A Journal of Georgetown University's Tocqueville Forum for Political Understanding UTRAQUE UNUM

VOLUME 8, ISSUE 2 Summer 2015 Featuring The Danger of Democratic Equality Individualism, Democratic Despotism, and the Safeguards of Liberty

The Trinitarian Soul and the Golden Citizenry

Morgenthau and Morality in International Politics

Ruling by Reason Alone: Democratic Aristocrats and Philoso­ pher-Prophets in Alfarabi's Righteous Ummah

Christianity's Crowning of the Theotokos

Motivating Collaboration in Nazi-Occupied Ukraine

Enemies of Coincidence

Choral Music and the Voice in 19th-Century Vienna

"I Am and I Love": Wounds, Embodiment, and Incarnation in Crime & Punishment, Demons, and The Brothers Karamazov

Interview with Professor Jo Ann Moran Cruz Volume 8 Issue 2 Summer 2015

A Journal of Georgetown University’s Tocqueville Forum for Political Understanding Editor-in-Chief Jordan Rudinsky

Managing Editor Chris Grillo

Section Editors Mitchell Tu (The Forum) Kelly Thomas (The Chamber) Nicholas Richards (The Archive) Evelyn Flashner (The Sanctuary) Christina Eickenrodt (The Parlor) Andrew DeBraggio (The Clock Tower)

Utraque Unum

Georgetown University’s seal is based directly on the Great Seal of the United States of America. Instead of an olive branch and arrows in the Amer- ican eagle’s right and left talons, Georgetown’s eagle is clutching a globe and calipers in its right talon and a cross in its left talon. The American seal’s eagle holds a banner in its beak that states, E Pluribus Unum, or “Out of Many, One”, in reference to the many different people and states creating a union. The Georgetown seal’s eagle holds a banner in its beak that states, Utraque Unum.

As the official motto of Georgetown University, Utraque Unum is often translated as “Both One” or “Both and One” and is taken from Paul’s epistle to the Ephesians. This motto is found in a Latin translation of Ephesians 2:14: ipse est enim pax nostra qui fecit utraque unum. The King James Version of the Bible says, “For He [Christ] is our peace, who hath made both one”. Utraque Unum is the Latin phrase to describe Paul’s concept of unity between Jews and Gentiles; that through Jesus Christ both are one.

In view of the Georgetown seal, the motto represents pursuing knowledge of the earthly (the world and calipers) and the spiritual (the cross). Faith and reason should not be exclusive. In unity faith and reason enhance the pursuit of knowledge. Acknowledgements:

The publication of Utraque Unum was made possible by the generous support of Bill Mumma, Georgetown University Edmund A. Walsh School of Foreign Ser- vice Class of 1981, as well as the Collegiate Network. The Tocqueville Forum for Political Understanding additionally wishes to acknowledge the generous sup- port of The Veritas Fund as administered by the Manhattan Institute, the Thomas W. Smith Foundation, the Intercollegiate Studies Institute, and the Jack Miller Center.

The mission of the Tocqueville Forum for Political Understanding is to encourage a deeper engagement with the intellectual, theological, and cultural traditions that form the basis of the American federal democratic republic. The Tocqueville Forum sponsors these activities solely through the contributions of generous supporters of its mission. If you would like further information about support- ing the Tocqueville Forum, please e-mail [email protected] or visit http://government.georgetown.edu/tocquevilleforum.

As always, we welcome your thoughts and comments regarding this journal. If you are or once were a Georgetown University student, professor or staff mem- ber we would welcome the opportunity to review your work for publication in Utraque Unum. In addition to writers, we are looking for section editors, art- ists, graphic designers and web designers. Please e-mail the editors at utraque. [email protected] for these inquiries. Utraque Unum is a journal of the Tocqueville Forum for Political Understanding written and edited by Georgetown undergraduates comprising of essays on law and politics, religion, culture, and campus life and liberal learning at Georgetown University. The purpose of the journal is not only to acquaint students with the tasks of serious writing and editing, but also to allow them to think through complex problems in politics, in culture, and in Georgetown University life. If you are interested in submitting an essay to be considered for the Utraque Unum or would like to receive the latest issue via mail, please send an e-mail to the Editor of Utraque Unum at [email protected].

TOCQUEVILLE FORUM AT GEORGETOWN UNIVERSITY www.TocquevilleForum.org | Ph 202.687.8501 | Utraque Unum Summer 2015 Volume 8, Issue 2

Table of Contents

From the Editor-in-Chief...... 1

About The Tocqueville Forum The Only Sort of Learning, by Professor Thomas Kerch ...... 2

The Forum (Feature Articles) The Danger of Democratic Equality: Individualism, Democratic Despotism, and the Safeguards of Liberty, by Kevin Kimes ...... 4 The Trinitarian Soul and the Golden Citizenry, by Michael Scialpi...... 10

The Chamber (Articles on Law and Politics) Morgenthau and Morality in International Politics, by Alexandra Chinchilla...... 16

The Sanctuary (Articles on Religion and Theology) Ruling by Reason Alone: Democratic Aristocrats and Philosopher-Prophets in Alfarabi’s Righteous Ummah, by Michael Lessman...... 21 Christianity’s Crowning of the Theotokos: Defining the Nature of the Incarnation and Role of Mary in Humanity’s Redemption, by Kelly Thomas...... 27

The Archive (Articles on History) Motivating Collaboration in Nazi-Occupied Ukraine, by Patrick Gage ...... 32 Enemies of Coincidence, by Alexandra Chichilla...... 37

The Parlor (Articles on Literature, Film, Music, Plays, and Art) Choral Music and the Voice in 19th-Century Vienna, by María Teresa Roca de Togores...... 45 “I Am and I Love”: Wounds, Embodiment, and Incarnation in Crime & Punishment, Demons, and The Brothers Karamazov, by Katie Mitchell...... 54

The Clock Tower (Articles on Georgetown) Interview with Professor Jo Ann Moran Cruz, Associate Professor of History, by Louis Cona . . . . . 59

The Editor’s Desk

ear Reader, This Editor’s Letter is addressed to the new freshman class of 2019. It is our goal that Deach issue of Utraque Unum be a microcosm of the great enterprise of liberal education that, among much else, Georgetown offers you. In these pages you will find original reflections upon timely and timeless questions that engage sources old and new, from our canon and from others— reflections that contribute to the discussion that is the lifeblood of the University. This Georgetown offers you, but she does not offer it in the manner of most of the offerings you are by now dizzyingly aware of. You won’t find it in Red Square with a banner and free cookies. Nor will you get daily e- mails about it. It is in fragments scattered across this hilltop for you to find and to piece together (and it will have no intelligible shape apart from your doing so). At first finding it may give you the feeling that you’re visiting Chatsworth house, or one of its kind, to admire the art, only to notice someone letting the dog in the back door and at that moment realize, to your surprise, that people actually still live there. In this way, unlike the many offerings announced loudly and frequently, this offering may be discerned only by one who has an eye for it. If you worry this excludes you, don’t. For this eye is nothing more than curiosity paired with a modest measure of courage. It was this same eye, in fact, that moved Glaucon—young, ambitious, and somewhat stubborn like many a Georgetown student—to raise the question, at the start of Book II, without which Plato’s Republic would never have been written. A few months ago Georgetown lost another luminary when Fr. James Walsh of the Society of Je- sus passed away. About thirty years previous, Fr. Walsh had conveyed to the graduating class of 1986 a vision of their past four years. “Education,” he said, “is a matter of ‘conversation.’ It has to do with listening to and taking part in a conversation that has been going on for four or five thousand years. It tries to bring you into that conversation, with Shakespeare and Aquinas and Freud and Plato and Isaiah and a great many other people. It forms habits of mind that make you capable of being part of that conversation: reverence, a historical sense, a certain critical (and self-critical) awareness, an ability to enter generously, sympathetically, and imaginatively into the lives and feelings of people of other times and cultures. It forms in you the ability to listen; to go out of yourself; to be friends.” What Georgetown demurely offers you, in short, is the opportunity, not just to learn things, but to become educated. Do not settle for what your friends happen to think, or what your professor tells you. Follow Glaucon’s lead and raise the question without which your book will not be written. Endeavoring to answer it you will unearth, right here on this Hilltop, what no activities fair or email blast could possibly contain. Welcome to the conversation. Welcome to Georgetown.

Sincerely,

Jordan A. Rudinsky Editor-in-Chief ABOUT THE TOCQUEVILLE FORUM

The Only Sort of Learning

Thomas M. Kerch

he title of this issue’s Director’s Letter The start of another academic year is an ap- is a paraphrase of Fr. James V. Schall’s propriate time to recall the advice of Fr. Schall. T book, Another Sort of Learning. The Many of you will be concentrating on your premise of Fr. Schall’s book is that by acquiring courses in preparation for the careers you have an understanding of the ideas contained in great chosen to pursue. Others will be focusing on books, we become equipped to reach an under- the traditional Fall semester ritual of job inter- standing of ourselves. Reading leads to under- views. In both cases it would appear that there standing, which in turn leads to a recognition is little need for the sort of learning I have been concerning “the truth about our lives.” Under- discussing. Those who think this way could not lying Fr. Schall’s argument is the notion that we be farther from the truth. It is precisely at the must come to know ourselves and our place in times when the pressures of school and career the world. What better resource could we possess exert the strongest demands on our physical for this fundamental undertaking than to enter and mental energies that we must attend to the into conversation with the great thinkers, artists, intellectual resources we have cultivated dur- theologians, authors, and poets of the past and ing our years of study. As far-fetched as it may present whose ideas form the foundation of who sound, we can turn to the ideas of a Plato, Au- we are today and who we will become tomorrow? gustine, Tocqueville, or other great thinkers to Clearly, there are different sorts of learning. act as intellectual and spiritual guides for those The Oxford English Dictionary defines the word times when we are called upon to make difficult “learning” as “Knowledge acquired by system- choices. In other words, we should not merely atic study; the possession of such knowledge.” rely on the learned skills that enable us to prac- At a basic level we learn certain skills to enable tice a particular profession. Rather, the best way us to function in the world. At a higher level the in which to act in our daily lives and careers is by skills that we utilize in our careers constitute an- employing all the acquired intellectual resources other sort of learned knowledge. Beyond these which we have at our disposal. two types of learning, however, there is a third As you continue, and in some cases finish, and more significant type of learning. This is the your studies at Georgetown University, I urge type of learning that Fr. Schall discusses in his you to recall and make use of the sort of learning book; learning that forms and defines our char- that I have been discussing. As Fr. Schall argues: acters, and provides us with the intellectual re- “Yet, we must search for the highest things. We sources that enable us to question and confront must seek to erect cities where the search is not the problems we face in the world. It is the sort forbidden, even though in those cities where it of learning that allows us to make sense of our is not forbidden, it is not often pursued”. It is lives. Perhaps most importantly, it is this kind of our responsibility as human beings to follow learning that permits us to attempt to discover this pursuit; this life of the mind. If we cannot do meaning about ourselves and the cosmos. so for its own sake, then we at least must to so

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for the purpose of our own natures, for all those Schall and myself are very prominent among the with whom we have relationships, and for the Tocqueville Forum Fellows. Also, I would like to social and political communities of which we are thank the editorial staff of the journal for their members. Truly, this is the principal use for this dedication and hard work in bringing two issues sort of learning. a year to publication. All of you have my sincere In closing, I wish to express my admiration gratitude and thanks. and thanks for all the students who have contrib- uted essays to Utraque Unum. These writings are Thomas M. Kerch proof that the sort of learning defended by Fr. Interim Director, Tocqueville Forum

Utraque Unum — Summer 2015 | 3 THE FORUM The Danger of Democratic Equality Individualism, Democratic Despotism, and the Safeguards of Liberty

Kevin Kimes

n his seminal work Democracy in America, of individualism. This vice, while similar to French aristocrat Alexis de Tocqueville egoism, is a unique habit of solely democratic I studies the inexorable advance of demo- origin. For while egoism is a passionate and ir- cratic equality in the Western world by using rationally exaggerated love of self, individual- the United States as a fertile observing ground ism is “a calm and considered feeling which to see what political and cultural changes such disposes each citizen to isolate himself from the equality may engender. While noting the many mass of his fellows and withdraw into the cir- benefits that democratic equality can bring to a cle of family and friends; with this little society society, Tocqueville also recognizes a singular formed to his taste, he gladly leaves the greater danger, stating: “Vices originating in despotism society to look after itself.”3 In addition, while are precisely those favored by equality…Despo- egoism springs from blind instinct, individual- tism, dangerous at all times, is therefore to be ism springs from misguided judgment; it is due particularly feared in ages of democracy.”1 “more to inadequate understanding than to What are these despotic vices promoted by perversity of heart.”4 Before observing why this democratic equality, and how can they be miti- deficiency of understanding is dangerous, one gated? Tocqueville answers these questions by must first comprehend how this vice is brought arguing the following: democratic equality poses on through democratic equality. the risk of democratic despotism by causing men Tocqueville begins his analysis of the origins to tend toward individualism. This vice can only of individualism by comparing human relations mitigated through two concomitant safeguards, in aristocratic and democratic societies. In aris- namely voluntary associations and the doctrine tocratic societies, where people are rooted in a of self-interest properly understood. The vi- hierarchical social structure, everyone is linked ability of these safeguards can be demonstrated in one great chain of being. In democratic soci- through Robert Putnam’s Bowling Alone,2 which eties, where all social links (including economic notes the dire consequences that ensue when and political) are broken, this chain of being no such safeguards are eroded. longer exists. Consequently, members of demo- According to Tocqueville, the singular dan- cratic society do not see how their interests are ger that democratic equality poses is democratic tied up in the interests of others. Such members, despotism brought on through the civic vice Tocqueville states, “form the habit of thinking

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of themselves in isolation and imagine that their Equal in their servitude, these men have wholly destiny is in their own hands.”5 Thus democratic succumbed to the vice of individualism. At the equality engenders the civic vice of individual- same time, the despotic power that rules over ism by breaking the social bonds that tie mem- these men is absolute, provident, and gentle. For bers of a society to one another. Participation in Tocqueville, democratic despotism “would re- public affairs is not deemed necessary when one semble parental authority if, father-like, it tried is isolated from their contemporaries and unable to prepare its charges for a man’s life, but on the to understand how their interests might be re- contrary, it only tries to keep them in perpetual lated to one’s own. childhood…[It] entirely relieve[s] them from the With the definition and origins of individual- trouble of thinking and all the cares of living.”9 ism laid out, Tocqueville then explains why this Such a power permeates every facet of society civic vice is dangerous. He does so by first observ- through minute and uniform rules, regulating or ing a universal characteristic of despotism, namely directing all actions and industries. Observing its reliance on the isolation of citizens. Despotism, the disastrous effects such a power has on the according to Tocqueville, “sees the isolation of souls of its citizens, Tocqueville states: men as the best guarantee of its own perma- [Democratic despotism] does not break nence…A despot will lightly forgive his subjects men’s will, but softens, bends, and guides for not loving him, provided they do not love one it…it is not at all tyrannical, but it hinders, another.”6 Besides breaking such emotional bonds restrains, enervates, stifles, and stultifies so between citizens, despotism also seeks to break much that in the end each nation is no more the civic bonds between citizens. For a despot than a flock of timid and hardworking ani- “calls those who try to unite their efforts to create mals with the government as its shepherd.10 a general prosperity ‘turbulent and restless spir- The tragedy of this state of affairs is that it is en- its’ [and]…calls those ‘good citizens’ who care for tirely self-inflicted. Predisposed to individualism none but themselves.”7 Based on this understand- by democratic equality, members of democratic ing of the nature of despotism, it is quite easy to society are entirely capable of voluntarily relin- see how Tocqueville considers democratic equal- quishing their freedom in order to fulfill their ity and despotism to be fatal counterparts. Despo- harmful desire of becoming disengaged from tism’s attempt to turn civic disengagement into a broader civic life. So ardently focused on equal- public virtue is much more likely to be fulfilled ity, democratic Man is in constant danger of for- when democratic equality already predisposes getting that it is the liberty of self-government men to the vice of individualism. that truly results in the flourishing of his soul. For Tocqueville, the despotism that can arise Fortunately for democratic society, there are from democratic equality is unique and espe- two concomitant safeguards of liberty capable cially terrifying in its oppressiveness. Envision- of mitigating the vice of individualism: volun- ing the type of society that would exist under tary associations and the doctrine of self-interest democratic despotism, Tocqueville states: properly understood. Voluntary associations I see an innumerable multitude of men, all are organizations of citizens centered on achiev- alike and equal, constantly circling around ing specific common goals that require collec- in pursuit of the petty and banal pleasures tive action; not necessarily political in nature, with which they glut their souls. Each one they provide “an infinite number of occasions of them, withdrawn into himself, is almost for the citizens to act together and…[remind] unaware of the fate of the rest…He exists people that they depend on one another.”11 In in and for himself, and though he still may other words, voluntary associations are mecha- have a family, one can at least say that he nisms for collective action by which social bonds has not got a fatherland.8 among individuals are formed.

Utraque Unum — Summer 2015 | 5 The Danger of Democratic Equality |

According to Tocqueville, voluntary as- that this small public matter has a bearing sociations are critical for the preservation of on his greatest private interests, and there independence and even civilization itself in is no need to point out to him the close con- democratic society. A comparison of aristo- nection between his private profit and the cratic and democratic society makes this idea general interest.15 plain. In aristocratic society, there is no need Thus voluntary associations draw men away for voluntary associations, for “every rich and from their natural individualistic tendencies by powerful citizen is in practice the head of a per- clarifying how their personal interests are tied up manent and enforced association composed of in the interests of others. The more areas a gov- all those whom he makes help in the execution ernment leaves open to the purview of voluntary of his designs.”12 Collective action is not neces- associations, the stronger each citizen’s engage- sary because elite individuals have sufficient ment in public affairs and in establishing a good resources ingrained within a hierarchical social rapport with his comrades, without whom he structure to overcome societal problems. How- would be utterly powerless to accomplish any- ever, this is not the case in democratic society, thing. By building such bonds (i.e. social capital), where each citizen is independent, cut off the a democratic nation is able to mitigate the vice of great chain of being, and much weaker com- individualism, “a disorder at once so natural to paratively. Without the existence of voluntary the body social of a democracy and so fatal,” and associations, democratic citizens would be help- thus preserve the liberty of the people from the less in solving societal problems requiring col- danger of democratic despotism.16 lective action. Indeed, Tocqueville notes that “a The safeguard of voluntary associations is people in which individuals had lost the power concomitant with another: the doctrine self-inter- of carrying through great enterprises by them- est properly understood. This doctrine, accord- selves, without acquiring the faculty of doing ing to Tocqueville, inverts self-interest so that it them together, would soon fall back into barba- is re-directed away from the self and channeled rism.”13 Moreover, government would not be a towards others. Noting how American propo- sufficient remedy for such a deficiency. Thisis nents of this doctrine accept the inevitability of because only associations can artificially create democratic equality pushing men towards indi- the social bonds naturally missing in democratic vidualistic self-interest, Tocqueville states: “They society. In Tocqueville’s words, “feelings and therefore do not raise objections to men pursuing ideas are renewed, the heart enlarged, and the their interests, but they do all they can to prove understanding developed only by the reciprocal that it is in each man’s interest to be good.”17 In action of men upon one another.”14 other words, the doctrine of self-interest properly However, voluntary associations are re- understood holds that making sacrifices for the quired not simply for the maintenance of dem- good of another is ultimately beneficial for both ocratic society but also for the mitigation of the recipient and the benefactor. This doctrine, individualism. Voluntary associations perform while not new, is certainly tailored to the needs this critical function because each is centered not of democratic rather than aristocratic society. solely on public affairs in general but on public For in aristocratic society, the few elite individu- affairs that have direct and tangible effects on the als “entertain a sublime conception of the duties lives of each member (or are at least perceived to). of man. It gratifie[s] them to make out that it is Indeed, Tocqueville states: a glorious thing to forget oneself and that one It is difficult to force a man out of himself should do good without self-interest, as God and get him to take an interest in the af- himself does.”18 This sort of altruism is unthink- fairs of the whole state…But if it is a ques- able in democratic society; such overflowing and tion [of personal relevance], he sees at once transcendent disinterestedness is impossible

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when the rocklike foundations of birth and social of liberty laid out, a single question remains: class, which guarantee power regardless of the How viable are these safeguards for the pres- degree of sacrifice, have been worn away. For- ervation of liberty in democratic society; in tunately, this doctrine “has no difficulty in keep- other words, is Tocqueville’s argument true? ing its power [in democratic society], for it turns To answer this question, one must analyze the private interest against itself and uses the same effects of the erosion of such safeguards. If Toc- goad which excites [people] to direct passions.”19 queville’s argument is viable, then the erosion By turning the self-interest of democratic of voluntary associations and the doctrine of Man toward the interests of others, the doctrine self-interest properly understood would lead of self-interest properly understood plays a cru- to a surge in individualism and put society at a cial role in the mitigation of the civic vice of indi- greater risk of succumbing to democratic despo- vidualism. Tocqueville says its effects on human tism. Fortunately, social scientist Robert Putnam relations are as follows: provides insights for this scenario in his work The doctrine of self-interest properly under- Bowling Alone. stood does not inspire great sacrifices, but Putnam’s analysis is centered on observing every day it prompts some small ones; by the decline in civic engagement that has been oc- itself it cannot make a man virtuous, buts its curring in the United States since the 1960s, ex- discipline shapes a lot of orderly, temper- plaining the detrimental effects of that decline, ate, moderate, careful, and self-controlled diagnosing why it occurred, and offering poten- citizens…[Its] teaching may stop some men tial solutions to the problem. In his observations, from rising far above the common level of Putnam relates the decline of voluntary, social humanity, but many of those who fall below capital-creating organizations in all aspects of this standard grasp it and are restrained by American life, from religion to politics, to leisure, it. Some individuals it lowers, but mankind and even to the workplace. After examining the it raises.20 declining participation in each of these types of While it comes at the cost of the rare men who voluntary associations, Putnam concludes: can demonstrate extraordinary virtue, the doc- “Most Americans no longer spend much trine of self-interest properly understood ele- time in community organizations—we’ve vates the average member of democratic society stopped doing committee work, stopped to a higher level of enlightened self-interest. This serving as officers, and stopped going to enlightenment enables such members to moder- meetings…In short, Americans have been ate themselves and to turn their attention toward dropping out in droves, not merely from others. Only among such temperate and other- political life, but from organized commu- considering citizens can voluntary associations nity life more generally.”22 be formed to foster civic engagement, for such In other words, the United States has stopped organizations require the reciprocal sacrifices being the nation of joiners that Tocqueville re- that come with collective action. Thus the doc- marked were crucial to the preservation of lib- trine of self-interest properly understood com- erty. Thus Putnam demonstrates clear evidence bats individualism (and thus protects liberty) by of the erosion of voluntary associations in mod- conditioning citizens in democratic society to act ern American society, one of the requirements and think in ways that will allow voluntary asso- for evaluating the veracity of Tocqueville’s argu- ciations to develop. For that reason, Tocqueville ment. In addition, Putnam’s analysis provides sees this doctrine as “the strongest remaining insight into the erosion of the doctrine of self- guarantee against [citizens] themselves.”21 interest properly understood through its focus With Tocqueville’s argument on individual- on social trust between individuals in American ism, democratic despotism, and the safeguards society. Social trust is related to the doctrine

Utraque Unum — Summer 2015 | 7 The Danger of Democratic Equality |

of self-interest properly understood because it individualism. Indeed, the loss of voluntary as- is the conditioning of citizens under said doc- sociations, the “schools for democracy” is so det- trine that enables them to trust one another. If rimental to Putnam is forced to posit: citizens are not other—considering, temperate, A politics without face-to-face socializing and self-controlled, then they are certainly not and organizing might take the form of a trustworthy. Without that trust, the reciprocal Perot-style electronic town hall, a kind of sacrifices of collective action in voluntary orga- plebiscitary democracy. Many opinions nizations are not possible. Putnam puts forward would be heard, but only as a muddle of this idea when, paraphrasing Tocqueville, he disembodied voices, neither engaging with states: “Generalized reciprocity becomes hard one another nor offering much guidance to to distinguish from altruism…Nevertheless, this decision makers.”25 is what Tocqueville, insightfully, meant by ‘self- Surely, such a vision of government is not a far interest rightly understood’…Honesty and trust cry from Tocqueville’s own vision of just the lubricate the inevitable frictions of social life.”23 sort of isolated democratic society that would Unfortunately, Putnam finds that social trust occur under democratic despotism. Based on has also declined in modern American society. Putnam’s real-world analysis of the erosion of Using data such as public opinion polls, crime the safeguards to liberty and the surge of indi- rates, the explosion of “preventive lawyering”, vidualism that has resulted, and based on his and even increasing instances of accidents due vision of democratic society if such erosion is to road rage, Putnam is demonstrates that each not reversed, Tocqueville’s theoretical argument succeeding generation is becoming less and less is given very solid validity within the material trustful of others. Claiming that such a decline world. Thus, it is safe to conclude that his argu- in trust is one of the most revealing indicators ment is indeed quite true. of the fraying of the American social fabric, Put- In conclusion, Tocqueville argues that the nam is forced to conclude: “For better or worse, danger of democratic equality is that it poses the we rely increasingly—we are forced to rely in- risk of democratic despotism by causing men to creasingly—on formal institutions, and above tend toward individualism. This vice can only all on the law, to accomplish what we used to mitigated through two concomitant safeguards, accomplish through informal networks rein- namely voluntary associations and the doctrine forced by generalized reciprocity.”24 From the of self-interest properly understood. The vi- erosion of social trust, it can be inferred that the ability of these safeguards can be demonstrated doctrine of self-interest properly understood through Robert Putnam’s Bowling Alone, which has also been eroded. Thus the second require- notes the dire consequences that ensue when ment for evaluating the veracity of Tocqueville’s such safeguards are eroded. Certainly, modern argument is also manifested in modern Ameri- American society is more individualistic than can society. in recent decades. That much cannot be denied. Based on the erosion of these two safe- But is it too late? Have we, perhaps, already been guards to liberty, Putnam is able to draw a forced under the oppressive but gentle authority frightening picture for the state of American of the guardian state? It depends on whom you democracy. Without people getting civically en- ask. Some proponents of modern conservatism gaged through voluntary associations or being certainly seem to think so. Even some adher- other-considering through self-interest prop- ents of modern liberalism willingly accept that erly understood (due to a lack of social trust), such a state has arisen; indeed, they celebrate participation in democratic society is weaken- the guardian state, for if no one else in society ing. People are withdrawing into themselves will protect the most vulnerable, then in their and succumbing more and more to the vice of eyes the state has a moral imperative to do so.

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However, Putnam believes that such a state of on this topic among all citizens will be the only society is by no means inescapable or unchange- way to ensure not simply the betterment of our able.26 Using Tocqueville’s argument on how to society but also the betterment of our souls. preserve liberty in democratic society is how we as a country can find a way out of the rut Putnam Kevin Kimes is a junior in the College of Arts & Sci- has discovered this nation is in. Conversation ences studying Government.

Utraque Unum — Summer 2015 | 9 THE FORUM

The Trinitarian Soul and the Golden Citizenry

Michael Scialpi

lato’s Republic is widely considered to believes that if one finds the virtue of justice as be a foundation of political philoso- it pertains to the best city, one could therefore phy, or at the very least that of western understand justice as it pertains to the individ- P 27 philosophical thought. Yet while the work is im- ual. His logic is that, since the city is a structure mensely influential and revolutionary, this does made up of various individuals, a body politick not mean that it is correct in its prescriptions for as Hobbes would say, then justice and virtue society. Plato’s arguments are elegant, yet possi- within the city should mirror quite closely with bly predicated on erroneous or strained assump- what one finds in a human soul. Some may take tions that distort what seems to be intuitively issue with this statement, criticizing the meth- evident with regards to human nature. Further- odology at its core as flawed. Personally, I am more, his methodology is crafted in such a way apt to agree with those individuals, however I as to create cyclical fallacies that undermine the will leave it to the readers to accept or deny this strength of his message. I find that, however, claim; let us continue to follow the argument. Plato is useful in discovering a basic structure of Plato begins the creation of kallipolis (the the human soul that, after modification, leads to beautiful city) organically, with what is com- a richer understanding of human nature and its monly referred to the City of Pigs or in more del- place within the state. After this aforementioned icate terms, the Austere City. The city is founded modification, we find that the structure of the under the basis of needs; that men and women ideal city does not follow the lines of the kallipo- coalesce into cities and civilizations in order to lis but rather the structure outlined by Aristotle. fulfill certain needs that either cannot easily or It follows a structure that is built upon a natural at all be accomplished alone. Thus, the city is self-selecting process without the need of differ- founded on the principle that each individual ing hierarchical classes. does that which he or she does best in order to serve the collective good of each person fulfill- The Form of the City ing the aforementioned needs.28 It is important Where to begin? It may be most apt for me to to note that Plato inserts a premise that each in- start with the organic development of the city in dividual does one form of labor for purposes of much the same way the work itself does (though efficiency as it is this very premise that bears the I shall do so with some brevity). Through the foundation of his views on justice.2930 macrocosm of the city, Plato believes that it After a small quip from Glaucon that criti- is possible to learn the structure of the human cizes the austerity of this first formation (and soul and in doing so find a working definition thus granting it a name), Socrates begins to de- of justice that is both explicit and exhaustive. He scribe the next phase, the City of Luxury, or the

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Fevered City. Given that the city now has a new a whole and the maintenance of good relations, love of luxuries, it is inevitable (as described by both internally and with other cities[.]”37 When Socrates) for war to break out, as population he then asks what this form of knowledge is increases lead to the need for more land and called, and who has it within the city, Glaucon resources to fuel society.31 And since Socrates responds that it is guardianship and obviously convinced his audience earlier that each individ- it is the guardian caste who is characterized by ual must do only one thing for proprieties sake, such. By a similar tactic, Plato finds that courage it must be that there will be a new professional is the chief virtue of the Auxiliary caste as one military that takes up “defense” of the city, would expect courage to be the defining char- whereby those who have the greatest aptitude acteristic of martial prowess (which is this class’ for war and defense are trained since childhood essential function). to be a part of this new caste.32 These guardians, Temperance is a virtue that acts as a control in order to properly act as agents of the city, are of sorts—a means of binding. He states that we to be formally educated in both the physical and refer to one who has temperance as being self- philosophical curricula so that they are not only controlled and because of that fact, it must be true warriors for defensive purposes, but also so that one part of the soul dominates the other. have the ability to interact with society in a posi- Thus, Plato states that temperance is found in tive manner.33 It is this group of individuals that an individual when one moderates his or her is then further broken down in Book IV into the desires by means his or her reason. We see now two true classes: the Guardians (the rulers) and that temperance is a virtue that governs internal the Auxiliaries (the warriors). interaction rather than specific behaviors. Thus Now, after the establishment of the Guard- when applied to the city, temperance is a princi- ians class, Socrates states that the city, by the ple that governs the interaction of the individual merit of its guardians, is to be considered parts of the city and not found within a certain “good.”34 And since the nature of the city is con- group. sidered to be good, it must also follow that the Finally, after having gone through the former city be virtuous, for something virtuous is some- three virtues, Plato has Socrates reach the con- thing good, and vice versa.35 Thus, a city must clusion that justice is that which had been de- contain, in some way, shape, or form wisdom, scribed at the founding of the city: that all ought courage, temperance, and justice.36 to do that which they are most suited to do and should not “meddle” in the affairs and work of The Soul of the City others. With that Plato has found that justice, like Wisdom, Courage, Temperance, Justice. There temperance, is an overarching virtue that gov- is a certain inherent beauty to these concepts; erns an interaction of the parts and not their in- something that deeply resonates with each indi- dividual facets or characters. Now that we have vidual. At this point in The Republic, Plato begins seen to it that kallipolis is explained, we can move his search for the virtues of the city, with the goal onto Plato’s arguments for how the human soul of finding the specific virtue of justice. His meth- is structured, and its place in society. odology is that, if he can find the “location” of the other virtues, then he shall by default find The Form of the Soul the location of justice. The first two pieces of the soul that are deter- First, Socrates finds wisdom within the mined, are what in the Greek are referred to Guardians class (the aforementioned rulers of as the logistikon (the love and use of knowl- the city). Plato through Socrates, describes the edge and reason) and the epithymetikon (the wisdom of the city to be that which, “...[is not] place of carnal and concupiscent lusts). These about any particular matter but about the city as are determined through means of the principle

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of non-contradiction. He states, “It is clear that rule over the producing/consuming masses the same thing will never do or undergo oppo- (epithymetikon). While I must give credit to the site things in the same part of it and towards the elegance of the system that Plato has created, I same thing at the same time; so if we find this believe that there are both errors in the assump- happening, we shall know it was not one thing tions that lead to said system and that the argu- but more than one.” In order to make show how ment for the kallipolis system seems strained and this formulation is applicable to the soul, Plato perhaps even circular.41 describes a scenario in which the individual is at odds with himself or herself, which I do not A Few Criticisms believe is something hard for us to imagine. For At this point we can begin to look at the some example, there is a desire within each of us to eat of the issues present in Plato’s arguments. With foods that could be considered unhealthy. While regard to his statement on the nature of wisdom, we desire this, it goes against our reason to par- it would seem that Plato has taken too narrow a take in such pleasures, as we would be worse off scope. He dismisses the fact that wisdom is any- in the long term after receiving a short-term (and thing but a specifickind of knowledge. He states, what Plato would call false) gratification. Thus only a bit after the quoted material, that wisdom we find that there are at least two parts ofthe is “good judgement.” This is something quite human soul, that which is reasonable, and that agreeable, but the previous statement does not which is fueled by the illogical appetites.38 That seem to outline wisdom in general, but rather an individual can simultaneously want some- a form of knowledge such as diplomacy. That thing, and deny himself or herself said desire, one can judge proper relations in maintenance necessitates that there are two pieces of the soul of the city does not mean that they are necessar- (one for each action) by way of non-contradic- ily wise, but rather that they are diplomatically tion.39 As these two pieces of the human soul are knowledgeable. His rejection of the metal-work- represented in the macrocosm of the city (the ers as skilled rather than wise creates a false dis- guardians must use their wisdom to temper the tinction. A metal-worker may know metal better appetites of the producers), Plato believes the than all others, but by his knowledge of metal matter to be settled. working he will have knowledge unbeknownst At this point, Plato throws into the fold the to miners and soldiers regarding mining and thymoeides or “spirited” part of the soul (the soldiering respectively. Mining technique have piece by which we become enraged or moved positive or negative effects upon the quality of to action). He comes to the conclusion that the the metal used, and certain fighting styles may thymoeides portion of our souls can neither be degrade a weapon faster or cause it to break in of a part of the epithymetikon, for anger rouses battle. Knowledge is something that transcends us to do that which we do not wish to do (by use a singular profession, and this will have im- of an anecdote) nor that it be of the logistikon for plications later on in Plato’s conception of jus- there are those that are spirited but have little in tice. So, having knowledge in a specific form of the way of logic.40 This thymos is also, according knowledge does not beget wisdom but rather to Plato, the location of the love of honor, glory, knowledge of many forms of fact and relation and the expression of courage, which leads it are what constitute it. This is something that will to be the preeminent part of the soul within the espoused by Cicero at a later time, having been auxiliary. blessed with hindsight.42 The city (soul) is considered just and prop- His notions regarding temperance also pres- erly tempered when the guardians (logistikon) ents some issue. Plato is stating that if one is to with the aid of a properly honed and controlled be self-controlled, that there necessarily be a auxiliary (thymoeides) is able to combat and “greater part” and a “lesser part” to the soul. I

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do not believe that argument stands very well accommodates the nature of the human soul. as there are plenty of other considerations and Even though he states that this is the case, his possibilities besides a greater and lesser part. forced arguments would suggest otherwise. On However, his addition of the love of wisdom to another critical note, Plato separates desires into the wise part of the soul forces this argument a each of the parts of the soul; that the logistikon bit. Otherwise, one could say that the temperate contains the love of knowledge, the thymos con- man is he whose desires are properly ordered tains the love of honor, with the appetites being internally. Temperance would not in this case left with generally, if not only, negative desires. It promote hierarchy but equal harmony. While seems to me that desires in general ought to be I would be in agreement with Plato in essence, its own part of the whole, the good and the bad. that Temperance is found in kallipolis as an With this change, we come to the table in a new overarching characterization (at least within the light. In the following paragraphs, I will outline confines of his argument), I have strong reser- my own personal view on the structure of the vations with his specifics. That temperance is soul, based simply on internal reflection and in specifically found when wisdom (the guardian the subsequent part of the paper, determine the class) dominates over the desires/appetites (the government best suited for it. producer class) I find to go too far. Granted, this When I say that the soul is divided into three arises from Plato’s fundamental conception of parts, I need to make clear that I have one major the city which colors his arguments for where distinction from Plato. I believe that soul is not virtue lies within the individual. This begins to hierarchical, but rather made up of three distinct highlight that the macrocosm view doesn’t nec- parts that must work in complete equal harmony; essarily pertain well to the finding of human vir- one does not rule the other. It is impossible, by tue. Virtues for one being could be analogous to their very natures, for any one piece to act in op- that of another but to say that they are equivocal position to the others. There is a single, definite is another matter entirely. unity that contains very unique and distinct as- As for his conception of the virtue of justice, pects of the whole. One cannot separate any one there is little for criticism given what has just “piece” but neither could we call these facets the been said. That theory is derived from all of the same. For proprieties sake, I will refer to them other premises (as was the structure of the argu- as “parts” and “pieces” to help facilitate discus- ment). That justice is when the differing parts of sion. Plato seems to eventually hold a similar the city do not meddle in the affairs of the others view in his Laws but in that work he creates a seems to be a bit too constricting and assumes a bipartite theory of the soul’s structure which I separation of knowledge and skillsets that sim- take small issue with. ply does not exist. It seems to be predicated on The first piece of the soul is what I will call Plato’s views of expert knowledge, but as was logiki (which in Greek would mean rationality). pointed out earlier, that view doesn’t account for Unlike Plato’s logikon which is an amalgama- interlace within society. tion of both logic and the love of knowledge, logiki is solely the former in the strictest sense A Different Soul of the term. It is the minds capacity (our notions I agree with Plato that the soul is divided into of non-contradiction, existence, etc....) to formu- three separate parts, however it is my opinion late thoughts. The second piece of the soul is our that Plato’s conception, while insightful, is weak- thymos or anima. The thymos is that by which ened by his own methodology. By searching for we formulate thoughts. It is the part of ourselves the structure of the soul within the structure of a that gives us the ability to make decisions and city, Plato has lost a fundamental truth that one use the tools that make up the logiki to form the predates the other; the perfect city reflects and third part of our soul which I prefer to call skepsi

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or thought. It does not have bearing upon what is not be made for the development of a class sys- desired in and of itself, but it allows for its acqui- tem for the good of the city but instead be fo- sition. The skepsi is an important distinction as it cused more on individual eudaimonia. From the includes all desires, whether they be intellectual, flourishing of individual citizens, the state will physical, or what have you—the skepsi is a hier- naturally progress into its own perfected state. archy in and of itself of that which the individ- Education ought to shift the orientation of the ual believes.43 Thus our soul is divided into our skepsi toward the flourishing of the individual, capacity to think, that by which we think, and it ought to grant them the knowledge necessary that which we think. To put it in more mundane to achieve said flourishing, and it ought to tem- terms, I believe that the fundamental parts of a per the soul of the individual with virtue so that soul are intelligence, drive, and beliefs.44 the individual may truly flourish.47 Furthermore, there are varying degrees of When we take into account this new atti- change that can occur within the soul. The logiki tude that most individuals are capable of learn- is the most rigid as it is very difficult to exog- ing virtue, and that differences between us are enously change one’s intelligence.45 The thymos determined less by differences in virtue (which is less rigid than the logiki, and while one might can be taught), and more in physical or intellec- have a natural state of drive and anima, this may tual aptitude; we find that there is much more be changed over time; one may gain more or less room for society to grow.48 It ought to be that we fortitude throughout life.46 The skepsi does not do not solely strive to find a single philosopher change as the thymos does on a scale but rather ruler (a single golden soul), but to form a golden is malleable. The skepsi represents who we are, citizenry, in which all who are able live virtuous as it encompasses what we perceive and believe lives according to their vocational preferences. about the world and ourselves. Thus it is the With this view, government is seen to be more most changeable of the parts as it is partially de- organic. The rulers of the city ought to be those termined by our perceptions and capabilities. who show not only the greatest capacity for thought, but whose education has allowed them A Different City to find eudemonia in governance. While the phi- Virtue in regards to this soul takes on a new role. losopher-king may seem to meet these require- Virtues now act solely upon our skepsi. Whereas ments on the surface (and indeed he would), it as courage does have the capability of strength- is important to note that he is an individual that ening the thymos, virtues of justice, temperance, is both groomed and chosen among the popu- and wisdom are only applicable to what is con- lation by certain members of society. The issue tained within the skepsi. Wisdom begets the that arises in Plato’s construction of kallipolis is knowledge to build upon the skepsi, while tem- that its very nature as a construct makes it im- perance and justice both work to build it in such possible to establish naturally (his waves are a way as to be ordered toward what allows us meaningless without an already present class of to flourish. Courage, or rather its Roman incar- philosopher rulers powerful enough to establish nation of Fortitude, plays a part in its ability to a philosopher king). This new conception has a stabilize skepsi and allow one to keep to certain much more natural pathway toward fruition and premises and beliefs. could, as I will explain later, come about even in This view brings us more into accordance the midst of a society that is not virtuous (though with Aristotle’s views on virtue and education. chances would be slim). Since all of the virtues work in conjunction to The soul wishes for a society in which indi- regulate and shape a malleable portion of the viduals are able to enter into government based soul, there is much more capability for individ- on their own preferences for eudaimonia. It is ual greatness. We find now that education ought not that they are chosen to lead by some outside

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group, but that there is a self-selection process imperfect world to achieve a second best option, by which individuals within a virtuous society where the best still hopefully gain power. When elect themselves for positions of office based on these best gain power, it is their responsibility their own desire to govern and their virtues. Of to educate the populace in such a way that will course, this is predicated on the assumption the eventually lead to the true Aristocracy. education process mentioned earlier has im- parted enough to the individual to spur them Conclusion towards further education in governance and Of course, this final piece is based on the hope other applicable forms of knowledge. That being that the people recognize at least some sem- said, we find that the best form of government is blance of what is good for the whole of society. Aristocracy, yet this rule by the best (in a truly Plato’s Republic is centered on this notion that virtuous society) is ruled by those who are will- the state and soul are inexorably tied together in ing. While the philosopher-king must be chosen what can be seen as a one-to-one fashion. While and groomed by an outside force (creating a bit I do believe that there is a link between the two, of a catch-22 situation), these aristocrats are nat- I find that the notion of structural similarity to urally selected from among a virtuous and edu- be somewhat off. Government is meant to serve cated populace. The hurdle has become proper society, namely in the flourishing of its citizens. education in virtue and craft steering society. Furthermore, Plato’s class system within kallipo- Should the system allow individuals a proper lis is founded on arbitrary distinctions within the base knowledge of crafts and a grounding in soul that do not, I think, truly capture who or virtue, the natural aristocrats could then begin what we are. When we see the soul as a harmoni- to attain the expert “knowledge” necessary for ous entity, one that is for the most part malleable governance on their own.49 in society, the structure of the ideal government In reality, the best form of government be- changes drastically. Caste systems are not nec- comes the polity, by which the willing, who are essarily valid when individuals are not perma- not necessarily the most virtuous individuals, nently fixed in a certain state of virtue as Plato are constricted by the will of the general masses. would hold. Gold souls may be born, but they Those who are willing to rule attempt to take up are also made, and it is the purpose of the state office, but it is the people who, by nature of their to allow the entirety of its population shine in own desires, will hopefully choose the most the light. qualified and virtuous individuals in order to live in a respectful and efficient society. The goal Michael Scialpi is a senior in the College of Arts & is that of Aristocracy, but the polity allows for an Sciences studying Government and Economics.

Utraque Unum — Summer 2015 | 15 THE CHAMBER

Morgenthau and Morality in International Politics

Alexandra Chinchilla

“I have always maintained that the actions of states are subject to universal moral prin- ciples and I have been careful to differentiate my position in this respect from Hobbes.”50 —Hans J. Morgenthau

ans J. Morgenthau’s Politics Among morality in international politics? More widely, Nations is considered a classic text how can morality and ethics be understood in H of international relations theory. international relations and policy-making? Most well known are its famous six principles of Proper understanding of Morgenthau begins political realism, further narrowed down to the with a discussion of the unique historical context concept of interest defined in terms of power. that influenced Morgenthau and his work. Born Morgenthau’s principles are typically used as in 1904 in Coburg, Germany, Morgenthau was the starting point for modern neorealism, with a German Jew that grew to adulthood amidst its focus on the pressures of the international the economic difficulties and growing national- system that push states into a competition ism of interwar Germany. Emigrating from Ger- driven by the desire for power and the need for many in 1932 to Geneva, then Madrid, and lastly security. Neorealism, the dominant form of re- the United States, Morgenthau was personally alism today, has received widespread criticism, affected by the Second World War. Two of his with one author pointing out: “Realists are either seminal works on international politics, Scientific amoral analysts of the international system who Man vs. Power Politics and Politics Among Nations, focus only on power or immoral Machiavellians (both of which discuss morality and power in who see nothing wrong with using violence and sometimes conflicting ways) were published in deception to advance the national interest. This, the immediate aftermath of the Second World at least, is the caricature often found in critical War. Politics Among Nations was published in and even some sympathetic accounts of the real- 1948, as the Cold War began. ist tradition.”51 Neorealism, however, bears little Although writing against the backdrop of the relation to the classical realism of Morgenthau. Cold War, Morgenthau was far from a ‘cold war- Upon closer examination, Morgenthau thor- rior’ in the traditional sense of the term. Rather, oughly engages with the question of morality as the final chapters of Politics Among Nations in international politics, and his power politics reveal, Morgenthau’s central concern was the can actually be understood as an attempt to ad- “mitigation and minimization of those political dress the ethical issues of statecraft, even though conflicts that in our time pit the two superpow- he never fully resolves the tension in his work. ers against each other and evoke the spectre of What, according to Morgenthau is the role of a cataclysmic war.”52 The prescription for peace

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according to Morgenthau was accommodation and defeat.”55 This conception of diplomacy can by the instrument of diplomacy, an element of hardly be further from the modern Realist con- Morgenthau’s theory that is often overlooked in ception of politics as a zero-sum game. conventional depictions of his legacy in interna- While Morgenthau’s concept of interest de- tional relations theory. The end goal of diplo- fined in terms of power leads many to conclude macy would be to “create the conditions under that unbridled pursuit of national self-interest which it will not be impossible from the outset is the highest good, Morgenthau’s normative to establish a world state,”53 even though such a theory of international politics is sharply critical state is “unattainable” under present moral, so- of nationalistic ethics. His power politics is de- cial, and political conditions. signed to provide a better alternative for analy- The rather radical conclusion that a world sis that will avoid the dangers of the dominant state is the only possible method of achieving thinking at the time. Morgenthau did not set out lasting peace stems from the historical context of to create an amoral theory of international poli- Morgenthau’s writing. Morgenthau’s theory of tics; for him, “the choice was not between moral international politics is a direct response to what principles and the national interest, but between he saw as a troubling moralistic nationalism ac- ‘one set of moral principles divorced from politi- companying the nation state in the 20th century. cal reality, and another set of moral principles The Second World War was a clash between two derived from political reality.’”56 universalist systems of morality. Construction So what, for Morgenthau, is political reality of the conflict in this way removes the cause of and the framework of morality it produces? This the war from the political sphere, where com- essay discussed Morgenthau’s best practical promise is possible. This leads to demonization solution for peace (diplomacy) first, in order to of the ‘other’ in the conflict, with total war now contrast certain elements of his argument against acceptable and demanded, since the other side this solution, both to explain these arguments had no right to fight in the conflict. Morgenthau better and to show contradictions within them. saw this as inherent in the Wilsonian foreign The next part of this essay will analyze the three policy that turned diplomacy into a moral cru- parts of Morgenthau’s argument: the concepts of sade—the advancement of the liberal democratic interests, power, and morality. The interaction of order by force. Morgenthau witnessed the force interests and power occurs within the sphere of of nationalism in Nazi Germany, and he was dis- politics, while morality is a constraint on poli- mayed that the “new moral force of nationalistic tics, delineating its boundaries and possibilities. universalism”54 entrenched itself in the bipolar Some authors have emphasized the concept of system of the Cold War. tragedy that runs throughout Morgenthau’s Nationalistic universalism caused the decline work. This is a good place to begin the discus- of diplomacy as exercised during its golden age sion, since it strongly influences Morgenthau’s from the end of the Thirty Year’s War to the be- view of human nature, the nation-state, and ginning of the First World War. Diplomacy in moral perfectionism. its ideal form, as Morgenthau describes it, is a From the opening pages of Politics Among sort of sacred political space insulated from the Nations, Morgenthau takes a rather tragic view pressures of public exposure and the national- of human nature, stating that his theory stands ist sentiment brought by public demands. It is in opposition to that school of thought that “as- administrated by elite, educated, cosmopoli- sumes the essential goodness and infinite mal- tan diplomats who share a common set of val- leability of human nature.”57 Here Morgenthau ues and intuitively understand the ‘rules of the strongly implies that human nature as he sees it game.’ “Persuasion and compromise” prevail, is corrupted and fixed in its imperfect ways. This instead of the either-or choice between “victory is further articulated in Scientific Man and Power

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Politics, where Morgenthau refutes the idea Christians must therefore learn to live with that science can be a means of correcting “the reality, rather than assume that it will sud- irresolvable tragedies of human existence.”58 denly be transformed…. Christians are The corrupt human nature is characterized by therefore obliged to engage in politics. De- the will to power (the animus dominandi), which spite the moral hardships involved, they leads man to pursue power for its own pur- owe a duty to society…. The grievous neces- poses. Politics itself is the sphere in which this sities of political life must not be moralized, pursuit of power takes place. As Williams points but accepted as a mark of the wretched- out, this idea of politics does not imply eye-for- ness of human life. However virtuous men an-eye, tooth-for-a-tooth struggle; it is a delib- are, the taint of corruption upon all action erate attempt to reduce politics to its essence makes moral perfection ultimately impos- and differentiate it from other spheres, making sible. They must simply struggle to do their it a limited and autonomous sphere in keeping best, and hope that their virtue will attain with the Weberian legacy of politics. This has them forgiveness for their sins.59 important analytical value for Morgenthau, as Murray sees echoes of this in Morgenthau’s distilling the essence of politics to the pursuit work, speaking of the “dialectical relation be- of power allows us to focus on the interest cal- tween the imperatives of a transcendental mo- culations that determine how states behave. As rality and the dictates of recalcitrant reality Williams points out, in Schmitt’s conception which characterizes Morgenthau’s realism, not of politics (which Morgenthau’s conception the moral derision or ignorance of Machiavelli parallels), politics is essentially a blank space or the moral relativism of Hobbes.”60 Therefore, where negotiations to determine policy can take a morally perfectionist theory of international place. States do not have permanent interests, politics, like the liberal ‘moral crusaders’ that as those who hold the reins of power construct Morgenthau derides, fails because it assumes them. Morgenthau acknowledges in his third the basic perfectibility of mankind. Morgenthau principle of realism that interests and power seeks to walk the line between acknowledging change depending on the political and cultural universal standards of morality, without falling environment. into the traps of crusader politics (which glori- Despite the tragedy in international politics, fies war and obscures political visions), scientific Morgenthau does not take a Hobbesian-Machia- rationalism (which ignores the tragedy of poli- vellian approach to humanity. Life is not nasty, tics and the reality of the pursuit of power), or brutish, and short, and as the quote at the be- unbridled pursuit of power (which leads to more ginning of the essay stated, Morgenthau himself bloodshed and strategically bad decisions). rejected attempts to label him as a Hobbesian The Augustinian reading of Morgenthau thinker that has rejected standards of universal is right in that it highlights the contradictions morality. A.J.H. Murray argues that Morgen- that are not fully resolved within Morgenthau’s thau’s view of human nature and its possibilities thinking. By calling our attention to the lust for improvement lie within the Judeo-Christian for power within the individual, and exposing tradition articulated by Augustine. Augustine is the evil within the very nature of politics itself, well-known within the Christian tradition for Morgenthau lays out a sort of ‘total depravity’ his defence of the doctrine of original sin against of politics, in contrast to the high standards of the Pelagians, but he also was a noted thinker morality. If politics is evil in its core, the pursuit on other pressing questions, such as how Chris- of it, no matter how personally just the politi- tians should live in this world, a topic discussed cians are, cannot help but be tinged with evil. By at length in The City of God. Murray summarizes rejecting the moralism of countries such as the Augustine’s argument: United States during the Cold War—which some

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argue brought about the triumph of liberalism— between power and common good. To act Morgenthau’s theory essentially marginalizes successfully, that is, according to the rules political decisions that are made to promote a of the political art, is political wisdom. To moral agenda. know with despair [the tragedy] that the po- Furthermore, Morgenthau explicitly rejects litical act is inevitably evil, and to act never- the notion that states can define a universal and theless, is moral courage. To choose among nationalistic standard of morality, in favor of several expedient actions the least evil one one organically developed among a community is moral judgment. In combination of politi- of nation states. In that case, how can states con- cal wisdom, moral courage, and moral judg- demn the behaviour of states that disregard the ment man reconciles his political nature universal standards which Morgenthau admits with his moral destiny.63 exist? And what about actions that are morally Further extending Morgenthau’s argument, dubious but politically advantageous, or directly Anthony Lang focuses on how the existence of a affect national survival? Murray puts it this way: political framework modified by prudence makes “Morgenthau’s statesman is thus faced with Morgenthau’s solution of diplomacy workable.64 the dilemma that to apply moral imperatives States do not exist in isolation but in a commu- directly will yield disaster, while to abandon nity of other states in the arena of international them altogether will contradict the necessities of politics. The choices of the other members of the conscience.”61 community limit and shape the range of avail- There are two possible ways to address this able choices, thus states learn to moderate their tension. The first is outlined by what Murray behaviour because they must take into account calls “the Augustinian synthesis:”62 if national the preferences of others. Perhaps prudence can survival is the highest moral good, then interest be to Morgenthau’s dialectic of international and morality can be united. Many people have politics what grace is to Augustine’s theological found this very unsatisfactory, however, as it dialectic. justifies acts in the name of national survival that Despite the unresolved tension between mo- many Western states, and our own consciences, rality and politics within Morgenthau’s theory, would call morally reprehensible. when properly understood, it has much insight As another way of resolving this tension, to offer both international relations theorists Lang explores the virtue of prudence, taken and policymakers. Morgenthau promulgated a from Aristotle’s Politics, which moderates the thoughtful brand of Realism, one that elevated ambitions of power and makes a diplomatic shrewd political wisdom, moral courage, and solution to the problem of conflict possible. For moral judgment to discern between the con- Lang, the ethics of Morgenthau in international flicting political pressures within the nation politics is governed by an Aristotelian view of and abroad. Morgenthau’s Realism was deeply ethics, whose cardinal virtue is prudence. Like aware of the dangers of hubris, which had no Aristotle, Morgenthau aimed to create a posi- place in the diplomatic community that he en- tive theory of agency that explained why people visioned. While his lack of prescriptive moral behave the way they do, as their behavior and principles may seem frustrating to international goals are influenced by their environment. Be- relations theorists, the dialectic in Morgenthau’s cause of the animus dominandi, political action normative theory bear much resemblance to the can never reach the standards of a perfectionist real world, where policymakers frequently make morality. As Morgenthau states: moral choices among multiple evils, where the Neither science nor ethics nor politics can only “right” choice is the lesser evil. resolve the conflict between politics and Far from being an irrelevant or missing part of the ethics of harmony. We have no choice Classical Realist theory, morality plays a central

Utraque Unum — Summer 2015 | 19 Reflections in Tribute from Former Students |

role in Morgenthau’s conception of international Although the international order has changed politics. Politics Among Nations was a response to in the over 65 years since Politics Among Nations, what Morgenthau saw as the moralist crusades Morgenthau’s theory of international politics is of the 20th century, which crowded out the space still relevant today. Its value stands primarily for diplomacy and set two nuclear-armed super- in its injunction to avoid moralist crusades and powers against each other, with the potential to attempts to export a particular system of moral- destroy the world. Morgenthau’s theory of poli- ity and government to the rest of the world. As tics as the pursuit of interests defined in terms of United States foreign policy recovers from the power was not a license for wanton warmonger- loss of strategic clarity during the crusade-like ing or for reckless pursuit of power. Rather, it Global War on Terror, policymakers would do was an attempt to lay out a workable solution well to keep Morgenthau’s cautions and princi- for states with legitimate differences to achieve ples of good diplomacy in mind. Adopting a for- peace, which cannot resolve these differences eign policy of, in the words of President Obama, until they mutually acknowledge the right of “strong and principled” diplomacy based on na- other states to pursue their own interests. Good tional interests, but tempered with humility and diplomacy, according to Morgenthau, requires prudence, would be a positive step forward for understanding what the other party values and Western nations.65 being willing to compromise on interests that are not vital. Alexandra Chinchilla is a senior in the School of For- eign Service studying International Politics.

20 | Utraque Unum — Summer 2015 THE SANCTUARY

Ruling by Reason Alone Democratic Aristocrats and Philosopher- Prophets in Alfarabi’s Righteous Ummah

Michael Lessman

lfarabi, a tenth century Baghdad Ar- which is guided by the philosopher-prophets: istotlean, Persian or Turkish by birth, the aristocrat ruling by reason alone and thereby A carves out the bed through which democratically making Truth accessible to all. the river of Arabic philosophy would flow after Alfarabi’s book is essentially concerned with him—a brook including Yahya ibn ‘Adi, Ibn Sina, defining the very form and matter of - thecom al-Ghazali, Ibn Rushd, and Maimonides. His so- munity, and how one can descry the object briquet, the “Second Teacher” is given to him in which the Community is defined and how due to this influence of his, as well as his capacity its substance is known by mind. For Alfarabi, to pithily grasp much of Aristotle’s political and Language and Memory coalesce to generate metaphysical thought. His Book of Letters (Kitab one people; the fruition of philosophy and reli- al-Huruf), Alfarabi’s expositional commentary gion perfect them—so that while speaking and to Aristotle’s Metaphysics, is consequently a recollecting is the basis for a community’s sub- crucial work for Near eastern philosophy, not sistence, the community’s existence fruitions only because it signifies the great achievement of through reason reckoning and memory recalling transposing Aristotlean metaphysics into Arabic the Divine Origin of humanity. One might think thought, but also because within it lies the es- that Alfarabi’s Book of Letters is consequently an sential political logic that would prove to define overly-Aristotlean political philosophy; yet, an the Arab philosopher’s comportment to divine original ontology and epistemology are woven revelation. In this Book of Letters, particularly in into the fabric of this book; metaphysics does not Books 23-25, Alfarabi lies the groundwork for a cease, for Alfarabi, where the study of man and political philosophy that treats the community - the rational ordering of political activity begins. the Ummah—as a hylomorphic substance that Rather, metaphysics is also a social phenomenon therefore has both a form and matter. The Um- or, better yet, is excavated to be used as the great mah’s form and matter, for Alfarabi, is language jewel for the rightly guided community, which, and historical memory: consequently, Alfarabi’s in good Aristotelian fashion, develops and im- —and by extension Arabic philosophy’s—ideal proves the natural art of reason towards man’s political society is historical. The Philosopher’s end. Man’s End is the happiness of all peoples fullness is in his prophethood, his capacity to given concrete historical life when metaphysics, instantiate the fully just regime; not, unlike in and thereby the art of logic, is allowed to take Plato, in his capacity to embrace his own death over the reins of government to form, not only (see Socrates’s death; footnote to be added.). political life, but language and memory. Reason Alfarabi’s righteous ummah is that community incarnate—philosophy and religion founded

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by prophets—is the fundamental prerequisite political ramifications. Furthermore it is also for human flourishing. Reason in Alfarabi, and unlikely that al-Farabi would have taught that consequently in Arabic philosophy, then, is not Aristotle and Plato as being diametrically op- grounded in a timeless state; rather, because Rea- posed to one another.67 Unlike Plato and per- son is constituted as the divine overflowing into haps Aristotle, al-Farabi does not liken the parts matter, truth is always located, for the Arab phi- of the soul to the parts of the state, making the losophers, in the Timeless manifested through person a microcosm of the polis. Rather, he takes the sagacious prophets. Reason incarnates itself the community (ummah) as a real thing, inde- through the words of philosopher-prophets, pendent, though consisting of, its various mem- whom we might call democratic aristocrats as bers. Alfarabi’s Platonic Aristotleanism thereby they, unlike the Stoic dwelling in his private gar- grounds his philosophica lhorizon solely in his- den, munificiently mediate their knowledge to torical time; yet, for Alfarabi, the political hori- mankind for the sake of man’s beatification. zon of philosophy is in the end made possible by Consequently, the Philosopher in the stream his direct knowledge of the Ideas. of Arabic political philosophy finds himself Al-Farabi therefore does not set up the state ruminating upon the nature of language and as an analogy to the soul, like Plato, Alfarabi is memory of the community, as part of a people’s more interested in the nature of the righteous teleological potency to manifest, or beget, some community more than the character of the indi- perfect lawgiver.66 Al-Farabi, in this sense, is then vidual, philosophical soul. To look at this com- more universal and ideal than Aristotle because munity, or Ummah, Alfarabi considers language he dwells on the Ideal as governing its concrete to be the form of the community, whose matter, historical expression. Alfarabi’s humanism, like- then, are the human beings within it who are wise, attempts to unconceal the hylomorphism shaped according to their dispositions: that is, of the expanding Anthropic Community itself, who possess historical memory. The commu- rather than the substance of some specific mani- nity and the human beings within it develop, if festation of culture in a particular, local com- unhindered, move towards a “fullness of time” munity. Alfarabi is not after custom, but her wherein a lawgiver will arise who shall legist- timeless Idea; not laws, but the Law. late according to the principles of demonstrative On the other hand, Alfarabi is more particu- philosophy.68 He thereby democratizes, through lar and historical than Plato - he contemplates religion, the happiness that until then was only human society in light of its historical develop- within the grasp of the theoretical philosopher.69 ment. He does not refract human experience However, in good aristocratic fashion the phi- through the prism of a utopianism, which might losopher keeps the highest position in the com- reveal the individual soul’s fierce struggle to munity, being the “elect unqualifiedly.”70 Yet in pierce through the mists of ignorance to the Di- good democratic fashion, he—through his boun- vine Ideas. Rather, Alfarabi locates the Law and tiful capacity to mediate truth—makes bliss and the Idea of culture in its fruition in time medi- eternal life available to all. ated through philosopher-prophets, so called In Book II of the Book of Letters Alfarabi sug- here because Alfarabi’s prophet is the philoso- gests that the language of the ummah is the pher who can properly teach his community and incarnational vessel for philosophical truth tran- thereby refract the divine light into the prism of scendent of time. For one, he treats philosophy, the world. which for the Greeks was a lonely, dangerous Ultimately, though, al-Farabi rejects the as- calling, as a communal property. For Alfarabi, sumption that the community and its individual philosophy deals with universal truth, which parts are inseparable. Philosophy is never, for may or may not conflict with religion, the be- him, solely an individual venture that has no liefs of the multitude, and so must, in its ideal

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state, make truth available to everyone. In vari- so that just as sophistry and poetry arise when ous places al-Farabi defines philosophy as the utterances become ambiguous and equivocal as “knowledge of existing things insofar as they a consequence of native-speakers beginning to are existent (Harmonization, 25),” while in the Ex- distinguish between universals and individuals hortation he makes the peculiar case that moral (Letters, 123-126). philosophy is preceded by theoretical philoso- However, that whose end is teleological and phy. To be more exact, to achieve happiness, the natural cannot also have that same end as an art. acquiring of seemly things is required, which in Therefore, considered as belonging to the es- turn can only be attained only through philoso- sence of the community, philosophy is its natu- phy. Philosophy, in her turn, arises in those of ral end. It is not an art, and thereby an accident, good judgment, which these individuals find of the virtuous city. Considered in its function through strength of mind. This strength, finally, within that society, philosophy depends on, and is developed through logic: the ability to dis- makes use of, the pith of its branches, rhetoric cern truth and falsehood.71 This intricate chain and sophistry, to invigorate and guide the whole of cause and effect ties the origin for the practi- in a return to its origin: the ordinary arts and the cal art of political philosophy in the rich, golden people. Philosophy is the natural fulfillment of vein the theoretical; in a similar vein, al-Farabi the ummah, in that through Sophia the virtuous says that ”if a religion depends on a philosophy city can burst into and persevere through his- perfected after all the syllogistic arts have been tory; yet, Philosophy is also an art insofar as it distinguished from one another in the way and becomes a tradition to be handed over to succes- the order that we have recounted, it will be an sive generations in that city. excellently valid religion.”72 Philosophy, that is, the attainment of hap- The order al-Farabi has in mind is in chap- piness and the knowledge of existing things, ter 23, where philosophy gradually emerges in is thus essentially social, It is the ummah’s es- a civilization, finally being perfected in both its sence fully laden with fruit. Likewise, just as an theoretical and practical arts, after which it is unhealthy tree bears no fruit, so a community, transmitted as an art in that society: the elite will based in erroneous religion or a philosophy of learn demonstration, while the multitude will opinion, cannot bear fruit. Philosophy and re- acquire its truths through dialectics, rhetoric, ligion, in that ummah, are condemned to eter- and poetry.73 nally conflict with one another. the philosophers Thus, for each individual member of that in those cultures, eventually withdraw or are community in which perfected philosophy driven out by the ignorant (Letters, 148-153). flourishes, that philosopher is learned in and To be clear, though religion is a function of uses logic as an art, for the sake of both the elite the lawgiver who uses rhetoric and poetry to and the multitude.74 However, this practice for persuade the multitude, it does not necessarily the individual is of an entirely different kind follow that the philosopher cannot acquiesce for the philosophy of that community consid- to the beliefs of the religion. On the contrary, ered as a whole rather than its individual parts. if the religion’s laws are derived from demon- al-Farabi, significantly, describes philosophy as strative philosophy, then the philosopher must an artisan only in its relation to theology and in fact admit the soundness of that religion and religion (Letters, 110). In its relation to dialectics its unity with philosophy. He will recognize the and sophistry, philosophy is prior to them just image of the theoretical intelligibles and cease as “the tree being nourished is prior to the fruit actively opposing it.75 or in the way the tree’s blossom is prior to the Thus, Philosophy and Theology, Law and fruit (Letters, 110).” The tree as a whole, presum- Reason, are in harmony when they both are de- ably, is the community, whose root is language, rived from the perfected arts that ensure definite

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demonstration, and which are fully independent the vehicle for Truth, an Ark bearing the rightly- of unexamined opinion. For al-Farabi, that com- guided through the destructive flood of histori- munity whose linguistic purity is maintained cal time. will maintain the harmony of all its individual In this case language, the form of the com- parts. Generally speaking, a religion which ”[…] munity, not only preserves, but gives shape to depends on a philosophy perfected after all the and unifies the multitude and the elect, while the syllogistic arts have been distinguished from matter, memory, is the clay which speech forms one another in the way and the order that we according to its will. Put another way, while have recounted[…] it will be an excellently valid memory collectively held is a kind of experi- religion.”76 ence resembling primeval matter, without form To be more precise, religion, when its legis- shape, or meaning; language gives sense and lation is the image of the philosophy generated meaning to historical experience: it is the Idea from good judgment and the Master of Logic, molding primeval matter into a community with will perfectly guide its followers towards the both a history and guidance from the Eternal. achievement of final happiness. The philoso- Erring religion, on the other hand, arises phers, seeing the truth, will enable the many to when it is based in philosophies containing see the same truth as incarnated in the images within them unexamined opinion. The cause for fashioned to the needs and capacity of the multi- this is the imperfect mastery, on the philosopher’s tude. Hence the community will be in complete part, of the arts of dialectic.78 The image becomes accord with itself without, as it were, ill-humours even more corrupted than that philosophy, and causing fevers or distempter within it. anything flowing from this wellspring will be- Valid religion is harmonious with philoso- come more and more polluted, especially as it phy. This harmony, significantly, does not seem becomes increasingly separated from its root by to be rooted in the religion’s particular laws, but history.79 Ominously, any religion or philosophy rather in the principles that guide the lawgiver that is imported into another community will in all his legislation. What this harmony is, at generate disharmony just as foreign elements of least, is an ordering of the philosophical soul en- a language, when used by another people, will sconced in language so that it uses its intellect as cause change and rupture in that language such a benefit for the whole community. In this con- that the various arts revolving around the use of text, the elite may without censure compromise utterances will be confused. It would seem, then, the purity of language for the sake of perfectly that theology and philosophy cannot exist as one forming demonstrative philosophy, the root of in communities whose guiding principles are ad- health for the body juridical. While this concern mixed with unexamined opinion. for the whole echoes the Greek concern that phi- The erring community is not without a reli- losophy must edify, the Book of Letters is unique gion or philosophy. Indeed, it is impossible for in that, because it take the Ummah as a sepa- a community to exist without one or the other. rate, hylomorphic compound, philosophy must Rather, it errs because either its religion or phi- also be intricately concerned with grammar losophy mistakes falsehood for truth regarding and logic in order to achieve harmony of form. the causes or theoretical sciences. The good com- Harmony of language, then, being essentially munity is then that which discerns the true from concerned with the many, indelibly impacts the the true and the false from the false,80 and while individuals souls. Doing so, correct language is it is not immediately clear whether this com- the necessary, though not sufficient, cause for munity must hold to a form of perfect justice the harmony of the matter of the ummah: the in its laws, it at least requires a certain interwo- individuals in the towns and country who par- ven, strengthening harmony between religion ticipate in the virtuous city.77 Language becomes and philosophy.81 At the very least, then, the

24 | Utraque Unum — Summer 2015 | Reflections in Tribute from Former Students

theoretical sciences must be in harmony with For al-Farabi truth as such transcends time. one another, while the practical arts, those con- While philosophy is rooted in it, the philosopher concerning (ةقيقحلا) cerned with the will and actions of man, would may still grasp true reality ostensibly reflect this inner harmony in the the Cause of Causes as well as the mathematical rightly-guided ummah. and geometrical form of motion or substance in Truth, then, and its relation to reality, are things. As shown already, though, philosophy contingent on the past reception of both religion will egregiously err when it is not fully formed, and philosophy. One cannot flourish without when it inadvertently using unexamined opinion. the other, and each include the other as part of Therefore, there is special merit in reading its end. Indeed, conflicting philosophy and re- the Book of Letters as primarily treating the um- ligion is the mark of Cain that distinguishes an mah as having a separate existence from the in- erring community from one grounded in truth. dividual soul. One can philosophically explain After all, the death of Socrates was a sign that the philosopher’s fascination with language and Athens, despite its love for freedom, still clung grammar. One also, rather neatly, avoids dully to its old superstitions of the gods. proffering a historical description of that con- Could this mean, then, that the philosopher cern. We can explain, then, why al-Farabi writes is, as Hegel supposed, a product of his time, a history of culture and a political philosophy in insofar as he is radically dependent on the past a work seemingly concerned with theoretical sci- and his language? It would seem on the one ence—atemporal logic and metaphysics. It may hand, that the community takes unprecedented be why, for al-Farabi, philosophy may sponta- importance for al-Farabi in the emergence of neously be both practical and theoretical, both philosophical thought. Conversely, however, the moral and profound. The practical, one might influence of the philosopher in the community say, must be grounded in the whole of philoso- is also totally unprecedented. The “Farabian” phy, since it is like the fruit of the tree of knowl- philosopher can be rooted in time and language edge: the past incarnating itself in the present. while still having the capacity to intellect the Theoretical philosophy’s ripe harvest, on the first intelligibles and primary paradigms. Much other hand, is a practical philosophy that inter- of the Book of Letters and the Utterances also at- nally harmonizes the community under Law. tempt to assure the reader that there is a logical The evidence for Alfarabi’s ummah having connection between grammar and logic, such substance and essence is most evident in the that particular language can ascend to universal importance he places in the development of its logical propositions. language. He uses the meaning of signs in lan- What does follow from presenting the com- guage as a helpful way to explain his intense munity as a hylomorphic compound consisting concern for the principles of linguistic transla- of language and historical memory is that every tion and morphology in the Book of Letters. Lan- community must relate to the truth in some way guage, for al-Farabi, carries meaning regardless —even if, for example, it denies truth’s very ex- of whether it is spoken or written. It reflects the istence and its fruit withers. Every community, patterns of the soul formed by its aesthetic or then, has a philosophy and is essentially gov- intellectual perception of existents.82. In its turn, erned by some lawgiver and some philosopher’s language forms the dispositions and form of the principles. Whether or not this community will individual souls through historical memory. reflect truth is, in a way, not up to any particu- This is the incarnate ummah. If the soul is com- lar person in that society. Its fate is much like posed of both matter and form, then, in addition the fate of Alcibiades in the Platonic Dialogues: to its psychical makeup, language also informs some communities, like him, are destined to a the physicality of the soul’s body: specifically, history of vice and tyranny. in the use of the throat and larynx. Al-Farabi’s

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scientific philology, rather than oddly misplaced (i.e., grammar),86 minds arise curious about the in a book on metaphysics, is entirely in keeping causes and the mathematical discoveries of the with the Aristotlean paradigm of the insepara- practical arts. As they formulate dialectics and bility of the form from matter. He demonstrates, mathematics and, when they return to the pro- then, that the soul’s form, as determined by lan- verbial cave, these minds create political phi- guage and its disposition, also informs the body losophy and a corresponding vocabulary. So is wherein it dwells through the use of particular theoretical philosophy born and reaches its apo- muscles in uttering meaningful sounds.83 gee87 as the fruit of language and memory. A further study is required to makes sense of This morphology of language, then, impacts how one thing, the community, can be made up the being of the souls in that community, in the of essentially many, the individual souls. At the same way that souls/ideas, inseparable from least it can be said that the people of a civiliza- matter, give life to and move its physical instan- tion participate in it through knowing their lan- tiaton in time. guage and past. Yet, their civilization is greater, Thus, reading al-Farabi’s book as being es- as a whole, then the amalgamation of the num- sentially concerned with the form of the com- ber of souls within its tradition. Tradition itself munity provides a holistic interpretation for the is a kind of living thing, unable to fully manipu- Book of Letters because it takes into account the lated by any one individual. myriad, seemingly disparate topics the philoso- Ultimately, the souls of the elite—philoso- pher addresses. We see his concern regarding the phers and prophets—are inseparable from the essence of the ummah manifest itself in that he community and vice versa. This is why the head does not consider the development of nations, at of these communities, either wisemen or lawgiv- least, as an analogy for the soul. We see the form ers, are given such special attention by al-Farabi. of the community, language, incarnate in time They represent the guiding light of the commu- as informing the destinies and dispositions of nity, from whom the possibility for happiness its peoples. He moves beyond individual knowl- emanates into the multitude. edge and metaphysics to demonstrate how are As the individual souls and their community they essentially manifested chronotopically. In morph into a complex array of knowledge held this way, the Book of Letters itself is a sort of por- together by its memory and its sages, language trait image of the ideal nation that demonstrates too begins to develop and organize itself to ex- to the reader the potency of the nations. In this press the overflowering of truth’s aspects into way the Book of Letters is a potent apologetic for explicit speech.84 As language attempts to ex- the necessity of philosophy in a religious culture; press the idea of like cases, words are changed to it is an attempt to wed reason and faith together. signify universals and the particulars. From this Then, when the philosopher is of the highest cal- arises ambiguity and equivocation, out of which iber, and the religion of soundest doctrine, they poetry and rhetoric are formulated naturally.85 will perfectly coalesce into and through each This natural grace inevitably achieves an art other through, one is tempted to say, the great form grounded in vocal patterns and mnemonic Ark that is the Lawgiver. devices. Eventually, this system of memory becomes burdensome, and so writing is pro- Michael Lessman graduated from the College of Arts duced. As the science of language is developed & Sciences in 2014, where he studied Arabic.

26 | Utraque Unum — Summer 2015 THE SANCTUARY

Christianity’s Crowning of the Theotokos Defining the Nature of the Incarnation and Role of Mary in Humanity’s Redemption

Kelly Thomas

Introduction: The Necessity of a of Mary in Salvation History. While Mary was of course greatly esteemed as the woman who Doctrine on the Incarnation for birthed Jesus, Scriptural evidence concerning her Salvation History relationship to the divine nature of the Incarna- Many of the documents penned by the early tion was decidedly ambiguous. She was widely Church Fathers in the first centuries of Christi- considered, and rightly so, to be the foil to Eve; anity dealt with the doctrine surrounding the where Eve had brought Original Sin to Eden, theology of the Incarnation. Given the ambigui- Mary was the woman who had borne mankind’s ties found in Scripture concerning the nature of Savior. However, without a coherently formu- Christ and his relation to the Father, there were lated theology of the Incarnation, Mary’s precise myriad opportunities for heresies to be put for- status was unclear. With the Incarnation rightly ward. Without a definitive doctrine developed defined as being both fully human and fully di- on the matter, these heresies were free to run vine, and with both natures existing in a single rampant throughout early Christendom, pro- hypostasis, Mary was deemed to be the Theotokos, mulgated by thinkers who passed off their own the “Bearer of God”. In so doing this, the early interpretations of these vague Biblical passages Christian Fathers granted Mary her proper place as Truth. Entire councils were convened to ad- in the redemption of humanity as not only as the dress an issue that seems, at a precursory glance, recapitulation of Eve, but as the Mother of God. to be a matter of semantics and mistranslations. Furthermore, the patently intrinsic relationship However, these very translations carried the between the status of the Theotokos and the na- weight of the entire structure of Christianity, for ture of the Incarnation means that any devalu- a misinterpretation of the Incarnation had the ation of Mary is not only a slight to the Bearer distinct possibility of rendering the entire Pas- of God, but also a devaluation of the suffering, sion and Resurrection meaningless. death, and resurrection of Christ and thus would Providing a sound and comprehensive doc- rip the entire fabric of Christianity asunder. trine on the Incarnation not only served as a bul- The development of the doctrine on the In- wark against the heresies that threatened to tear carnation that would eventually be deemed down Christianity, but also solidified the role orthodox evolved slowly and involved the

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necessary repudiation of heresies. The great mean: “There was a ‘when’ when He was not.” heresy of Arianism, the theology preached by This phrase, which would become the rallying Arian, prompted the responses of many Church cry of Arianism, essentially meant that the Son, officials and led to the Council of Nicaea. At this the Word of God, was neither consubstantial nor Council, Athanasius, who would later become coeternal with the Father. Archbishop of Alexandria, became well versed The heresy of Arianism is profoundly dam- in Arianism and went on to write numerous aging for two reasons. The lesser reason being works denouncing Arius and contributing to that it is too much of an attempt to rationalize the orthodox teachings on the Logos as being God. Knowledge of God is not irrational, but Ar- consubstantial and coeternal with the Father. ius, by trying to place a temporal and physical Over a century later, Nestorios based his entire limitation on the creation of the Word of God is attack on the bestowal of the term “Theotokos” on projecting the finitude of his own mind onto the Mary on the heresy that the Incarnation was two term “begotten.” Rationality is of course a gift; distinct hypostases, a concept which threatened it is what separates man from beast. However, to undermine the entire salvation of Humanity. an over-application of rationalism in matters of Nestorios’s arguments were responded to, and theology can prove detrimental because it denies repudiated by, Cyril of Alexandria, whose bril- the role of the Holy Spirit, which grants man the liant defense of the Theotokos not only prevented certitude in the truth of divine revelation with- the devaluation of Mary, but also provided the out demanding full comprehension as a prereq- clarity regarding the hypostatic union found uisite for belief. The rationalism of Arius, which within the Incarnation, a position that would was in and of itself deeply harmful, placed finite later be validated by the Council of Chalcedon. constraints upon the Logos, the implications of which brought forth the second and far larger The Heresy of Arius and Its reason for which Arius was anathematized. The crucial point of Arianism, when taken to Implications for Salvation its logical conclusion, is that the Son, being only Arius’s great heresy stemmed in large part from a creation of the Father, is susceptible to change. a further extrapolation of the points put forth by Alexander of Alexandria and his clergy point Origen. The works of the latter hinted at a level out this great fallacy in their encyclical writ- of subordination between the Son and the Father, ten in 319. They write: “Someone accordingly implying that there was a hierarchical structure asked them whether the Word of God could be in the Trinity. While Origen’s work is not consid- changed, as the devil has been, and they feared ered to be orthodox after the Council of Nicaea, not to say ‘Yes: he certainly could; for being be- he is hardly considered outright heretical. Arian gotten and created, his nature is susceptible of however is considered thusly, because he argued change.’”89 This statement, if taken as the Truth, unabashedly that the Logos was a mere creation invalidates the entire Incarnation, for it denies of the Father, begotten in a temporal sense rather that Jesus was both fully human and fully di- than having an eternal beginning as claimed by vine. Rather, it claims that the Son is somehow Origen. He bolstered his argument with his own of a wholly different essence from the Father, an interpretations of vague Scripture passages, chief assertion which would mean that the man had among them the verses regarding the creation of not truly been redeemed, for nothing that is not Wisdom: “The Lord created me at the beginning consubstantial with the Father could have pro- of his work, the first of His acts of old, ages ago vided such redemption. If the Incarnation was I was set up at the first.”88 From this, Arian pos- not capable of redeeming mankind, as Arianism ited the crux of his argument, claiming: “En Hote purports, then the entire foundation of Christi- Pote Out En” which translates from the Greek to anity, which rests upon the claim that humanity

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was redeemed by God’s passion, death, and with incorruption …by virtue of the Word’s in- resurrection upon the cross, is destroyed. For dwelling in a [body], the corruption which goes this reason, the early Church Fathers sought im- with death has lost its power over all.”90 In thus mediately to thwart the spread of Arianism and orienting the theology of the Logos on the mo- preserve the Incarnation as one in being with the ment of the Jesus’s coming to dwell within Mary, Father and the Savior of all mankind. Athanasius was able to refocus those Jewish and Gentile converts onto the critical point of re- Athanasius’s Response to Arianism demption. Only after doing this did he go on to provide an Apology to each faction. in Post-Nicaean Christianity For the Jews’ argument that God would When the Council of Nicaea was convened in never submit to death, particularly such a brutal 325 in response to the Arian heresies, it was dis- execution on the Cross, Athanasius relied pre- cerned that creation was created ex nihilo in time dominantly on Scriptural evidence from the Old and space. This claim not only emphasized the Testament prophesies concerning the suffering absolute transcendence of God, but it concretely and death that stated the Lord would endure for and explicitly stripped the term “begotten” of the sake of man’s redemption. Athanasius wrote: any temporal or corporeal meaning. The Council “[The Scriptures] are not silent even about His of Nicaea also put forth the term “consubstantial” death…they refer to it with the utmost clear- in regard to the relation between the Father and ness…He endures it, they say, not for His own the Son. However, despite the clarity brought sake, but for the sake of bringing [salvation] to by Nicaea to the doctrine of the Church, strains all.”91 These passages had been the backbone of Arianism continued to permeate throughout of the Jewish faith for centuries, and therefore early Christendom. It was at this time that Atha- could not be discounted, even if they indicated nasius, who had been present at the Council and that God Himself would die upon a cross. Thus, soon afterwards had been named Archbishop of Athanasius pacified the Jewish protest by prov- Alexandria, wrote his definitive defense of the ing Christ’s Passion to be the fulfillment of their Incarnation as being coeternal with the Father. own past prophesies before moving to address Athanasius did this in three parts, first by devel- the Gentiles’ similar argument. oping his theology of the Logos, and then by add- As the Gentiles did not have the same rela- ing two Apologies, one to the Jews and a second tionship with the Scripture as the Jews, Atha- to the Greek Gentiles. nasius instead posited the Crucifixion to be the For both the Jews and the Gentiles who were sign of divine reconciliation, and thus wholly converting to Christianity, the crux of their will- necessary for man’s salvation. Therefore, he ingness to believe Arian’s heresies stemmed wrote: “…He put on a body, so that in the body from their unwillingness to believe that God He might find death and blot it out. And, indeed, would allow himself to suffer and die on the how could the Lord have proved to be the Life Cross. Athanasius adeptly worked around this at all, had He not endued with life that which by providing a theology of the Logos that had its was subject to death?” (Athanasius, 44). To re- emphasis on the Incarnation rather than the cru- deem humanity, God needed to enflesh himself cifixion. While later theologians would place the in order that death, the corruption of man, could focus of Salvation on the Cross, Athanasius high- be defeated by His body’s own resurrection. In lighted instead the exact moment in which God this way, Athanasisus proved that Jesus’s death took human form within the Virgin Mary as the upon the Cross was not a sign that the Son was moment of humanity’s salvation. He wrote: “… not the same as the Father, but rather that it was through this union of the immortal Son of God the perfect solution found in the Divine Recon- with our human nature, all men were clothed ciliation between man and God.

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How Nestorios’s Argument utterly through a fleshly birth, and that the di- vine Word of God was fully enfleshed in human- against the Theotokos Denied the ity, Nestorios was simultaneously devaluing Hypostatic Union of Christ Mary as the Bearer of God and undermining the Nestorios’s argument is ostensibly him taking a entire economy of salvation. position against the title of Theotokos, which had long been used to describe Mary. However, in Cyril’s Assertion of the Hypostatic order to devalue Mary’s role in Salvation His- Union and his Subsequent tory as he does, he had to provide a clear state- ment that the Logos did not experience a fleshly Defense of the Theotokos birth, and thus was not wholly enfleshed in a hu- While never once outright condemning Nesto- man body. Nestorios’s argument was far more rios of any form of heresy, St. Cyril of Alexan- nuanced than Arius; indeed he recognized that dria offered a gentle but firm rebuke regarding Christ is both fully human and fully divine, and the former’s position on the Theotokos and his he wrote: “But Christ is not a mere man, O slan- denial of the Incarnation’s hypostatic union. In der! No he is at once God and man.”92 This set his second letter to Nestorios, Cyril wrote: “…we him utterly apart from the anathematized Arius, say that while the natures which were brought whose theology claimed that the Incarnation together into a true unity were different, there was of an entirely different substance than the [is] because of the unspeakable and unutterable Father. What Nestorios did, in his denounce- convergence into unity, one Christ and one son 93 ment of the Theotokos, is he divided the two out of the two.” Cyril’s clear assertion not only natures into two hypostases, or two concrete be- plainly elucidated the entwining of both natures ings. Thus, rather than the Logos being entangled into one concrete being, but he also referred to with the rational human mind, it is simply con- the entire Incarnation as “unspeakable and un- joined, described by Nestorious as two distinct utterable” thus condemning any attempt made natures which have been merely conjoined, not to rationalize or explain the incomprehensible. fully intertwined as one distinct being, in Christ. Cyril’s affirmation of the hypostatic union was Having made such an argument, it is reason- not only based on what the Council of Nicaea able to see why Nestorios believed that Mary determined regarding Jesus as being both fully could not be the Theotokos, for to admit her as human and fully divine, but it laid the founda- being the Bearer of Christ would be to say that tion for the Council of Chalcedon’s definitive the Logos had been entangled with the rational position regarding the fleshly birth, death, and human mind of the body of Jesus since concep- resurrection of the Logos. tion. It seemed intuitive to claim that the Word Cyril’s defense of the hypostatic union in the of God, being consubstantial and coeternal with face of Nestorios’s skepticism managed to save the Father, must by necessity be “uncreatable.” Christianity from the potentially devastating However, there Nestorios’s position tread far claims put forward by the latter. His affirmation too closely to rationalism as he tried to com- of the two natures of Christ existing in one be- prehend the nature of the Incarnation in mono- ing, rather than separating one from the other, lithic terms. Furthermore, in reality, the logical ensured that the physical body is assumed fully conclusion to Nestorios’s argument against the by the divine Logos. With this assertion made, Theotokos must be that the divine Logos never the full magnitude of humanity’s redemption re- fully assumed flesh. The implications of this for mained intact. Furthermore, by repudiating the the Incarnation were devastating, because that notion that the Logos had no fleshly birth, Cyril which is not assumed cannot be saved; therefore, placed Mary once again as the Theotokos, even if by denying that the Logos assumed humanity the Logos itself existed long before it took human

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form within her. In the end of his letter, having of the hypostatic union found in the Incarna- elucidated the existence of two natures in the tion. When Nestorios attempted to devalue Mary single being of Christ, he wrote: “…not because as the Theotokos, he did so by making the claim the nature of the Logos or the deity [began] in the that the Logos had not truly and utterly assumed holy Virgin, but because the holy body which flesh, remaining a distinct hypostasis from the was born of her, possessed as it was of a rational human nature of Christ. Cyril rightly repudiated soul, and to which the Logos was hypostatically this by defending the enfleshment of the Logos, united, is said to have had a fleshly birth.”94 With which simultaneously cast Mary in her proper the “fleshly birth” of the Logos established, the role in Salvation history as well as affirmed that hypostatic union of the Incarnation is affirmed the Incarnation fully redeemed humanity be- and the Salvation of mankind, along with Mary’s cause the Logos fully assumed humanity and had critical role, is preserved. both a fleshly birth and death. This argument maintained the full redemption of humanity that Conclusion: The Denial of the occurred in the death and resurrection of the In- Theotokos Must Lead to the carnation. In so doing, Cyril rescued the entire foundation of Christianity from falling prey to Devaluation of the Cross Nestorios’s undermining of the Incarnation’s full The evolution of the theology of the Incarnation and comprehensive redemption of mankind, as took several centuries before solidifying, rela- well as maintaining Mary as the Bearer of God. tively so, at the Council of Chalcedon in the fifth The doctrinal developments surrounding the century. First the heresy of Arius, who claimed nature of the Incarnation are intrinsically linked that the Logos was a creation of the Father rather to the place of Mary in humanity’s redemption. than being consubstantial with Him, was refuted When the fully human and fully divine natures by the Council of Nicaea. This refutation was of Christ are rightly understood as existing in further elucidated by Athanasius who put forth hypostatic union, Mary is granted her due as a clear theology of the Logos which served the being the Theotokos. If however, she is demoted dual use of being an Apology to both the Jewish from her rightful position as the Mother and and Gentile convert factions who were scandal- Bearer of God, then by necessity it must follow ized by the notion of a God who suffered death. that the Logos was not fully enfleshed and thus He achieved this by putting the focus of man- humanity was not fully redeemed. Conversely, kind’s salvation on the moment of the Incarna- if the Logos is deemed to be two natures, even tion rather than the Passion and Crucifixion. This if it is recognized that He is both fully human assuaged some of those who were displeased by and fully divine, then Mary is reduced to no a God who debased himself upon the Cross, and more than the bearer of the human nature of his claims were supported with references to the Christ. Therefore, because of this inextrica- both Old Testament passages and the recognized ble connection between Christ and his mother, necessity of a Divine reconciliation. The Arian it follows that when one is devalued, the other controversy, and doctrinal developments which must be as well; thus, the proper understanding evolved in its aftermath, established the Incarna- of both must be held if Christianity is to avoid tion as being fully human and fully divine, but degrading the entire economy of salvation and it would be the discussions of the following cen- destroying its own foundations. tury that would establish Christ as being a single hypostasis with Mary as the Theotokos. Bio needed. The writings of Nestorios, which catalyzed the response of St. Cyril and the convening of the Council of Chalcedon addressed the matter

Utraque Unum — Summer 2015 | 31 THE ARCHIVE

Motivating Collaboration in Nazi-Occupied Ukraine

Patrick Gage

n his groundbreaking book, Bloodlands: work—antisemitic nationalists played an integral Europe Between Hitler and Stalin, Timothy role in Nazi crimes. Consequently, the aforemen- I Snyder argues “…only a small minority tioned disagreement is really no disagreement at [of Ukrainian collaborators] had political mo- all. Rather, it constitutes a difference in focus— tives of any discernible sort…[f]ar more…sim- Snyder on the influence of coercion and Bartov ply said the right things, or said nothing and on the effect of politics. Bringing these focuses did what they were told.”95 In his review of together reveals the complex nature of collabora- Bloodlands, Omer Bartov takes quite the opposite tors’ motives: they were diverse, hard to define, view, criticizing Snyder for depicting occupied and deadly. populations “largely as victims, helpless pawns To fully understand the intricacy of Ukrai- who, even when they resist or collaborate, do so nian collaboration, one must first look to the past. within severe constraints that greatly limit their Before the outbreak of World War I, the Austro- choices.”96 Instead, he suggests most collabora- Hungarian Empire held sway in Ukrainian-pop- tors were motivated not by fear (Snyder’s claim) ulated eastern Galicia and Bukovina,99 Central but rather by “traditional prejudices and radical- European regions annexed in the eighteenth ized ideologies of integral nationalism, as well as century. The Habsburgs allowed the Ukrainian resentment and greed….”97 intelligentsia “to absorb the main currents of na- This is the precipice upon which my subject tionalist politics that circulated within the Aus- stands. Historians agree on the fact of collabora- trian empire in the nineteenth century.”100 This tion; that Soviet citizens in the Ukraine helped relative political freedom gave root to a powerful Hitler’s army commit heinous atrocities cannot nationalist movement, which, when threatened be denied. What motivated those ‘treasonous’ by Russian occupation in 1914, ensured Galician acts, however, remains a source of conflict. This Ukrainians’ support for Austria-Hungary. division appears no clearer than in the disagree- Following the collapse of the Habsburg Em- ment between Snyder and Bartov. pire in 1918, war erupted in Galicia. Leaders As happens so often in the historical field, from eastern Galicia and Bukovina hoped to both posit reasonable theses. Many collabora- unite western Ukraine, while Poland wanted to tors, as Snyder suggests, were motivated by incorporate the region into its new empire.101 Ro- fear and “negative opportunism”—that is, “the manian forces quickly subdued Bukovina, and hope to avoid a still worse personal fate.”98 Ad- by 1920, Poland had taken eastern Galicia. The ditionally, scores of Ukrainians also had political, Allies, concerned by the Ukrainian Galician Ar- ideological reasons for supporting the Führer’s my’s reliance on Austrian and German officers,

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recognized Poland’s gains in 1923. This defeat illustrates just that: “And know, you Muscovite cemented a “natural” alliance between Ukrai- Jewish reptile / Which has sucked our blood for nian nationalist circles and Germany against the centuries / That the soul nurtures a hellish wrath West and its draconian Treaty of Versailles.102 / That we will have to meet with you.”106 Poland’s victory fanned the flames of Ukrai- Following the 1939 invasion of Poland, dur- nian nationalism. In 1920, a number of radicals ing which “the OUN was a faithful German aux- formed the terroristic Ukrainian Military Orga- iliary…,”107 Galicia became part of the Soviet nization (UVO). Led by Colonel Ievhen Kon- Union. Naturally, a Communist occupation did ovalets, the UVO “forged ties with the German not sit well with the OUN and other nationalist military and rightwing organizations in order groups. The Nazis made up for the disappoint- to destabilize Poland.”103 Groups like the UVO ment with concessions, forming the Ukrainian gained strength as Poland attempted to impose Central Committee (UTsK), led by Volodymyr its culture on nationalistic eastern Galicia. Kubiiovych, which acted as the “‘only officially Over the course of the next fifteen years, anti- sanctioned Ukrainian political and community Polish, antisemitic, and anti-Soviet sentiments organization in the Generalgouvernement’… grew in the Ukrainian nationalist movement. [and] the channel for pursuing nationalist Though hatred of Russia and the Soviet system goals”; the UTsK “maintained close ties to the often outweighed anger toward the Jews, lead- OUN….”108 The General Government with ing militants like Dmytro Dontsov condemned which the UTsK was involved comprised “those them nonetheless: “The Jews are guilty, horribly parts of the occupied interwar Polish state not guilty, because they…helped secure Russian rule incorporated into Germany [or the USSR]…,” in Ukraine…,” he wrote in response to the con- including pieces of western Ukraine.109 troversial acquittal of assassin Samuel Schwar- Although many nationalists saw the UTsK as zbart. “Only when Russia falls in Ukraine will a step in the right direction, others felt it did not we be able to order the Jewish question in our go far enough. By 1940, radical members of the country in a way that lies in the interest of the OUN, led by Stepan Bandera, had split off and Ukrainian people.”104 formed the OUN-B. The more moderate OUN- Antisemitic fervor continued to fester M, led by Andrii Melnyk, preferred patience, throughout the 1920s. In 1928, Colonel Konova- hoping the Nazis would eventually sanction lets reorganized the UVO into the fiercely anti- a peaceful transition to statehood. The OUN-B Russian, antisemitic Organization of Ukrainian wanted independence as soon as possible. Nationalists (OUN). The OUN, though some- From 1939 to mid-1941, German troops sta- what unpopular with leading Nazi officials, tioned in Poland embarked on a systematic pro- maintained its German ties for many years. In gram of persecution. Mass deportations filled fact, the Abwehr, German military intelligence, Ukrainian-dominated regions with the Nazis’ “provided support and training” to “militant unwanted Jews. On April 18, 1941, widespread Ukrainian nationalists” throughout much of the ‘ghettoization’ and overcrowding led Kubiio- 1920s and 1930s.105 The Nazis’ effect on the OUN vych to ask that “ethnic Ukrainian territories in proved particularly devastating for the Jews. Hit- the General Government [be purged] of ‘Polish ler’s extreme racism, at the very least, gave the and Jewish elements.’”110 group’s antisemitic tendencies credibility, fuel- During this time, antisemitism flourished as ing an already dangerous fire. Colonel Konova- false ‘Judeo-Bolshevik’ stereotypes persisted, lets’ 1937 assassination, carried out by a Soviet driven by anti-Soviet zeal—Stalin’s brief occu- agent, further escalated tensions. The following pation of Galicia, wrongly perceived as favor- poem, released in an OUN-affiliated newspa- able to the Jews, included political repression per on the one-year anniversary of his death, and ethnic violence. The OUN-B in particular

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became incredibly anti-Jewish. In May 1941, a troops and the OUN-B, caused the deaths of month before Hitler invaded Russia, the group 4,000 Jews.116 On July 2, days later, an infantry released a set of guidelines for its military task platoon assisted in the execution of 1,160 Jewish forces, among which appeared the following: males in Lutsk.117 At first, the bloodshed was lim- “[A]t a time of chaos and confusion liquidation ited to men; women and children were generally of undesirable Polish, Muscovite, and Jewish spared. By the end of July, however, this ‘policy’ activists is permitted, especially supporters of had been reversed (when or by whom, we do not Bolshevik-Muscovite imperialism.”111 A section know): SS and German police units subsequently on government organization made the OUN-B’s targeted men, women, and children.118 In late intentions abundantly clear: “The national mi- August, 23,600 Jews were executed in what came norities are divided into a. those that are friendly to be called the Kamianets-Podilsky massacre;119 to us…and b. those that are hostile to us—Mus- in the preceding weeks, 80,000 had died “as a covites, Poles, and Jews…Re. b. Destruction in result of shootings and pogroms.”120 Thus, after the struggle, especially of those who defend the only two months of occupation, the Germans regime…Assimilation of Jews is barred.”112 had murdered about 100,000 Ukrainian Jews. All of the factors mentioned here made Ukrai- As fall dawned, the death rate accelerated. Ap- nian nationalists (not just those in the OUN)113 proximately 135,000 people were killed in Sep- ripe for collaboration: the birth of groups like the tember, 119,000 in October, 65,000 in November, UVO and their intimate ties with Germany, ha- and 87,000 in December. Altogether, the Nazis tred for the USSR, the belief that Jews benefited and their collaborators slaughtered more than from and supported the Soviet Union, the rise of 500,000 in less than six months.121 antisemitism, and confidence that Hitler would In addition to the horrors discussed above, give Ukraine independence. Thus, by the time Hitler’s forces encouraged bloody pogroms German troops poured over the USSR’s vast throughout the western Soviet Union, a “mobi- western border, Ukraine’s political environment lization of anti-Jewish mass violence” attempted tolerated, and in many cases welcomed, anti- in no other occupied territories.122 The ensuing Jewish violence. Ukrainian bloodbath, largely instigated by the On June 22, 1941, western Russia erupted in Einsatzgruppen, mobile Nazi killing units, gar- flames, and with it the Nazi-Soviet Nonaggres- nered support from the OUN, whose leaders sion Pact that had held Hitler and Stalin apart “cooperated with and cleared the way for the since 1939. The largest invasion force in history Germans…”123 and wanted to bring “German overran the Soviets, encountering little resis- methods of exterminating Jewry to Ukraine, tance from a weak border guard. Army Group barring their assimilation and the like.”124 This South, led by Field Marshal Gerd von Rundstedt, might explain why some pogroms material- was tasked with taking Ukraine and expected ized without Nazi encouragement. It should “no unusual hostility from most of the civilian be noted that although local populations were population…[who were] considered ‘German indeed incited to violence, the Germans’ anti- friendly….’”114 This expectation proved accu- semitic “inspiration” could not have succeeded rate, at least in the beginning. if “local inhabitants [had not already] harbored The massacres started immediately. In fact, a good deal of hostility toward the Jews.”125 “even before the Germans conquered western Widespread antisemitism, however, ought not Ukraine…Ukrainian [nationalists]…had begun obscure the diversity of participants’ motives: immediate preparations for a ‘new order’….”115 some acted out of greed, looting liquidated ghet- One of the Nazis’ first major acts of genocide tos and abandoned businesses; others out of fear; occurred a week after they crossed the border: the and still more out of Bartov’s “traditional preju- June 30 pogrom in L’viv, which involved German dices” and “integral nationalism.”

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The astonishing rate at which the Nazis coercion, by which thousands of Soviet pris- butchered Ukraine’s Jewish population relied on oners were starved to death and the few who mass collaboration. The Germans’ main ally was survived “‘given the option of serving the Ger- the so-called Schutzmannschaft, or ‘indigenous mans.’”134 Either way, Soviet prisoners clearly police.’ All in all, approximately 300,000 Ukrai- felt compelled to collaborate. Those who did, nians were serving in the force by the end of the so-called “Trawniki men,” were trained by 1942.126 Membership was largely voluntary and the SS in Poland and deployed to extermination “it is believed that most of the officers sympa- camps across the region, gaining a reputation as thized with the OUN-M or the Front of National ruthless killers. Unity, a pro-German, fascist-oriented prewar Returning to the Ukrainian nationalist move- movement….”127 ment, the OUN’s ‘honeymoon’ with Hitler In addition to local administrative duties, ended as soon as it began. Although the Ger- Ukrainian collaborators helped the Nazis make mans initially tolerated the group, they had no their Holocaust a reality. Besides registering intention of granting Ukraine its independence. Jews, guarding ghettos, and escorting ‘pris- As a result, when Yaroslav Stets’ko, an OUN-B oners’ to the killing fields, policemen actively leader, declared the creation of an independent participated in mass executions.128 The slaugh- Ukrainian state in L’viv on June 30, the Nazis re- ter of 33,771 Jews at Babi Yar, near Kiev, in late sponded with suppression. Stepan Bandera and September 1941, is a prime example.129 Dina Stets’ko were swiftly arrested, and on November Pronicheva, a survivor, affirmed the presence 25, “all members of the OUN(b) were made sub- of non-German collaborators. Several docu- ject to arrest.”135 ments regarding her post-war testimony refer to What remained of the OUN-B eventually “Ukrainian policemen,” while another asserts an formed the basis of the Ukrainian Insurgent “open space [into which the Jews were herded] Army (UPA), which took Poles, Germans, and was ‘full of German soldiers and Ukrainian na- Soviets as its enemies. Organized in 1942, this tionalists and Ukrainian policeman.’”130 The antisemitic partisan force, “whose goals in- reference to Ukrainian nationalists is especially cluded the total liquidation of the Jews…,”136 ad- intriguing considering German testimony places vocated for an independent, non-occupied state. units “created or commanded”131 by members of However, by 1944, as the Red Army moved fur- the antisemitic OUN-M at the scene. Though we ther into Ukraine, collaboration with the Nazis cannot know exactly what motivated these men increased. The Germans gave the UPA “training to join the Nazis at Babi Yar, their affiliations and supplies”137 in exchange for information. suggest, at the very least, nationalist tendencies. Furthermore, according to field intelligence, the Unfortunately, Babi Yar was not unique. UPA actively hunted down and killed Jews dur- Indigenous police took part in executions ing this time. As Omer Bartov notes, “The UPA throughout occupied Ukraine. Moreover, scores saw itself engaged not only in a struggle for lib- of Soviet POWs, primarily Ukrainians, joined eration from Polish rule, German occupation, the SS. As noted by several scholars, Ukrainian and Soviet oppression; they also fought what prisoners were released in droves in 1941,132,133 they saw as Jewish exploitation and collabora- casting doubt on the effect coercion had on their tion with Ukraine’s enemies and oppressors.”138 decisions. This does not necessarily mean they Despite this last-minute ‘re-alliance,’ the Na- collaborated for ideological reasons or that fear zis and UPA were pushed back by the Soviets, did not play a role; it simply shows that to some leaving a legacy of unspeakable atrocity behind extent, their choice was voluntary. Granted, them. not all historians agree. According to John- Deciphering Ukrainian collaboration is no Paul Himka, there were also cases of extreme easy task. The information provided here serves

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to illustrate its complexity. Motives were incred- especially in the OUN, it was rarely strong ibly diverse: as discussed at length, antisemitism enough to warrant outright support for the Ho- and hatred for the USSR plagued nationalist locaust. Most people were horrified by the Na- movements, which facilitated massacres like the zis’ unprovoked liquidation of the Jews; some infamous slaughter at Babi Yar; Soviet POWs even risked their lives to save them. faced with certain starvation chose instead to Despite the intricacy of this issue, one thing guard extermination camps like Treblinka and is clear: both fear and ideology played a role Auschwitz; and common citizens, confronting in Ukrainian collaboration. Snyder’s claim that an uncertain future, chose “power and easy “almost none of these people collaborated for gains.”139 ideological reasons” is patently false; Omer Bar- Fear, antisemitism, nationalism, greed, and tov’s suggestion that fear played a minimal role more: all played a role in occupied Ukraine. Just is equally inaccurate. Rather, fear and ideology as it is unfair to say every collaborator was mo- worked together, often coupled with greed and tivated by ideology, it is also unfair to say they opportunism, to motivate collaborators. This acted unwillingly. There is no ‘catch-all’ motive; comprehensive explanation captures the issue’s rather, each individual found his or her own rea- complexity: a combination of factors, rather than son to help the Nazis. one or the other, motivated participation in one To be absolutely clear, this investigation has of history’s greatest crimes. In the end, the Nazis focused on a minority of Ukrainians. The vast gave many Ukrainians an opportunity; for one majority did not actively involve themselves in reason or another, they seized it. Nazi crimes or approve of them. Though an- tisemitism had a strong presence in Ukraine, Bio needed.

36 | Utraque Unum — Summer 2015 THE ARCHIVE

Enemies of Coincidence Polish National Identity Vis-à-vis Russia from the Teutonic Knights to the Khmelnytsky Rebellion

Alexandra Chinchilla

n the middle of the town square in Kra- In the contemporary, post-Communist re- kow, the cultural center of Poland, stands telling of the relationship between Russia and I a massive statue to Adam Mickiewicz, Poland, Poles predominately view Russia as the Poland’s greatest and most-loved epic poet. Ev- historical aggressor, who consistently included ery Polish schoolchild reads Pan Tadeusz, Mick- Poland in its designs to dominate the Slavic iewicz’s masterpiece, and learns its opening world. Reality, however, is more complex. Dur- lines by heart: “Litwo! Ojczyzno moja! ty jesteś ing the Polish Golden Age (loosely defined as jak zdrowie (Lithuania! My fatherland! You are the period between the end of the Jagiellonian like health)…” While the entire poem is writ- Dynasty and the Thirty Year’s War between Po- ten in Polish, the battle and heroes extolled in land and Russia in the mid-17th century), Polish the narrative are identified as Lithuanian. Even military, economic, and cultural strength rivaled the author Mickiewicz was himself probably of that of Muscovy. Poland thus influenced Russian Lithuanian origin. It seems strange that Poland’s history, affecting not only Russian territorial and national poem is not even about Poland. political developments, but also its cultural life. Upon closer examination, however, Pan Ta- Furthermore, the Polish-Lithuanian Common- deusz exhibits the fluid and multi-ethnic char- wealth was multi-ethnic, which created a politi- acteristics of Polish national identity existing at cal identity of Polishness shared by the cultural the time of its publication in 1834. This complex elite of Poland proper and the other constituent and multi-faceted identity was forged centuries entities of the Commonwealth. In this context, earlier when Poland’s territorial extent and am- then, a Polish national poem extolling Lithuania bitions peaked during the Polish-Lithuanian is merely a nod to Poland’s complex political Commonwealth, and was reshaped by the first and cultural past. partitions of Poland, the final partition after This essay returns to the historical roots of 1795, and the modern retelling of Polish his- Polish identity. First, it will examine the begin- tory. Central to this Polish self-identification nings of Polish national identity forged as a re- of nationhood was Poland’s relationship with sult of the struggle with the Teutonic Knightsand its powerful neighbor, Russia, whose continual the Knights’ attempt to cast Poles as the enemies presence in Polish politics, economic life, and of true, Rome-sanctioned Christianity. Secondly, military conflicts guaranteed that it would indel- it will look at the forging of a common Polish ibly influence Polish identity. identity and Polish-Lithuanian state. Next, it

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will examine the complicated relationship be- Poland might begin a crusade against pagans tween the Polish-Lithuanian Commonwealth such as the Tatars. The pope eventually granted and Russia, which culminated in Polish attempts this authority and Łokietek decided to invade at territorial expansion during Russia’s Time of the ancient kingdom of Ruthenia in the absence Troubles. Finally, the paper will examine Po- of a strong Ruthenian leader so that Poland land’s shift to the strategic defensive as a result might defend this territory against the Tatars.144 of weak management, Cossack uprisings, and Since the Mongols dominated Rus at this time, the final Truce of Andrusovo that permanently Polish territory was indeed on the front lines of broke Polish power vis-à-vis Russia. the battle between the “West” and invaders from the “East”; furthermore, as the Easternmost Surrounded by enemies: Poland’s Catholic state, Poland would have the duty of defender of Christendom regardless of Russian clashes with the Teutonic Knights capacity to fight. and the East Although on the one hand Poland was indis- Historians have long debated when Polish pensable for fighting invaders from the East— nationhood began, but it is clear that Polish a trend that continued in Polish history, when national consciousness began to be firmly es- King Jan Sobieski defended Vienna against the tablished by the early 14th century.140 Symmons- Turks in 1683—Poland was itself condemned Symonolewicz describes this as a medieval sort to the “periphery” of power relations with the of Polish nationhood, which was shared largely West.145 The conflict with the Teutonic Knights among the elite of society, but in times of na- showed that Poland could be both fully Catho- tional peril, also shared by the common mem- lic and yet condemned as pagans for political bers of society.141 The Polish petitions to the purposes by ethnic Germans. The struggle with Vatican for arbitration (1313, 1320, and 1339) the Teutonic Knights resulted in Poland seek- during the occupation of Polish territory by the ing to bring Lithuania—an Eastern, pagan na- Teutonic Knights indicate a common sense of na- tion whom Poland had fought—into the fold. tionality. At these hearings, multiple witnesses Poland’s role as frontier state defender against representing a broad cross-section of Polish so- pagans had been used in the past as a justifica- ciety, including the church, local government of- tion of Polish incursions into Lithuanian terri- ficials, and townsmen, testified that the Teutonic tory.146 But the modus operandi shifted when Knights were illegally occupying territory that the opportunity came in 1384 to ally with Lithu- belonged to the Polish nation.142 The testimony ania by marrying the Polish princess Jadwiga to from varied classes of Polish society demon- Grand Duke Jagiello of Lithuania. Both Poland strates this newfound sense of nationhood. and Lithuania saw the Teutonic Knights as a The Polish conflict with the Teutonic Knights threat, and Poland entered this alliance to shore took place against the background of Poland’s up its position in the West.147 Furthermore, Knoll orientation towards the West both politically and argues that Poland’s alliance with Lithuania and in matters of religion. At the same time as Polish the subsequent conversion of the Lithuanian commissions were seeking Papal intervention in pagans to Christianity undermined the position defense of the Polish state against the Teutonic of the Knights as crusaders and true defenders Knights (who were radical Catholics portraying of the faith, as the Poles had managed to con- Poles as pagans), Poland was working to be seen vert an entire nation with diplomacy rather than by the Papacy as a defender of Western Chris- force.148 The collaboration between Poland and tendom against the Tatar invaders.143 The King Lithuania led to the decisive defeat of the Teu- of Poland, Władyslaw Łokietek, contacted the tonic Knights at the Battle of Grunwald in 1410, Pope in 1323 asking for Papal resources so that which began the decline of the Knights’ power.

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For the Lithuanians, joining with Poland was nations running in parallel but not merging into also a way to combat the growing influence of one. The wide political umbrella of the Grand Muscovy.149 Thus at the beginning of the 15th Duchy included many Orthodox Ruthenians, as century, Poland was reoriented from ensuring well as a few Jews and Tatars, and despite mass its territorial integrity in the West to becoming conversions of Lithuanians to Catholicism, only a great power with a presence in the Eastern later were the elite Polonized Slavic territories. Poland was now a course that Poland and Lithuania strengthened the polit- could truly bring it to collision with Muscovy, ical union in 1569 to form the Polish-Lithuanian which was also seeking to consolidate territory Commonwealth (Rzeczpospolita). The Common- in Ukraine. wealth kept Poland and Lithuania separate as nations but united them politically under one- Forging a Common Identity: elected king and a common Sejm, or legislative body.155 A number of changes within both coun- Poland, Lithuania, and the tries precipitated this new political arrangement. Commonwealth Within Poland, the nobility had taken advantage As the result of the union with Poland, Lithua- of the fact that the Jagiellonian dynasty was not nian nobles were required to convert to Catholi- hereditary to secure more rights for themselves, cism, and the nobles that became Catholic were forcing the king to share his sovereignty with his to receive certain privileges.150 The Grand Duchy subjects. This took the form of the nation-wide of Lithuania, however, was itself a multi-ethnic Sejm, and regional parliaments, the sejmiki, both political entity that included territory in the Rus of which were dominated by the nobility.156 The lands, which remained Orthodox and ethnically Polish nobility thus supported a constitutional Russian. These regions remained semi-autono- rather than hereditary union with Lithuania, mous, with their own political authorities and since it would strengthen and enhance these cultural figures who in written materials ex- forms of government within Poland. In Lithu- pressed themes of Rus ethnic nationhood.151 A ania, the nobility may have desired some of the notable Rus (Ruthenian) cultural figure within same rights as the Polish nobility. Maczak ar- the Rus lands of the Grand Duchy of Lithuania gues that perhaps the Lithuanian gentry brought was Frantsishak Skaryna, who was Polish edu- about the Union despite the opposition of the cated but a native of Polatsk and self-identified Lithuanian magnates, since they hoped it would as a Ruthenian. His writings used language ex- improve their political position.157 Additionally, tolling the identity of the Ruthenian people of Russian aggression weakened the position of the the Grand Duchy and promoting the idea of loy- Lithuanian nobles relative to the Poles, leading alty to one’s homeland.152 to desire for greater unity.158 Overall, however, The Ruthenian element in the Grand Duchy the Lithuanian and Polish political systems at was significant, although it was initially politi- this time were still markedly separate, and the cally marginalized; the grand dukes of Lithu- momentum for unification came largely from ania ruled the Grand Duchy of Lithuania, and the Polish nobility.159 after the union with Poland, these state offices The effects of the union were wide-ranging. were closed to foreigners.153 However, Ruthe- First, the Polonization of Lithuania and its in- nians outnumbered the Lithuanians two to one, corporation into the Polish system of govern- or in some estimates three or four to one, which ment and culture began in earnest. The closer forced the Lithuanians to recognize Ruthenian integration of the two nations forged a common rights.154 In light of the internal imbalances in the identity that included both the Polish nobles and Grand Duchy, the union with Poland was ini- the Lithuanian and Ruthenian nobles incorpo- tially a mere political affiliation that left the two rated into the union. This forging of a common

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identity was accomplished first by the political exports, which shows the complexity of rela- unity that the union created. Rather than the tions between Russia and the Polish-Lithuanian disjointed and loose association of ruling classes Commonwealth. Although their relationship as that characterized the earlier Polish-Lithuanian neighbors was uneasy, Poland and Russia were relationship, the Polish and Lithuanian elites be- tied together by some common cultural themes, came integrated, as they shared the same legisla- with Poland in fact dominating the exchange of tive body. This political unity was also furthered information. by “a kind of legalism” that emphasized rule of The combination of an attractive and inclu- law that applied to everyone, including the most sive political system and a common language powerful nobles and the king.160 This focus on created a strong sense of national identity in the following proper legal procedures to achieve Polish-Lithuanian Commonwealth. One did not stated political aims ensured continuity of the have to be ethnically Polish or even Catholic to use of royal authority and served as an arbiter of identify as a Pole in political terms; therefore, the the interests of the nobles. The famous “Golden Commonwealth became a broad tent that was Freedom” that required unanimous consent in able to incorporate members from varying eth- the assembly to approve certain measures fur- nic backgrounds and maintain influence over a ther ensured “Polish liberty” among the mem- large swath of territory. Stanisław Orzechowski bers of the nobility of the Commonwealth.161 was a writer who styled himself as “gente Ruthe- Furthermore, elite unity was strengthened nus, natione Polonus,” indicating that he consid- when the Polish language became the lingua ered himself ethnically Ruthenian but politically franca of the realm, as all elites began to learn Polish, since he relished the political privileges it in order to communicate with one another.162 of the Polish system.168 This shared pride in a Around this time, the Polish language began common political system was further reinforced to supplant Latin as a sophisticated language by the creation of new national myths that within the realm, with Polish writers composing served a political purpose. One of these myths works in Polish rather than Latin. Mikolaj Rej was that Poles were descended from the ancient was one such author, who declared “A niechaj European Sarmatians. This myth allowed the narodowie wżdy postronni znają, iż Polacy nie gęsi, Poles to sidestep legends about the mythical iż swój język mają (Let foreign nations know that Lithuanians or of ancient Kiev, and create their Poles speak not [Latin] but have their own lan- own vision of Poles as distinct, superior, and im- 163 guage).” Ukrainian and Ruthenian authors bued with certain values, chief among them lib- also composed works in Polish in addition to erty.169 The Sarmatian myth further justified the Latin, since Polish was becoming the language political structure of the Commonwealth, with 164 of the cultural elite. This shift occurred against the nobility (Polish, Lithuanian, and Ruthenian) the backdrop of the Renaissance that took place descended from the Sarmatians ruling over the in Poland, influencing architecture, art, and liter- peasant population.170 ature.165 The printing press allowed Polish writ- ten works to circulate among the Lithuanian and The Polish Golden Age and Ruthenian populations, contributing to the Polo- nization of the East.166 Furthermore, this growth Conflict with Russia in Polish “high culture” reached as far as Mus- So how did citizens of the Polish-Lithuanian covy; some of the Muscovite elite learned Polish Commonwealth see themselves vis-à-vis Russia? and Polish works were translated for Muscovite The formation of the Commonwealth and the consumption. 167 At this point, Poland was the ongoing process of creating a common identity cultural center of Eastern Europe, with Mus- had substantial foreign policy implications. For covite Russia benefiting from Polish cultural one, Poland was now a partner to any wars with

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Russia that Lithuania would fight. Earlier in the division and its basis for identity differences 16th century, Poland had abstained from inter- among the Rus people. vening in conflicts between Lithuania and Rus- Despite these inherent tensions between Rus- sia, and some Lithuanians had actively sought sia and the Polish-Lithuanian Commonwealth, this Union precisely because they sought security war was ultimately the result of the territorial in stronger Polish protections.171 The incorpora- ambitions of the Polish king. The Jagiellonian tion of areas with a large Ruthenian population dynasty died out shortly after the Union be- brought the Polish-Lithuanian Commonwealth tween Poland and Lithuania, and with the end of directly into opposition with Russia. At the same this line of kings, the Polish throne lost the legiti- time as Ivan IV was declaring himself tsar of all macy of birth that the Jagiellonians had claimed. the Rus, the Polish-Lithuanian Commonwealth It was now time to elect the first king under the now contained the White, Black, and Red Rus.172 procedures laid out in the Union of Lublin. After At this time, as well, the Ruthenian population a brief and disastrous interlude as elected king of the Commonwealth were beginning to see of Poland, Henry Valois left to become king of themselves as distinct from the Great Rus of France, and Stefan Batory was elected to succeed Muscovy, labeling the Muscovites as the “oth- him. Batory was a strong ruler that chose as his ers.”173 This became particularly apparent after foreign policy orientation to make peace with the Union of Brest in 1596, which aimed to create the Turks, expand into Hungary, and fight Mos- religious unity between the Catholic and Ortho- cow. He was a skilled military leader who initi- dox wings of the Commonwealth.174 This shift in ated military reforms (including introducing the identity, however, was not necessarily the result famous Hussar cavalry) and managed to wrest of Polonization. In fact, Plokhy challenges the Livonia and Polotsk from the Muscovites.177 conventional narrative of the Polish-Lithuanian While Batory’s foreign policy orientation of Commonwealth as a multi-ethnic state that Po- opposing Ivan IV with armed force was sup- lonized its citizens. Rather, he sees the formation ported by Parliamentary authority and tax lev- of the Commonwealth as contributing to greater ies, Batory faced opposition at home from nobles Ukrainian and Belorussian self-awareness of that opposed his particular track of foreign pol- nationhood.175 At the same time, however, the icy. The Polish nation was not united against the Ruthenian elite of the Commonwealth were po- Muscovites by any means; some nobles wanted litically loyal to their semi-centralized system the Commonwealth to attack the Turks.178 Fur- of government. This political differentiation thermore, some nobles, such as the Zborowski from the Rus of Muscovy led the Ruthenians family, opposed Batory’s consuming drive to to see themselves as separate from the Musco- acquire the Hungarian throne and his methods vites, destroying the prospect of all-Rus unity. of doing government business. Stone labels the Furthermore, despite his titular claim to be the Zborowki response to the king a “public rela- ruler of all-Rus and his emphasis of Russian his- tions offensive against royal ‘tyranny’ [that] torical origins in Kiev, Ivan IV did not act upon laid the foundations for the nobility’s common his proclamations. He chose to focus on assert- action against royal power.”179 This precedent ing his political claims diplomatically with the of Polish nobility opposing the king would re- Polish-Lithuanian Commonwealth rather than surface continually in Polish-Lithuanian interac- protecting or enlisting support from a group tions with Russia. Although Poland recognized that, while ethnically and religiously similar to the threat from Muscovite territorial ambitions, Muscovy, chose to identify with the government nobles were more concerned with their domestic of the Commonwealth rather than pledging al- political considerations, so political wrangling at legiance to the tsar.176 The Union between Po- home held up Batory’s attempts to get authori- land and Lithuania, then, solidified this political zation for war.180 In 1584 after Ivan IV’s death,

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the Sejm refused to grant Batory all the taxes intervened at the behest of certain Muscovite that he sought for further military action against boyars who asked them to intervene.183 Other Russia.181 historians such as Stone emphasize the role The Polish intervention against Russia, then, of certain powerful Polish magnates (such as was not the product of a particular national iden- Jerzy Mniszech, whose had his daughter marry tity that saw Russia as an enemy. Rather, it was the False Dmitri), who were angling to wrest dominated by personal choices of political lead- power within Russia through political maneu- ers (such as the king) that stood to benefit from vering and armed force.184 The Russian boyars escalating tensions with Moscow beyond an and Polish nobles were already discussing a intermittent border conflict. This became abun- possible union between the Polish-Lithuanian dantly clear under the leadership of the next Commonwealth and Muscovy, and in 1610 in- king of Poland, Zygmunt III. Zygmunt’s reign vited Władysław to become tsar.185 In the end, was dominated by his Swedish concerns, as he though, the political intrigues on both sides tore ruled both Sweden and Poland. The Polish no- apart any prospect for Polish rule of Moscow, as bles originally elected him as king to strengthen Zygmunt wanted the throne for himself rather ties between Sweden and the Commonwealth, than his son, and numerous boyars intervened but he soon found himself mired down in con- to regain Moscow. Political unrest ensured at flict while trying to retain his throne in Sweden. home in Poland as troops rioted for their back Intensely Catholic and a proponent of special pay. These outcomes led Davies to comment: privileges for Catholic nobles, Zygmunt was “In terms of men killed and of money squan- hated in Lutheran Sweden when he attempted to dered, the Time of Troubles was almost as trou- impose Catholicism there. Regarding its overall blesome for the Republic as for Muscovy.”186 foreign policy, then, the Polish-Lithuanian Com- While the Polish reaction to Moscow’s difficulty monwealth found itself pulled into what Nor- shows that Poland was capable of holding its man Davies describes as a “triangular” struggle own against Moscow and even attempting to for power and influence in the Baltic between impose a favorable political settlement, it also Sweden, Russia, and the Commonwealth.182 shows the limits of Polish power. Poland had hoped to leverage its connections with Sweden to achieve its own territorial gains The Beginning of the End: The from Swedish incursions against Russia, but this plan fell apart when Sweden made peace with Polish Retreat to the Strategic Russia and Zygmunt’s relations with Sweden Defensive deteriorated. The intervention in Moscow during the Time of Regarding its foreign policy towards Rus- Troubles marked the high water point for Polish sia, the Polish-Lithuanian Commonwealth military power and expansion vis-à-vis Russia. under Zygmunt decided to exploit the weak- By the end of the Thirteen Year’s War with Russia ness of Russia during the Time of Troubles. In from 1654-1667, Polish control over the Rus lands the course of the intervention, the Poles under of the Commonwealth was permanently broken, Zołkiewski marched up to the Kremlin, es- and about a hundred years later, Poland itself tablished a garrison, and attempted to install was partitioned. This paper cannot explore in Zygmunt’s son Wladyslaw as tsar. But the in- any depth the reasons for the Commonwealth’s tervention was not at all a grand moment of loss of momentum in foreign policy and its later Polish triumph as it was later portrayed. Davies internal unraveling, but a few points relevant to points out that the Sejm and Polish commanders the Polish-Lithuanian Commonwealth’s sense such as Zołkiewski were consistently opposed of nationhood and relations with Russia will be to intervention, and in the end, the Poles only discussed.

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The precipitating cause of Poland’s loss of of this period (in Russia they occurred quite strength relative to Muscovy was internal dif- often until the Romanovs came to power), the ficulties, from political dissension to uprisings Polish system inevitably created political uncer- by the Ukrainian Cossacks, which Russia was tainty every time a new king was chosen. Fur- able to exploit.187 The Cossack rebellions were thermore, the Polish system was unique in that directed against the Ruthenian elite of the Com- it created certain expectations of freedom for the monwealth and the system of government that nobility, while giving disproportionate power to they represented that allowed the nobility to noble families. Since everyone wanted to join the control much of the land’s wealth.188 Despite the group of the nobility and enjoy their freedoms, Polonization of the Ruthenian elite and their re- uprisings found support. sulting loyalty to the Commonwealth they were While relying heavily on peasant outrage unable to control the Ukrainian Cossacks, who against the excesses of the nobles, Khmel- remained a dissembling unit within the Com- nytsky’s Uprising also was supported by some monwealth. The Khmelnytsky Uprising of 1648 of the Ukrainian nobles and magnates, who showed the weaknesses of the Polish-Lithuanian hoped for greater rights and protections simi- Commonwealth that were inherent to its system lar to those the Poles enjoyed.192 Furthermore, of government and multi-ethnic composition. As it took place during the election of a new king mentioned earlier, the Polonization of elites in to the Polish throne—a politically vulnerable the Commonwealth took place through a num- time for the Commonwealth. Recognizing the ber of avenues: the spread of Polish high culture, importance of influencing this election process, the Polish language, the Sarmatian myth, and Khmelnytsky made overtures to Jan Kazimierz, the sharing of power among noble families. This who was eventually elected king of Poland, ask- process, however, with its focus on the rights of ing him to protect Cossack freedoms.193 The no- the nobility to rule, was unable to incorporate bles were unwilling to accommodate a Cossack rising populist sentiment among Ukrainians. 189 leader that pledged allegiance only to the king, Even for the Ruthenian nobility (some of which and Khmelnytsky turned to Muscovy and Swe- supported the Cossack uprisings), the gente Ru- den for support.194 In 1654, the Cossacks signed thenus was an important part of their identity the Pereislav Agreement with Muscovy, putting despite Polonization.190 Furthermore, the Ukrai- themselves under Moscow’s protection in ex- nians often resented the fact that their Orthodox change for a guarantee that the Ukrainian nobil- religion was marginalized within the Common- ity would receive the rights of the Polish nobility wealth.191 The Cossack uprisings were able to from the tsar.195 exploit these weaknesses to foment rebellion The invitation to Russia was the beginning among the peasant classes against the Polonized of the end for the Polish-Lithuanian Common- Ukrainian nobility. wealth. Although the Poles attempted to as- The Union of Lublin also created disastrous suage the Cossacks with the Union of Hadiach effects in the 17th century by instituting political in 1659, which would have granted the politi- sharing of power between the king and the no- cal demands of the Ukrainians by creating the bility, through the election of Polish kings. This Grand Duchy of Rus, armed intervention from new system of electing a king caused the loss of Russia and Sweden prevented the Union from legitimacy for the king that the dynastic Jagiel- being carried out.196 In the end, the internal lonian rulers had enjoyed. It also shifted some of strife created the right conditions for outside in- the king’s previous powers to the hands of the tervention. As Kaminski comments, “In the wel- nobles, who jockeyed for power among them- ter of domestic rivalries for power and serious selves while electing a new candidate. Although social strife, an exterior factor—Russia—proved succession problems were common in countries decisive.”197 At the Treaty of Adrusovo in 1667,

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Muscovy took control of all of left-bank Ukraine, that traditionally went to a hereditary king, thus and Polish power would never recover.198 creating fractiousness decision making and nu- merous instances where the Sejm refused to fund Conclusions the army that was necessary for Poland’s wars. After examining the factors that shaped Pol- Although modern retellings of Polish history ish identity and its relations with Russia prior tend to paint a picture of a unified Poland that to the 18th century, it is clear that they are more consistently opposed Russian aggression, the complex than is commonly portrayed. While a story neglects to mention that most of the Polish strong sense of Polish nationhood existed by the elite opposed the most noteworthy of Poland’s end of this period—and was shared by Catholic interventions against Moscow during the Time and Orthodox, Lithuanian and Ruthenian nobil- of Troubles. Moscow was on the agenda of coun- ity of the Commonwealth—it was not necessarily tries of concern , but Poland was not mired in anti-Muscovy. Poles did not define themselves continual conflict with Muscovy until after the in opposition to the Rus or even to Muscovy; the Cossack uprisings. Commonwealth was inclusive of multiple eth- Furthermore, the story omits the cultural nicities, including the Rus, and accommodated closeness between the Slavs in general. Both multiple layers of identity. Admittedly, multiple Poles and Muscovites learned from each other layers of identity coexisting in the same space culturally, and Polish national consciousness were quite common during this period. However, was birthed not during a time of conflict with Poland actively cultivated a cross-border Polish Moscow, but during an extensive struggle centu- national identity shared by the “Polonized” elite, ries earlier against the Teutonic Knights. In some who had little in common besides membership ways, the Germans were the original enemy, in the same political bodies and a common Polish with Russia only of peripheral and later concern language, yet took pride in this identity. when the Polish nation was forced to expand to In fact, it was the very attractiveness of this the East by joining with Lithuania to defeat the political identity and its exclusivity to the nobil- Teutonic Knights. Russia and Poland, then, were ity that, by encouraging Cossack revolts, led to enemies of coincidence, and Polish national Poland’s military defeat at the hands of Muscovy identity vis-à-vis Russia was complex and multi- and a loss of political territory. Furthermore, the faceted throughout this period. grand political bargain that created the Com- monwealth also was fraught with internal weak- Alexandra Chinchilla is a senior in the School of For- nesses. The nobles retained many of the powers eign Service studying International Politics.

44 | Utraque Unum — Summer 2015 THE PARLOR

Choral Music and the Voice in 19th-Century Vienna

María Teresa Roca de Togores

ohann Sebastian Bach (1685-1750) spent well as Richard Wagner—who inherited and his life writing music and working for transformed the German vocal tradition. I will J the Lutheran Church in Germany. Bach’s trace how these composers’ unique approached multiple positions as a Lutheran organist and to choral music and the voice intersected with Kapellmeister equipped him with tools and major social changes in Vienna over the long 19th exposure that he then used to develop the Ger- century. man chorale, a genre with which Bach popular- ized and secularized a choral tradition in a way The popularization of song in that would impact the whole German speaking world for the two centuries to follow.199 Long Ludwig Van Beethoven (1770- before Bach, the Vienna Boys’ Choir, or Wie- 1827) ner Sängerknaben, had been developing the Ludwig van Beethoven´s approach to the genre German choral tradition at the Imperial Court of the song in the late 18th century was the be- Chapel since 1498, allowing composers to have ginning of a socialization process that brought stable jobs while composing and working for the music into the public sphere and slowly trans- Emperor. Bach’s musical legacy and the Wiener formed it into a tool of speech and public Sängerknaben are of paramount importance for opinion. German culture because they constitute the ori- gin of an essentially German choral and vocal The role of song in Viennese public life tradition; this very tradition developed further As early as the 18th century, Vienna was a con- as choral music and the Lied [‘art song’] evolved servative city wherein the Emperor’s legitimacy in response to larger social and cultural changes was unquestionable. Yet, Vienna was also a rela- at the intersection of music performance and tively cosmopolitan city, hosting people from social musical understanding in 19th-century all over the Holy Roman Empire. As the French Vienna. army headed to Vienna in 1796, the Austrian In this paper I will explore the intersection of government used popular songs as a method music and society in Vienna by examining the to whip up public courage and patriotism. Dur- lives and work of composers from the First and ing his time in Vienna, Beethoven experienced Second Viennese Schools (Beethoven, Schubert, first-hand the general attitude of disapproval Brahms, Wolf, Bruckner, and Schönberg), as for the French Revolution and hostility toward

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the Napoleonic Wars. Beethoven took advantage Symphony No. 9 “Choral”, IV: Presto— of the fact that in his time song was not a piece Allegro Assai—Choral Finale of music to be performed at a concert but rather Throughout his time in Vienna, Beethoven a popular art form and an effective tool for so- learned to take advantage of the aforementioned cial cohesion and identity building: he wrote social changes to promote his music. Although the songs Verwünschungen der Fransozen (1793), he was the first composer in Vienna to be com- Abschiedsgesang an Wiens Bürger (1796), and pletely independent from patronage, he man- Kriegslied der Österreicher (1797) to create social aged to find significant sponsors amongst the cohesion in the Austrian identity. In 1797, Joseph nobility and bourgeoisie who became increas- Haydn set to music Lorenz Leopold Haschka’s ingly interested in the newest compositions. Yet, “Gott erhalte Franz der Kaiser” [‘God save Franz rather than taking commissions from patrons, the Emperor’], which became the Kaiserhymne he composed his music independently so that or Austrian national anthem—later the Deutsch- he could touch on topics that he was person- landslied or German national anthem. ally interested in, which often included social or In the aftermath of the Napoleonic Wars, and cultural commentary. Through the changes in especially after the Sixth Coalition defeated the social welfare after the Congress of Vienna, the French Army in 1814, Vienna saw the influx of Viennese public became increasingly cultured many positive social changes that enhanced the and thus more able to understand the messages cultural activity and engagement of its popula- behind Beethoven’s compositions. The few times tion. That same year, European rulers met at the that Beethoven used text in his pieces, he did so Congress of Vienna (1814-1815) to redefine Eu- with the clear purpose of immediate communi- rope geographically. The events celebrating the cation through lyricism and rhetoric.200 victory over the Napoleonic troops were accom- The fourth movement of Beethoven’s Ninth panied with the popular music and songs that Symphony most clearly displays this communi- Beethoven and Haydn had composed during the cative intention, and it greatly affected the social time of the occupation. In the years following approach to choral music of all composers in the Congress of Vienna, the city saw significant the following decades. Beethoven used Schil- improvements in education; in the growth of ler’s poem “An die Freude” [‘The Ode to Joy’] as the middle class, bourgeoisie, and intellectuals; the text for his chorale, lending his composition and in increased work opportunities for musi- deep human significance. The text conveys a cians. These changes contributed significantly to feeling of humanity with which all people can the increase in musical activity in the city: more identify, as well as the ultimate joy of finding and more aspiring musicians moved to Vienna the meaning of one’s existence. Throughout to pursue a career in performance or composi- the other three movements of the symphony, tion, musical literacy was more and more com- the music itself explores the ideas of self, exis- mon among the upper and middle classes, and tence, and humanity, and Beethoven accompa- attending concerts became not only a sign of nies these themes with recurring leitmotivs of good taste and intellectual curiosity but also a the chorale theme to anticipate the heroic finale. respected social activity. Moreover, although The final movement stands as the first exposition choral music performance was still considered of the complementary communicative roles that an amateur practice confined to sacred spaces at music and language can play in great symphonic this time, the foundation of new choral societ- pieces to convey a universal message to a society ies like the Gesellschaft der Musikfreunde in 1812 that was slowly discovering the power of these institutionalized, democratized, and secularized artistic forms. the practice of choral music to fit into the new It is important to note that Beethoven’s rein- Viennese social context. vention of the symphony—as an indivisible piece

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in four movements—places the fourth movement singing took on a more intimate, friendly char- of the “Choral” Symphony into a very privileged acter than they did in the performance of large, position. By adding a choral finale to an instru- public symphonies. mental symphony, Beethoven elevated choral Schubert considered it essential to have an music to the same level as the symphony itself. understanding and appreciative audience. Al- The proportions of the piece when it was first though through his music he tried to reach an performed were unprecedented: a full orchestra, ultimately poetic style and certain nostalgia for a quartet of vocal soloist, a four-part chorus of the past, his larger aim was to make a social com- around 150 singers, and two conductors.201 The mentary on the miserable aspects of Viennese addition of a chorale was astonishing at the time, society such as sickness, death, excessive ur- especially given its multiple functions within the ban life, and the like. Like Beethoven, Schubert piece: it added to the symphonic complexity of sought immediate communication through lyri- the piece, played a communicative role through cism and rhetoric:204 Schubert looked to commu- the use of Schiller’s poem, and worked to build nicate beyond the private sphere by trying to social cohesion among the choral societies that convey a more psychological and individualistic participated in the performance. Music critic social critique.205 Schubert’s Lieder and cham- Thomas Kelly wrote in his memoir the following ber music reflected an intimate dimension that observations concerning the piece: music like Beethoven’s symphonies lacked, and The soloist and chorus take the role of solo they captured the desire of Viennese society to instruments, it is like a symphony in itself, escape the city. During Schubert’s time more with varying moods, tempos, and move- choral societies were founded, like the Männer ments, it is like an oratorio, with a solo Wienergesangsverein (1843) and the Schubertbund singer and a choir, it is like a French revolu- (1863), both of which further expanded the do- tionary cantata, culminating in a great pas- mestic performance of Schubert’s Lieder to an sionate outburst.202 increasingly cross-social public level. Franz Schubert (1797-1828) The Lied By creating the Lied, Schubert transformed pop- Public and private spheres in Vienna ular song into a more elevated musical and in- While Beethoven performed symphonies in big, tellectual art form. The people who were now public concert halls, Schubert was slowly devel- exposed to these short compositions knew not oping the opposite genre, the Lied [‘art song’], only about music but also about the cultural and which belonged to the private social sphere. literary contexts wherein the Lieder originated. Schubert preferred to perform his music—usu- In music scholar Christopher Gibbs’s words, the ally piano pieces, chamber music, and Lieder—in Lied “is more than a tune. As the genre deep- front of smaller audiences because, according to ened, so did its constituent musical and liter- music scholar Leon Botstein, he “fitted neatly ary elements, which offered new extra-musical into a chauvinist vision of a local Viennese nativ- possibilities beyond song”206 because it created ist cultural tradition at odds with Jews, modern- intersection between literature, popular culture, ism, and cosmopolitanism.”203 These meetings, tradition and music, and because it used not called Schubertiades, were geared toward an au- only the voice but also the accompaniment as a dience that was elitist and more appreciative of narrative tool. the music—not only because the listeners were Through these interdisciplinary and musical more educated, but also because they were intersections, Schubert achieved a transforma- friends who shared their work and collaborated tion in the structure of the song. From the tradi- with each other. In these gatherings, music and tional strophic folkloric musical form, Schubert

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turned to modified-strophic and through-com- Although he was highly pressured by the posed structures. His aim was not only to illus- two aforementioned circumstances, Brahms trate the qualities of the poetry but also to create managed to find his niche in the amateur cho- new dynamics, interpretations, and nuances that ral societies of Vienna—most of which had been would speak to his specified circle of listeners.207 founded a decade before his arrival and were More importantly, Schubert created unprec- growing in numbers and overshadowing the edented relationships between the accompa- role of the solo voice. Like folkloric songs in niment and the vocal line. In An die Musik, he Beethoven’s time, these singing societies func- gave these two voices equally important roles in tioned as mechanisms of social integration and the musical narrative—almost turning it into a cohesion. As professional ensembles, they ac- duet. In Gretchen am Spinrade, he used the accom- cepted people from all social classes and thus paniment as a prop for character development. neutralized the social constructs that arose in the In Erlkönig, too, he used the accompaniment as concert hall by creating a community that not a characterizing tool to differentiate from one only empowered the role of the voice in the Vi- character to another. ennese musical world but also enabled Brahms The Lied and its relationships between the to build a circle of friends and a comfort zone voice and the role of music that he created for himself. In spite of Brahms’ difficult way of were groundbreaking during Schubert’s time. life and doubts about how successful he could Their innovative quality only increased after actually be in Vienna, it was his position at the Schubert’s death, when the gradual disappear- Singakademie that convinced him to remain in Vi- ance of the private scene that had sheltered the enna, though it took him years to complete his production of his Lieder and his symphonies first symphony. gave way to a raging popularization of all his Founded in 1858, the Singakademie focused works, which were constantly performed in the its musical repertoire primarily on early church best Viennese concert halls. music and unaccompanied singing, which reso- nated with Brahms’ traditional and Bachian Johannes Brahms (1833-1897) style. Brahms’ role as director of the Singakademie allowed him to reach a high public profile and Musical conception provided him with a good platform upon which By 1863 Beethoven’s music had impacted con- he could showcase the early choral works he had temporary composition so much that it had composed in Hamburg. It also constituted a safe quickly become part of the German canon, haven in which he was able to rediscover the and Beethoven himself had become a legend- characteristics of his previous choral works and ary figure of Viennese musical history. At the to explore how those could develop into greater same time, Schubert’s Lieder had reached such symphonic compositions that would then lead popularity at all social levels that the practice of to his biggest choral work: the German Requiem. amateur choral singing skyrocketed and pro- duced more demand for choral societies. As Ein Deutsches Requiem, Op. 45 he arrived in Vienna in 1863 to be the director While in Vienna, Brahms was involved in an of the Wiener Singakademie, Johannes Brahms intellectual and musical debate with Wagner’s was attracted to these new conceptions of Ger- “New German School”—a debate that would manic history and cultural identity and of a Ger- come to be known as “The War of the Roman- man musical canon. Yet, he was also haunted by tics.” Unlike Wagner, Brahms did not believe that Beethoven’s shadow and by Robert Schumann’s music should have any metaphoric power, mean- expectation that he would become the next big ing that music should not illustrate a different art German composer. form or a different concept oridea. He advocated

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for what he called “absolute music,” a type of symphony. His musical views were the complete composition whose aim was purely to expose the opposite of Brahms’: Wagner was a progressive music itself, which stood opposed to Wagner’s and the leader of the “New German School,” and “programmatic music,” which intended to illus- he believed that music could be programmatic trate an idea, a concept, or a narrative. and could possess an underlying meaning that The time between 1861 and 1868 constituted could be represented by the music itself. Wagner a developmental period that would result in endeavored to create a new art form, the ultimate Brahms’ Deutsches Requiem,208 which premiered performance wherein all of the performing arts— in 1867 and which secured Brahms’ international music, theatre, and dance—would converge: the reputation. Brahms borrowed from the Catholic Gesamtkunstwerk [‘total artwork’]. requiem and appropriated it by setting to mu- Wagner’s idea of what should constitute a sic selected excerpts from Luther’s Bible “that musical work was completely new: he held that would not only mourn the dead but also com- the voice is equal to any other instrument in the fort the living.”209 For Brahms this was a way orchestra and therefore must blend in with the of conveying the message that redemption is a music rather than being showcased by the ac- fundamental component of human fate and that, companiment. The singers introduce the leitmo- whether we remain on Earth or part from the liv- tifs, which are then picked up by the orchestra ing, we must do so with peace in our souls. to develop the musical and psychological ideas With this piece Brahms touches on the spiri- they entail. In Wagner’s musical theory, one can tual and on the reflective nature of sacred music, perceive elements of Beethoven’s idea that a cho- trying to convey the essence of the debate that ral composition can be just has sublime as a sym- opposed the two Viennese Romantic schools phony as well as elements of the way in which through the use of language and specific texts. Schubert had equated the voice to the musical The German Requiem is more solemn and more accompaniment in his Lieder. strategic than other choral compositions such The Gesamtkunstwerk also had a social ori- as his own Alto Rhapsody or Schicksalslied.210 In gin: “Wagner prophesized the disappearance a way, the War of the Romantics between con- of opera as artificial entertainment for an elite servatives and progressives could be assessed and the emergence of a new kind of musical as a musical representation of each group’s un- stage work for the people, expressing the self- derstanding of Viennese society and as a debate realization of free humanity.”211 Wagner’s Der on how those should be communicated through Ring des Nibelungen perhaps best achieved this their choral and vocal compositions. Unfortu- goal. By pairing the voice with the rest of the nately for Brahms’ musically puritan purposes, instruments in his colossal Gesamtkunstwerke, the imminent success of the Lied and of Wagner’s Wagner democratized the whole opera genre opera cast him aside as the last composer of a and significantly impacted subsequent compos- whole generation. ers’ understanding of it—composers who “have profited from his reform in the matter ofgiv- Richard Wagner (1813-1883) and ing dramatic depth, continuity, and cohesion to 212 the Gesamtkunstwerk their works.” Although Wagner is not directly related in terms of genre and musical tradition to the aforemen- Hugo Wolf (1860-1903) tioned Viennese composers like Beethoven and Intersections of Schubert and Wagner on the Schubert, his impact on the evolution of the voice voice in Viennese music has proved just as significant Just as Schubert’s Lied was the compositional as Beethoven’s influence on the reinvention of the opposite to Beethoven’s choral additions to

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instrumental music, Hugo Wolf’s Lied stood as Due to the popularization of the Lied and the the counterpart to Wagner’s musical dramas. improvement in music education, the private Wolf had a passion for Wagner and his use of sphere that had sheltered Schubert’s work had the voice as another instrument in the compo- completely disappeared when Wolf worked in sition, but he struggled with operatic projects. Vienna, and thus his Lieder became exposed to a Indeed, Wolf rejected Wagner’s idea of the Gesa- wider and more demanding audience. The solely mtskunstwerk because he believed that the length poetic character of the Lied that had inspired of Wagner’s musical dramas was unnecessary Schubert had also disappeared, giving way to to capture importance of the voice as an instru- Lieder that were as much pieces of programmatic ment and the Romantic character of a piece. For music as Wagner’s compositions. These social this reason, he focused his work on showing that and cultural changes—as well as the general ad- the same power and emotion could be conveyed miration for Wagner—encouraged Wolf to also through a shorter piece like the Lied. write his Lieder as program music for the concert Partly due to the merge between the private hall: his piano parts are like orchestral reduc- and the public sector of Viennese cultural life tions, and, as in Wagner’s dramas, his voice lines and partly due to Wolf’s own approach to the separate or merge with the piano, introducing Lieder, the character of these small musical com- and developing leitmotifs as the drama and psy- positions changed completely at the end of the chology of the pieces unfold. 19th century. Unlike Schubert, however, Wolf Mausfallensprüchlein is one of Wolf’s master- faced different and greater challenges in try- piece Lieder, and it is, according to Youens, “his ing to expand the implications of the Lied—an first example of what one might call tendentious endeavor which in fact brought his work closer humour in the Lied.”216 The piece takes musical to Wagnerian compositions than he might have humor to a modern harmonic and tonal level in thought—because the Lied was increasingly be- line with Wagnerian influences; the voice-lead- coming a small symphonic piece rather than a ing is chromatic, the music achieves a good ren- piece of solely chamber music characteristic. dering of the poetic reading, and the setting is Wolf used many texts that Schubert had also set emotionally dense. The Grablied, a short piece for to music. Thus, Wolf was able to give new in- a capella SATB choir, is also emotionally dense, terpretations to stories that were already largely highly rhythmical, and full of significant dy- familiar to the Viennese public. Wolf’s approach namics. Given that in Wolf’s context death and was to assimilate the interpretations of Schubert sickness were considered an escape from soci- and Schumann and to make the poem his own ety and from the oppression of the city much through the musical innovations that Wagner more than it was in Schubert’s time, this latter and Liszt had established in previous years.213 example addresses a reality that was no differ- Wolf wrote Gesammtsmusikwerke for solo ent from Schubert’s or Brahms’ reality—namely, piano and voice, using the same poetic content that though Vienna had considerably improved that Wagner used.214 As described by Susan as a city, many people were still dying from the Youens, Wolf’s Lieder contains an “aesthetic spread of diseases. Yet, Wolf managed to con- whose true originality we are only beginning to vey that reality in a much more powerful artistic appreciate.”215 The fact that Wolf used famous manner. texts allowed him to explore new tonalities and The music circles wherein Wolf presented his to provide nuances different from those that music often considered his approach to the Lied emerge in the work of Schubert or Schumann— as too innovative and even confusing because its nuances that resonated more with the social and Wagnerian character and harmonic explorations cultural changes happening in Vienna in the late challenged the texts that had inspired Schubert’s 19th century. traditional Lieder. Yet, Wolf knew he had to write

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for a different audience that Schubert. The social and between solo voice and choral ensembles. and cultural changes that Vienna had experi- In his choral pieces he takes advantage of long enced produced a more modern, more critical pauses to inspire inner reflection. He considered and more intellectual and educated population, conveying something extra-musical through dy- which would better understand the parallels be- namics and harmonic language to be an essen- tween Wolf’s compositions and their own every- tial part of his understanding of program music. day lives. He would use combinations of arias, recitatives, choruses, and chorales in his masses, bringing Anton Bruckner (1824-1896) these pieces closer to the concept of Gesamt- kunstwerk—albeit in an exclusively sacred way. The New German School versus the Cecilian Even though plainchant and Gregorian chant Reform techniques recur in all of Bruckner’s choral com- As a composer of the late 19th-century Viennese positions, the musically eye-opening experience School, Anton Bruckner proves to be an ex- he had in Vienna introduced him to new techni- tremely interesting case because his understand- cal features—such as additional orchestration, ing of music and his compositional style were instrumental accompaniments, more complex caught between the two sides of the War of the harmonic language, stretched melodic lines, and Romantics. The influences that inspired Bruck- more independence in the voice lines—all of ner’s music were extremely varied. As an organ- which slowly started to appear in the revisions ist in Sankt Florian’s Monastery he was exposed of these pieces, and all of which make Bruckner’s to Gregorian chant, Bach, Mozart, Schubert, and work extremely rich in what music scholar Paul Mendelssohn. The fact that Bruckner spent most Hawkshaw calls “an entire spectrum of styles of his life until 1861 (when he arrived in Vienna) from old-fashioned through consciously retro- in remote rural areas explains why he had never spective to avant-garde.”217 been exposed to the more progressive music of his contemporaries and why the early versions Bruckner’s Sacred Music of his choral music are so embedded in the clas- Hawkshaw argues that “It is in these sacred sical style. compositions that one must track [Bruckner’s] Bruckner wrote most of his choral music— growth into a mature composer,”218 precisely masses, motets, and the like—before his years in because—with the exception of the Te Deum— Vienna. These early pieces are homophonic and Bruckner composed all of his sacred choral works contrapuntal; they use 18th-century harmonic before his Vienna years, then revised them mul- language, and they are all sacred music com- tiple times in Vienna as he was exposed to Wag- positions. The years he spent in Sankt Florian ner and his followers. In Vienna his sacred works also brought Bruckner very close to his Catholic took on a more lyrical character, and though the faith. His religious devotion encouraged him to plainchant and chorales were essential, the solo follow the Cecilian Movement, which advocated parts gained more centrality. Through all of his for a retrospective, traditional, and conservative choral music, Bruckner employs all sorts of choir interpretation and performance of sacred music configurations, which provide a variety of differ- and Gregorian chant. Yet, ironically enough, his ent tonal nuances in his pieces. The effect, how- devout Catholicism also brought him closer to ever, is not random, since Bruckner intended Wagner’s “New German School,” since, unlike to show how the nuances of Wagnerian music Brahms, Wagner was also a Catholic. could be incorporated in conservative traditions Thus, Bruckner and his music represent the like the Catholic liturgy. balance between the conservative and the pro- The following five choral pieces are the best gressive, between sacred and secular music, examples of Bruckner’s blend of traditional

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sacred music and Wagnerian influences in cho- which appeared for the first time Pierrot Lunaire, ral music. The Ave Maria (WAB 5) shows contra- Op. 21, Schönberg wanted the reciter to avoid puntal facility, but Bruckner used the low bass adding emotions to the recitation of the text— lines and the high notes in the soprano line to that is, to avoid singing the text. His aim was to create contrast and emphasize the text.219 The use the natural sounds of language as a new mu- Pange Lingua’s (WAB 33) opening in unison, re- sical resource, which would reflect the psychol- stricted voice ranges, pure chordal progressions, ogy of the piece. This unfamiliar style of vocal and modal cadences make it essentially Grego- production consists in being able to coordinate rian, but the lack of strict counterpoint reveals random combinations of spoken pitches, tim- Bruckner’s sympathy toward progressive ideas. bres, and rhythms, without ever really signing The Locus iste (WAB 23), though Mozartian at them,220 and it is shocking to both the performer first, becomes chromatic and Wagnerian with and the audience; furthermore, it requires ex- the phrase “inestimabile sacramentum.” The Tota tremely skilled vocal technique. pulchra est (WAB 46) is a responsorial plainchant, Music scholar Richard Kurt explains Schön- very faithful to the text, but is modernized by a berg’s compositions by saying that “the music tenor solo. The Ave Maria (WAB 7) for solo so- is a transcription of vocal and instrumental ges- prano, accompanied by wide dynamic ranges tures that Schoenberg imagined spontaneously and dramatic octave leaps, is another example of in response to each poem’s sonic material.”221 how one single voice makes a traditional motet a This means that each piece in which Schönberg more modern piece. used the Sprechstimme technique blends his own All in all, Bruckner’s motets and sacred interpretation of the musical potential of the choral works are extremely demanding for the poem with its psychological qualities, and each voice. He wrote them with experienced singers showcases Schönberg’s new ideas on tonality. in mind; this fact alone demonstrates how, by Pierrot Lunaire combines the unfamiliar Sprech- the time Bruckner and Wolf were in Vienna, the stimme technique with Schönberg’s characteristic roles of choral music and the human voice—both atonal progressions, a compositional technique in opera and in the Lied—had been highly influ- that he invented that revolutionized the use of enced by new techniques, had blended into new the voice and of instrumental accompaniment, genres, and had taken different places in society the genre of the Lied, and the concept of tonal- due to the recent cultural and social changes. ity in modern western music.222 While Schönberg wrote Pierrot Lunaire, taught Sprechstimme to Arnold Schönberg (1874-1951) voice students, and experimented with atonal- ity, he was flexible about pitch accuracy when Pierrot Lunaire, Op. 21 and Sprechstimme performing this piece. As is evident, the role At the end of the 19th century Arnold Schönberg of the voice and the social psychology of Vien- developed in Vienna a new technique of vo- nese society took a radical turn during the 19th cal production called Sprechstimme [‘speaking century. voice’] style, which can be considered one of the most significant innovations in vocal production Conclusion of the late-19th and 20th centuries. This enigmatic Throughout the long 19th century there were approach to the voice can be described as the two areas of musical social life that developed recitation of the text with a slight intonation— hand in hand: one was the participation in cho- rather than the traditional lyrical singing. In ral ensemble and societies, and the other was the many ways, this style was inspired by Sigmund increased relevance of the voice in the develop- Freud’s psychological discoveries on human ment of the Lied and the German operatic style. consciousness. In his approach to Sprechstimme, Choirs served as more than just communities

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during religious services: they slowly became masses and sacred music, and—just as Wolf did secular societies in which citizens of Vienna with the Lied—he managed to take a traditional found a niche wherein they could be part of the genre to a completely new musical level. musical process as amateurs. As the solo voice Schönberg’s atonal theory and use of the developed into the central element of the Lied, Sprechstimme stands as the last real milestone music for the voice also matured in the Vien- achieved in music in terms of the use of the voice nese choral societies, the number of which grew in 19th-century Vienna. Its effects have yet to be constantly. seen, largely because the style was so unprece- In Christopher Gibbs’s words, “Although dented. While atonal music has already made its the stature of instrumental music reached new way into 21st-century instrumental compositions, heights during the early nineteenth century, the the role of the voice has remained more highly prestige of vocal music continued in opera, ora- influenced by Wagner. All in all, time has yet to torio, and more intimate genres such as newly reveal where the cultural, social, and historical prominent Kunstlied.”223 Yet, it was with Wag- experiences of the 20th and 21st century will take ner’s promotion of the Gesamtkunstwerk and with the use of the voice in future music composition. the introduction of the “New German School” that the idea of blending different types of mu- María Teresa Roca de Togores is a senior in the sic and performance in the same piece became a Georgetown College of Arts & Sciences studying reality. Anton Bruckner realized this goal in his Government and American Musical Culture.

Utraque Unum — Summer 2015 | 53 THE PARLOR

“I Am and I Love” Wounds, Embodiment, and Incarnation in Crime & Punishment, Demons, and The Brothers Karamazov

Katie Bellamy Mitchell

“My sage said, ‘Wounded soul, if, earlier, he had been able to believe what he had only glimpsed within my poetry, then he would not have set his hand against you…’”

—Dante Alighieri, Inferno Canto XIII, 46-49

But Thomas, one of the twelve, called Didymus, was not with them when Jesus came. The other disciples therefore said unto him, We have seen the Lord. But he said unto them, Except I shall see in his hands the print of the nails, and put my finger into the print of the nails, and thrust my hand into his side, I will not believe. And after eight days again his disciples were within, and Thomas with them: then came Jesus, the doors being shut, and stood in the midst, and said, Peace be unto you. Then saith he to Thomas, Reach hither thy finger, and behold my hands; and reach hither thy hand, and thrust it into my side: and be not faithless, but believing. And Thomas answered and said unto him, My Lord and my God.

—John 20:24-28, Standard King James Version

n Dostoevsky’s The Brothers Karamazov, being, through his appearance on earth, was Father Zosima defines hell as, “[t]he suf- granted the ability to say to himself: “I am I fering of being no longer able to love.”224 and I love.” Once, once only, he was given What is most striking about this definition is a moment of active, living love, and for that how it sets the necessary parameters within he was given earthly life with its times and which love must exist: in limited, earthly life. seasons.225 Zosima tells a story of a spirit that was given the In this narrative, the physical limitations them- opportunity to love—and ultimately lost it: selves give this otherwise infinite and unbounded Once in infinite existence, measured nei- being his identity and possibility: the ability to ther by time nor by space, a certain spiritual say to himself as a subject, “I am and I love.”

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As narrated above, this brief musing of Zo- is disaffected and cut loose from his relationships sima’s, entitled “Of Hell and Hell Fire: A Mys- and his acknowledgment of the reality of both tical Discourse,” exemplifies Dostoevsky’s his victims and his family members. He deals understanding of the possibilities and dangers of with ideas rather than reality, with concepts bodily human existence—that is, of incarnation. rather than bodies, and so his world and the The physical, earthly existence of Dostoevsky’s people in it are utterly distorted by his theoreti- characters circumscribes their possibilities, and cal worldview. His actions are generally acquisi- so Zosima’s homily explores a similarly circum- tive, vicious, and consuming, and he justifies scribed world. The earthy, temporal, corpo- them by understanding himself as an exception. real world—the same world that Dostoevsky’s Raskolnikov’s theory justifies his murder of an characters inhabit in his novels, The Brothers old woman and her daughter by enabling those Karamazov, Demons, and Crime and Punishment— who are remarkable world-changers to encoun- circumscribes all possibilities. Zosima’s hom- ter others either merely as bodies in the way of, ily necessarily takes place in this same limited or in the service of, their vision. According to world, as a loss of connection to the body is a this theory, ‘great men’ like Napoleon and Al- loss of the possibility of love. These three novels exander of Macedon are allowed to use people are full of apparently contradictory bodily en- as means rather than ends, as empty physicality counters—moments in which some aspect of the rather than embodied humans. He explains his body functions as both a powerful symbol and a theory as follows: simple physical reality. In these three novels, the Those of the [exceptional] category all trans- body as the interface between individuals serves gress the law, are destroyers or inclined to as both 1) the locus of cruel abstraction, violence, destroy, depending on their abilities. The and misunderstanding, and 2) the foundation crimes of these people, naturally, are rela- of the possibility of love between individuals tive and variegated; for the most part they through a recognition of the embodied human. call, in quite diverse declarations, for the As noted, the physical is not consistently destruction of the present in the name of the positive in Dostoevsky’s novels. In fact, each better. But if such a one needs, for the sake novel centers on acts of remarkable ferocity and of his idea, to step even over a dead body, undeniably physical cruelty: the murder of in- over blood, then within himself, in his con- nocent (or at least relatively innocent) people. science, he can.226 Physicality, then, while it may be the locus of Here there is no space for active, living love be- salvation, is double-edged and difficult to pin cause there is no physical context. With his the- down, as are the wounds that the characters in- ory, Raskolnikov denies people the integrity of flict on one another. The symbols of bodily in- their physicality and treats them as mere num- volvement—the different ways that characters bers. To him, bodies and blood mean nothing. touch each other—cut both ways. However, this Whereas in Crime and Punishment physical mutability does not undermine the importance violence most obviously unfolds between an of bodies but actually strengthens the presence aggressor and a victim, in Demons and Brothers of the earthly. these questions unfold in the context of a duel. What is powerful in these gestures is not the A pistol duel seems like an ideal—albeit vio- wounding itself but rather the bodily confronta- lent—instance of mutual physical recognition: tion with the other through touch that the injury two individuals face each other as humans who or self-injury represents—as well as those mo- have somehow wronged each other, each with a ments in which characters neglect physical con- full awareness of the other’s mortality. However, tact. For example, Raskolnikov, the troubled and the books Demons and Brothers both contain du- philosophical murderer in Crime and Punishment, els for gentlemanly honor in which the mutual

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recognition of the participants is strangely sub- else, it has nothing to do with you personally. It’s verted when one participant refuses to engage true that I do not consider myself offended, and the other in a traditional way. The difference be- I’m sorry it makes you angry.’”228 The repeated tween the attitudes of the non-combative shoot- line, “‘it has nothing to do with you personally’” ers, Zosima and Nikolai Vsevoldovich, in their sounds like it is meant to comfort; instead, it dis- respective novels articulates a difference be- plays Nikolai Vsevlodovich’s belief in the inter- tween a true encounter and a warped encounter changeability of all human bodies and desires with human physicality. and souls, and so their utter unimportance. If In Brothers, Zosimov remembers his power- nothing has anything to do with anyone person- ful conversion toward compassion that resulted ally, then we have eliminated the person entirely. in his embrace of life and love. In the moment, Physicality is also made puzzlingly and strik- Zosima was unable to shoot at his opponent, and ingly present through the motif of finger-break- he dropped out of the regiment because he threw ing, or even biting out of anger or spite—an away his pistol after his opponent had shot and act that occurs in each of the three novels. This the bullet had grazed him. He rejoiced that nei- image resonates visually with the image from ther he nor his opponent had killed—that in- the epigraph of the curious Dante breaking the stead of death there was life—and he urged the brittle, outstretched branch of a tree that ahu- members of the regiment to be thankful: man soul has been bound into, and, in doing so, look at the divine gifts around us: the clear allowing the tree to speak of its sin. The most sky, the fresh air, the tender grass, the birds, powerful biting scene plays out in Brothers, as Il- nature is beautiful and sinless and we, we lyusha, the son of the disgraced “whiskbroom” alone, are godless and foolish, and do not Snegiryov, protects his father’s honor by fighting understand that life is a paradise, for we the neighborhood kids and taking a vicious bite need only wish to understand, and it will out of Alyosha’s finger. Alyosha understands come at once in all its beauty, and we shall later that his own brother Dimitri is to blame for embrace each other and weep...227 Snegiryov’s shame, but even as the little boy ap- Notably, Zosmia believes that reconciliation parently unwarrantedly bites into his knuckle, recognizes the power of the world, its physical a moment passes between the two of them as beauty and purity. Life, and all that is in it, is the boy unleashes his frustration and impotence like a paradise. He believes that once humans and a sense of injustice. This bite, an inarticulate can find divine beauty in the earthly, they will and physical accusation, is a powerful form of embrace physically and will also recognize their communication. Later on in Brothers, Liza pun- deeper bonds to one another as a part of the di- ishes herself after a fit of madness and of cruelly vine gift. imagining situations involving other’s suffering. Conversely, in Demons, Nikolai Vsevoldovich After Alyosha departs, she immediately inflicts corrupts the same pacifist gesture. His refusal harm upon herself: to engage Gaganov in combat comes not from a She unlocked the door at once, opened it place of awe and respect at living humanity but a little, put her finger into the chink, and, rather from an utter lack of belief and complete slamming the door, crushed it with all her boredom. It is almost as if he does not see the might. Ten seconds later, having released man in front of him—let alone acknowledge his her hand, she went quietly and slowly to her suffering or the emotional tension of the situa- chair, sat straight up in it, and began look- tion. Gaganov resents being spared, and Nikolai ing intently at her blackened finger and the Vsevoldovich explains that he did not mean to blood oozing from under the nail. Her lips offend him: “‘I fired high because I don’t want trembled, and she whispered very quickly to kill anyone anymore, neither you nor anyone to herself: ‘Mean, mean, mean mean!’229

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The finger-biting motif emerges also in Demons, Ivan proceeds to take care of the peasant, looking as Kirillov—coerced into killing himself by his after him and providing monetary compensation own strange suicidal philosophy and the machi- to the authorities for a doctor. He devotes himself nations of Pyotr Stepanovich—bites into the to the physical tasks at hand in a narrative that true culprit’s finger right before he kills himself. recalls the parable of the Good Samaritan. Ivan’s Ilyusha’s attack of Alyosha in defense of his fa- physical and definitive action allows him to see ther’s honor, Liza’s self-punishing door slam, himself as existing in a network of other humans and Kirillov’s final attack on Pyotr Stepanovich with physical needs, and this connection to the before he commits suicide all read as assertions human is a powerful source for good. Similarly, of the biter’s humanity. Just as Vergil insists that in Demons, Kirillov is momentarily pulled back Dante must hurt the sinner physically in order to into the incarnate life as his neighbor Shatov bus- learn of his sin, so these individuals must inflict tles over his wife’s going into labor. Although pain on one another in order to communicate he professes to believe that the true source of their own ineffable pain. In a crude way, these man’s meaning would be to become a man-god bites are requests for attention; furthermore, and to commit suicide, his response to the news they are reminders of the truth, accusations that that Shatov’s wife is giving birth actually reveals cannot be ignored or brushed off by the victim how, even with his theory, he has not found the because he or she has been physically inflicted true source of vital meaning that Shatov has in and must carry the marks. family and in the physical continuation of life. Physical interaction proves to be not only He muses, “‘It’s a great pity that I’m not able to harmful but also redemptive and healing in give birth… to make it so there is birth.’”232 these novels, as characters touch or otherwise These powerful physical vignettes—both acknowledge the wounds of others and then destructive and redemptive—stand in contrast care for the injured. As the turbulent Ivan from to the abstractly spiritual and ascetic rhetoric of Brothers sets out to find Smerdyakov—the lackey the then-contemporary church, which is most and true murderer of Ivan’s father—to discuss notably present in The Brothers Karamazov in the their mutual implication in his death, Ivan has character of Father Ferapont. Ferapont’s overen- an utterly alienating encounter with someone thusiastic fasting and prayer causes him to hal- who quite literally is only an obstacle to him: he lucinate and imagine that devils are everywhere, knocks a drunkard into the snow and proceeds yet it also lends him a certain authority to judge to walk by. Shortly thereafter Ivan decides that others: because he rejects physicality, he is per- he will testify falsely to his own guilt, with solid ceived as having sole access to a higher, non- evidence, and he is elated: “‘It’s something phys- physical reality. Father Zosima, by contrast, lives ical,’”230 he remarks about his decision to turn in a full, loving, and distinctly incarnational way. himself in, and he also experiences an internal Zosima’s bodily humanity emerges most evi- rebirth that is tied to a real encounter with an- dently in his physical mortality, as the narrator other’s physicality: emphasizes the smell of his body decomposing. It was as if a sort of joy now descended This normal human fact of mortality, however, into his soul. He felt an infinite firmness destroys the religious community around him, in himself: the end to his hesitations… At for his fellow monks have not expected the sa- that moment he suddenly stumbled against cred and the profane worlds to collide. They something and nearly fell. Having stopped, drive the distinction between body and spirit so he made out at his feet the little peasant he strongly that they initially do not even open the had struck down, who was still lying in the windows to air out the body, as they do not ex- same spot, unconscious and not moving. pect his body to decay. In fact, those in the room The blizzard had all but covered him…231 judged that the expectation of corruption was, “

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a perfect absurdity, even deserving of pity (if not forever, no matter what misfortunes befall, not to laughter) with regard to the thoughtlessness and become depressed, and not to falter—this is what little faith of the one who had uttered the ques- life is, herein lies the task. I have come to recog- tion. For quite the opposite was expected.”233 The nize this. This idea has entered into my flesh and obvious decay of his corpse is disappointing in blood… the same flesh and blood, which likewise many ways; it feels too crude and insensitive— can love and suffer and desire and remember, too bodily and human—for him to have died in and this is, after all, life.234 such an ignoble manner. While the praiseworthy As Dante both physically and poetically trav- monks from folklore had allegedly ascended, elled through the world of the Inferno, witness- sacred and un-scented, toward heaven, Zosmia ing the bodily and spiritual suffering of those dies and seems to fail to ascend. His humble and trapped by their sin in their sin, and as Thomas fully human act of dying is interpreted as a meta- withheld his belief and until he could touch the physical failure—when in reality it is the comple- marks of Christ’s passion on the cross, Dosto- tion of his incarnation. Such overt physicality in evsky’s characters necessarily move through Dostoevsky’s novels can be dismissed as realism, a world heavy with metaphor and spirituality but it is much more complex than that: these in- which is ultimately gloriously physical. carnational moments are moments of pointed The body, as the vehicle for interaction be- and unapologetic humanity. tween beings, functions at several levels in these Incarnation shapes tangible reality, the texts: superficially as a symbol for corruption, carnal alongside the sacred aspects of the hu- sin, and punishment, physically as the site of man world. The body both separates and joins real wounds and injury that need to be con- people, and so it enables love to be denied or sidered, and profoundly as a locus of salvation embraced. The urgency of this belief in love through the understanding of the possibility of anchored in life as lived, most importantly and love and community. Even at their most tran- immediately between embodied people, perme- scendent moments, neither Dostoevsky nor his ates not only these three novels but also Dosto- characters are separated from an awareness of evsky’s personal correspondence. On December their own embodied humanity and that of oth- 22, 1849, after he was pardoned and narrowly ers. This body and blood is, after all, life. spared an execution, Dostoevsky wrote the fol- lowing words to his brother Mikhail: Katie Bellamy Mitchell is a senior in the Georgetown There will be people near me, and to be a human College of Arts & Sciences studying English and being among human beings, and remain one Philosophy.

58 | Utraque Unum — Summer 2015 THE CLOCK TOWER

Interview with Professor Jo Ann Moran Cruz, Associate Professor of History

Louis Cona

rofessor Jo Ann Moran Cruz is an as- the role of women in academia changed since sociate professor of history at George- your time as an undergraduate? P town University and former chair of the department. In addition to being a noted A. I’ll start by discussing the role of women, leader in her field, Prof. Cruz has made major which has changed significantly since my time as contributions to Georgetown through her efforts an undergraduate. I applied and was accepted to in establishing the Medieval Studies program, Radcliffe College, which was the female equiva- as well as the Catholic Studies program. She has lent of the all-male Harvard College. At the time, directed International Initiatives in the Provost’s there were perhaps 200 women accepted in com- Office at Georgetown and has held numerous parison to 1,500 men at Harvard. Women, then, positions in the Faculty Senate. She has also been were in a significant minority in the classroom. I involved with faculty governance at George- also had no female professors during my time as town in a great variety of areas, including athlet- an undergraduate. At the time, Judith Shkar was ics, continuing studies, and faculty/staff benefits. the only female faculty member in the Harvard She has taught in Georgetown’s SFS program in Government Department, and she taught as an Qatar, as well as in Georgetown’s program in adjunct professor. She eventually became the Florence, Italy and in Alanya, Turkey. She has president of the American Political Science As- recently returned to the University after serving sociation and was the author of the classic essay as Dean of Humanities and Natural Sciences at on “Liberalism of Fear.” Loyola University, New Orleans from 2008-2012. At Harvard I studied Government with a con- Prof. Cruz recently spoke with Utraque Unum centration in political theory. In my junior year I about her time as a student, her research inter- took a course with the medievalist Jocelyn Hill- ests, and her experience in academia. garth. The course was a medieval survey with a focus on political thought, and I thrived in the Q. Can you tell us about your time as a student course. I also studied at Harvard with Harvey at Harvard, Chicago and Brandeis? What led Mansfield, Maurice Cranston, Carl Friedrich, you to pursue a career in academia? How has and Eric Voegelin.

Utraque Unum — Summer 2015 | 59 Interview with Professor Jo Ann Moran Cruz, Associate Professor of History |

I applied to graduate schools in government, would go line by line through the text offering but also in history and was accepted at Chicago his commentary, which is very medieval in style. to study political theory. I was fairly convinced Strauss was also quite soft spoken and normally by that time that I wanted a concentration on the would use a microphone. Students would liter- Middle Ages. Graduate school for me was an ally sit at his feet during the lecture. easy decision because I loved learning and never Most people were afraid to speak during imagined myself as being anything other than an class, but he would still ask about 6-8 students to academic. present. I did a presentation for him on Kant and remember him pointing out in class that I had Q. How did your interest in political theory studied with Carl Friedrich. At the time, I did not enhance your current research and interest in realize that they were intellectual enemies and medieval studies and history? had known each other in Germany at the same gymnasium. I also historicized Kant in my pre- A. While at Chicago I studied political theory sentation by looking at later works and his reac- with Leo Strauss and Joseph Cropsey, but soon tions to the French revolution, which is not, of realized when I worked with them that I was course, a particularly Straussian approach. more of a historian than a political philosopher. I began to take courses in other departments, in- Q. One of my favorite classes at Georgetown cluding a survey of the Middle Ages with Les- was your highly sought after, “Age of Dante.” ter Little and a course on Renaissance history In addition to studying the life and writings with Hans Baton in the history department and of Dante, the course focused extensively on one with Richard McKeon in medieval philoso- the medieval period, covering a range of top- phy, and so my interest in history continued to ics, such as, art, science, literature, philosophy, develop. theology, and politics. How did you become I worked with Joseph Cropsey for my Master’s interested in Dante? thesis on Machiavelli, grounding Machiavelli in the politics of 15th and 16th Century Florence, A. I did not encounter Dante in my classes as including his attitudes toward the Medici. Ire- an undergraduate or graduate student. When I member having an argument with Cropsey was hired at Georgetown, I was asked to teach about contextualizing Machiavelli, which he courses that covered both the medieval and Re- strongly opposed. As a result, I gradually real- naissance periods. At the time, however, I did ized that I was becoming more of a historian in not have much experience in Italian and I could my approach to these texts, applied to transfer to not imagine teaching a course on the Renais- Chicago’s History department and was accepted, sance without much knowledge of the language but at the time, my husband applied and was ac- or of Dante. I determined to travel to Italy and cepted to Harvard, and so I moved with him to stay there to work on my Italian. My husband Cambridge. I was accepted into the PhD program was sick that summer, and so we did not ex- at Brandeis in the History of Ideas, which was plore very much. Instead, I would wake up in the ideal program for me as it integrated political the morning and read Dante out on the veranda thought and history. overlooking the Tuscan countryside. It was an incredible experience as I had two hours of com- Q. Can you also tell us about your impressions plete silence immersed in the beauty of my sur- of Leo Strauss during your time at Chicago? roundings to engage the text. It was there that I fell in love with Dante. A. Strauss always attracted a large crowd to his I am glad that I read Dante later in my ca- classes. He remained seated when he taught and reer because I’m not sure if I would have had the

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same experience reading him as an undergradu- scriptural and legendary contexts within which ate. The fact that I had studied so much history Dante wrote. The Medieval Studies minor was and political theory beforehand allowed me to officially established in 1991 at the initiative of contextualize his work. I began to put Dante in Fr. Davis and then Fr. Lawton. Many of the stu- a political context, which at the time was un- dents coming out of the Medieval Studies pro- usual. Most interpretations viewed Dante in gram have gone on to top graduate programs light of philosophy, theology and literature. Ad- around the world. ditionally, most scholars interpreted Dante as religiously orthodox, but my reading of Dante Q. Why is medieval studies relevant today and found him to be quite heterodox and radical in why is it important for us to have this program his political and religious opinions. My view at Georgetown? of Dante from the very beginning was against the grain of current interpretations. However, A. First, if we look at the Jesuit tradition of over time, interpretations of Dante as a political this university, we cannot ignore the medieval thinker have become more common. period. The Jesuits—even though they were founded during the Renaissance –draw heavily Q. In addition to your many other contribu- from medieval theology and philosophy. Some tions to Georgetown, you are the founder of of the best medieval studies programs are at the university’s Medieval Studies Program. Catholic and Jesuit Universities. Georgetown, in Can you tell us a bit about your experience es- many ways, has served as a model for medieval tablishing the program? studies and in 1999 Georgetown hosted the an- nual meeting of the Medieval Academy. A. It became clear to me fairly quickly at Secondly, by studying the medieval period, Georgetown that we needed to think about a students are exposed to a range of great thinkers. medieval studies concentration. Fr. Royden Da- Students gain a well-rounded education in vari- vis, dean of the College, was enthusiastic about ous topics covering science, literature, history, the idea of establishing an interdisciplinary con- theology, philosophy, art, language, and politics. centration or minor in medieval studies. Penn Medieval Studies by its nature is interdisciplin- Szittya, professor in the English Department ary and global. Moreover, if you look at the ori- and co-founder of Medieval Studies, and I knew gins of universities, parliaments, representative we needed an introductory course that would government, the development of technology, ground students in the medieval period. We literature, legends (which are at the foundation could have chosen a medieval survey course, but of many cultures), the development of Christian- that would have been too historical. We wanted ity, Islam, papal authority, and the origins of the something much more interdisciplinary. We dis- Reformation, all come from the medieval period cussed the possibility of a course on the Canter- and we must go back to study the era in order to bury tales and finally settled on Dante, who was understand these topics. a figure around whom we could construct the Finally, Medieval Studies is simply great fun. history of the period and cover a range of topics Students and teachers are constantly surprised including literature, science, philosophy, poli- by what they are studying. The Middle Ages tics, and theology. The course was co-taught by is an intellectual and cultural adventure. It is Prof. Szyitta and myself for a number of years. It certainly not the boring “Dark Ages.” Students was a great experience for students to have two walk away with a tremendous respect for the in- professors from different departments teaching tellectual thought and curiosity of the age. And the class—and each other—about both text and for students it’s also very impressive to have Me- context. We did a lot of background work on the dieval Studies on one’s resume. It raises a certain

Utraque Unum — Summer 2015 | 61 Interview with Professor Jo Ann Moran Cruz, Associate Professor of History |

curiosity about the student and makes the stu- some thoughts on your experience there? Are dent stand out in a pile of applications. you happy to be back at Georgetown? Georgetown has a great Medieval Stud- ies program, and I hope that we maintain our A. Loyola was a wonderful experience. The uni- strength in this field. Fordham University has versity had been hit hard by Katrina and entirely an actual space on campus where students can lost the fall semester of 2005. The university had go visit and interact with faculty in the program. had a very large freshman class that year and It would be beneficial to have a central space at had to disperse the students to about 350 univer- Georgetown, perhaps where all interdisciplin- sities across the country, including Georgetown, ary programs are housed, so that students know which I believe accepted about 50 students as where to go for information on these programs. well as some of Loyola’s faculty that semester. In It would also raise the presence of Georgetown fact, we are approaching the 10th anniversary of as a place to do interdisciplinary work. Katrina. By the time I arrived, the university was still experiencing many difficulties. The fresh- Q. You also were instrumental in establishing man classes had not bounced back to their origi- the Catholic Studies program. Can you share nal numbers and this created all sorts of financial with us your thoughts and experiences with difficulties. The university was also facing law- Catholic Studies? suits for letting tenured faculty go post-Katrina, and they had closed academic programs. Loyola A. I worked with Bruce Douglass and others to had also created separate colleges for Social establish the program. John Pfordresher in the Studies and Humanities & Natural Sciences. It English Department was also instrumental in was difficult for a dean to come to a new college its founding. One of the reasons why I was so where some of the social sciences were missing. insistent on establishing the program was that I That was certainly a challenge, but primarily we was finding in my courses that students were not were concerned with the recruitment of fresh- very knowledgeable about the Catholic Church. man and faculty and faculty morale. Faculty lost I had to essentially teach Catholic studies in my research, lab materials, and homes. As a conse- medieval survey courses. quence many of them left, and those who stayed At the time I was also involved with a Jesuit faced numerous challenges. lay collaborative initiative, which later became The University was also censured by the the Ignatian Colleagues program in the Asso- AAUP post-Katrina, which made it difficult to ciation of Jesuit Colleges and Universities. The recruit new faculty. I worked with the Provost initiative encouraged laity to participate in the to establish guidelines for closing programs and Ignatian exercises, to study the history and tra- cutting faculty, lack of which was a major reason ditions of the Order and to enhance Jesuit val- for the censure. There was to be complete trans- ues on campus. As a result, I traveled around parency with faculty involvement regarding the the country to various schools and realized closure of programs. Before I left the AAUP lifted that many of them had programs in either Je- the censure, departments were fully staffed, and suit or Catholic studies, and Georgetown did the university was on more solid fiscal ground. not. At first there was some resistance to start- When I accepted the position, I told them that ing the program, but over time the program was I would only stay, at most, for three years. I am instituted. grateful to Georgetown for extending my leave of absence, first to three years and then for an ad- Q. From 2008-2012 you served as Dean of Hu- ditional year. In the end, Loyola asked me to ap- manities and Natural Sciences at Loyola Uni- ply for Provost; I had to make a difficult decision versity in New Orleans. Can you share with us as to whether I wanted to apply and potentially

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spend the rest of my career as an administrator, not want the department to know that. In the or return to Georgetown as a faculty member. mid 70’s I had been offered a position at Ameri- It was a difficult decision because I loved New can University, but they withdrew it when they Orleans as well as the experience at Loyola, but discovered that I had children. At the time only I wanted to end my career as a teacher scholar at two other women were tenured or tenure-track Georgetown. in the history department. Also, for a long time, it was very difficult for a woman to move up the Q. Finally, what are your thoughts on George- administrative ranks at Georgetown. Over time town’s Jesuit tradition? What were your initial this has changed. The number of women on thoughts about Georgetown’s Catholicity when the faculty has increased and Dorothy Brown, joining the faculty? What are some things that of course, was the first female Provost of the changed during your time at Georgetown? university. I worry a bit about the emphasis on research A. The first thing that was very evident tome over teaching that is taking place on campus and when I joined Georgetown was the freedom of elsewhere around the country and appreciate inquiry. I had had experience teaching at differ- Georgetown’s commitment to cura personalis, ent colleges and universities, and had found that which should be exercised not only on behalf of it was much more difficult to engage issues of students, but also throughout the entire univer- religion in the classroom at more secular institu- sity—with regard to faculty and administrators tions, and you cannot engage the Middle Ages and among colleagues. Finally, it is gratifying without religion. There was complete freedom of to watch the continued growth in faculty. More inquiry at Georgetown. faculty provides us with the opportunity to have Georgetown also places a high value on smaller classes and seminars for freshman and teaching. In addition to research, Georgetown’s upper classmen, which is very beneficial for stu- faculty are evaluated in teaching and service. dents. More team-teaching would also enhance I always appreciated that. When I started at the learning experience for students. Georgetown there were very few women faculty who were married and had children. The appli- Louis Cona is a senior in the College of Arts & Sciences cation process was a tense time for me, as I did studying Government.

Utraque Unum — Summer 2015 | 63 Endnotes

The Forum 1 Tocqueville, Alexis de., Democracy in America, Trans. J.P. Mayer (New York: HarperCollins­ Publishers, 1969), 509-510. 2 Putnam, Robert D., Bowling Alone: The Collapse and Revival of American Community, (New York: Simon & Schuster, 2000. 3 Tocqueville, 506. 4 Ibid. 5 Ibid., 508. 6 Ibid., 509. 7 Ibid. 8 Ibid., 691-692. 9 Ibid. 10 Ibid., 692. 11 Ibid., 511. 12 Ibid., 514. 13 Ibid., 514-515. 14 Ibid., 515. 15 Ibid., 511. 16 Ibid. 17 Ibid., 526. 18 Ibid., 525. 19 Ibid., 527. 20 Ibid. 21 Ibid. 22 Putnam, 63-64. 23 Ibid., 135. 24 Ibid., 147 25 Ibid., 341. 26 Ibid., 414. 27 Grube, G. M. A. Republic. Indianapolis: Hackett Pub., 1992. 368e 28 Ibid. 369a-e 29 Ibid. 370a-d

64 | Utraque Unum — Summer 2015 30 I have a strong reservation against this argument that is made. While I do believe that Plato brings up a valid point, I do not believe that it is the best course of action. This argument leads to the rise of a certain class of individuals, which in turn sets up his arguments for a hierarchical soul. 31 Plato, The Republic, 373e. 32 Ibid. 374a-e. 33 Ibid. 376c-d. 34 Ibid. 428d. 35 This was outlined earlier in work in Socrates’ debates with Polemarchus and Thracymachus. 36 It is important to note here that Plato is making, what I believe is subtly confining. He is following classical lines of Greek ethical thought (that there were four concrete virtues) this isn’t necessarily true, and it is something that Aristotle will challenge. 37 Plato, The Republic, 428d. 38 Ibid. 439d. 39 That which does or is A cannot simultaneously do or be its opposite B; they are mutually exclusive. 40 Ibid. 440—441b. 41 Plato is supposed to use his kallipolis to define the soul, yet he uses anecdotal evidence of individu- als (and their souls) in order to prove the virtues of the city (as in the case of the virtue of temper- ance). He then uses his proof of the virtues of the city as the foundation for his conception of the human soul. While I believe in what is being said to a certain extent, there seems to be a catch-22 involved in his argumentation that I find unsettling. 42 Cicero, Marcus Tullius, Miriam T. Griffin, and E. M. Atkins. On Duties. Cambridge [England: Cam- bridge University Press, 1991. 43 I conflate beliefs and desires within the skepsi. Why is this? Well, I am of the opinion that all thought is essentially boiled down to a matter of belief. A desire is simply something that is be- lieved to be necessary or good to have. Thus, I find that injustices and cruelties manifest them- selves when a person does not have beliefs in a proper order that conform truth and virtue. Thus, when an individual acts in a perverse manner, they do so because they perceive there action as having done what they perceive to be good. This concept is not new to Plato, as he himself states within the Gorgias that no individual does what he truly thinks is wrong. A man who betrays his friend for self-preservation does so out of a belief that survival is a greater good than the good of his friend. I must admit that this is a view that I later found to be held by the Roman Catholic Saint Thomas Aquinas, and while I could foray into that field, I believe that is a work for another time. 44 Where there seems to be an impasse between myself and Plato is our conceptions of knowledge. While I do not doubt in my mind the existence of an absolute objective truth, I am less generous to humanity than perhaps Plato. It is my belief that we exist entirely in the world of Plato’s pistis (belief) which can be true or false. Knowledge, I think, can exist only in the realm of a priori or very singular examples whereas the rest must be grasped through certitude. Bleak, perhaps, but I have always found truck with Plato’s conception of the soul’s eternal nature, but this, as with my thoughts on St. Aquinas, would take another large paper or appendix to engage. This will however, have an influence on my later views regarding the education of the populace.

Utraque Unum — Summer 2015 | 65 45 I am aware that intelligence does change over time and is dependent on physical development. I am merely stating that it is the most fixed of the three and is not something that there can be controlled change. 46 Thus it moves along a singular axis, and behaves similar to one of Aristotle’s virtues. 47 While I personally believe in a more Ciceronian concept of virtue, those expressed classically work just as well. A farmer ought to have wisdom so that he is constantly prepared for issues that may arise (of which experience ought to be associated with). He ought to have temperance so that he is not taken by moods or zeal. He ought to have courage in order to face the harsh winter season, and plow when it must be done. Finally, he ought to have justice so that he treats those he interacts with fairly and with due respect and courtesy. 48 Humans aren’t quite as different as Plato has painted us out to be. More likely is Aristotle’s notion that the only group that ought to be differentiated are those unable to participate properly, the “slaves by nature.” While Plato gave preferential treatment to those of differing soul types, here that is not necessarily the case. Those with a strong logiki are not necessarily good or virtuous people (namely, logic does not lead to a good lifestyle), and since virtues can be taught through education, those who are naturally just, courageous, etc . . . should not be given preferential treatment. 49 The education system must, it would seem, would need to be both stringent and stratified in order for this society to properly arise. It would require a lengthy, but also broad so that individuals could gain enough experience in the world to properly determine their preferred path in life. Higher educa- tion could then provide a more selective education to further them down that path. Rather than the platonic model’s top-down structure however, I would envision a system where individuals choose these paths for themselves and thus we might see a society that is less authoritative than that of Plato but hopefully no less competent and righteous. The Chamber 50 Hans Morgenthau, Politics Among Nations: The Struggle for Power and Peace. Seventh Ed., (New York: McGraw Hill, 2006), 174-175. 51 Ibid., 205-206. 52 Ibid., 517. 53 Ibid., 33. 54 Ibid., 430. 55 Ibid. 56 Ibid., 253-254. 57 Ibid., 3. 58 Ibid., 63. 59 A.T.H. Murray, “The Moral Politics of Hans Morgenthau.” The Review of Politics, (1996): 89. 60 Ibid., 90. 61 Murray, 97. 62 Murray, 102. 63 Hans Morgenthau, Scientific Man vs. Power Politics, (Chicago: The University of Chicago Press, 1946), 118.

66 | Utraque Unum — Summer 2015 64 Lang, Anthony F., Jr. “Morgenthau, Agency, and Aristotle.” Realism Reconsidered: The Legacy of Hans J. Morgenthau in International Relations. Ed. Michael C. Williams. Oxford: Oxford UPress, 2010, 18-41. 65 Obama, Barack. “Remarks by the President at the National Defense University.” The White House, Office of the Press Secretary. May 23, 2013.

The Sanctuary 66 Al-Farabi, The Book of Letters, Trans. Charles Butterworth (Ithaca: Cornell Univer- sity Press, forthcoming), 129-139. 67 Al-Farabi, The Political Writings: Selected Aphorisms and Other Texts, Trans. Charles Butterworth (Ithaca: Cornell University Press, 2001), 126. 68 Ibid., Letters, 144. 69 Ibid. 70 Ibid., Letters, 113. 71 Al-Farabi, The Exhortation to Happiness, Trans. Angela Jaffrey as PhD Dissertation. Harvard University. (Cambridge: 2000), 424-425. 72 Ibid., Letters, 147. 73 Ibid., Letters, 143. 74 Ibid., Letters, 143. 75 Ibid., Letters, 149. 76 Ibid., Letters, 147. 77 Ibid., Letters, 133-134. 78 Ibid., Letters, 147 79 Ibid. 80 Ibid., Exhortation. 81 Ibid., Letters, 147. 82 Ibid., Letters 117-119. 83 Ibid. 84 Ibid., Letters, 138-139 85 Ibid., Letters, 130-133. 86 Ibid., Letters, 138 87 Ibid., Letters, 141-142. 88 Proverbs, 8:22-24. 89 Alexander, 343. 90 Athanasius, 7. 91 Ibid., 34. 92 Nestorios, 129. 93 Cyril, 133. 94 Cyril, 135.

Utraque Unum — Summer 2015 | 67 The Archive 95 Timothy Snyder, Bloodlands: Europe Between Hitler and Stalin (New York: Basic Books, 2010), 397. 96 Omer Bartov, “Bloodlands: Europe between Hitler and Stalin by Timothy Snyder (Review by: Omer Bartov),” Slavic Review 70, no. 2 (2011): 426, accessed March 27, 2014, http://www.jstor.org/stable/10.5612/slavicreview.70.2.0424. 97 Ibid., 427. 98 Snyder, Bloodlands, 398. 99 Eastern Galicia and Bukovina both extended into what is now western Ukraine; Galicia as a whole stretched into modern-day southeastern Poland while Bukovina continued south into contemporary Romania. 100 Frank Golczewski, “Shades of Grey,” in The Shoah in Ukraine, ed. Ray Brandon and Wendy Lower (Bloomington: Indiana University Press, 2008), 119-120. 101 Orest Subtelny, Ukraine: A History (Toronto: University of Toronto Press, 1988), 367. 102 Golczewski, “Shades of Grey,” 121. 103 Ibid. 104 Ibid.,122. 105 Ibid.,125. 106 Ibid. 107 John A. Armstrong, “Collaborationism in World War II: The Integral Nationalist Variant in Eastern Europe,” Journal of Modern History 40, no. 3 (1968): 409, accessed March 27, 2014, http://www.jstor.org/stable/1878147. 108 Golczewski, “Shades of Grey,” 126. 109 Ray Brandon and Wendy Lower, introduction to The Shoah in Ukraine, ed. Ray Brandon and Wendy Lower (Bloomington: Indiana University Press, 2008), 2. 110 Golczewski, “Shades of Grey,” 127. 111 Karel C. Berkhoff and Marco Carynnyk, “The Organization of Ukrainian Nationalists and Its Atti- tude toward Germans and Jews: Iaroslav Stets’ko’s 1941 Zhyttiepys,” Harvard Ukrainian Studies 23, no. 3/4 (1999): 153, accessed April 8, 2014, http://www.jstor.org/stable/41036794. 112 Ibid., 153-154. 113 This investigation focuses on the OUN because it is well known and seems to be representative of the Ukrainian nationalist movement as a whole. That is not to say every nationalist was a member. Ivanovych Zelens’kyi, discussed in Bellezza’s “Discourse over the Nationality Question in Nazi- occupied Ukraine,” is a good example: an antisemitic, Ukrainian nationalist who was not a member of the OUN. 114 Wendy Lower, Nazi Empire-Building and the Holocaust in Ukraine (Chapel Hill: University of North Carolina Press, 2005), 32. 115 Yehuda Merin and Jack Nusan Porter, “Three Jewish Family-Camps in the Forest of Volyn, Ukraine during the Holocaust,” Jewish Social Studies 46, no. 1 (1984): 83, accessed April 6, 2014, http://www.jstor.org/stable/4467246.

68 | Utraque Unum — Summer 2015 116 David R. Marples, “Stepan Bandera: In Search of a Ukraine for Ukrainians,” in In the Shadow of Hitler: Personalities of the Right in Central and Eastern Europe, ed. Rebecca Haynes and Martyn Rady (London: I.B.Tauris, 2011), 236. 117 Dieter Pohl, “The Murder of Ukraine’s Jews,” in The Shoah in Ukraine, ed. Ray Brandon and Wendy Lower (Bloomington: Indiana University Press, 2008), 27. 118 Ibid., 28. 119 Ibid., 31. 120 Alexander Kruglov, “Jewish Losses in Ukraine, 1941-1944,” in The Shoah in Ukraine, ed. Ray Bran- don and Wendy Lower (Bloomington: Indiana University Press, 2008), 274-275. 121 Ibid., 275-277. 122 John-Paul Himka, “Ukrainian Collaboration in the Extermination of the Jews During the Second World War: Sorting Out the Long-Term and Conjunctural Factors,” in The Fate of the European Jews, 1941-1944: Studies in Contemporary Jewry XIII, ed. Jonathan Frankel (New York: Oxford University Press, 1997), 173. 123 Golczewski, “Shades of Grey,” 132. 124 Berkhoff and Carynnyk, “The Organization of Jewish Nationalists and Its Attitude toward Germans and Jews,” 152. 125 Golczewski, “Shades of Grey,” 132. 126 Martin Dean, Collaboration in the Holocaust: Crimes of the Local Police in Belorussia and Ukraine, 1941-44 (London: Macmillan Press Ltd., 2000), 60. 127 Golczewski, “Shades of Grey,” 138. 128 Pohl, “The Murder of Ukraine’s Jews,” 55. 129 Kruglov, “Jewish Losses in Ukraine, 1941-1944,” 275. 130 Karel C. Berkhoff, “Dina Pronicheva’s Story of Surviving the Babi Yar Massacre,” inThe Shoah in Ukraine: History, Testimony, Memorialization, ed. by Ray Brandon and Wendy Lower (Blooming- ton: Indiana University Press, 2008), 303. 131 Karel C. Berkhoff, Harvest of Despair: Life and Death in Ukraine under Nazi Rule (Cambridge: The Belknap Press of Harvard University Press, 2004), 68. 132 Lower, Nazi-Empire Building and the Holocaust in Ukraine, 65. 133 Golczewski, “Shades of Grey,” 139. 134 Himka, “Ukrainian Collaboration in the Extermination of the Jews,” 174. 135 Marples, “Stepan Bandera: In Search of a Ukraine for Ukrainians,” 236. 136 The Holocaust Encyclopedia (New Haven: Yale University Press, 2001), s.v. “Ukraine,” 653. 137 Golczewski, “Shades of Grey,” 143. 138 Omer Bartov, “White Spaces and Black Holes: Eastern Galicia’s Past and Present,” in The Shoah in Ukraine, ed. Ray Brandon and Wendy Lower (Bloomington: Indiana University Press, 2008), 330. 139 Dean, Collaboration in the Holocaust, 61. 140 Konstantin Symmons-Symonolewicz, National Consciousness in Poland: Origin and Evolution. Steven’s Point, WI: Worzalla Pub. Comp, 1983, 18. 141 Ibid., 20.

Utraque Unum — Summer 2015 | 69 142 Symmons-Symonolewicz, 18. 143 Paul W. Knoll, “Poland as ‘Antemurale Christianitatis’ in the Late Middle Ages.” The Catholic His- torical Review. 60 (Oct. 1974): 381-401. 144 Ibid., 387-388. 145 Tomasz Zarycki, “Uses of Russia: The Role of Russia in the Modern Polish National Identity.” East European Politics and Societies, 2004: 595. 146 Knoll, 394. 147 Ibid., 395-396. 148 Ibid., 396. 149 Serhii Plokhy, The Origins of the Slavic Nations: Premodern Identities in Russia, Ukraine, and Belarus, New York: Cambridge UPress, 2006, 86. 150 Ibid., 97. 151 Ibid., 112-114. 152 Ibid. 153 Daniel Stone, The Polish-Lithuanian State, 1386-1795, Seattle: UWashington Press, 2001: 12. 154 Ibid. 155 Richard Butterwick, The Polish-Lithuanian Monarchy in European Context C. 1500-1795, Hound- mills, Basingstoke, Hampshire: Palgrave, 2001: 4. 156 Ibid., 2. 157 Antoni Mączak, Money, Prices and Power in Poland, 16th & 17th Centuries: A Comparative Ap- proach, Aldershot: Variorum, 1995: 110. 158 Plokhy, 115. 159 Butterwick, 63, 82-90. 160 Satoshi Koyama,”The Polish-Lithuanian Commonwealth as a Political Space: Its Unity and Complexity,”147. 161 Anna Grzeskowiak-Krwawicz, Queen Liberty: The Concept of Freedom in the Polish-Lithuanian Commonwealth, Leiden: Koninklijke Brill, 2012. 162 Symmons-Symonolewicz, 28-30. 163 From Mikolaj Rej’s “Do tego co czytał” (“To What He Read,” 1562) http://obcyjezykpolski.strefa. pl/?md=archive&id=55. 164 Henrik Birnbaum, “Some Aspects of the Slavonic Renaissance,” The Slavonic and East European Review, Jan. 1969: 49. 165 Maczak, Money, 180-196. 166 Ibid. 167 Birnbaum, 49-50. 168 Symmons-Symonolewicz, 30. 169 Ibid., 32-33. 170 Janusz Tazbir, “Polish National Consciousness in the Sixteenth to the Eighteenth Century,” Harvard Ukrainian Studies, December 1986: 318-319.

70 | Utraque Unum — Summer 2015 171 Butterwick, 61. 172 Norman Davies, God’s Playground: A History of Poland, New York: Columbia University Press, 1982: 387. 173 Plokhy, 118-119. 174 Ibid. 175 Ibid., 114-115. 176 Ibid., 151-156. 177 Daniel Stone, The Polish-Lithuanian State, 1386-1795, Seattle: UWashington Press, 2001: 116-127. 178 Ibid., 123. 179 Ibid., 125. 180 Karin Friedrich, Barbara M. Pendzich, “Citizenship and identity in a multinational commonwealth: Poland-Lithuania in context, 1550-1772,” Boston: Brill, 2009: 34-36. 181 Stone, 127. 182 Davies, 454-455. 183 Ibid., 455. 184 Stone, 140-141. 185 Ibid., 141. 186 Davies, 458. 187 Symmons-Symonolewicz, 31. 188 Andrzej Kaminski, “The Cossack Experiement in Szlachta Democracy in the Polish-Lithuanian Commonwealth: The Hadiach (Hadziacz) Union.” Harvard Ukrainian Studies, June 1977: 178-197. 189 Tazbir, 319. 190 Teresa Chynczewska-Hennel, “The National Consciousness of Ukrainian Nobles and Cossacks from the End of the Sixteenth to the Mid-Seventeenth Century,” Harvard Ukrainian Studies, (December 1986): 377-392. 191 Ibid., 383. 192 .Kaminski, 179. 193 Ibid., 181-182. 194 Ibid., 184. 195 Illya Prizel, National Identity and Foreign Policy: Nationalism and Leadership in Poland, Russia, and Ukraine, Cambridge: Cambridge UPress, 1998, 303. 196 Kaminski,193. 197 Ibid., 196. 198 Davies, 459.

The Parlor 199 “Johann Sebastian Bach,” from Encyclopædia Britannica Online, accessed December 10, 2014, http://www.britannica.com/EBchecked/topic/47843/Johann-Sebastian-Bach/12123/Works.

Utraque Unum — Summer 2015 | 71 200 Christopher Gibbs, “Beyond Song: Instrumental Transformations and Adaptations of the Lied from Schubert to Mahler,” in The Cambridge Companion to the Lied (Cambridge: Cambridge University Press, 2004), p. 228. 201 Thomas Kelly, “Beethoven’s Symphony No. 9,” in First Nights: Five Musical Premiers (Yale: Yale University Press, 2001), pp. 115, 134. 202 Ibid., 115. 203 Leon Botstein, “Realism Transformed: Franz Schubert in Vienna,” in The Cambridge Companion to Schubert, ed. Christopher Gibbs (Cambridge: Cambridge University Press, 1997), p. 18. 204 Gibbs, “Beyond Song: Instrumental Transformations and Adaptations of the Lied from Schubert to Mahler,” p. 228. 205 Botstein, “Realism Transformed: Franz Schubert in Vienna,” p. 32. 206 Gibbs, “Beyond Song: Instrumental Transformations and Adaptations of the Lied from Schubert to Mahler,” p. 232. 207 Susan Youens, “Schubert and his Poets: Issues and Conundrums,” in The Cambridge Companion to Schubert, ed. by Christopher Gibbs (Yale: Yale University Press, 1997), p. 99. 208 “A German Requiem, Op. 45,” from Encyclopædia Britannica Online, accessed December 10, 2014, http://www.britannica.com/EBchecked/topic/230944/A-German-Requiem-Op-45. 209 Ibid. 210 Michael Musgrave, “Years of Transition, Brahms in Vienna 1862-1875,” in The Cambridge Com- panion to Brahms (Cambridge: Cambrige University Press), p. 44. 211 “Richard Wagner,” from Encyclopædia Britannica Online, accessed December 10, 2014, http:// www.britannica.com/EBchecked/topic/633925/Richard-Wagner/. 212 Ibid. 213 Youens, “Schubert and his Poets: Issues and Conundrums,” p. 99. 214 Amanda Glauert, “The Reception of Wagner in Vienna, 1860-1900,” in Wagner in Performance, eds. Barry Millington and Stewart Spencer (Yale: Yale University Press, 1992), p. 126. 215 Youens, “Tradition and Innovation: The Lieder of Hugo Wolf,” in The Cambridge Companion to the Lied (Cambridge: Cambridge University Press, 2004), p. 204. 216 Ibid., p. 207. 217 Paul Hawkshaw, “Bruckner’s Large Sacred Compositions,” in The Cambridge Companion to Bruck- ner, ed. John Williamson (Cambridge: Cambridge University Press, 2004), p. 42. 218 Ibid., p. 43. 219 Crawford Howie, “Bruckner and the Motet,” in The Cambridge Companion to Bruckner, ed. John Williamson (Cambridge: Cambridge University Press, 2004), p. 59. 220 Richard Kurth, “Pierrot Lunaire: persona, voice, and fabric of allusion,” in The Cambridge Compan- ion to Schoenberg, eds. Jennifer Shaw and Joseph Auner (Cambridge: Cambridge University Press, 2010), p. 126. 221 Ibid., p. 125. 222 Ibid., p. 124. 223 Gibbs, “Beyond Song: Instrumental Transformations and Adaptations of the Lied from Schubert to Mahler,” p. 228.

72 | Utraque Unum — Summer 2015 224 Fyodor Dostoyevsky, The Brothers Karamazov, trans. Richard Pevear and Larissa Volokhonsky (New York: Farrar, Strauss & Giroux, 1990), 292. 225 Ibid., 322. 226 Dostoyevsky, Crime and Punishment, trans. Richard Pevear and Larissa Volokhon- sky (New York: Random House; 1993), 261. 227 Dostoyevsky, The Brothers Karamazov, 298-99. 228 Dostoyevsky, Demons, trans. Richard Pevear and Larissa Volokhonsky (New York: Random House; 1995), 287. 229 Dostoyevsky, The Brothers Karamazov, 585. 230 Ibid., 633. 231 Ibid. 232 Dostoyevsky, Demons, 581. 233 Dostoyevsky, The Brothers Karamazov, 330. 234 Richard Peavear’s “Introduction” to The Brothers Karamazov, xii-iii.

Utraque Unum — Summer 2015 | 73 TOCQUEVILLE FORUM AT GEORGETOWN UNIVERSITY tocquevilleforum.georgetown.edu I PH 202 .6 87. 2 27 5