up a rail system in India. The
colonial government encouraged new railway companies
backed by private investors under a scheme that would provide
land and guarantee an annual return of up to five percent during
the initial years of operation. Encouraged by the government
guarantees, investment flowed in and a series of new rail
companies were established, leading to rapid expansion of the
rail system in India.
The railways were privately owned and operated and run by
British administrators, engineers, and skilled craftsmen. At first,
only the unskilled workers were Indians. Like hiring practices,
building and maintaining the railways were designed to benefit
mostly British companies. India thus provides an example of the
British Empire pouring its money and expertise into a well-built
system designed for military purposes with the hope that it
would stimulate industry.
The Indian economy grew about 1% per year from 1880 to 1920
and the population also grew at 1%. The result was, on average,
no long-term change in income levels. Agriculture was still
dominant, with most peasants at the subsistence level.
Extensive irrigation systems were built, providing an impetus for
growing cash crops for export and for raw materials for Indian
industry, especially jute, cotton, sugarcane, coffee, and tea.
Historians continue to debate whether the long-term impact of
British rule accelerated or hindered the economic development
of India. Some argue that the new economy brought by the
British in the 18th century was a form of "plunder." Others note
the British takeover did not make any sharp break with the past.
Many scholars in India and the West agree today that the British
power depended upon excellent cooperation with Indian elites
and that the British rule did not change the highly divisive caste-
based hierarchy of the Indian society.
Key Terms
East India Company

pursue trade with the East Indies but trading mainly with the
Indian subcontinent and Qing China. The company rose to
commodities including cotton, silk, indigo dye, salt, saltpeter,
in India.

Limited Industrializ ation

In the second half of the 19th century, both the direct administration
of India by the British Crown and the technological change ushered
in by the Industrial Revolution closely intertwined the economies of
India and Great Britain. Many of the major changes in transport and
communications typically associated with Crown Rule of India began
before the Indian Rebellion of 1857. Railways, roads, canals, and
bridges were rapidly built in India and telegraph links established so
that raw materials, most notably cotton, from India's hinterland could
be transported more efficiently to ports for subsequent export to
England. Finished goods from England were transported back just
as efficiently for sale in the burgeoning Indian markets. Imports of
British cotton covered 55% of the Indian market by 1875.
Despite Britain's position as the global leader of industrial

development, India's industrialization was limited, prompting
historians to examine why. In the 17th century, India was a relatively
urbanized and commercialized country with a buoyant export trade,
devoted largely to cotton textiles but also including silk, spices, and
rice. India was the world's main producer of cotton textiles and had a
substantial export trade to Britain and many other European
countries via the East India Company. Yet while the British cotton
industry underwent technological revolution in the late 18th century,
the Indian industry stagnated and industrialization in India was
delayed until the 20th century.
Historians have suggested that occurred because India was still a

largely agricultural nation with low wages. In Britain, wages were
relatively high, so cotton producers had the incentive to invent and
purchase expensive new labor-saving technologies. In India, by
contrast, wages were low, so producers preferred to increase output
by hiring more workers rather than investing in technology. British
control of trade and exports of cheap Manchester cotton are cited as
other significant factors.
Despite the unrivaled quality of Indian cotton, universally recognized

as late as the end of the 18th century, Indian textile exports declined
significantly over the 19th century. High tariffs against Indian textile
workshops and British restrictions on Indian cotton imports quickly
transformed India from the source of textiles to a source of raw
cotton. Industrial production as it developed in European factories
was unknown until the 1850s when the first cotton mills opened in
Bombay, posing a challenge to the cottage-based home production
system based on family labor.
The entrepreneur Jamsetji Tata (1839–1904) began his industrial

career in 1877 with the Central India Spinning, Weaving, and
Manufacturing Company in Bombay. While other Indian mills
produced cheap coarse yarn (and later cloth) using local short-staple
cotton and cheap machinery imported from Britain, Tata imported
expensive longer-stapled cotton from Egypt and bought more
complex ring-spindle machinery from the United States to spin finer
yarn that could compete with imports from Britain. In the 1890s, Tata
launched plans to expand into heavy industry using Indian funding.
The Raj did not provide capital, but aware of Britain's declining
position against the U.S. and Germany in the steel industry, it
wanted steel mills in India and promised to purchase any surplus
steel Tata could not otherwise sell. The Tata Iron and Steel Company
(TISCO), headed by his son Dorabji Tata (1859–1932), opened its
plant in 1908. It became the leading iron and steel producer in India,
with 120,000 employees in 1945. TISCO became India's proud
symbol of technical skill, managerial competence, entrepreneurial
flair, and high pay for industrial workers.
Railway Industry
A plan for a rail system in India was first put forward in 1832. A few
short lines were built in the 1830s, but they did not interconnect. In
1844, Governor-General Lord Hardinge allowed private
entrepreneurs to set up a rail system in India. The colonial
government encouraged new railway companies backed by private
investors under a scheme that would provide land and guarantee an
annual return of up to five percent during the initial years of
operation. The companies were to build and operate the lines under
a 99-year lease, with the government having the option to buy them
earlier.
Encouraged by the government guarantees, investment flowed in

and a series of new rail companies were established, leading to
rapid expansion of the rail system in India. Soon several large
princely states built their own rail systems and the network spread
across regions. British investors and engineers built a modern
railway system by the late 19th century. It was the fourth largest in
the world and was renowned for quality of construction and service.
The government was supportive, realizing its value for military use in
case of another rebellion as well as its value for economic growth. All
the funding and management came from private British companies.
The railways at first were privately owned and operated and run by
British administrators, engineers, and skilled craftsmen.
At first, only the unskilled workers were Indians. Historians note that
until the 1930s, both the Raj lines and the private companies hired
only European supervisors, civil engineers, and even operating
personnel such as locomotive engineers. Like hiring practices,
building and maintaining the railways were designed to benefit
mostly British companies. The government required that bids on
railway contracts be made to the India Office in London, shutting out
most Indian firms. The railway companies purchased most of their
hardware and parts in Britain. There were railway maintenance
workshops in India, but they were rarely allowed to manufacture or
repair locomotives.
" The most magnificent railway station
in the world," V ictoria Terminus,
Bombay, completed in 18 8 8
By 1875, about £ 95 million (equal to £ 117 billion in 2012) was
invested by British companies in Indian-guaranteed railways. It later
transpired that there was heavy corruption in these investments, on
the part of both members of the British Colonial Government in India
and companies who supplied machinery and steel in Britain. This
resulted in railway lines and equipment costing nearly double what
they should have.
India provides an example of the British Empire pouring its money

and expertise into a well-built system designed for military purposes
after the Rebellion of 1857 with the hope that it would stimulate
industry. The system was overbuilt and too expensive for the small
amount of freight traffic it carried. However, it did capture the
imagination of the Indians, who saw their railways as the symbol of
an industrial modernity—but one that was not realized until after
Independence.
Economic Impact
The Indian economy grew at about 1% per year from 1880 to 1920
and the population also grew at 1%. The result was, on average, no
long-term change in income levels. Agriculture was still dominant,
with most peasants at the subsistence level. Extensive irrigation
systems were built, providing an impetus for growing cash crops for
export and for raw materials for Indian industry, especially jute,
cotton, sugarcane, coffee, and tea. Agricultural income imparted the
strongest effect on GDP.
Historians continue to debate whether the long-term impact of British

rule was to accelerate or hinder the economic development of India.
In 1780, conservative British politician Edmund Burke raised the
issue of India's position. He vehemently attacked the EIC, claiming
that Warren Hastings and other top officials had ruined the Indian
economy and society. Indian historian Rajat Kanta Ray (1998)
continues this line of attack, arguing that the new economy brought
by the British in the 18th century was a form of plunder and a
catastrophe for the traditional economy of the Mughal Empire. Ray
accuses the British of depleting the food and money stocks and of
imposing high taxes that helped cause the terrible Bengal famine of
1770, which killed a third of the city's people.
P. J. Marshall shows that recent scholarship has reinterpreted the

view that the prosperity of the formerly benign Mughal rule gave way
to poverty and anarchy. He argues the British takeover did not make
any sharp break with the past, which largely delegated control to
regional Mughal rulers and sustained a generally prosperous
economy for the rest of the 18th century. Marshall notes the British
went into partnership with Indian bankers and raised revenue
through local tax administrators, keeping the old Mughal rates of
taxation. Many historians agree that the EIC inherited an onerous
taxation system that took one-third of the produce of Indian
cultivators. Instead of the Indian nationalist account of the British as
alien aggressors, seizing power by brute force and impoverishing all
of India, Marshall presents the interpretation (supported by many
scholars in India and the West) that the British were not in full control
but instead were players in what was primarily an Indian play and in
which their rise to power depended upon excellent cooperation with
Indian elites. Marshall admits that much of his interpretation is still
highly controversial among many historians. However, historians
agree that the British rule did not change the divisive caste-based
hierarchy of the Indian society and thus ordinary Indians remained
excluded from the benefits of economic growth.
The railway network in 1909, when it
was the fourth largest railway network
in the world
In 1907, almost all the rail companies were taken over by the
government. The following year, the first electric locomotive made its
appearance. With the arrival of World War I, the railways were used
to meet the needs of the British outside India. With the end of the
war, the railways were in a state of disrepair and collapse.
27 .3.6: The Indian National Congress

The Indian National Congress has dominated Indian politics since
leading the Indian independence movement. In the post-
independence era, it has remained the most influential political party
in India under the continuous leadership of the Nehru-Gandhi
political dynasty.
Learning Objective
List the key goals of the Indian National Congress and the reasons
for its formation
Key Points
The Indian National Congress was founded in 1885 by Indian
and British members of the Theosophical Society to obtain a
greater share in government for educated Indians and create a
platform for civic and political dialogue between educated
Indians and the British Raj. Within the next few years, the
organization decided to advocate in favor of the independence
movement. After internal conflicts over how to win
independence, the moderate faction advocating gradual reforms
won leadership over the radical faction that called for an open
rebellion.
Mahatma Gandhi returned from South Africa in 1915. With the
help of the moderate group led by Ghokhale, Gandhi became
president of the Congress and in the years following World War
I, he remained its unofficial spiritual leader and icon. Gandhi's
ideas and strategies of non-violent civil disobedience initially
appeared impractical to some Indians and congressmen. In the
end, however, Gandhi's vision brought millions of ordinary
Indians into the movement, transforming it from an elitist
struggle to a national one.
In 1929, under the presidency of Jawaharlal Nehru, the
Congress declared complete independence as the party's goal.
In 1936-37, the British government allowed provincial elections
in India. The Congress gained power in eight out of 11
provinces. However, in 1939, the V iceroy Linlithgow declared
India's entrance into World War II without consulting provincial
governments. In protest, the Congress asked all its elected
representatives to resign from the government. The Congress
also supported the actions of the Azad Hind, an Indian
provisional government established in Singapore during WWII.
After Indian independence in 1947, the Indian National
Congress became the dominant political party in the country. In
1952, in the first general election held after independence, the
party swept to power in the national parliament and most state
legislatures. It held power nationally until 1977, returned to
power in 1980, and ruled until 1989, when it was once again
defeated. It formed the government in 1991 at the head of a
coalition as well as in 2004 and 2009. During this period, the
Congress remained center-left in its social policies while steadily
shifting from a socialist to a neoliberal economic outlook.
Throughout the post-independence period, Congress leadership
was dominated by the Nehru-Gandhi political dynasty. From
1951 until his death in 1964, Jawaharlal Nehru was the
Congress' paramount leader under the tutelage of Mahatma
Gandhi. After Nehru's death, Lal Bahadur Shastri took over but
his death in 1966 elevated to power Indira Gandhi, Nehru's
daughter. Over time, Gandhi's government grew increasingly
more authoritarian and unrest among the opposition grew.
In 1984, Indira Gandhi's son Rajiv Gandhi became nominal
head of the Congress and prime minister upon her
assassination. His government was accused of corruption and
in 1991, Gandhi was killed by a bomb. He was succeeded as
party leader by P. V . Narasimha Rao, who is often referred to as
the "father of Indian economic reforms." Rao was succeeded as
president by Sitaram Kesri, the party's first non-Brahmin leader,
but in order to boost the party's popularity, Congress leaders
urged Sonia Gandhi – widow of Rajiv Gandhi – to assume the
leadership of the party, which she holds until today.
Key Terms
Indian National Congress
One of two major political parties in India, founded in 1885

during the British Raj. In the late 19th and early to mid-20th
centuries, it became a pivotal participant in the Indian
independence movement, with over 15 million members and
over 70 million participants in its opposition to British colonial
rule in India.
Indian National Army trials
The British Indian trial by courts-martial of a number of officers

of the Indian National Army (INA) between November 1945 and
May 1946. INA was an armed force formed by Indian
nationalists in 1942 in Southeast Asia that fought against the
British. Charges included treason, torture, murder, and
abetment.
Azad Hind
An Indian provisional government established in occupied

Singapore in 1943 and supported by Japan and Nazi Germany.
British Raj

1858 and 1947.
Early Y ears
The Indian National Congress (INC or the Congress) was founded in
1885 by Indian and British members of the Theosophical Society. Its
objective was to obtain a greater share in government for educated
Indians and create a platform for civic and political dialogue between
educated Indians and the British Raj. The first session was held in
December 1885 and attended by 72 delegates. Representing each
province of India, the Party's delegates comprised 54 Hindus and
two Muslims. The rest were of Parsi and Jain backgrounds.
Within the next few years, the demands of the Congress became
more radical in the face of constant opposition from the British
government. The organization decided to advocate in favor of the
independence movement because it would allow a new political
system in which the Congress could be a major party. In 1907, the
Congress was split into two factions. The radicals, led by Bal
Gangadhar Tilak, advocated civil agitation and direct revolution to
overthrow the British Empire and the abandonment of all things
British. The moderates, led by leaders like Dadabhai Naoroji and
Gopal Krishna Gokhale, wanted reform within the framework of
British rule. Tilak was backed by rising public leaders like Bipin
Chandra Pal and Lala Lajpat Rai, who held the same point of view.
Under them, India's three major states, Maharashtra, Bengal, and
Punjab, shaped the demand of the people and India's nationalism.
Gokhale criticized Tilak for encouraging acts of violence and
disorder. But the Congress of 1906 did not have public membership
and thus Tilak and his supporters were forced to leave the party.
Mass Movement
Mahatma Gandhi returned from South Africa in 1915. With the help
of the moderate group led by Ghokhale, Gandhi became president of
the Congress and formed an alliance with the Khilafat Movement, a
pan-Islamic, political protest campaign launched by Muslims to
influence the British government and increase Hindu Muslim unity.
In protest, a number of leaders resigned to set up the Swaraj Party.
The Khilafat movement soon collapsed and in the years following
World War I, the party became associated with Mahatma Gandhi,
who remained its unofficial spiritual leader and icon.
Gandhi's ideas and strategies of non-violent civil disobedience,

which had to be carried out non-violently by withdrawing co-
operation with the corrupt state, initially appeared impractical to
some Indians and congressmen. In the end, however, Gandhi's
vision brought millions of ordinary Indians into the movement,
transforming it from an elitist struggle to a national one. The
nationalist cause was expanded to include the interests and
industries that formed the economy of common Indians. For
example, in Champaran, Bihar, Gandhi championed the plight of
desperately poor sharecroppers and landless farmers who were
forced to pay oppressive taxes and grow cash crops at the expense
of the subsistence crops that formed their food supply. The profits
from the crops they grew were insufficient to provide for their
sustenance. Proposals aimed at eradicating caste differences,
untouchability, poverty, and religious and ethnic divisions made the
Congress a forceful group that dominated the Indian independence
movement. Although its members were predominantly Hindu, it had
members from other religions, economic classes, and ethnic and
linguistic groups.
In 1929, under the presidency of Jawaharlal Nehru, the Congress

declared complete independence as the party's goal. In the winter of
1936-37, the British government allowed provincial elections in India
that were held in eleven provinces. The Congress gained power in
eight of the provinces. However, in 1939, the V iceroy Linlithgow
declared India's entrance into World War II without consulting
provincial governments. In protest, the Congress asked all elected
representatives to resign from the government. In 1943 Azad Hind,
an Indian provisional government, was established in Singapore and
supported by Japan. In 1946, Indian soldiers who had fought
alongside the Japanese during World War II were tried by the British
in the Indian National Army trials. In response, the Congress helped
to form the INA Defense Committee, which assembled a legal team
to defend the case of the soldiers of the Azad Hind government. The
team included several famous lawyers, including Bhulabhai Desai,
Asaf Ali, and Jawaharlal Nehru.
Gandhi and Nehru in 1942
Nehru emerged as the paramount leader of the Indian independence
movement under the tutelage of Mahatma Gandhi and ruled India
from its establishment as an independent nation in 1947 until his
death in 1964. He is considered to be the architect of the modern
Indian nation-state: a sovereign, socialist, secular, and democratic
republic.
Post-Independence Congress
After Indian independence in 1947, the Indian National Congress
became the dominant political party in the country. In 1952, in the
first general election held after independence, the party swept to
power in the national parliament and most state legislatures. It held
power nationally until 1977. It returned to power in 1980 and ruled
until 1989, when it was once again defeated. It formed the
government in 1991 at the head of a coalition as well as in 2004 and
2009, when it led the United Progressive Alliance. During this period,
the Congress remained center-left in its social policies while steadily
shifting from a socialist to a neoliberal economic outlook. The Party's
rivals at state level have been national parties the Bharatiya Janata
Party (BJP), the Communist Party of India (Marxist) (CPM), and
various regional parties.
From 1951 until his death in 1964, Jawaharlal Nehru was the
Congress's paramount leader under the tutelage of Mahatma
Gandhi. During his tenure, Nehru implemented policies based on
import substitution industrialization and advocated a mixed economy,
where the government-controlled public sector co-existed with the
private sector. He believed the establishment of basic and heavy
industries was fundamental to the development and modernization of
the Indian economy. The Nehru government directed investment
primarily into key public sector industries – steel, iron, coal, and
power – promoting their development with subsidies and
protectionist policies. Nehru embraced secularism, socialistic
economic practices based on state-driven industrialization, and a
non-aligned and non-confrontational foreign policy that became
typical of the modern Congress Party. The policy of non-alignment
during the Cold War meant Nehru received financial and technical
support from both the Eastern Bloc and the Western Bloc to build
India's industrial base.
After Nehru's death, no leader except Lal Bahadur Shastri had his
popular appeal. Shastri retained many members of Nehru's Council
of Ministers and appointed Indira Gandhi (no relation to Mahatma
Gandhi), Jawaharlal Nehru's daughter and former Congress
President, Minister of Information and Broadcasting. Shastri died in
1966, reportedly of a heart attack but the circumstances of his death
remain mysterious. After Shastri's death, the Congress elected Indira
Gandhi as leader.
In the parliamentary elections held in 1971, the Gandhi-led

Congress won a landslide victory on a platform of progressive
policies such as the elimination of poverty. However, from 1975,
Gandhi's government grew increasingly more authoritarian and
unrest among the opposition grew. In 1975, the High Court of
Allahabad declared Indira Gandhi's election to the Lok Sabha, the
lower house of India's parliament, void on the grounds of electoral
malpractice. Gandhi rejected calls to resign and announced plans to
appeal to the Supreme Court. She moved to restore order by
ordering the arrest of most of the opposition participating in the
unrest. In response to increasing disorder, Gandhi's cabinet and
government recommended that President Fakhruddin Ali Ahmed
declare a state of emergency. During the 19-month emergency,
widespread oppression and abuse of power by Gandhi's unelected
younger son and political heir Sanjay Gandhi and his close
associates occurred. This period of political oppression ended in
1977, when Gandhi released all political prisoners and called fresh
elections to the Lok Sabha. The opposition Janata Party won a
landslide victory over the Congress.
Indira Gandhi, second-longest-serving
Prime Minister of India and the only
woman to hold the office
Gandhi served as her father's personal assistant and hostess during
his tenure as prime minister between 1947 and 1964. She was
elected Congress President in 1959. Upon her father's death in
1964, Gandhi refused to enter the Congress party leadership contest
and instead chose to become a cabinet minister in the government
led by Lal Bahadur Shastri. In the Congress Party's parliamentary
leadership election held in early 1966, upon the death of Shastri, she
succeeded Shastri as Prime Minister of India.
In 1978, Ghandi and her followers seceded and formed a new

opposition party, popularly called Congress (I)—the I signifying
Indira. During the next year, her new party attracted enough
members of the legislature to become the official opposition. In the
same year, Gandhi regained a parliamentary seat. In 1980, following
a landslide victory for the Congress (I), she was again elected prime
minister. The national election commission declared Congress (I) to
be the real Indian National Congress for 1984 general election and
the designation I was dropped. As prime minister, Gandhi became
known for her political ruthlessness and unprecedented
centralization of power. In 1984, two of Gandhi's bodyguards,
Satwant Singh and Beant Singh, shot her with their service weapons
in the garden of the prime minister's residence.
In 1984, Indira Gandhi's son Rajiv Gandhi became nominal head of

the Congress and became prime minister upon her assassination,
leading the Congress to a landslide victory. His administration took
measures to reform the government bureaucracy and liberalize the
country's economy. After his government became embroiled in
several financial scandals, however, his leadership became
increasingly ineffectual, although Gandhi was regarded as a non-
abrasive person who consulted other party members and refrained
from hasty decisions. In 1991, Gandhi was killed by a bomb
concealed in a basket of flowers carried by a woman associated with
the Tamil Tigers.
Rajiv Gandhi was succeeded as party leader by P. V . Narasimha

Rao, who was elected prime minister in 1991. His administration
oversaw a major economic change and several home incidents that
affected India's national security. Rao, who held the Industries
portfolio, is often referred to as the "father of Indian economic
reforms." By 1996, the party's image was suffering from allegations
of corruption and in elections that year the Congress was reduced to
140 seats, its lowest number in the Lok Sabha to that point,
becoming parliament's second largest party. Rao later resigned as
prime minister and as party president. He was succeeded as
president by Sitaram Kesri, the party's first non-Brahmin leader.
Congress Today
In the 1998 general election, the Congress did not regain its leading
position. To boost its popularity and improve its performance in the
forthcoming election, Congress leaders urged Sonia Gandhi – widow
of Rajiv Gandhi – to assume the leadership of the party. She had
previously declined offers to become actively involved in party affairs
and stayed away from politics. After her election as party leader, a
section of the party that objected to the choice because of her Italian
origins broke away and formed the Nationalist Congress Party
(NCP), led by Sharad Pawar. Sonia Gandhi remains the leader of the
Congress, highlighting the long Indian tradition of politics as a
dynastic affair.
27 .3.7 : Calls for Independence

The Indian independence movement, which achieved its goal in
1947, was one of many independence struggles that intensified after
World War II across Asia and Africa.
Learning Objective
Connect calls for independence in India to worldwide movements for
independence
Key Points
The decades following the Indian Rebellion of 1857 were a
period of growing political awareness, manifestation of Indian
public opinion, and emergence of Indian leadership at both
national and provincial levels. Members of the upwardly mobile
and successful western-educated elites established
organizations that aimed to ensure that they would gain
influence in Indian politics but were not focused on the question
of Indian independence.
By 1900, although the Indian National Congress, the leading
independence movement organization, emerged as an all-India
political organization, its achievement was undermined by its
failure to attract Muslims. In response, the All India Muslim
League was founded to secure the interests of the Muslim
diaspora in British India. In the 1940s, the League played a
decisive role during the 1940s in the Indian self-rule movement
and developed into the driving nationalist force that led to the
creation of Pakistan in the Indian subcontinent.
The early part of the 20th century saw a more radical approach
towards political self-rule (swaraj) propagated by increasingly
influential Mahatma Gandhi. From the 1920s, the Congress
adopted Gandhi's policy of nonviolence and civil resistance and
Muhammad Ali Jinnah focused on constitutional struggle for the
rights of minorities in India. Some activists preached armed
revolution, literary professionals used texts as a tool for political
awareness, feminists promoted the emancipation of Indian
women, and some groups championed the cause of the
disadvantaged sections of Indian society. The work of these
various movements led ultimately to the Indian Independence
Act 1947, which ended the suzerainty in India and the creation
of Pakistan.
In the aftermath of World War II, European colonies, controlling
more than one billion people throughout the world, still ruled
most of the Middle East, southeast Asia, Africa, and until 1947
the Indian subcontinent. Independence movements emerged
across Africa and in regions of Asia that remained under the
European control. They often referred to the 1941 Atlantic
Charter and applied a number of strategies, both militant and
based on the civil disobedience model.
New modernizing forms of African nationalism gained strength
in the early 20th-century with the emergence of Pan-Africanism.
By the 1930s, the colonial powers in Africa had cultivated,
sometimes inadvertently, a small elite group of leaders who
advocated the idea of self-determination. The struggle
culminated in 1960, known today as the Year of Africa, when the
number of independent countries rose from nine to 26 and
African nations were recognized as a force to be reckoned with
on the international arena. Many colonies continued to fight for
their independence throughout the 1960s and 1970s.
In Asia, the image of European pre-eminence was shattered by
the wartime Japanese occupations of large portions of British,
French, and Dutch territories in the Pacific. The destabilization
of European rule led to the rapid growth of nationalist
movements, and nearly all Asian colonies gained independence
in the aftermath of World War II, sometimes as a result of violent
conflicts.
Key Terms
Indian National Congress
One of two major political parties in India, founded in 1885

during the British Raj. In the late 19th and early to mid-20th
centuries, it became a pivotal participant in the Indian
independence movement, with over 15 million members and
over 70 million participants in its opposition to British colonial
rule in India.
swaraj
A Hindi term that means generally self- governance or self- rule

and was used to refer to Gandhi's concept for Indian
independence from foreign domination. It put stress on
governance not by a hierarchical government, but through
individual self-governance and community building focused on
political decentralization.
Quit India Movement
A civil disobedience movement launched in Bombay by

Mahatma Gandhi on August 8, 1942, during World War II,
demanding an end to British Rule of India. Gandhi made a call
to do or die in a speech delivered in Bombay at the Gowalia
Tank Maidan. The All-India Congress Committee launched a
mass protest demanding what Gandhi called "An Orderly British
Withdrawal" from India. Almost the entire leadership of the
Indian National Congress was imprisoned without trial within
hours of Gandhi's speech.
Pan-Africanism
A worldwide intellectual movement to encourage and strengthen

bonds of solidarity between all people of African descent. Based
upon a common fate going back to the Atlantic slave trade, the
movement extends beyond continental Africans, with a
substantial support base among the African diaspora in the
Caribbean and the United States. It is based on the belief that
unity is vital to economic, social, and political progress and aims
to "unify and uplift" people of African descent.
Atlantic Charter
A pivotal policy statement issued in 1941 that defined the Allied

goals for the post-war world. The leaders of the United
Kingdom and the United States drafted the work and the Allies
of World War II later confirmed it. The document stated the ideal
goals of the war: no territorial aggrandizement; no territorial
changes against the wishes of the people; right to self-
determination; restoration of self-government to those deprived
of it; reduction of trade restrictions; global cooperation to secure
better economic and social conditions for all; freedom from fear
and want; freedom of the seas; and abandonment of the use of
force, as well as disarmament of aggressor nations.
Indian Civil Service
The elite higher civil service of the British Empire in British

India during British rule in the period between 1858 and 1947.
Year of Africa
A term used to refer to 1960 because of the independence of 17

African nations that took place that year, highlighting the
growing Pan-African sentiments in the continent. The year
brought about the culmination of African independence
movements and the subsequent emergence of Africa as a major
force in the United Nations.
All India Muslim League
A political party established during the early years of the 20th

century in the British Indian Empire. Its strong advocacy for the
establishment of a separate Muslim-majority nation-state,
Pakistan, successfully led to the partition of British India in 1947
by the British Empire.
Indian Independence Movement

The decades following the Indian Rebellion of 1857 were a period of
growing political awareness, manifestation of Indian public opinion,
and emergence of Indian leadership at both national and provincial
levels. Members of the upwardly mobile and successful western-
educated elites, engaged in professions such as law, teaching, and
journalism, established organizations to ensure they would gain
influence in Indian politics (e.g., East India Association in 1867,
Indian National Association in 1876, the Indian National Congress in
1885). Despite their claims to represent all India, these organizations
initially voiced the interests of urban elites, and the number of
participants from other social and economic backgrounds remained
negligible.
This new middle class of educated professionals, although spread

thinly across the country, expressed the growing sense of solidarity,
empowerment, and discontent with the British rule, fueled by
success in education and accordant benefits, including employment
in the Indian Civil Service. Many Indians were especially encouraged
when Canada was granted dominion status in 1867 and established
an autonomous democratic constitution. Furthermore, the work of
contemporaneous scholars like Monier Monier-Williams and Max
Mü ller, who presented ancient India as a great civilization,
contributed to the growing feeling of national pride. Discontent, on
the other hand, came not just from policies of racial discrimination at
the hands of the British in India, but also from specific government
actions like the use of Indian troops in imperial campaigns (e.g. in
the Second Anglo-Afghan War) and the attempts to control the
vernacular press.
V iceroy Lord Ripon's partial reversal of the Ilbert Bill (1883), a

legislative measure that proposed putting Indian judges in the
Bengal Presidency on equal footing with British ones, that
transformed the discontent into political action. The event contributed
to the establishment of the Indian National Congress, the single most
influential organization of the Indian independence movement.
During its first twenty years, Congress primarily debated British
policy toward India. However, its debates created a new outlook that
held Great Britain responsible for draining India of its wealth. Britain
did this, the nationalists claimed, by unfair trade, restraint on
indigenous Indian industry, and using Indian taxes to pay the high
salaries of the British civil servants in India.
By 1900, although the Congress had emerged as an all-India

political organization, its achievement was undermined by its
singular failure to attract Muslims, who felt that their representation in
government service was inadequate. In response, the All India
Muslim League was founded in 1906. In 1916, the League's leader,
Muhammad Ali Jinnah, joined the Indian National Congress. Like
most of the Congress at the time, Jinnah did not favor outright self-
rule, considering British influences on education, law, culture, and
industry as beneficial to India. To secure the interests of the Muslim
diaspora in British India, the League eventually played a decisive
role during the 1940s in the Indian self-rule movement and
developed into the driving nationalist force that led to the creation of
Pakistan in the Indian subcontinent.
The nationalistic sentiments among Congress members led the

movement to be represented in the bodies of government and the
legislation and administration of India. Congressmen saw
themselves as loyalists, but wanted an active role in governing their
own country, albeit as part of the Empire. However, the early part of
the 20th century saw a more radical approach towards political self-
rule (swaraj ) propagated by increasingly influential Mahatma Gandhi.
Swaraj put stress on governance not by a hierarchical government,
but by individuals and community building. The focus was on political
decentralization. Since this was against the political and social
systems followed by Britain, swaraj advocated India's discarding
British political, economic, bureaucratic, legal, military, and
educational institutions.
Demonstration against the British rule

in India, c. 1930s
By 1929, in the midst of rising political discontent and increasingly
violent regional movements, the call for complete sovereignty and
end of British rule began to find increasing grounds within the
Congress leadership. Under the presidency of Jawaharlal Nehru at
his historic Lahore session in December 1929, the Indian National
Congress adopted a resolution calling for complete self-rule and end
of British rule.
The last stages of the self-rule struggle from the 1920s saw the
Congress adopt Gandhi's policy of nonviolence and civil resistance,
Muhammad Ali Jinnah's constitutional struggle for the rights of
minorities in India, and several other campaigns. Some activists
preached armed revolution to achieve self-rule. Poets and writers
used literature, poetry, and speech as toolS for political awareness.
Feminists promoted the emancipation of Indian women and their
participation in national politics. Others championed the cause of the
disadvantaged sections of Indian society within the larger self-rule
movement. The period of the Second World War saw the peak of the
campaigns by the Quit India Movement, which demanded what
Gandhi called "an orderly British withdrawal" from India, and the
Indian National Army movement - an armed force formed by Indian
nationalists in 1942 in Southeast Asia that fought against the British.
The work of these movements led ultimately to the Indian
Independence Act 1947, which ended the suzerainty in India and the
creation of Pakistan. India remained a Dominion of the Crown until
1950, when the Constitution of India came into force, establishing
the Republic of India. Pakistan was a dominion until 1956, when it
adopted its first republican constitution. In 1971, East Pakistan
declared independence as the People's Republic of Bangladesh.
Decoloniz ation as Global

Struggle
The independence struggle of India was only one of many that
succeeded in the post-World War II era. In the aftermath of World
War II, European colonies, controlling more than one billion people
throughout the world, still ruled most of the Middle East, southeast
Asia, Africa, and until 1947 the Indian subcontinent. Independence
movements applying a number of different strategies, both militant
and based on the civil disobedience model, emerged across the
African continent and in regions of Asia that remained under the
European control.
In Africa, Britain, and France had the largest holdings, but Germany,
Spain, Italy, Belgium, and Portugal also had colonies. As a result of
colonialism and imperialism, a majority of Africa lost sovereignty and
control of precious natural resources. By the 1930s, the colonial
powers had cultivated, sometimes inadvertently, a small elite of
leaders educated in Western universities and advocated the idea of
self-determination. These leaders came to lead the struggles for
independence and included leading nationalists such as Jomo
Kenyatta (Kenya), Kwame Nkrumah (Gold Coast, now Ghana),
Julius Nyerere (Tanganyika, now Tanzania), Lé opold Sé dar Senghor
(Senegal), Nnamdi Azikiwe (Nigeria), and Fé lix Houphouë t-Boigny
(Cô te d'Ivoire).
In the northeast the continued independence of the Empire of

Ethiopia remained a beacon of hope to pro-independence activists.
However, with the anti-colonial wars of the 1900s barely over,
modern forms of African nationalism gained strength in the early
20th-century with the emergence of Pan-Africanism. This worldwide
intellectual movement aims to encourage and strengthen bonds of
solidarity between all people of African descent. It was based on the
belief that unity is vital to economic, social, and political progress and
aims to "unify and uplift" people of African descent. Modern Pan-
Africanism began around the start of the 20th century. The African
Association, later renamed the Pan-African Association, was
established around 1897 by Henry Sylvester-Williams, who
organized the First Pan-African Conference in London in 1900.
The red, black, and green Pan-African
flag designed by the Universal Negro
Improvement Association in 1920
V ariations of the flag have been used in various countries and
territories in Africa and the Americas to represent Pan-Africanist
ideologies. Among these are the flags of Malawi, Kenya, and Saint
Kitts and Nevis. Several Pan-African organizations and movements
have often employed the emblematic red, black, and green tri-color
scheme in variety of contexts. Additionally, the flags of a number of
nations in Africa and of Pan-African groups use green, yellow, and
red. This color combination was originally adopted from the 1897 flag
of Ethiopia and was inspired by the fact that Ethiopia is the
continent's oldest independent nation.
In 1941, United States President Franklin D. Roosevelt and British

Prime Minister Winston Churchill met to discuss the postwar world,
resulting in the Atlantic Charter. It was not a treaty and was not
submitted to the British Parliament or the Senate of the United
States for ratification, but became a very influential document.
Among the principal points of the Charter were post-war territorial
adjustments to be decided in accord with the wishes of the peoples
concerned and the statement that all people had a right to self-
determination. While Churchill rejected its universal applicability
when it came to the self-determination of subject nations, after World
War II, the U.S. and the African colonies put pressure on Britain to
abide by the terms of the Atlantic Charter.
In Asia, the image of European pre-eminence was shattered by the

wartime Japanese occupations of large portions of British, French,
and Dutch territories in the Pacific. The destabilization of European
rule led to the rapid growth of nationalist movements—especially in
Indonesia, Malaya, Burma, and French Indochina. In the Philippines,
the U.S. remained committed to its previous pledges to grant the
islands their independence, and the Philippines became the first of
the Western-controlled Asian colonies to become independent post-
World War II. However, the Philippines remained under pressure to
adopt a political and economic system similar to their old imperial
master. A year after India gained its independence, the exhausted
British granted independence to Burma and Ceylon. In the Middle
East, Britain granted independence to Jordan in 1946 and two years
later ended its mandate of Palestine. Following the end of the war,
nationalists in Indonesia demanded complete independence from the
Netherlands. A brutal conflict ensued and in 1949, through United
Nations mediation, the Dutch East Indies achieved independence,
becoming the new nation of Indonesia. France granted the State of
V ietnam based in Saigon independence in 1949 whilst Laos and
Cambodia received independence in 1953.
In Africa, the struggle culminated in 1960, known today as the Year

of Africa, when the number of independent countries rose from nine
(with population 95 million) to 26 (population 180 million), gaining
their independence from Belgium, France, and the United Kingdom.
The Year of Africa altered the symbolic status of Africans worldwide
by forcing the world to recognize the existence of African nations on
the international arena. It marked the beginning of a new, more
Afrocentric era in African studies and it was a major boost for African
Americans, who were engaged in a civil rights strife within their own
country. The struggle of independence in Africa, however, did not
end but was fueled by the events of 1960 as many colonies
continued to fight for their independence throughout the 1960s and
1970s.
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27 .4: Indochina
27 .4.1: Pre-French Indochina
The diverse cultures of what would eventually become French
Indochina traced their roots to pre-modern kingdoms and empires.
For centuries this area was shaped by numerous influences, most
notably the expansive trade and political contacts of South and East
Asia.
Learning Objective
Describe the cultures of Indochina before French colonialism
Key Points
In the pre-modern era, significant parts of the region that would
later become French Indochina belonged to what was known as
Greater India. The kingdoms that belonged to Greater India and
eventually overlapped with what would become French
Indochina were Funan and its successor Chenla, Champa, and
the Khmer Empire.
Champa controlled what is now south and central V ietnam since
approximately 192 CE. The dominant religion was Hinduism and
the culture was heavily influenced by India. Between the 3rd and
the 5th centuries, Funan and its successor, Chenla, coalesced
in present-day Cambodia and southwestern V ietnam. For more
than 2,000 years, what was to become Cambodia absorbed
influences from India. The Khmer Empire, with the capital city in
Angkor, grew out of the remnants of Chenla, becoming firmly
established in 802.
After a long series of wars with neighboring kingdoms, Angkor
was sacked by the Ayutthaya Kingdom and abandoned in 1432.
The period that followed is today known as the Dark Ages of
Cambodia, the historical era from the early 15th century to 1863.
In the 19th century a renewed struggle between Siam and
V ietnam for control of Cambodia resulted in the Siamese–
V ietnamese War (1841–1845) that placed the country under
joint suzerainty.
Laos traces its history to the kingdom of Lan X ang (Million
Elephants), founded in the 14th century by Lao prince Fa Ngum.
Ngum made Theravada Buddhism the state religion. Within 20
years of its formation, the kingdom expanded eastward to
Champa and along the Annamite mountains in V ietnam. In
1421, Lan X ang collapsed into warring factions for the next 100
years. In the 17th century, Lan X ang would further expand its
frontiers and in today's Laos, this period is often regarded as the
country's golden age.
In the 18th century, Burmese armies overran northern Laos and
annexed Luang Phrabang, while Champasak eventually came
under Siamese suzerainty. Chao Anouvong was installed as a
vassal king of V ientiane by the Siamese. Under V ietnamese
pressure, he rebelled against the Siamese in 1826. The
rebellion failed and V ientiane was ransacked.
In 938, the V ietnamese lord Ngo Quyen defeated the forces of
the Chinese Southern Han state and achieved full
independence for V ietnam after a millennium of Chinese
domination. Renamed as Dai V iet (Great V iet), the state enjoyed
a golden era between the 11th and the beginning of the 15th
centuries. Between the 11th and 18th centuries, V ietnam
expanded southward, eventually conquering the kingdom of
Champa and part of the Khmer Empire. Internal conflicts
between local lords divided the country that eventually fell under
the French rule.
Key Terms
Indochina
A geographical term originating in the early 19th century and
referring to the continental portion of the region now known as
Southeast Asia. The name refers to the lands historically within
the cultural influence of India and China and physically bound by
India in the west and China in the north. It corresponds to the
present-day areas of Myanmar, Thailand, Laos, Cambodia,
V ietnam, and (variably) peninsular Malaysia. The term was later
adopted as the name of the French colony of today's V ietnam,
Cambodia, and Laos.
Greater India
A term most commonly used to encompass the historical and

geographic extent of all political entities of the Indian
subcontinent and beyond. To varying degrees, these entities
were transformed by the acceptance and induction of cultural
and institutional elements of pre-Islamic India.
Dark Ages of Cambodia
The historical era from the early 15th century to 1863, the year
that marks the beginning of the French Protectorate of
Cambodia. As reliable sources for the 15th and 16th century in
particular are very rare, a fully defensible and conclusive
explanation for the decline of the Khmer Empire, recognized
unanimously by the scientific community, has so far not been
produced.
Indochina
Indochina, originally Indo-China, is a geographical term originating in
the early 19th century for the continental portion of the region now
known as Southeast Asia. The name refers to the lands historically
within the cultural influence of India and China and physically bound
by India in the west and China in the north. It corresponds to the
present-day areas of Myanmar, Thailand, Laos, Cambodia, V ietnam,
and (variably) peninsular Malaysia. The term was later adopted as
the name of the colony of French Indochina (today's V ietnam,
Cambodia, and Laos), and the entire area of Indochina is now
usually referred to as the Indochinese Peninsula or Mainland
Southeast Asia.
An 18 8 6 map of Indochina, S cottish
Geograp hical Magazine ( V ol. II) edited
by Hugh A. W ebster and Arthur Silva
W hite.
The origins of the name Indo-China are usually attributed jointly to
the Danish-French geographer Conrad Malte-Brun, who referred to
the area as indo- chinois in 1804, and the Scottish linguist John
Leyden, who used the term I ndo- Chinese to describe the area's
inhabitants and their languages in 1808. As the French established
the colony of French Indochina, use of the term became restricted to
the French colony and today the area is usually referred to as
Mainland Southeast Asia.
Greater India
In the pre-modern era, significant parts of the region that would later
become French Indochina belonged to what is known as Greater
India. Although the term is not precise, Greater India is most
commonly used to encompass the historical and geographic extent
of all political entities of the Indian subcontinent and beyond that had
to varying degrees been transformed by the acceptance and
induction of cultural and institutional elements of pre-Islamic India.
Since around 500 B.C. Asia's expanding land and maritime
trade resulted in prolonged socioeconomic and cultural stimulation
and diffusion of Hindu and Buddhist beliefs into regional cosmology,
particularly in Southeast Asia and Sri Lanka. The kingdoms that
belonged to Greater India and eventually overlapped with what
would become French Indochina were Funan and its successor
Chenla, Champa, and the Khmer Empire.
Champa controlled what is now south and central V ietnam since

approximately 192 CE. The dominant religion was Hinduism and the
culture was heavily influenced by India. By the late 15th century, the
V ietnamese—descendants of the Sinic civilization sphere—
conquered the last remaining territories of the once powerful
maritime kingdom of Champa. The last surviving Chams began their
diaspora in 1471, many resettling in Khmer territory.
Between the 3rd and the 5th centuries, Funan and its successor,
Chenla, coalesced in present-day Cambodia and southwestern
V ietnam. For more than 2,000 years, what was to become Cambodia
absorbed influences from India, passing them on to other Southeast
Asian civilizations that are now Thailand and Laos. The Khmer
Empire, with the capital city in Angkor, grew out of the remnants of
Chenla, firmly established in 802 when Jayavarman II declared
independence from Java. He and his followers instituted the cult of
the God-king and began a series of conquests that formed an
empire, which flourished in the area from the 9th to the 15th
centuries. Around the 13th century, monks from Sri Lanka introduced
Theravada Buddhism to Southeast Asia. The religion spread and
eventually displaced Hinduism and Mahayana Buddhism as the
popular religion of Angkor.
After a long series of wars with neighboring kingdoms, Angkor was

sacked by the Ayutthaya Kingdom and abandoned in 1432 because
of ecological failure and infrastructure breakdown. This led to a
period of economic, social, and cultural stagnation when the
kingdom's internal affairs came increasingly under the control of its
neighbors. The period that followed is today known as the Dark Ages
of Cambodia: the historical era from the early 15th century to 1863,
the year that marks the beginning of the French Protectorate of
Cambodia. As reliable sources from this period are very rare, a fully
defensible and conclusive explanation for the decline of the Khmer
Empire, recognized unanimously by the scientific community, has so
far not been produced.
In the 19th century a renewed struggle between Siam and V ietnam

for control of Cambodia resulted in a period when V ietnamese
officials attempted to force the Khmers to adopt V ietnamese
customs. This led to several rebellions against the V ietnamese and
appeals to Thailand for assistance. The Siamese-V ietnamese War
(1841–1845) ended with an agreement to place the country under
joint suzerainty. This later led to the signing of a treaty for French
Protection of Cambodia by King Norodom Prohmborirak.
Angkor W at, the front side of the main
complex , photo by Bjø rn Christian
Tø rrissen.
Angkor was the capital city of Khmer Empire, which flourished from
approximately the 9th to 15th centuries. It was a megacity supporting
at least 0.1% of the global population during 1010-1220. The city
houses the magnificent Angkor Wat, one of Cambodia's popular
tourist attractions. In 2007, an international team of researchers
using satellite photographs and other modern techniques concluded
that Angkor had been the largest pre-industrial city in the world.
Lan X ang
Laos traces its history to the kingdom of Lan X ang (Million
Elephants), founded in the 14th century by Lao prince Fa Ngum, who
with 10,000 Khmer troops took over V ientiane. Ngum made
Theravada Buddhism the state religion. Within 20 years of its
formation, the kingdom expanded eastward to Champa and along
the Annamite mountains in V ietnam. Following the exile of Ngum,
his eldest son, Oun Heuan, came to the throne under the name
Samsenthai and reigned for 43 years. During his reign, Lan X ang
became an important trade center. After his death in 1421, Lan X ang
collapsed into warring factions for the next 100 years.
In the 17th century, Lan X ang would further expand its frontiers and
in today's history of Laos, this period is often regarded as the
country's golden age. In the 18th century, Burmese armies overran
northern Laos and annexed Luang Phrabang, while Champasak
eventually came under Siamese suzerainty. Chao Anouvong was
installed as a vassal king of V ientiane by the Siamese. He
encouraged a renaissance of Lao fine arts and literature. Under
V ietnamese pressure, he rebelled against the Siamese in 1826. The
rebellion failed and V ientiane was ransacked. Anouvong was taken
to Bangkok as a prisoner, where he died.
Lan X ang had ethnic diversity from trade and overland ethnic
migrations. The multiple hill tribe peoples were grouped into the
broad cultural categories of Lao Theung (which included most
indigenous groups and the Mon-Khmer) and Lao Sung. The Lao
Loum were ethnically dominant and there were several closely
related Tai groups. Perhaps because of the complicated ethnic
diversity of Lan X ang, the structure of society was fairly
straightforward, especially in comparison to the Khmer with their
complex caste system and concepts of a divine kingship or devaraj a.
Dynastic V ietnam
In 938, the V ietnamese lord Ngo Quyen defeated the forces of the
Chinese Southern Han state and achieved full independence for
V ietnam after a millennium of Chinese domination. Renamed as Dai
V iet (Great V iet), the state enjoyed a golden era between the 11th
and the beginning of the 15th centuries. Buddhism flourished and
became the state religion. In the 15th century, V ietnamese
independence was briefly interrupted by the Chinese Ming dynasty,
but was restored by Le Loi, the founder of the Le dynasty. The
V ietnamese dynasties reached their zenith in the Le dynasty of the
15th century. Between the 11th and 18th centuries, V ietnam
expanded southward, eventually conquering the kingdom of Champa
and part of the Khmer Empire. From the 16th century, civil strife and
frequent political infighting engulfed much of V ietnam. Although the
state remained nominally under the Le dynasty, actual power was
divided between the northern Trinh lords and the southern Nguyen
lords, who engaged in a civil war for more than four decades before
a truce was called in the 1670s. During this time, the Nguyen
expanded southern V ietnam into the Mekong Delta, annexing the
Central Highlands and the Khmer lands there.
The division of the country ended a century later when the Tay Son
brothers established a new dynasty. However, their rule did not last
long, and they were defeated by the remnants of the Nguyen lords
aided by the French, who soon took over the region.
27 .4.2: The French Protectorate in

Indochina
To ensure their presence in Southeast Asia, the French used the
pretext of anti-Catholic persecution in V ietnam to take advantage of
the internal weaknesses of Cambodia and Laos, establishing a
colony with the predominant goal of economic exploitation.
Learning Objective
Analyze the French reasons for establishing a protectorate in
Indochina
Key Points
The French were determined to establish their presence in
Southeast Asia and used religious persecution as pretext for
intervention. In 1857, the V ietnamese emperor Tu Duc executed
two Spanish Catholic missionaries. It was not the first incident of
this nature but this time, it coincided with the Second Opium
War. France and Britain had just dispatched a joint military
expedition to the Far East, so the French had troops on hand
and could easily intervene in Annam.
In 1858, a joint French and Spanish expedition landed at
Tourane (Da Nang) and captured the town. What began as a
limited punitive campaign known as Cochincina Campaign
ended as a French war of conquest. By 1884, the entire country
gradually came under French rule. Cochichina, Annam, and
Tonkin were formally integrated into the union of French
Indochina in 1887.
During the 19th century, the kingdom of Cambodia was reduced
to a vassal state of the kingdom of Siam. In 1863, King
Norodom of Cambodia, installed as a leader by Siam, requested
a French protectorate over his kingdom. In 1867,
Siam renounced suzerainty over Cambodia and officially
recognized the 1863 French protectorate on Cambodia. Under
the treaty with the French, the Cambodian monarchy was
allowed to remain, but power was largely vested in a resident
general to be housed in Phnom Penh.
After the acquirement of Cambodia in 1863, French explorers
went on several expeditions along the Mekong River to find
possible trade relations for the territories of French Cambodia
and Cochinchina to the south. In 1885, a French consulate was
established in Luang Prabang, which along with the province of
V ientiane was a vassal kingdom to Siam. Following French
intervention in a conflict between Chinese forces and Siam, King
Oun Kham, who had received support from the French,
requested a French protectorate over his kingdom. Luang
Prabang became a protectorate of France in 1889.
In 1893, France went to war with Siam. The kingdom was
quickly forced to recognize French control over the eastern side
of the Mekong River. Pavie continued to support French
expeditions in Laotian territory and gave the territory its modern-
day name of Laos. Following Siam's acceptance of the
ultimatum to cede the lands east of the Mekong including its
islands, the Protectorate of Laos was officially established and
the administrative capital moved from Luang Prabang to
V ientiane.
On paper, Cochinchina was the only region of French Indochina
with direct rule, but the differences between direct and indirect
rule were purely theoretical and political interference was
equally intrusive across the entire area. The French adopted a
policy of assimilation rather than association. However, their
settlement in Indochina did not occur at a grand scale as French
Indochina was seen as a colonie d'exploitation
é conomique (economic colony) rather than a colonie de
peuplement (settlement colony).
Key Terms
Cochincina Campaign
An 1858–1862 military campaign fought between the French

and Spanish on one side and the V ietnamese on the other. It
began as a limited punitive campaign and ended as a French
war of conquest. The war concluded with the establishment of
the French colony of Cochinchina, a development that
inaugurated nearly a century of French colonial dominance in
V ietnam.
French Indochina
A grouping of French colonial territories in Southeast Asia

consisting of three V ietnamese regions of Tonkin (north), Annam
(center), and Cochinchina (south), Cambodia, and Laos, with
the leased Chinese territory of Guangzhouwan added in 1898.
The capital was moved from Saigon (in Cochinchina) to Hanoi
(Tonkin) in 1902 and again to Da Lat (Annam) in 1939. In 1945 it
was moved back to Hanoi.
Background: French Imperial
Ambitions in Indochina
The French had few pretexts to justify their imperial ambitions in
Indochina. In the early years of the 19th century, some in France
believed that the V ietnamese emperor Gia Long owed the French a
favor for the help French troops had given him in 1802 against his
Tay Son enemies. However, it soon became clear that Gia Long felt
no more bound to France than he did to China, which had also
provided help. Gia Long believed that as the French government did
not honor its agreement to assist him in the civil war—the
Frenchmen who helped were volunteers and adventurers, not
government units—he was not obliged to return any favors.
V ietnamese leaders were interested in reproducing the French
strategies of fortification and in buying French cannon and rifles, but
neither Gia Long nor his successor Minh Mang had any intention of
coming under French influence.
However, the French were determined to establish their presence in

the region and it was religious persecution that they eventually used
as pretext for intervention. French missionaries had been active in
V ietnam since the 17th century and by the middle of the 19th
century, there were around 300,000 Roman Catholic converts in
Annam and Tonkin. Most of the bishops and priests were either
French or Spanish. Many in V ietnam were suspicious of this sizable
Christian community and its foreign leaders. The French, conversely,
began to claim responsibility for their safety. The tension built up
gradually. During the 1840s, persecution or harassment of Catholic
missionaries in V ietnam by the V ietnamese emperors Minh Mang
and Thieu Tri evoked only sporadic and unofficial French reprisals. In
1857, the V ietnamese emperor Tu Duc executed two Spanish
Catholic missionaries. It was neither the first nor the last such
incident and on previous occasions the French government had
overlooked them. But this time, the incident coincided with the
Second Opium War. France and Britain had just dispatched a joint
military expedition to the Far East, so the French had troops on hand
and could easily intervene in Annam.
Seiz ing Control

In 1858, a joint French and Spanish expedition landed at Tourane
(Da Nang) and captured the town. What began as a limited punitive
campaign, known as Cochincina Campaign, ended as a French war
of conquest. Sailing south, French troops captured the poorly
defended city of Saigon in 1859. In 1862, the V ietnamese
government was forced to cede three additional provinces and
Emperor Tu Duc was forced to cede three treaty ports in Annam and
Tonkin as well as all of Cochinchina, the latter formally declared a
French territory in 1864. In 1867, three other provinces were added
to French-controlled territories. By 1884, the entire country had come
under French rule, with the central and northern parts of V ietnam
separated in the two protectorates of Annam and Tonkin. The three
V ietnamese entities were formally integrated into the union of French
Indochina in 1887.
French marine infantrymen in Tonkin,
c. 18 8 4-18 8 8
French troops landed in V ietnam in 1858 and by the mid-1880s had
established a firm grip over the northern region. Nationalist
sentiments developed in the 19th century and intensified during and
after World War I, but all the uprisings and tentative efforts failed to
obtain any concessions from the French overseers.
During the 19th century, the kingdom of Cambodia had been

reduced to a vassal state of the kingdom of Siam (present-day
Thailand), which had annexed its western provinces while growing
influence from the V ietnamese Nguyen Dynasty threatened the
eastern portion of the country. In 1863, King Norodom of Cambodia,
installed as a leader by Siam, requested a French protectorate over
his kingdom. At the time, Pierre-Paul de La Grandiè re, colonial
governor of Cochinchina, was carrying out plans to expand French
rule over the whole of V ietnam and viewed Cambodia as a buffer
between French possessions in V ietnam and Siam. The country
gradually fell under the French control. In 1867, Siam renounced
suzerainty over Cambodia and officially recognized the 1863 French
protectorate on Cambodia in exchange for the control of
Battambang and Siem Reap provinces, which officially became part
of Thailand. These provinces were ceded back to Cambodia by a
border treaty between France and Siam in the first decade of the
20th century. Under the treaty with the French, the Cambodian
monarchy was allowed to remain, but power was largely vested in a
resident general to be housed in Phnom Penh. France was also to
be in charge of Cambodia's foreign and trade relations and provide
military protection.
After the acquisition of Cambodia in 1863, French explorers went on

several expeditions along the Mekong River to find possible trade
relations for the territories of French Cambodia and Cochinchina to
the south. In 1885, a French consulate was established in Luang
Prabang, which along with the province of V ientiane was a vassal
kingdom to Siam. Siam soon feared that France was planning to
annex Luang Prabang and signed a treaty with them in 1886 that
recognized Siam's suzerainty over the Lao kingdoms. By the end of
1886, however, Auguste Pavie was named vice-consul to Luang
Prabang and was in charge of expeditions occurring in Laotian
territory, with the possibility of turning Laos into a French territory.
Following French intervention in a conflict between Chinese forces
and Siam, King Oun Kham of Luang Prabang who had received
support from the French, requested a French protectorate over his
kingdom. Luang Prabang became a protectorate of France in 1889.
In 1893, France went to war with Siam. The kingdom was quickly
forced to recognize French control over the eastern side of the
Mekong River. Pavie continued to support French expeditions in
Laotian territory and gave the territory its modern-day name of Laos.
Following Siam's acceptance of the ultimatum to cede the lands east
of the Mekong including its islands, the Protectorate of Laos was
officially established and the administrative capital moved from
Luang Prabang to V ientiane. However, Luang Prabang remained the
seat of the royal family, whose power was reduced to figureheads,
while the actual power was transferred over to French officials.
Outcome
On paper, Cochinchina was the only region of French Indochina with
direct rule imposed, with the province legally annexed by France.
The rest of the provinces, Tonkin, Annam, Cambodia, and Laos, had
the official status of French protectorate. However, the differences
between direct and indirect rule were purely theoretical and political
interference was equally intrusive across the entire area.
Map of French Indochina from the
colonial period showing its
subdivisions, c. 1930
French Indochina was formed on October 17, 1887, from Annam,
Tonkin, Cochinchina (which together form modern V ietnam), and the
Kingdom of Cambodia. Laos was added after the Franco-Siamese
War in 1893.
The French adopted a policy of assimilation rather than association.

This allowed the colonialists to rule through native rulers while
upholding their traditional cultures and hierarchy, similar to British
rule in Malaya. However, the French chose to adopt the policy of
assimilation. French was the language of administration. The
Napoleonic Code was introduced in 1879 in the five provinces,
sweeping away the Confucianism that has existed for centuries in
Indochina.
Unlike Algeria, French settlement in Indochina did not occur at a

grand scale. By 1940, only about 34,000 French civilians lived in
French Indochina, along with a smaller number of French military
personnel and government workers. The principal reason why
French settlement did not grow in a manner similar to that of French
North Africa (which had a population of over 1 million French
civilians) was that French Indochina was seen as a colonie
d'ex ploitation é conomiq ue (economic colony) rather than a colonie
de peuplement (settlement colony).
27 .4.3: Economic and Social Impacts

of Imperialism in Indochina
As French Indochina was the colony of financial exploitation,
economic and social development in the region aimed to benefit the
French and a small group of local wealthy elites, with limited
investments to produce immediate returns rather than long-term
benefits for the local populations.
Learning Objective
Explain how French imperialism affected the people of Indochina
Key Points
The V ietnamese, Lao, and Khmer ethnic groups formed the
majority of their respective colony's populations. According to a
1913 estimate, around 95% of French Indochina's population
was rural and urbanization grew slowly over the course of
French rule. French was the principal language of education,
government, trade, and media, widespread among urban and
semi-urban populations and the elite and educated. Local
populations still largely spoke their native languages.
French Indochina was designated as a colonie
d'exploitation (colony of economic exploitation) by the French
government, but both exploitation and economic development
differed significantly across the main regions of the colony. The
economic and social policies introduced under Governor-
General Paul Doumer, who arrived in 1897, determined the
development of French Indochina.
V ietnam was to become a source of raw materials and a market
for tariff-protected goods produced by French industries.
Funding for the colonial government came from taxes on local
populations, and the French government established a near
monopoly on the trade of opium, salt, and rice alcohol. The
exploitation of natural resources for direct export was the chief
purpose of all French investments, with rice, coal, rare minerals,
and later rubber as the main products.
At the turn of the 20th century, the growing automobile industry
in France resulted in the growth of the rubber industry in French
Indochina. Plantations were built throughout the colony,
especially in Annam and Cochinchina. France soon became a
leading producer of rubber and Indochinese rubber was prized
in the industrialized world. The success of rubber plantations in
French Indochina resulted in an increase in investment in the
colony by various firms. However, because all investments
aimed to attain immediate high returns for investors, only a
small fraction of profit was reinvested.
Economically, the French did not develop Laos and Cambodia
to the scale that they did V ietnam. The colonial government's
budget originally relied largely on tax collections in Cambodia as
its main source of revenue, and Cambodians paid the highest
taxes per capita in French Indochina. As French rule
strengthened, development slowly began in Cambodia, where
rice and pepper crops allowed the economy to grow. As the
French automobile industry grew, rubber plantations like the
ones already in Cochinchina and Annam were built and run by
French investors.
Economic progress made under the French benefited the
French and the small class of the local wealthy created by the
colonial regime. The masses were deprived of economic and
social benefits. The French imposed high taxes to finance their
ambitious program of public works and recruited forced labor
from local populations without protection against exploitation in
the mines and rubber plantations.
Key Terms
French Indochina
A grouping of French colonial territories in Southeast Asia

consisting of three V ietnamese regions of Tonkin (north), Annam
(center), and Cochinchina (south), Cambodia, and Laos, with
the leased Chinese territory of Guangzhouwan added in 1898.
The capital was moved from Saigon (in Cochinchina) to Hanoi
(Tonkin) in 1902 and again to Da Lat (Annam) in 1939. In 1945 it
was moved back to Hanoi.
colony of economic exploitation
A colony conquered to exploit its natural resources and native

population. The practice contrasts with the colonies of
settlement conquered to establish a branch of the metropolis
(Motherland) and for the exploitation of its natural resources and
native population.
French Indochine Society

The V ietnamese, Lao, and Khmer ethnic groups formed the majority
of their respective colony's populations. Minority groups such as the
Muong, Tay, Chams, and Jarai were collectively known as
Montagnards and resided principally in the mountain regions of
Indochina. Ethnic Han Chinese were largely concentrated in major
cities, especially in Southern V ietnam and Cambodia where they
became heavily involved in trade and commerce. According to a
1913 estimate, 95% of French Indochina's population was rural and
urbanization grew slowly over the course of French rule. Since
French Indochina was seen as a colonie d'ex ploitation
é conomiq ue (economic colony) rather than a colonie de
peuplement (settlement colony), by 1940 only about 34,000 French
civilians lived in the region, along with a smaller number of French
military personnel and government workers.
During French colonial rule, French was the principal language of

education, government, trade, and media. It became widespread
among urban and semi-urban populations and among the elite and
educated. This was most notable in the colonies of Tonkin and
Cochinchina, where French influence was particularly prominent,
while Annam, Laos, and Cambodia were less influenced by French
education. Despite the dominance of French among the educated,
local populations still largely spoke their native languages.
A French government official and Lao
children in Luang Prabang, 18 8 7 ,
French National Library.
The French did not plan to expand the Laotian economy and
geographic isolation also led to Laos being less influenced from
France compared to other French colonies. In a 1937 estimate, only
574 French civilians along with a smaller number of government
workers lived in Laos, a figure significantly smaller than in V ietnam
and Cambodia.
Economy
French Indochina was designated as a colonie d'ex ploitation (colony
of economic exploitation) by the French government, but both
exploitation and economic development differed significantly across
the main regions of the colony.
The economic and social policies introduced under Governor-
General Paul Doumer, who arrived in 1897, determined the
development of French Indochina. The railroads, highways, harbors,
bridges, canals, and other public works built by the French were
almost all started under Doumer, whose aim was a rapid and
systematic exploitation of Indochina’s potential wealth for the benefit
of France. V ietnam became a source of raw materials and a market
for tariff-protected goods produced by French industries. Funding for
the colonial government came from taxes on local populations and
the French government established a near monopoly on the trade of
opium, salt, and rice alcohol. The trade of those three products
formed about 44% of the colonial government's budget in 1920 but
declined to 20% by 1930 as the colony began to economically
diversify. Indochina was the second most invested-in French colony
by 1940 after Algeria, with investments totaling up to 6.7 million
francs.
The exploitation of natural resources for direct export was the chief
purpose of all French investments, with rice, coal, rare minerals, and
later also rubber as the main products. Doumer and his successors
up to the eve of World War II were not interested in promoting
industry, which was limited to the production of goods for immediate
local consumption. Among these enterprises—located chiefly in
Saigon, Hanoi, and Haiphong (the outport for Hanoi)—were
breweries, distilleries, small sugar refineries, rice and paper mills,
and glass and cement factories. The greatest industrial
establishment was a textile factory at Nam Dinh, which employed
more than 5,000 workers. The total number of workers employed by
all industries and mines in V ietnam was some 100,000 in 1930.
At the turn of the 20th century, the growing automobile industry in

France resulted in the growth of the rubber industry in French
Indochina and plantations were built throughout the colony,
especially in Annam and Cochinchina. France soon became a
leading producer of rubber and Indochinese rubber became prized in
the industrialized world. The success of rubber plantations in French
Indochina resulted in an increase in investment in the colony by
various firms. With the growing number of investments in the
colony's mines as well as rubber, tea, and coffee plantations, French
Indochina began to industrialize as factories opened in the colony.
These new factories produced textiles, cigarettes, beer, and cement,
which were then exported throughout the French Empire. Because
the aim of all investments was not the systematic economic
development of the colony but the attainment of immediate high
returns for investors, only a small fraction of the profits was
reinvested.
Palace of the Governor-

General ( Norodom Palace) in Saigon,
about 18 7 5 , photo by É mile Gsell.
Saigon became a principal port in Southeast Asia and rivaled the
British port of Singapore as the region's busiest commercial center.
By 1937, Saigon was the sixth busiest port in the entire French
Empire. French settlers further added their influence on the colony
by constructing buildings in the form of Beaux-Arts and added
French-influenced landmarks such as the Hanoi Opera House and
Saigon Notre-Dame Basilica.
Economically, the French did not develop Laos to the scale that it did
V ietnam, and many V ietnamese were recruited to work in the
government in Laos instead of the Laotian people, causing conflicts
between local populations and the government. Economic
development occurred very slowly in Laos and was initially fueled
primarily by rice cultivation and distilleries producing rice alcohol.
Although tin mining and coffee cultivation began in the 1920s, the
country's isolation and difficult terrain meant that Laos largely
remained economically unviable to the French. More than 90% of the
Lao remained subsistence farmers, growing just enough surplus
produce to sell for cash to pay their taxes.
Originally serving as a buffer territory for France between its more

important V ietnamese colonies and Siam, Cambodia was not initially
seen as an economically important area. The colonial government's
budget originally relied largely on tax collections in Cambodia as its
main source of revenue and Cambodians paid the highest taxes per
capita in French Indochina. Poor and sometimes unstable
administration in the early years of French rule in Cambodia meant
infrastructure and urbanization grew at a much slower rate than in
V ietnam, and traditional social structures in villages remained in
place. However, as French rule strengthened after the Franco-
Siamese War, development slowly began in Cambodia, where rice
and pepper crops allowed the economy to grow. As the French
automobile industry grew, rubber plantations like the ones in
Cochinchina and Annam were built and run by French investors.
Economic diversification continued throughout the 1920s, when corn
and cotton crops were also grown. Despite economic expansion and
investment, Cambodians still continued to pay high taxes and in
1916, protests broke out demanding for tax cuts.
Infrastructure and public works were developed to some extent

under French rule, and roads and railroads were constructed in
Cambodian territory. Most notably, a railway connected Phnom Penh
with Battambang on the Thai border. Industry was later developed
but was primarily designed to process raw materials for local use or
for export. As in nearby British Burma and British Malaya, foreigners
dominated the work force of the economy due to French
discrimination that kept Cambodians from holding important
economic positions. Many V ietnamese were recruited to work on
rubber plantations and later immigrants played key roles in the
colonial economy as fisherman and businessmen. Chinese
Cambodians continued to be largely involved in commerce but
higher positions were given to the French.
Effects of Colonial Rule

Whatever economic progress was made under the French, it
benefited the French and the small class of the local wealthy created
by the colonial regime. The masses were deprived of economic and
social benefits. Through the construction of irrigation works, chiefly in
the Mekong delta, the area of land devoted to rice cultivation
quadrupled between 1880 and 1930. During the same period,
however, the individual peasant’s rice consumption decreased
without the substitution of other foods. The new lands were not
distributed among the landless and the peasants but were sold to the
highest bidder or given away at nominal prices to V ietnamese
collaborators and French speculators. These policies created a new
class of V ietnamese landlords and a class of landless tenants who
worked the fields of the landlords for rents of up to 60 percent of the
crop, which was sold by the landlords at the Saigon export market.
The mounting export figures for rice resulted not only from the
increase in cultivable land but also from the growing exploitation of
the peasantry.
The peasants who owned their land were rarely better off than the
landless tenants. Peasants continually lost their land to the large
owners because they were unable to repay loans given them by the
landlords and other money lenders at exorbitant interest rates. As a
result, the large landowners of Cochinchina (less than 3 percent of
the total number of landowners) owned 45 percent of the land, while
the small peasants (who accounted for about 70 percent of the
owners) owned only about 15 percent of the land. The number of
landless families in V ietnam before World War II was estimated at
half of the population.
The French had imposed high taxes to finance their ambitious
program of public works and recruited forced labor with no protection
against exploitation in the mines and rubber plantations, although the
scandalous working conditions, the low salaries, and the lack of
medical care were frequently attacked in the French Chamber of
Deputies in Paris. The mild social legislation decreed in the late
1920s was never adequately enforced.
Apologists for the colonial regime claimed that French rule led to
vast improvements in medical care, education, transport, and
communications. The statistics kept by the French, however, appear
to cast doubt on such assertions. In 1939, for example, no more than
15 percent of all school-age children received any kind of schooling
and about 80 percent of the population was illiterate, in contrast to
precolonial times when the majority of the people possessed some
degree of literacy. With more than 20 million inhabitants in 1939,
V ietnam had one university with fewer than 700 students. Medical
care was well organized for the French in the cities, but in 1939 there
were only two physicians for every 100,000 V ietnamese.
27 .4.4: Resistance to French Rule

The first wave of resistance to French rule emerged in Indochina
shortly after France colonized the region, with particularly active
nationalist movements in V ietnam, more limited and mostly elite-
based opposition in Cambodia, and fragmented, often ethnically-
divided rebellions in Laos.
Learning Objective
Evaluate instances of resistance to French rule
Key Points
Nationalist sentiments emerged in French Indochina shortly
after colonial rule was established. In 1885, Phan Dinh Phung
led a rebellion against the colonizing power. The Can V uong
movement, which sought to expel the French and install the boy
Emperor Ham Nghi at the head of an independent V ietnam,
initiated the revolt. The insurrection in Annam spread and
flourished in 1886, reached its climax the following year, and
gradually faded out by 1889. The Can V uong movement was
the first resistance movement that saw all of V ietnamese
society, royalty, scholar-gentry, and peasantry, working together
against the French.
At the beginning of the 20th century, two parallel movements
emerged. The Dong Du ("Go East") Movement led by Phan Boi
Chau planned to send V ietnamese students to Japan to learn
modern skills so in the future they could lead a successful
armed revolt against the French. Duy Tan ("Modernization") led
by Phan Chau Trinh favored a non-violent struggle to gain
independence, stressing education for the masses and
modernization. The French suppressed both movements and
V ietnamese revolutionaries began to radicalize.
Phan Boi Chau created the V iet Nam Quang Phuc Hoi in
Guangzhou, planning armed resistance against the French. In
1925, French agents captured him in Shanghai and spirited him
to V ietnam. Due to his popularity, Chau was spared from
execution. In 1927, the V iet Nam Quoc Dan Dang (V ietnamese
Nationalist Party) and the party launched the armed Yen Bai
mutiny in 1930 in Tonkin, which resulted in many leaders
captured and executed by the guillotine.
In 1885, Si V otha, half brother of king Norodom and contender
for the throne, led a rebellion to dispose of the French-backed
Norodom after returning from exile in Siam. Gathering support
from opponents of Norodom and the French, Si V otha led a
rebellion that was primarily concentrated in the jungles of
Cambodia and the city of Kampot. French forces later aided
Norodom to defeat Si V otha. Unlike in V ietnam, Cambodian
nationalism remained relatively quiet during much of French
rule, although Khmer nationalism began to emerge outside of
Cambodia.
In 1901, a revolt broke out in the south of Laos among groups of
Lao Theung led by Ong Kaeo. The revolt challenged French
control over Laos and was not fully suppressed until 1910.
Between 1899 and 1910, political unrest in the northern
Phongsali Province occurred as local hill tribe chiefs challenged
French rule and assimilation policies being carried out in the
highlands. Although the revolt initially started as a resistance
against French influence, it focused on stopping French
suppression of the opium trade.
Instability continued in the north of Laos in 1919. Hmong
groups, the chief opium producers in Indochina, revolted against
French taxation and special status given to the Lao Loum,
minorities in the highlands, in a conflict known as the War of the
Insane. After the revolt, the French government granted
Hmongs partial autonomy in the X iangkhouang Province.
Key Terms
War of the Insane
A Hmong revolt against taxation in the French

colonial administration in Indochina lasting from 1918 to 1921.
Pa Chay V ue, the leader of the revolt, regularly climbed trees to
receive military orders from heaven. The French granted the
Hmong a special status in 1920, effectively ending the conflict.
Yen Bai mutiny
An uprising of V ietnamese soldiers in the French colonial army

in 1930 in collaboration with civilian supporters who were
members of the V iet Nam Quoc Dan Dang (V ietnamese
Nationalist Party).
Can V uong movement

A large-scale V ietnamese insurgency between 1885 and 1889
against French colonial rule. Its objective was to expel the
French and install the boy emperor Hà m Nghi as the leader of
an independent V ietnam.
Nationalist Movements in
V ietnam
Nationalist sentiments emerged in French Indochina shortly after the
colonial rule was established. By the mid-1880s, French troops
established a firm grip over the northern region of V ietnam and in
1885, Phan Dinh Phung, a prominent imperial court official, led a
rebellion against the colonizing power. The Can V uong movement,
which sought to expel the French and install the boy Emperor Ham
Nghi at the head of an independent V ietnam, initiated the revolt in
1885 when Ton That Thuyet, another court official, launched a
surprise attack against the colonial forces after a diplomatic
confrontation with the French. Thuyet took Ham Nghi northwards to
the Tan So mountain base near the border with Laos after the attack
failed.
The Can V uong movement lacked a coherent national structure and

consisted mainly of regional leaders who attacked French troops in
their own provinces. It initially prospered but failed after the French
recovered from the surprise of the insurgency and poured troops into
Annam from bases in Tonkin and Cochinchina. The insurrection in
Annam spread and flourished in 1886, reached its climax the
following year, and gradually faded out by 1889. The Can V uong
movement was the first resistance movement that saw all of
V ietnamese society, royalty, scholar-gentry, and peasantry, working
together against the French. However, although there were some 50
resistance groups, they lacked collaboration and unifying military
authority. Actions taken by the resistance were never national, but
the narratives of their struggle against foreign domination were
passed down to the next generations.
At the beginning of the 20th century, two parallel movements
emerged. The Dong Du ("Go East") Movement started in 1905 by
Phan Boi Chau. Chau's plan was to send V ietnamese students to
Japan to learn modern skills so that in the future they could lead a
successful armed revolt against the French. With Prince Cuong De,
he started two organizations in Japan: Duy Tan Hoi and V iet Nam
Cong Hien Hoi. Due to French diplomatic pressure, Japan later
deported Chau. A second movement, Duy Tan ("Modernization"), led
by Phan Chau Trinh, favored a peaceful, non-violent struggle for
independence. It stressed education for the masses, modernizing
the country, fostering understanding and tolerance between the
French and the V ietnamese, and peaceful transitions of power.
The French suppressed both movements and V ietnamese

revolutionaries began to turn to more radical paths, particularly after
witnessing revolutionaries in action in China and Russia. Phan Boi
Chau created the V iet Nam Quang Phuc Hoi in Guangzhou, planning
armed resistance against the French. In 1925, French agents
captured him in Shanghai and spirited him to V ietnam. Due to his
popularity, Chau was spared from execution and placed under house
arrest until his death in 1940. In 1927, the V iet Nam Quoc Dan Dang
(V ietnamese Nationalist Party), modeled after the Kuomintang in
China, was founded. The party launched the armed Yen Bai mutiny
in 1930 in Tonkin, which resulted in its chairman Nguyen Thai Hoc
and many other leaders captured and executed by the guillotine.
Resistance in Cambodia
The first decades of French rule in Cambodia included numerous
reforms into Cambodian politics, including the reduction of the
monarch's power. In 1884, the governor of Cochinchina, Charles
Anthoine Franç ois Thomson, attempted to overthrow the monarch
and establish full French control over Cambodia by sending a small
force to the royal palace in Phnom Penh. The movement was largely
unsuccessful as the governor-general of French Indochina prevented
full colonization due to possible conflicts with Cambodians and the
monarch became a mere figurehead. In 1885, Si V otha, half brother
of king Norodom and contender for the throne, led a rebellion to
dispose of the French-backed Norodom after coming back from exile
in Siam. Gathering support from opponents of Norodom and the
French, Si V otha led a rebellion that was primarily concentrated in
the jungles of Cambodia and the city of Kampot. French forces later
aided Norodom to defeat Si V otha under agreements that the
Cambodian population be disarmed and acknowledge the resident-
general as the highest power in the protectorate.
King Norodom, the monarch who
initiated overtures to France to make
Cambodia its protectorate in 18 63 to
escape Siamese pressure
In 1904, King Norodom died and the French passed the succession
to Norodom's brother Sisowath, whose branch of the royal family
was more submissive and less nationalistic. Norodom was viewed as
responsible for the constant Cambodian revolts against French rule.
Norodom's favorite son Prince Yukanthor, his natural successor, had
on one of his trips to Europe stirred up public opinion about French
colonial brutalities in occupied Cambodia.
Unlike in V ietnam, Cambodian nationalism remained relatively quiet

during much of French rule. The population had limited access to
education, which kept literacy rates low and prevented nationalist
movements like those in V ietnam from widely circulating their
message. However, among the French-educated Cambodian elite,
the Western ideas of democracy and self-rule and French restoration
of monuments such as Angkor Wat created a sense of pride and
awareness of Cambodia's powerful status in the past. Cambodian
students resented the favored status of the minority V ietnamese. In
1936, Son Ngoc Than and Pach Choeun began publishing
Nagaravatta (Notre cité ), a French language anti-colonial and at
times, anti-V ietnamese newspaper. Minor independence
movements, especially the Khmer Issarak, began to develop in 1940
among Cambodians in Thailand who feared their actions would have
led to punishment if they operated in their homeland.
Resistance in Laos
In 1901, a revolt broke out in the south of Laos in the Bolaven
Plateau among groups of Lao Theung led by Ong Kaeo, a self-
proclaimed "holy man" who led a messianic cult. The revolt
challenged French control over Laos and was not fully suppressed
until 1910 when Ong Kaeo was killed. His successor Ong
Kommadam became an early leader in the Lao nationalist
movement.
Between 1899 and 1910, political unrest in the northern Phongsali

Province occurred as local hill tribe chiefs challenged French rule
and assimilation policies being carried out in the highlands. At the
height of the revolt, the unrest spread to the highlands of Tonkin
(northern V ietnam) and was largely concentrated among the minority
groups of the Khmu and Hmong. Although the revolt initially started
as a resistance against French influence and tightening of
administration, it later focused on stopping the French suppression
of the opium trade.
Instability continued in the north of Laos in 1919 when Hmong

groups, the chief opium producers in Indochina, revolted against
French taxation and special status given to the Lao Loum, minorities
in the highlands, in a conflict known as the War of the Insane.
Hmong rebels claimed that both Lao and French officials treated
them as subordinate and uncivilized groups. They were defeated in
1921. After the revolt, the French government granted Hmongs
partial autonomy in the X iangkhouang Province.
Attributions
Pre-French Indochina
"Angkor." https://en.wikipedia.org/wiki/Angkor. Wikipedia
CC BY-SA 3.0.
"History of Laos."
https://en.wikipedia.org/wiki/History_of_Laos. Wikipedia CC
BY-SA 3.0.
"History of V ietnam."
https://en.wikipedia.org/wiki/History_of_V ietnam. Wikipedia
CC BY-SA 3.0.
"Greater India." https://en.wikipedia.org/wiki/Greater_India.
"V ietnam." https://en.wikipedia.org/wiki/V ietnam. Wikipedia
CC BY-SA 3.0.
"Lan X ang." https://en.wikipedia.org/wiki/Lan_X ang.
"History of Southeast Asia."
https://en.wikipedia.org/wiki/History_of_Southeast_Asia.
"Laos." https://en.wikipedia.org/wiki/Laos. Wikipedia CC BY-
SA 3.0.
"Indochina." https://en.wikipedia.org/wiki/Indochina.
"Dark ages of Cambodia."
https://en.wikipedia.org/wiki/Dark_ages_of_Cambodia.
"Southeast Asia."
https://en.wikipedia.org/wiki/Southeast_Asia. Wikipedia CC
BY-SA 3.0.
"Cambodia." https://en.wikipedia.org/wiki/Cambodia.
"History of Cambodia."
https://en.wikipedia.org/wiki/History_of_Cambodia.
"1024px-Angkor_Wat.jpg."
https://en.wikipedia.org/wiki/Angkor# /media/File:Angkor_Wa
t.jpg. Wikipedia CC BY-SA 3.0.
"800px-Indochina_map_1886.jpg."
https://en.wikipedia.org/wiki/Indochina# /media/File:Indochin
a_map_1886.jpg. Wikipedia Public domain.
The French Protectorate in Indochina
"French Protectorate of Cambodia."
https://en.wikipedia.org/wiki/French_Protectorate_of_Camb
odia. Wikipedia CC BY-SA 3.0.
"Political administration of French Indochina."
https://en.wikipedia.org/wiki/Political_administration_of_Fre
nch_Indochina. Wikipedia CC BY-SA 3.0.
CC BY-SA 3.0.
"French Cochinchina."
https://en.wikipedia.org/wiki/French_Cochinchina. Wikipedia
CC BY-SA 3.0.
"French Protectorate of Laos."
https://en.wikipedia.org/wiki/French_Protectorate_of_Laos.
"Cochinchina Campaign."
https://en.wikipedia.org/wiki/Cochinchina_Campaign.
SA 3.0.
"French Indochina."
https://en.wikipedia.org/wiki/French_Indochina. Wikipedia
CC BY-SA 3.0.
"French_Indochina_c._1930.jpg."
https://en.wikipedia.org/wiki/French_Indochina# /media/File:
French_Indochina_c._1930.jpg. Wikipedia Public domain.
"800px-FrenchMarsouinsIndochina1888.jpg."
FrenchMarsouinsIndochina1888.jpg. Wikipedia Public
domain.
Economic and Social Impacts of Imperialism in Indochina
"French Indochina."
CC BY-SA 3.0.
"Economic history of V ietnam."
https://en.wikipedia.org/wiki/Economic_history_of_V ietnam.
"Exploitation colonialism."
https://en.wikipedia.org/wiki/Exploitation_colonialism.
"Political administration of French Indochina."
https://en.wikipedia.org/wiki/Political_administration_of_Fre
nch_Indochina. Wikipedia CC BY-SA 3.0.
CC BY-SA 3.0.
SA 3.0.
"Palais_du_Gouverneur_Gé né ral_à _Saï gon_1875.jpg."
Palais_du_Gouverneur_G%C3%A9n%C3%A9ral_%C3%A
0_Sa%C3%AFgon_(1875).jpg. Wikipedia Public domain.
"Luangphrabang87b.jpg."
https://en.wikipedia.org/wiki/French_Protectorate_of_Laos# /
media/File:Luangphrabang87b.jpg. Wikipedia Public
domain.
Resistance to French Rule
SA 3.0.
"War of the Insane."
https://en.wikipedia.org/wiki/War_of_the_Insane. Wikipedia
CC BY-SA 3.0.
CC BY-SA 3.0.
"French Indochina."
CC BY-SA 3.0.
"Phan Đ ì nh Phù ng."
https://en.wikipedia.org/wiki/Phan_%C4%90%C3%ACnh_P
h%C3%B9ng. Wikipedia CC BY-SA 3.0.
"Yê n Bái mutiny."
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ny. Wikipedia CC BY-SA 3.0.
"Cầ n V ư ơ ng movement."
https://en.wikipedia.org/wiki/C%E1%BA%A7n_V %C6%B0
%C6%A1ng_movement. Wikipedia CC BY-SA 3.0.
"History of V ietnam."
https://en.wikipedia.org/wiki/History_of_V ietnam. Wikipedia
CC BY-SA 3.0.
"First Indochina War."
https://en.wikipedia.org/wiki/First_Indochina_War. Wikipedia
CC BY-SA 3.0.
"800px-King_Norodom.jpg."
odia# /media/File:King_Norodom.jpg. Wikipedia Public
domain.
28 : The Scramble for Africa
28 .1: The Berlin Conference
28 .1.1: European Ex ploration of Africa
At the beginning of the 19th century, European knowledge of
geography of Sub-Saharan Africa was still rather limited; it was left to
19th-century European explorers (including those searching for the
famed source of the Nile) to discover detail such as the continent's
geological makeup.
Learning Objective
Explain why Europeans were interested in obtaining land in Africa
Key Points
The geography of North Africa has been reasonably well-known
since classical antiquity in Greco-Roman geography.
Major exploration by Europeans, particularly of the coastal
territories of African, began in the Age of Discovery in the 15th
century, led by Portuguese explorers, most notably Prince
Henry, known as the Navigator.
From the 15th-19th century, little exploration of the interior of
Africa was done by Europeans. Focus on Africa was limited to
the transatlantic slave trade.
Starting in the early 19th century, European land holdings in
Africa began to shift and increase.
In the mid-19th century, Protestant missions were carrying on
active missionary work, most famously by David Livingstone.
In November 1855, Livingstone became the first European to
see the famous V ictoria Falls, named after the Queen of the
United Kingdom.
Henry Morton Stanley, who had in 1871 succeeded in finding
and supporting Livingstone (originating the famous line "Dr.
Livingstone, I presume"), led one of the most memorable of all
exploring expeditions in Africa, circumnavigating V ictoria
Nyanza (Lake V ictoria) and Lake Tanganyika.
Key Terms
Henry Morton Stanley
A Welsh-American journalist and explorer famous for his

exploration of central Africa and his search for missionary and
explorer David Livingstone. Upon finding Livingstone, he
reportedly asked, "Dr. Livingstone, I presume? " He is also
known for his search for the source of the Nile, his work in and
development of the Congo Basin region in association with King
Leopold II of the Belgians, and commanding the Emin Pasha
Relief Expedition.
David Livingstone
A Scottish congregationalist pioneer medical missionary with the

London Missionary Society and an explorer in Africa, one of the
most popular national heroes of the late-19th-century in
V ictorian Britain. He had a mythical status that operated on a
number of interconnected levels: Protestant missionary martyr,
working-class "rags-to-riches" inspirational story, scientific
investigator and explorer, imperial reformer, anti-slavery
crusader, and advocate of commercial and colonial expansion.
pygmy
A member of an ethnic group whose average height is unusually

short; anthropologists define it as a population with average
height for adult men of less than 150 cm (4 feet 11 inches).
Early Ex ploration of Africa
The geography of North Africa has been reasonably well-known
since classical antiquity in Greco-Roman geography. The exploration
of Sub-Saharan Africa begins with the Age of Discovery in the 15th
century, pioneered by posts along the coast during active
colonization of the New World. Exploration of the interior of Africa
was thus mostly left to the Arab slave traders, who in tandem with
the Muslim conquest of the Sudan established far-reaching networks
and supported the economy of a number of Sahelian kingdoms
during the 15th to 18th centuries.
Portuguese explorer Prince Henry, known as the Navigator, was the

first European to methodically explore Africa and the oceanic route
to the Indies. From his residence in the Algarve region of southern
Portugal, he directed successive expeditions to circumnavigate
Africa and reach India. In 1420, Henry sent an expedition to secure
the uninhabited but strategic island of Madeira. In 1425, he tried to
secure the Canary Islands as well, but these were already under firm
Castilian control. In 1431, another Portuguese expedition reached
and annexed the Azores.
Portuguese presence in Africa soon interfered with existing Arab

trade interests. By 1583, the Portuguese established themselves in
Zanzibar and on the Swahili coast. The Kingdom of Congo was
converted to Christianity in 1495, its king taking the name of Joã o I.
The Portuguese also established trade interests in the Kingdom of
Mutapa in the 16th century, and in 1629 placed a puppet ruler on the
throne.
Beginning in the 17th century, the Netherlands began exploring and

colonizing Africa. While the Dutch were waging a long war of
independence against Spain, Portugal united with Spain from 1580
to 1640. As a result, the growing colonial ambitions of the
Netherlands were mostly directed against Portugal. For this purpose,
two Dutch companies were founded: the West Indies Company, with
power over all the Atlantic Ocean, and the East Indies Company,
with power over the Indian Ocean.
Almost at the same time as the Dutch, other European powers

attempted to create their own outposts for the African slave trade. As
early as 1530, English merchant adventurers started trading in West
Africa, coming into conflict with Portuguese troops. In 1581, Francis
Drake reached the Cape of Good Hope. In 1663, the English built
Fort James in Gambia. One year later, another English colonial
expedition attempted to settle southern Madagascar, resulting in the
death of most of the colonists. The English forts on the West African
coast were eventually taken by the Dutch.
In 1626, the French Compagnie de l'Occident was created. This

company expelled the Dutch from Senegal, making it the first French
domain in Africa. France also set sights on Madagascar, the island
used since 1527 as a stop in travels to India.
Overall, European exploration of Africa in the 17th and 18th

centuries was very limited. Instead they focused on the slave trade,
which only required coastal bases and items to trade. The real
exploration of the African interior would start well into the 19th
century.
19th Century Ex ploration

Although the Napoleonic Wars distracted the attention of Europe
from exploratory work in Africa, those wars nevertheless exercised
great influence on the future of the continent, both in Egypt and
South Africa. The occupation of Egypt (1798–1803), first by France
and then by Great Britain, resulted in an effort by the Ottoman
Empire to regain direct control over that country. In 1811, Mehemet
Ali established an almost independent state, and from 1820 onward
established Egyptian rule over the eastern Sudan. In South Africa,
the struggle with Napoleon caused the United Kingdom to take
possession of the Dutch settlements at the Cape. In 1814, Cape
Colony, continuously occupied by British troops since 1806, was
formally ceded to the British crown.
Meanwhile, considerable changes had been made in other parts of

the continent. The occupation of Algiers by France in 1830 put an
end to the piracy of the Barbary states. Egyptian authority continued
to expand southward, with the consequent additions to knowledge of
the Nile. The city of Zanzibar, on the island of that name, rapidly
attained importance. Accounts of a vast inland sea and the discovery
of the snow-clad mountains of Kilimanjaro in 1840–1848 stimulated
European desire for further knowledge about Africa.
In the mid-19th century, Protestant missions were carrying on active

work on the Guinea coast, in South Africa, and in the Zanzibar
dominions. Missionaries visited little-known regions and peoples,
and in many instances became explorers and pioneers of trade and
empire. David Livingstone, a Scottish missionary, had been engaged
since 1840 in work north of the Orange River. In 1849, Livingstone
crossed the Kalahari Desert from south to north and reached Lake
Ngami. Between 1851 and 1856, he traversed the continent from
west to east, discovering the great waterways of the upper Zambezi
River. In November 1855, Livingstone became the first European to
see the famous V ictoria Falls, named after the Queen of the United
Kingdom. From 1858 to 1864, the lower Zambezi, the Shire River,
and Lake Nyasa were explored by Livingstone. Nyasa was first
reached by the confidential slave of Antó nio da Silva Porto, a
Portuguese trader established at Bié in Angola who crossed Africa
during 1853–1856 from Benguella to the mouth of the Rovuma. A
prime goal for explorers was to locate the source of the River Nile.
Expeditions by Burton and Speke (1857–1858) and Speke and Grant
(1863) located Lake Tanganyika and Lake V ictoria. It was eventually
proved to be the latter from which the Nile flowed.
Henry Morton Stanley, who had in 1871 succeeded in finding and

supporting Livingstone (originating the famous line "Dr. Livingstone, I
presume"), started again for Zanzibar in 1874. In one of the most
memorable exploring expeditions in Africa, Stanley circumnavigated
V ictoria Nyanza (Lake V ictoria) and Lake Tanganyika. Striking farther
inland to the Lualaba, he followed that river down to the Atlantic
Ocean—which he reached in August 1877—and proved it to be the
Congo.
In 1895, the British South Africa Company hired the American scout
Frederick Russell Burnham to look for minerals and ways to improve
river navigation in the central and southern Africa region. Burnham
oversaw and led the Northern Territories British South Africa
Exploration Company expedition that first found major copper
deposits north of the Zambezi in North-Eastern Rhodesia. Along the
Kafue River, Burnham saw many similarities to copper deposits he
had worked in the United States and encountered native peoples
wearing copper bracelets. Copper rapidly became the primary export
of Central Africa and remains essential to the economy today.
Explorers were also active in other parts of the continent. Southern

Morocco, the Sahara, and the Sudan were traversed in many
directions between 1860 and 1875 by Georg Schweinfurth and
Gustav Nachtigal. These travelers not only added considerably to
geographical knowledge, but obtained invaluable information
concerning the people, languages, and natural history of the
countries in which they sojourned. Among the discoveries of
Schweinfurth was one that confirmed Greek legends of the existence
beyond Egypt of a "pygmy race." But the first western discoverer of
the pygmies of Central Africa was Paul Du Chaillu, who found them
in the Ogowe district of the west coast in 1865, five years before
Schweinfurth's first meeting with them. Du Chaillu had previously,
through journeys in the Gabon region between 1855 and 1859,
confirmed existence of the gorilla, previously thought to be a legend
by Europeans.
European Ex ploration of Africa
Routes of European explorers in Africa to 1853.
A map showing the routes of European explorers in Africa, depicted

as red lines, numbered to correspond with the explorer.
28 .1.2: Involvement in Africa before

18 8 4
Before the Berlin Conference, European colonization of Africa was
present but limited, with only 10% of Africa under European control
in 1870. In the 1870s the "Scramble for Africa" began in earnest,
with 90% of Africa under European control by World War I.
Learning Objective
Describe the ways Europe was already involved in Africa prior to the
Berlin Conference
Key Points
Before the conference, European diplomacy treated African
indigenous people in the same manner as the New World
natives, forming trading relationships with the indigenous chiefs.
With the exception of trading posts along the coasts used to
trade goods and slaves around the world, the continent was
essentially ignored until the second half of the 19th century.
Even as late as the 1870s, European states still controlled only
10% of the African continent; by WWI, Europe controlled 90% of
Africa.
Prior to the Berlin Conference of 1884, which formalized the
"Scramble for Africa," colonies had been formed throughout
Africa on a smaller scale.
Most notably, King Leopold II explored and colonized the Congo
as a private venture with the aid of explorer Morton Stanley.
Leopold extracted a fortune from the Congo through forced
labor of ivory and rubber production, causing the deaths of 1 to
15 million Congolese people.
With the dismissal of the aging Chancellor Bismarck (who had
plans to colonize Africa) by Kaiser Wilhelm II, the relatively
orderly colonization became a frantic scramble. This led to the
Berlin Conference, initiated by Bismarck to establish
international guidelines for the acquisition of African territory.
Key Terms
Scramble for Africa
The invasion, occupation, division, colonization, and annexation

of African territory by European powers during the period of New
Imperialism, between 1881 and 1914. It is also called the
Partition of Africa and the Conquest of Africa. In 1870, only 10
percent of Africa was under European control; by 1914 it had
increased to 90 percent of the continent, with only Ethiopia
(Abyssinia), the Dervish state (present-day Somalia) and Liberia
still independent.
King Leopold II of Belgium
The second King of the Belgians, known as the founder and

sole owner of the Congo Free State, a private project
undertaken on his own behalf. He used explorer Henry Morton
Stanley to help him lay claim to the Congo, an area now known
as the Democratic Republic of the Congo. At the Berlin
Conference of 1884–1885, the colonial nations of Europe
authorized his claim by committing the Congo Free State to
improving the lives of the native inhabitants.
colonialism
The establishment of a colony in one territory by a political

power from another territory and the subsequent maintenance,
expansion, and exploitation of that colony. The term is also used
to describe the unequal relationships between the colonial
power and the colony and often between the colonists and the
indigenous peoples.
Early European Coloniz ation in

Africa
Early European expeditions concentrated on colonizing previously
uninhabited islands such as the Cape V erde Islands and Sã o Tomé
Island, or establishing coastal forts as a base for trade and
supporting the Cape Route between Europe and Asia. These forts
often developed areas of influence along coastal strips, but with the
exception of the Senegal River, the vast interior of Africa was little-
known to Europeans until the late 19th century.
Even as late as the 1870s, European states still controlled only 10

percent of the African continent, with territories concentrated near
the coast. The most important holdings were Angola and
Mozambique, held by Portugal; the Cape Colony, held by the United
Kingdom; and Algeria, held by France. By 1914, only Ethiopia and
Liberia were independent of European control.
Technological advancement facilitated overseas expansionism.

Industrialization brought about rapid advancements in transportation
and communication, especially in the forms of steam navigation,
railways, and telegraphs. Medical advances also were important,
especially medicines for tropical diseases. The development of
quinine, an effective treatment for malaria, enabled vast expanses of
the tropics to be accessed by Europeans.
Around the 1870s, the growing trend of colonization in Africa began

to take off. The term "imperialism" is often conflated with
"colonialism," but many scholars argue that each has a distinct
definition. Historian and philosopher Edward Said noted that
"imperialism involved 'the practice, the theory and the attitudes of a
dominating metropolitan center ruling a distant territory,' while
colonialism refers to the 'implanting of settlements on a distant
territory.'"
African Coloniz ation in the 19th

Century
Before the Berlin Conference, European diplomacy treated African
indigenous people in the same manner as the New World natives,
forming trading relationships with their chiefs. By the mid-19th
century, Europeans considered Africa to be disputed territory ripe for
exploration, trade, and settlement by colonists. With the exception of
trading posts along the coasts, the continent was essentially ignored.
In 1876, King Leopold II of Belgium, who had previously founded the

International African Society in 1876, invited Henry Morton Stanley to
join him in researching and civilizing the continent. In 1878, the
International Congo Society was also formed, with more economic
goals but still closely related to the former society. Lé opold secretly
bought off the foreign investors in the Congo Society, which turned to
imperialistic goals, while the African Society served primarily as a
philanthropic front.
From 1878 to 1885, Stanley returned to the Congo, not as a reporter

but as an envoy from Leopold with the secret mission to organize
what would become known as the Congo Free State. French
intelligence discovered Leopold's plans, and France quickly engaged
in its own colonial exploration. French naval officer Pierre de Brazza
was dispatched to central Africa, traveled into the western Congo
basin, and raised the French flag over the newly founded Brazzaville
in 1881, in what is now the Republic of Congo. Portugal, which had a
long but essentially abandoned colonial empire in the area through
the mostly defunct proxy state Kongo Empire, also claimed the area.
Its claims were based on old treaties with Spain and the Roman
Catholic Church. It quickly made a treaty on February 26, 1884, with
its former ally, the United Kingdom of Great Britain and Ireland, to
block the Congo Society's access to the Atlantic.
By the early 1880s, due to many factors including diplomatic

maneuvers, subsequent colonial exploration, and recognition of
Africa's abundance of valuable resources such as gold, timber, land,
and markets, European interest in the continent increased
dramatically. Stanley's charting of the Congo River Basin (1874–77)
removed the last terra incognita from European maps of the
continent, delineating the areas of British, Portuguese, French, and
Belgian control. The powers raced to push these rough boundaries
to their furthest limits and eliminate any local minor powers which
might prove troublesome to European competitive diplomacy.
France moved to take over Tunisia, one of the last of the Barbary
Pirate states, under the pretext of another piracy incident. French
claims by Pierre de Brazza were quickly solidified, with France taking
control of today's Republic of the Congo in 1881 and Guinea in
1884. Italy became part of the Triple Alliance, upsetting Bismarck's
carefully laid plans with the state and forcing Germany to become
involved in Africa. In 1882, realizing the geopolitical extent of
Portuguese control on the coasts and penetration by France
eastward across Central Africa toward Ethiopia, the Nile, and the
Suez Canal, Britain saw its vital trade route through Egypt and its
Indian Empire threatened.
Under the pretext of the collapsed Egyptian financing and a

subsequent riot in which hundreds of Europeans and British subjects
were murdered or injured, the United Kingdom intervened in
nominally Ottoman Egypt. The UK also ruled over the Sudan and
what would later become British Somaliland.
Slave Trade in Africa
Photograph of slaves captured from the Congo aboard an Arab slave
ship intercepted by the Royal Navy (1869). One of the chief
justifications for the colonization of Africa was the suppression of the
slave trade.
A photo of slaves captured from the Congo aboard an Arab slave

ship intercepted by the Royal Navy (1869).
Berlin Conference
This rapid increase in the exploration and colonization of Africa
eventually led to the 1884 Berlin Conference. Established empires,
notably Britain, Portugal and France, had already claimed vast areas
of Africa and Asia, and emerging imperial powers like Italy and
Germany had done likewise on a smaller scale. With the dismissal of
the aging Chancellor Bismarck by Kaiser Wilhelm II, the relatively
orderly colonization became a frantic scramble, known as the
"Scramble for Africa." The Berlin Conference, initiated by Bismarck
to establish international guidelines for the acquisition of African
territory, formalized this "New Imperialism." Between the Franco-
Prussian War and the World War I, Europe added almost 9 million
square miles—one-fifth of the land area of the globe—to its overseas
colonial possessions.
28 .1.3: European Consensus of Africa

The Berlin Conference sought to end competition and conflict
between European powers during the "Scramble for Africa" by
establishing international protocols for colonization.
Learning Objective
Explain why it was so important for European leaders to divide up
Africa in a peaceful manner
Key Points
Although colonization of Africa was limited before 1870, by the
early 1880s the "Scramble for Africa" created concerns among
European powers, who feared new conflict and possibly war if
colonization went unchecked.
The occupation of Egypt and the acquisition of the Congo were
the first major moves in the precipitous scramble for African
territory.
Hoping to quickly soothe this brewing conflict, King Leopold II
convinced France and Germany that common trade in Africa
was in the best interests of all three countries.
Under support from the British and the initiative of Portugal, Otto
von Bismarck, German Chancellor, called on representatives of
13 nations in Europe as well as the United States to take part in
the Berlin Conference in 1884 to work out joint policy on the
African continent.
The main dominating powers of the conference were France,
Germany, Great Britain and Portugal; they remapped Africa
without considering the cultural and linguistic borders that were
already established.
No Africans were invited to the Conference.
Key Terms
Otto von Bismarck
A conservative Prussian statesman who dominated German and

European affairs from the 1860s until 1890. In the 1860s, he
engineered a series of wars that unified the German states,
significantly and deliberately excluding Austria, into a powerful
German Empire under Prussian leadership. He disliked
colonialism but reluctantly built an overseas empire when
demanded by both elite and mass opinion. Juggling a very
complex interlocking series of conferences, negotiations, and
alliances, he used his diplomatic skills to maintain Germany's
position and used the balance of power to keep Europe at
peace in the 1870s and 1880s.
New Imperialism
A period of colonial expansion by European powers, the United

States, and the Empire of Japan during the late 19th and early
20th centuries. The period is distinguished by an unprecedented
pursuit of overseas territorial acquisitions. At the time, states
focused on building their empires with new technological
advances and developments, making their territories bigger
through conquest, and exploiting their resources. The new wave
of imperialism reflected ongoing rivalries among the great
powers, the economic desire for new resources and markets,
and a "civilizing mission" ethos.
"informal imperialism"
The use of indirect means to control an area, sometimes a

military presence but usually economic control.
The Berlin Conference:
" Peaceful" Coloniz ation
The Berlin Conference of 1884–85, also known as the Congo
Conference, regulated European colonization and trade in Africa
during the New Imperialism period, coinciding with Germany's
sudden emergence as an imperial power. Called for by Portugal and
organized by Otto von Bismarck, first Chancellor of Germany, its
outcome, the General Act of the Berlin Conference, was the
formalization of the Scramble for Africa. The conference ushered in
heightened colonial activity by European powers, which eliminated or
overrode most existing forms of African autonomy and self-
governance.
Having witnessed the political and economic rivalries among the

European empires in the last quarter of the 19th century, the formal
partitioning of Africa prevented European countries from battling one
another over territory. The conference provided an opportunity to
channel latent European hostilities outward, provide new areas for
European expansion in the face of rising American, Russian, and
Japanese interests, and form constructive dialogue for limiting future
hostilities. The latter years of the 19th century saw the transition from
"informal imperialism" by military influence and economic dominance
to direct rule, bringing about colonial imperialism.
Colonies were seen as assets in "balance of power" negotiations,

useful as items of exchange in international bargaining. Colonies
with large native populations were also a source of military power;
Britain and France used British Indian and North African soldiers
respectively in many of their colonial wars. In the age of nationalism,
an empire was a status symbol; the idea of "greatness" became
linked with the sense of duty underlying many nations' strategies.
Owing to the European race for colonies, Germany started launching

expeditions of its own, which frightened both British and French
statesmen. The occupation of Egypt and the acquisition of the
Congo were the first major moves in what came to be a precipitous
scramble for African territory. Hoping to quickly soothe this brewing
conflict, King Leopold II convinced France and Germany that
common trade in Africa was in the best interests of all three
countries. Under support from the British and the initiative of
Portugal, Otto von Bismarck, German Chancellor, called on
representatives of 13 nations in Europe as well as the United States
to take part in the Berlin Conference in 1884 to work out joint policy
on the African continent.
While the number of voting participants varied per nation, the

following 14 countries sent representatives to attend the Berlin
Conference and sign the subsequent Berlin Act: Austria-Hungary,
Belgium, Denmark, France, Germany, Italy, Netherlands, Ottoman
Empire, Portugal, Russia, Spain, Sweden-Norway, Britain, and the
United States. There were no African representatives at the
conference, despite its rhetoric emphasizing the benefit to Africa.
The conference was convened on Saturday, November 15, 1884 at

Bismarck's official residence on Wilhelmstrasse. The main
dominating powers of the conference were France, Germany, Great
Britain, and Portugal. They remapped Africa without considering the
cultural and linguistic borders that were already established. At the
end of the conference, Africa was divided into 50 colonies. The
attendants established who was in control of each of these new
divisions. They also planned, noncommittally, to end the slave trade
in Africa.
Berlin Confernence
A drawing of the Berlin Conference. The main dominating powers of
the conference were France, Germany, Great Britain, and Portugal.
A drawing of the Berlin Conference, which depicts several dozen

men around a large table, with a large map of Africa posted on the
wall.
28 .1.4: " The General Act of the

Conference"
The "General Act of the Berlin Conference" established international
guidelines for the acquisition of African territory.
Learning Objective
List some of the key agreements in the General Act of the
Conference
Key Points
In 1884, the Berlin Conference was convened to discuss African
colonization, with the aim of setting up international guidelines
for making claims to African land to avoid conflict between
European powers.
At the Conference, the participants decided on the "General Act
of the Conference," which laid the frameworks for colonization.
One of the most important decisions in the "Act" was the
principle of effective occupation, which stated that no territory
could be formally claimed prior to being directly ruled and
administered by the colonial power.
The conference also resolved to end slavery by African and
Islamic powers, a move that many critics ridiculed as a
humanitarian faç ade to garner international support; the
resolution was non-binding.
The Scramble for Africa sped up after the Conference, since
even within areas designated as their spheres of influence, the
European powers had to take possession under the Principle of
Effectivity.
Key Terms
principle of effective occupation
Colonial powers could acquire rights over colonial lands only if

they possessed them: if they had treaties with local leaders, if
they flew their flag there, and if they established an
administration in the territory with a police force to keep order.
Heart of Darkness
A novella by Polish-British novelist Joseph Conrad about a

voyage up the Congo River into the Congo Free State in the
heart of Africa by the story's narrator Marlow. The work's central
ideal is that there is little difference between so-called civilized
people and those described as savages; the book raises
questions about imperialism and racism.
spheres of influence
A spatial region or concept division over which a state or

organization has a level of cultural, economic, military, or
political exclusivity, accommodating to the interests of powers
outside the borders of the state that controls it.
In 1884, Otto von Bismarck convened the Berlin Conference to

discuss the African problem. Its outcome, the General Act of the
Berlin Conference, formalized the Scramble for Africa.
The diplomats in Berlin laid the rules of competition by which the

great powers were to be guided in seeking colonies. No nation was
to stake claims in Africa without notifying other powers of its
intentions. No territory could be formally claimed prior to being
effectively occupied. However, the competitors ignored the rules
when convenient and on several occasions war was only narrowly
avoided.
According to some critics, the diplomats put on a humanitarian

faç ade to garner international support by condemning the slave
trade, prohibiting the sale of alcoholic beverages and firearms in
certain regions, and expressing concern for missionary activities.
The writer Joseph Conrad sarcastically referred to the conference as
"the International Society for the Suppression of Savage Customs" in
his novella Heart of Darkness.
The General Act decided on the following points:
The conference resolved to end slavery by African and Islamic

powers. Thus, an international prohibition of the slave trade
throughout their respected spheres was signed by the European
members.
The Congo Free State was confirmed as the private property of
the Congo Society, which supported Leopold's promises to keep
the country open to all European investment. The territory of
today's Democratic Republic of the Congo, some two million
square kilometers, was confirmed by the European powers as
essentially the property of Lé opold II. Later it was organized as
a Belgian colony under state administration.
The 14 signatory powers would have free trade throughout the
Congo Basin as well as Lake Malawi, and east of this in an area
south of 5° N.
The Niger and Congo rivers were made free for ship traffic.
A Principle of Effectivity was introduced to prevent powers from
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Boundless W orld History

1. The Study of History and the Rise

2. Ancient Mesopotamian Civiliz ations

3. Early Civiliz ations

5. Early Chinese Dynasties

6. Early Civiliz ations in the Indian

7. Ancient Greece and the Hellenistic

8. The Roman W orld

9. The Byz antine Empire

10. The Rise and Spread of Islam

11. The Middle Ages in Europe

12. The Development of Russia

13. The Mongol Empire

14. Chinese Dynasties

15. African Civiliz ations

16. Civiliz ations in the Americas

17. The Renaissance

18. The Rise of Nation-States

19. The Age of Enlightenment

20. The Protestant Reformation

21. Enlightened Despots

22. The French Revolution

24. Post-Napoleonic Europe

25. The Industrial Revolution

26. Change in the Americas

27. European Imperialism in East Asia

28. The Scramble for Africa

30. The Interwar Period

32. The Cold W ar

33. Post-Colonial Africa

34. The Middle East after the Ottoman

35. East Asia after W orld W ar II

36. South America and Latin America

37. The Long Decade ( 198 9-2001)

38. The 21st Century

(Also global history or transnational history): emerged as a

The process or study of categorizing the past into discrete,

Original sources of information about a topic. In the study of

How Do W e W rite History?

W estern Historical Periods

However, even within this largely accepted division, the perspective

While world history (also referred to as global history or transnational

World historians use a thematic approach to identify common

1.1.2: Dates and Calendars

A system of calendars used in pre-Columbian Mesoamerica,

The Medieval Latin term, which means in the year of the

(Also Muslim calendar or Hijri calendar): A lunar calendar

A calendar introduced by Julius Caesar in 46 BCE (708 AUC),

Calendars and W riting History

A great number of Hellenic calendars were developed in Classical

Despite various calendars used across millennia, cultures, and

V arious Hindu calendars developed in the medieval period with

Of all the ancient calendar systems, the Mayan and other

Islamic Calendar stamp issued at King

Anno Domini v. Common Era

A calendar era that is often used as an alternative naming of the

1.1.3: The Imperfect Historical Record

A scholarly method that comprises the techniques and

In the study of history as an academic discipline, an artifact,

A document or recording that relates or discusses information