Perry Anderson NLB Passages from Antiquity to Feudalism 0 NLB, x974 NLB, 7 Carlisle Street, London, WI Type set in Monotype Fournier and printed by Western Printing Services Ltd, Bristol Foreword 7 PART ONE I. Classical Antiquity I. The Slave Mode of Production 28 2. Greece 29 3. The Hellenistic World 45 4. Rome 53 II. The Transition I. The Germanic Background I 07 2. The Invasions z 12 3. Towards Synthesis 228 PART TWO I. Vestern Europe I. The Feudal Mode of Production 247 2. Typology of Social Formations 254 3. The Far North 273 4. The Feudal Dynamic 282 5. The General Crisis 197 II. Eastern Europe I. East of the Elbe 223 2. The Nomadic Brake 227 3. The Pattern of Development 229 4. The Crisis in the East 246 5. South of the Danube 265 Index of Names 294 Index 6f Authorities 302 Foreword Some words are necessary to explain the scope and intention of this essay. It is conceived as a prologue to the longer study, whose subject- matter follows immediately on it: Lineages of the Absolutist State. The two books are articulated directly into each other, and ultimately suggest a single argument. The relationship between the two - antiquity and feudalism on the one hand, and absolutism on the other - is not immediately apparent, in the usual perspective of most treat- ments of them. Normally, ancient history is separated by a professional chasm from mediaeval history, which very few contemporary works attempt to span: the gulf between them is, of course, institutionally entrenched in both teaching and research. The conventional distance between mediaeval history and early modern history is (naturally or paradoxically?) much less: but it nevertheless has typically been enough to preclude any examination of feudalism and absolutism within, as it were, a single focus. The argument of these interlinked studies is that in certain important respects this is the way in which the successive forms which are its concern should be considered. The present essay explores the social and political world of classical antiquity, the nature of the transition from it to the mediaeval world, and the resultant structure and evolution of feudalism in Europe; regional divisions, both of the Mediterranean and of Europe, are a central theme throughout. Its sequel discusses Absolutism against the background of feudalism and antiquity, as their legitimate political heir. The reasons for preceding a comparative survey of the Absolutist State by an excursion through classical antiquity and feudalism will be- come evident in the course of the second work itself, and are sum- marized in its conclusions. These attempt to situate the specificity of 8 Foreword European experience as a whole within a wider international setting, in the light of the analyses of both volumes. It is necessary, however, to stress at the outset the limited and pro- visional character of the accounts presented in each work. The scholar- ship and skills of the professional historian are absent from them. Historical writing in the proper sense is inseparable from direct research into the original records of the past - archival, epigraphic or archaeological. The studies below have no claim to this dignity. Rather than an actual writing of history as such, they are based simply on a reading of the available works of modern historians: a very different matter. The accompanying apparatus of references, therefore, is the opposite of that which denotes a work of scholarly historio- graphy. He who possesses authority, does not cite it: the sources them- selves - the primary materials of the past - speak through him. The type and extent of the notes which support the text in both these works merely indicate the secondary level at which they are situated. Historians themselves, of course, have occasion to produce works of comparison or synthesis without always necessarily having intimate acquaintance with the full range of evidence across the field concerned, although their judgement is likely to be tempered by their command of their specialism. In itself, the effort to describe or understand very broad historical structures or epochs needs no undue apology or justification: without it, specific and local researches fall short of their own potential significance. But it is nevertheless true that no inter- pretations are so fallible as those which rely on conclusions reached elsewhere as their elementary units of evidence: for they remain constantly open to invalidation by new discoveries or revisions of further primary investigation. What is generally accepted by historians of one generation can still be disproved by the research of the next. Any attempt to generalize on the foundations of existing opinions, however erudite the latter, must therefore inevitably be precarious and conditional. In this case, the limits of the essays involved are par- ticularly great, because of the span of time covered. In effect, the broader the range of history surveyed, the more compressed the treat- ment accorded to any phase of it will tend to be. In this sense, the full and difficult complexity of the past - which can only be captured on Foreword 9 the rich canvas painted by the historian - remains largely outside the scope of these studies. The analyses found below, for reasons of both competence and space, are rudimentary diagrams: no more. Brief sketches for another history, they are intended to propose elements for discussion, rather than to expound closed or comprehensive theses. The discussion for which they are designed is primarily one within the field of historical materialism. The aims of the method chosen for the usage of Marxism in them are set out in the foreword to Lineages of the Absolutist State, where they become most clearly visible in the formal structure of the work. Here there is no need to do more than state the principles which have governed the use of sources, in both studies. The authorities drawn upon for this survey, as for any basically comparative enquiry, are naturally extremely diverse - varying greatly in both intellectual and political character. No special privilege has been granted to Marxist historiography as such. Despite the changes of recent decades, the great bulk of serious historical work in the 20th century has been written by historians foreign to Marxism. Historical materialism is not a finished science; nor have all its practitioners been of a similar calibre. There are fields of historiography which are dominated by Marxist research; there are more, in which non-Marxist contributions are superior in quality and quantity to Marxist; and there are perhaps even more, where no Marxist interventions exist at all. The only permissible criterion of discrimination, in a comparative survey which must consider works coming from such different horizons, is their intrinsic solidity and intelligence. Maximum awareness and respect for the scholarship of historians outside the boundaries of Marxism is not incompatible with rigorous pursuit of a Marxist historical enquiry: it is a condition of it. Conversely, Marx and Engels themselves can never be taken simply at their word: the errors of their writings on the past should not be evaded or ignored, but identified and criticized. To do so is not to depart from historical materialism, but to rejoin it. There is no place for any fideism in rational knowledge, which is necessarily cumulative; and the greatness of the founders of new sciences has never been proof against misjudgments or myths, any more than it has been impaired by them. To take ‘liberties’ with the signature of Marx is in this sense merely to enter into the freedom of Marxism. Acknowledgments I would like to thank Anthony Barnett, Robert Browning, Judith Herrin, Victor Kiernan, Tom Nairn, Brian Pearce and Gareth Stedman Jones for their critical comments on this essay, or its sequel. Given the nature of both, it is more than conventionally necessary to absolve them of any responsibility for the errors, of fact or interpretation, which these contain. Part One I. Classical Antiquity The delimitation of East and West within Europe has long been a conventional one for historians. It goes back, in fact, to the founder of modern positive historiography, Leopold Ranke. The cornerstone of Ranke’s first major work, written in 1824, was a ‘Sketch of the Unity of the Latin and Germanic Nations’, in which he drew a line across the continent excluding the Slavs of the East from the common destiny of the ‘great nations’ of the West which were to be the subject of his book. ‘It cannot be maintained that these peoples too belong to the unity of our nations; their customs and constitution have ever separated them from it. In that epoch they exercised no independent influence, but merely appear subordinate or antagonistic: now and then lapped, so to speak, by the receding waves of the general movements of history.’l It was the West alone which had participated in the barbarian migra- tions, the mediaeval crusades, and the modern colonial conquests - for Ranke, the drei grosse Atenyuge dieses unvergleichlichen Yereim, ‘the three deep breaths drawn by that incomparable union’.a A few years later, Hegel remarked that ‘the Slavs have to some extent been drawn within the sphere of Occidental Reason’, since ‘sometimes, as an advanced guard - an intermediate nationality - they took part in the struggle between Christian Europe and unchristian Asia.’ But the substance of his view of the history of the eastern region of the con- tinent was closely similar to that of Ranke. ‘Yet this entire body of peoples remains excluded from our consideration, because hitherto it has not appeared as an independent element in the series of phases that I. Ldopold Von Ranke, Geschichte der Romanischen und Germanischen Volker von r494 6i.v ISI~,Leipzig 1887, p.