Contents/Sommaire

ransylvanian eview Vol. XXIV T R No. 2 /Revue de Transylvanie Summer 2015

Contents/Sommaire Romanian Academy Chairman: • Paradigms Academician Ionel-Valentin Vlad The Making of a Prince: Fashioning the Image of Gábor Bethlen 3 Center for Hanna Orsolya Vincze Transylvanian Studies Director: The Estates of General Paul Wesselényi of Hodod Academician Ioan-Aurel Pop in Sãlaj Region (?–1694) 21 Anikó Szász Traveling and Studying Abroad: Performing Identity in the Case of the “Last Transylvanian Polymath”: Sámuel Brassai 30 Tímea Berki Vernacular Architecture As a Source for National Architectural Identity: Ion Mincu and Károly Kós 43 Mara Popescu • Profile The Transylvanian Scholar Ştefan Manciulea 49 Marþian Iovan Ileana Galea 61 Smaranda ªtefanovici • Philosophy Dumitru Stãniloae en dialogue avec Martin Heidegger et Karl Jaspers: Les Circonstances culturelles et politiques des débats philosophiques entre l’Est et l’Ouest dans les années quarante 67 Flore Pop • Editorial Events La Biographie d’un héros 79 Florian Dumitru Soporan • Tangencies Aspects of Long Distance Trade by the Precucuteni On the cover: Culture 85 The Szekler National Museum of Sfântu Gheorghe (Sepsiszentgyörgy) Otis Norman Crandell architect Károly Kós (1914) Diana-Mãriuca Vornicu Photo by Attila Kispál

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Communication and the Power of the Word 109 Transylvanian Review continues the Flaviu Cãlin Rus tradition of Revue de Transylvanie, founded by Silviu Dragomir, which • Europe was published in Cluj and then in Sibiu From Decentralization to Independence in between 1934 and 1944. 21st Century Europe: Economic and Legal Challenges Transylvanian Review is published quarterly by the Center for Transylvanian of Developing the eu’s Institutional Framework Studies and the Romanian Academy. on the Backdrop of a Hyper-Technological Economy 122 Alexis Daj Editorial Board Cesare Alzati, Ph.D. • Literature Facoltà di Scienze della Formazione, Istituto di Storia Moderna e Contemporanea, Formes de la subversion dans la prose satyrique Università Cattolica, Milan, Italy des années ’80 139 Horst Fassel, Ph.D. Marius Nenciulescu Institut für donauschwäbische Geschichte und Landeskunde, Tübingen, Germany • Book Reviews Konrad Gündisch, Ph.D. Bundesinstitut für Kultur und Geschichte Ioan-Aurel Pop & Ioan Bolovan, der Deutschen im östlichen Europa, Istoria Transilvaniei Oldenburg, Germany (reviewed by Ion Cârja) 148 Harald Heppner, Ph.D. Institut für Geschichte, Graz, Austria Alexandru Ciocîltan, Comunitãþile germane la sud Paul E. Michelson, Ph.D. de Carpaþi în Evul Mediu (secolele XIII–XVIII) Huntington University, Indiana, USA (reviewed by Alberto Castaldini) 150 Alexandru Zub, Ph.D. Honorary director of the A. D. Xenopol Marinel Ovidiu Koch-Tufiş, Aspekte der Durchsetzung Institute of History, Iaºi, Romania

des Absolutismus in Siebenbürgen durch die Habsburgischen Editorial Staff Monarchen (1688–1790): Die Finanz- und Wirtschaftspolitik Ioan-Aurel Pop Rudolf Gräf (reviewed by Sabine Jesner) 153 Nicolae Bocºan Virgil Leon Ioan Bolovan Daniela Mârza Mariana Hausleitner, Die Donauschwaben 1868–1948: Raveca Divricean Alexandru Simon Ihre Rolle im rumänischen und serbischen Banat Maria Ghitta George State (reviewed by Sandra Hirsch) 155 Translated by Bogdan Aldea—English Rodica Ilie, Revoluþia codurilor culturale: Identitate Liana Lãpãdatu—French ºi spirit european în literatura românã a sec. XX Desktop Publishing (reviewed by Ovidiu Moceanu) 158 Edith Fogarasi Cosmina Varga • Contributors 160 Correspondence, manuscripts and books should be sent to: Transylvanian Review, Centrul de Studii Transilvane Publication indexed and abstracted in the (Center for Transylvanian Studies) ® Thomson Reuters Social Sciences Citation Index 12–14 Mihail Kogãlniceanu St., and in Arts & Humanities Citation Index®, Cluj-Napoca 400084, Romania. and included in ebsco’s and elsevier’s products. All material copyright © 2015 by the Center for Transylvanian Studies and the ISSN 1221-1249 Romanian Academy. Reproduction or use without written permission is prohibited. Printed in Romania by Color Print 66, 22 Decembrie 1989 St., [email protected] Zalãu 450031, Romania www.centruldestudiitransilvane.ro Tel. (0040)260-660598

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The Making of a Prince

H a n n a O r s o l y a Fashioning the Image of V i n cz e Gábor Bethlen

Gábor (Gabriel) Bethlen was “Magnus Alexander, elevated prince of Transylvania five Pompeius, Carolus, Ottho, centuries ago, in 1613. At present, he figures in much of the local historio Magnus & est Bethlen, graphy as a local hero, with his reign nobilitatis apex.” represented as a golden age of Transyl- vania. At the same time, his image in Western historiography has been that of a semi-savage, faithless and lawless man.1 The conflicting image of the prince originates in the troubled times of the Protestant Reformation and the Thirty Years’ War. Prince Bethlen intervened in the war leading three military campaigns in Upper Hungary, and was elected king of Hungary in 1620, a title he renounced the following year. At the same time, he was a vassal prince to the Ottoman Porte, which made him a dubious ally of the various anti-Habsburg coalitions. Hanna Orsolya Vincze Public opinion as far as England was Lecturer at the Faculty of Political and Ad- puzzled by his figure, the and pro- or ministrative Sciences and Communication, anti-Habsburg propaganda wove vari- Babeş-Bolyai University, Cluj-Napoca. ous myths around him. Her recent work includes The Politics of Translation and Transmission: Basilikon This paper argues that the heroic th Doron in Hungarian Political Thought myth of the prince originates in 17 (2012). century written sources, many of them

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drawn up with propagandistic aims, directly inspired and commissioned by the prince himself. Therefore the paper will analyze sources dealing with and contemporary to the prince and his rule, focusing on the way his image was constructed in these texts. We shall proceed by first analyzing his own interpretation of his role in his public statements and letters, and then turn to the propagandistic literature that sprang up around him. The fact that Gábor Bethlen made use of political propaganda is not surpris ing at the time of the Thirty Years’ War, this age seeing the apogee of Baroque pamphlet literature, widely used in Europe for justifying warfare.2 But Bethlen needed propaganda for more than just gaining support for his foreign policy. He also needed it for the justification of his rule. He became prince with the support—even military—of the Ottomans, and after the murder of the former ruler, a murder he could easily be associated with. Consequently he even gained for himself the nickname of “Mohammedan Gábor.” Apart from needing to prove that he was a rightful ruler, possessing all the traditional attributes regarded as essential for the prince, he also needed to assert himself as a great ruler because of his aspirations, made possible in the context of the Thirty Years’ War. Aspiring to play a major role in European politics he also needed to construct his image as an equal of the great European monarchs. In his memoirs, one of his courtiers, Don Diego de Estrada, called him several times the most powerful ruler in Eu- rope,3 and it would seem legitimate to suppose that he was not simply expressing his private opinion—which would of course also increase his own status, as servant to such a great ruler—, but repeated a phrase common at the court of the prince. Examples of expressions or anecdotal episodes showing Gábor Bethlen’s behavior and wit that amount to the same point will be quoted later in the paper. The prince’s own understanding of his role was transmitted to us, as well as to his contemporaries, through his letters and his will. Bethlen’s letters have a predominantly political and diplomatic character. Very few that he wrote (or have been preserved) would address private issues. For example, the ones written to his brother, governor of Transylvania during his foreign campaigns, only deal with issues of governance and administration.4 Comments referring to his person and principles, his life, actions and role in the events reflect the image he was trying to project with well-defined political aims, the goals as well as the details changing according to the target audience. These letters were tools in his hand and were part of a wider propaganda campaign meant to refute or at least counterbalance that of his opponents. A more important function of his letters (and his image as represented in them) was the winning over of the leaders of the aristocracy, holding the economic, military, and also the political power in Hungary at the time, without whom a military campaign was hardly possible in the country. The support of some of them could mean the support (and re-

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sources) of several counties.5 In his attempts to gain support from the Hungar- ian aristocracy as well as from the Porte, and later from the confederate powers of the Thirty Years’ War, but also in his attempt to create an anti-Ottoman coali- tion with the Habsburgs, he made use of the strategy of writing detailed interpretations of his actions and even included small autobiographies in his letters. This is what makes it impossible to interpret these narratives as manifestations of subjectivity and draw definite conclusions on his self-perception. We can however analyze his letters and his will with the aim of identifying the image(s) he was trying to project of himself, the recurrent elements, arguments and topoi present in his self-representations, elements the meaning and function of which may change with the context and the intended audience. Their recurrence, however, will provide us with some of the characteristics of the discourse about Bethlen, and thus with the features that shaped the construction of his public image. His letters had a public character. Some of them, addressed to the Estates with a mobilizing intent, were printed. Others were copied, and numerous ab- stracts, copies, as well as comments made to them have been preserved.6 The public nature of his letters was not only related to their function of shaping the perception of his contemporaries, or that of communicating the princely will and thus shaping the course of events. Printing the compromising letters of the enemy was a common practice at the time, and one of the best means for the Habsburgs to raise anti-Bethlen feelings. A means they frequently employed was printing his intercepted letters to the Porte. Writers of letters were of course aware of the possibility of their letters being intercepted, and took this possibility into consideration when formulating their letters. The issue of his relationship with the Ottomans, and the proper policy to be followed as concerns their role, was one of the main issues Bethlen recurrently discusses in his letters explaining the reasons and aims of his campaigns. The first of these he starts by appealing to the traditional pose of the defender of faith and liberty. In letters addressed to three prominent aristocrats7 he appeals to their love of God and country in general terms, and does not refer to any specific injuries of the Protestants or of Hungary (this will be done by the Calvinist preacher Alvinczi in his pamphlet entitled Querela Hungariae).8 But he does refer to offences to his personal dignity by the representatives of Emperor Ferdi- nand II, to whom he had offered his loyalty, but who, he claims, had refused it with harsh words. The language of offences on his dignity would be later given even more emphasis, especially during his 1623 intervention, when he could not count on much support from the Hungarian Estates. One of the main obstacles in making alliances, both with the Hungarian Estates and with Western princes, was his being a vassal to the Ottomans. Al-

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though Christian unity was long gone, and efforts to justify an alliance with the Ottomans had been made even by Friedrich of Pfalz’s court priest, Scultetus,9 the anti-Ottoman rhetoric and feelings were still strong. After all, the whole sixteenth century rhetoric of virtues, sacrifice, defense of freedom and patriotism in general was shaped by and during the Ottoman wars.10 One way of minimizing the impact of his Ottoman links was to deny it by stressing his independence from the Porte. Szaniszló Thurzó’s diary on the 1623 peace treaties between Ferdinand II and Bethlen records that on several occasions the prince asked for an extension of deadlines because he had the moral obligation of reporting on the results and the situation of the treaties, not because of his dependence on the Ottomans, his representatives claimed, but out of gratitude.11 However, the presence of Ottoman troops with him, as well as the printing of some of his letters to the Porte,12 did not make such rhetoric very credible. Recourse to the traditional topic of interpreting the role of the Ottomans in history was consequently given much more emphasis. In this discourse, the main rhetoric to be counterbalanced was the one representing the Ottomans as the punishment of God on Christianity. For Bethlen, the topos remained useful, but its content and the value-judgments implied changed radically. Thus, the alliance with the Ottomans becomes the guarantee of freedom from oppression and freedom for Christianity, the latter meaning here the Protestant religion, seeking freedom from “Popish” authority. This shift in the role ascribed to the Ottomans is achieved by arguing that they prevented the Catholics from de- stroying Protestants. At the same time, the argument goes, an Ottoman alliance could also prevent war, and thus the destruction of the “true religion.” Thus the “pagan” becomes the guarantor of Christianity. They are still messengers of the divine will, but in this case not of God’s punishment, but of His providence. In his will, Bethlen even uses the metaphor of propugnaculum Christianitatis, previously referring to shielding Christianity from the Ottoman threat, to the opposite effect: with him, it is the Ottomans who are the shield protecting true faith and the country against “foreigners.”13 This total revelsal of the poles of the pagans vs. Christians dichotomy is formulated in the will of the prince, a text addressed to the Transylvanian Estates, and even in this case he felt the need to explain the use of the topos by referring to necessity. In letters addressed to the Hungarian aristocracy, necessity is given much greater emphasis. As an answer to the force of necessity, moreover, Bethlen not always suggests that one has to take sides between the two “evils.” Some of the central components of his self-representation are peace and balance, his role being to achieve them. This central topic of Christian stoicism appears in his will also with reference to the private virtues demanded of a prince, the

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achievement of the via media, in this case that between avarice and prodigality.14 But balance and peace are primarily present in his writing as political aims and virtues. In regard to the Ottomans he stresses his role of mediator and the importance of his person as the guarantor of peace between them, the countries under his rule, and the Habsburgs. The two main occasions when these arguments are made are two requests of the Ottomans to hand over two fortresses, both made soon after he was elected prince of Transylvania and then king of Hungary. In both cases he argues that by surrendering the fortresses he would lose the trust and sympathy of the country, which he must have in order to prevent them from turning to the Habsburgs.15 When legitimizing his role before his Hungarian opponents, he also interprets his role as protector against harm, in this case from the Ottomans, whom only he can prevent from plundering the country: before his campaigns they had done that, but never as his allies. This argument is made in a letter to Cardinal Pázmány, who accused him of causing the death of 200,000 people.16 In another letter, this time to a supporter, he claims that the reason why he had accepted the unfavorable conditions of the last peace was that he had seen the strength of the Ottomans (who were in his camp), and wanted to prevent them from continuing the fight and defeating the Christians.17 The rhetoric of heroic patriotism and of the defense of the faith also included the topic of self-sacrifice, and Bethlen made wide use of it. One of the arguments in the already mentioned mobilizing letters written to Thurzó, Széchi and Rákóczi at the beginning of the 1619 campaign is that he had risked his life and country for the defense of freedom and faith, and he would often return to this topic. In an open letter written to the Hungarian Estates in 1623, he asks for their support by referring to his previous sacrifices for their cause.18 The sacrifice includes money and effort, but most importantly his dignity, which he sacrificed for the sake of peace, when renouncing the Hungarian crown in the peace of Nikolsburg. The topic of the hurt dignity becomes central during his 1623–24 campaign, becoming the most important argument in its legitimization, strengthened by the topos of the patria ingrata.19 When reproaching the Hungarian Estates that they do not support him as he would have liked them to, he makes use of the phraseology of vices that lead to war and foreign threat (either Ottoman or Habsburg): treason,20 corruption of ancient virtues21 discord, envy and in- constancy,22 to which he opposes his own constancy in his faith and love of his country. The argument that all misfortunes are brought about by collective vices, widespread in both Catholic and Protestant camps,23 is mentioned more generally in the prince’s will, but again in support of the argument that the Ottomans are not the enemy: “We know that from the beginning noth-

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ing has done more damage to our beloved country . . . than the devilish envy, deadly hatred, terrible discords, discontents with princes, which all resulted in great treason and the demise of big families, the country approaching its final destruction. . . . God’s free mercy has protected the borderlands of our country in changing times from the evil intents of foreign princes, and has commanded the Turkish nation as its shield . . .”24 The will of the prince is in itself a public performance, in the sense that it is par excellence a performative speech act, having legal and even sacral authority.25 This was especially so in Transylvania, where the will of former Prince Bocskai established a tradition of princely wills functioning as mirrors for future princes and as interpretations of the people’s destiny. This tradition was followed by Bethlen, with many similarities between the two as concerns the virtues required of a prince and the policies to be followed towards the Ottoman Empire. The will formulating the policies to be followed for achieving these aims thus becomes a political act, a manifesto of principles and policies. The essence of the will also seems to have been known to the contemporaries. The future Prince János Kemény, for example, listed in his memoirs the donations made by the prince in his will. We know that Kemény, serving at Bethlen’s court as a child (he was twelve at the prince’s death), wrote his memoirs almost thirty years later, while imprisoned by Tartars in Crimea, without his papers at hand.26A letter from 1630 of a Pauline monk describing his funeral also mentions that, before dying, the prince announced his will to his court, asking them to give the principality over to the Turks.27 The monk is obviously repeating one of the basic charges formulated against Bethlen, but he is also describing what the local Catholic nobility knew (and/or gossiped) about the prince’s death, and the will seems to have been one of the topics of discussion.28 Some chroniclers from smaller towns, like Georg Krauss of Sighişoara, also knew about the will. The latter was also familiar with its political aspects, namely that the principality must remain faithful to the Ottomans since the Western Christian help is too far, and by the time it would get there the Ottomans would plunder the country.29 The public that had access to the scribal letters and to the will of the prince, and for whom these transmitted an image shaped according to both their expectations and the needs of the prince himself, consisted of a limited number of persons. An exception, of course, were the letters intercepted and printed by his opponents as part of their counter-propaganda, and the few open letters to the Estates that the prince himself had printed. The image of the prince with the general public, and the interpretation the latter gave to the events, were shaped by pamphlets and propagandistic works published by both sides, and by dedications to books. Bethlen directly inspired some of this literature. For example, his court historian, Gáspár Bojti Veres, mentions him as his main source of infor-

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mation, and the dedications of various scholarly works addressed to him clearly reflect his expectations and needs.

he propagandistic literature supporting the prince was mainly written by a well-defined group of Protestant (Calvinist and Lutheran) preachers and court literati, even if we find among them people like Háportoni, T 30 who had studied in a Jesuit school. Some of these, like Alvinczi, also participated in the legitimization of Bocskai’s campaigns. In what follows, we will analyze their works as parts of a single discourse, taking as a starting point Melotai’s preface to his Speculum Trinitatis, an anti-Unitarian pamphlet. The dedication of Melotai’s work argues that Bethlen’s rule conforms to the divine law and will. His office as well as his person were ordered by divine providence to defend true religion and the liberty of the country. Melotai ad- dresses Gábor Bethlen as a defender of the church and a promoter of religion.31 He starts by defining the virtues that lead people to perform their basic duties towards God and the polity, then proves that Bethlen possesses all these virtues, and concludes that he was chosen by God to defend His case and deliver his punishment on His enemies. The two virtues that urge men to honor God are piety and love. Those possessing them, when seeing the worship of God and the country endangered, are willing to sacrifice their life for them, knowing that the freedom of worship and the peace of the country attract all heavenly blessings. The duties owed to God and the country are indivisible. Piety is defined as love of God, and both God and the country are to be loved as parents. The image connecting the two is the parental one, though not necessarily paternal: “The country, like a god and a first, great parent, is father and mother, and one loves the country just like one affectionately and greatly loves his father and mother.”32 This theory clearly shows the influence of Calvinist covenant-theories: the ruler is bound by the double duty he owes to God and the commonwealth.33 The relationship between the two is one of analogy, not of derivation, and is formulated not in terms of the origins of power or commonwealth, but in terms of duties. He who performs these possesses all the blessings of God. Bethlen excels in this and shines among his people like the sun among the stars. The image is a recurrent one in all the literature of the time. Melotai proves this in respect of both virtues, piety, i.e. love of God, and love of country. His love of God is proven by the fact that all he has done since he became prince and was elected king was meant to serve the worship of God. He sup- ports the ecclesiastical Estate and supplements their numbers, decreased by the cruelty of the “western red dragon drunk with Christian blood,”34 by sending students to Christian (i.e. Protestant) universities. But his greatest pious act was

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sacrificing his peace, leaving his princedom and accepting all the inconveniences and dangers of a war for the cause of God and Church. The prince is pious, however, in another sense of the word, diligently reading the Bible, attending sermons and disputations, and declaring general penitence when two comets appeared on the sky, foretelling the coming bloodshed. The comets are mentioned in many private diaries as well as in propagandistic works; other authors interpret them as signs foretelling the coming of Bethlen, the new king sent by God.35 The interpretation of natural phenomena as omens was of course an everyday phenomenon, but their significance was increased by the apocalyptic literature of the time, based on some Biblical loci as well as on the predictions of Paracelsus and Tycho Brache, the latter giving the date of 1632 for the coming of the savior.36 There is a work in the propagandistic literature supporting Bethlen that interprets all Bethlen’s actions as serving and promoting the true religion and defending the church, published in the same year: Redmeczi’s On the Five Bene- factions of His Majesty Gábor Bethlen with God’s Church.37 The benefactions are broadly the same as in Melotai: supplying congregations with preachers, sending alumni to peregrinations, disputations against sectarians, but first of all his military campaigns in Hungary. The work lists the complaints of Protestants, whose grievances amount to those of the people of Israel in Babylon. This parallel with the fate of Israel was a common topos, part of the more general rhetoric of interpreting the Ottoman conquests as the punishment of God on the people for their sins. The idea became a prominent element of Protestant thought under Luther’s influence, but it had a long tradition. But here there is no emphasis on the sins (except for those of the Catholics, of course), only on the dreadful present situation. The grievous state of the people and the country had not been brought about by the Ottomans but by Catholics, from whom Bethlen, sent by God and foretold by a comet, redeems the people. That he is the chosen one is also proven by his pious behavior: he always seeks peace and exhibits signs of religious piety, travelling surrounded by priests and having the word of God preached constantly in his camps. In Melotai’s description, Bethlen’s actions are guided not only by godly reasons of piety, but also by his love of country, a reason no less godly, the two being intrinsically connected. He has served his country, the argument goes, since early childhood. Melotai states this in general terms but does not dwell on it, except for mentioning Bethlen’s constructions, seen as the reconstruction of a destroyed country. He rather sends the reader to two other works, Háportoni’s preface to his translation of Quintus Curtius’ work on Alexander the Great, and to Bocatius, recently appointed court historian, whom he knew to be working on a history of the life of the prince.

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Háportoni’s preface to Curtius38 integrates the description of Bethlen’s origins and deeds into a theoretical framework, similarly to Melotai’s. In line with Protestant thought, he explains that society was ordered by God, approaching society in terms of the relationships between superiors and subjects.39 Authority thus derives from God, but men in their fallen nature tend to honor high born magistrates more. Bethlen therefore should be honored by virtue of his office as well as by virtue of his origins, his ancestors having gained their name and fame due to their military virtues. Bethlen followed his ancestors, and rose to higher and higher offices and finally to princedom, due to his honorable deeds and to divine providence. Háportoni thus shifts from the providential nature of power to that of the person of the ruler. Bethlen also acted as a promoter of peace in foreign affairs, gaining the recognition of the Poles by interposing himself between them and the Ottomans, and appeasing them both. Háportoni then re- peats the familiar arguments on the desperate state of the country brought about by the sins of the people, stating that Bethlen, guided by his love of country, set out to restore its former greatness. He also promoted the spread of sciences by establishing a library, following the example of King Matthias Corvinus and having the current work on Alexander the Great translated, whose fame would also bring him fame. Alexander the Great was one of Bethlen’s favorite characters, the contemporaries noting that the most beautiful ornaments in his palaces were the three sets of carpets representing the life of Alexander.40 Pataki’s mirror of princes also magnifies Bethlen with reference to Alexander: “Magnus Alexander, Pompeius, Carolus, Ottho, Magnus & est Bethlen, nobilitatis apex.”41 The other author to whom Melotai refers the reader on Bethlen’s life, Bocatius, did not live to write the history of the prince. After his death in 1621, the prince appointed Háportoni as his court historian, but the latter also died soon after. They were followed by Gáspár Bojti Veres, who wrote a history of the prince that goes on until 1614.42 This work also has an apologetic character, with the acknowledged intention of refuting the claims of Bethlen’s opponents. The genealogy is focused on the military virtues of the ancestors, and so is the account of Bethlen’s life before becoming prince. He participated in all wars waged for the liberty and rights of the country or against foreign domination, sacrificing much of his inheritance in these wars. The occasions when he escaped death almost by miracle prove that divine providence had a higher purpose for him. After a war lost to the Habsburgs, he took refuge in the Ottoman Empire. The notion of taking refuge with the Ottomans was in itself novel.43 In his letters, Bethlen explained it by claiming that he preferred to leave behind all his domains rather than live under foreign oppression; Bojti also includes in the motivation the virtue of con-

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stancy, of his refusal to give up his anti-Habsburg convictions. He also proved his moderation by twice refusing the princedom offered to him, creating instead two other princes. The second time he was offered the title, Prince Báthori had already become a tyrant. When the Saxons also turned to the Porte to complain against Báthori, he accepted the title, and did his best to restrain the Ottoman troops that were sent with him to Transylvania— rather unsuccessfully, as Bojti acknowledges. He then established peace and concord among his subjects whom he had just liberated from tyranny. The main virtues of the prince in this tale are bravery, constancy and mea- sured behavior (though his twice refusing the title also has the more direct implication of refuting the claims that his military actions were guided by an unconstrained want of power and fame, and integrates well into Bojti’s mysticism of numbers).44 He is the promoter of concord among his people, of peace between the country and the two empires, as well as between the two emperors themselves. He risked his life and several times sacrificed his wealth for the country and his principles, first among which is the freedom of the country, which he freed from tyranny. His rule therefore is legitimate and just, and first of all ordained by God. Bojti also endows Bethlen with a commission from God, but not like the previous authors. He makes fewer references to the defense of religion and presents Bethlen as serving the common good, for which tyranny can be endured, but for which it can also be resisted.45 He introduces Machiavellian terms like necessity and fortune, as well as fate, but preserves the unity of policy and morals by equating these terms with predestination, opportunity and obedience (in taking the opportunity given by God and considering it the sign of a commission): “Fate offers fortune, which is the opportunity given to the courageous, and it is necessary to take the possibility arising from the opportunity; that is, God gives the possibility of promotion to whomever he wishes, and the opportunity must obediently be taken.”46 The works discussed thus far were intended for the home audience in Tran- sylvania and Hungary. The following two were written for the Western one. A former Heidelberg student, János Keserði Dajka, wrote a letter to David Pareus in 1618.47 This letter reiterates some of the already familiar topoi like the military virtues of the prince, but puts more emphasis on the anti-Ottoman battles he participated in. It describes the election of the prince as an expression of God’s will, who directed the votes towards him, the Estates voting freely. It describes peacemaking as his prime virtue, Bethlen getting involved in the discussions on the Porte over dethroning Báthori only in order to make peace between the two, and made it his prime concern to restore peace and concord in the country after becoming prince, through clemency, justice and wisdom. Proving that Bethlen

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possesses the virtues of a Christian prince is here not primarily meant to prove that he was chosen, but to counterbalance his Ottoman links brought up against him by the counter-propaganda, which in pursuit of its aims largely overstated his influence on the Porte.48 Another description of Bethlen was written in 1629 and published in 1630 in the English edition of Botero’s Relazioni Universali.49 The Transylvanian author, who was probably on a diplomatic mission in England50 after Bethlen was accepted in the Hague League by the Westminster Treaty, calls his work an apol- ogy and formulates the charges he will refute:

And now that this prince hath so arrested the incroching greatnesse of the Emperour Ferdinand in those parts, that he may well be called, The scourge of the house of Austria: he is therefore most mortally hated by all the Papists of Christendome, who are sottishly addicted unto that Family. Hence those feornes and slanders of him, that he was basely borne, that he was a Turke in Religion, yca Circumcised, and an hundred other Jesuiticall knaveris. And for that hee hath not still beene ready to doe as we would have him in England, since the infortunate warres of Bohemia, even we good protestants have thought that hee hath hitherto done nothing. To re- hearse therefore what hee is, and how his time and Armes have beene imploved, may against these calumnics serve for a reall Apologie.51

The author, Péter Maksai also feels it necessary to explain the country’s relationships with the Ottomans, alluding to its past of successful anti-Ottoman wars, the force of necessity and the politics of playing off one enemy against the other:

The neighbours unto Transylvania bee the Moldavians and Wallachians, all three confederates: who in a leaguer war have not only resisted the Turks, but freed their countries of them; the Turke at this day being glad of a small Tribute for an acknowledgement from them; knowing, that if he should oppresse them, the Emper- our would be glad to take them into his protection. . . . But the two neighbours most to be accounted for, are the Turke and the Emperour; able friends, but too mighty enemies for the Transylvanian: But this helpe he hath against them both; that if one proves his enemie, hee puts himselfe under the protection of the other.52

As for the prince, he descends from the oldest inhabitants of the land. As a young man he proved his military virtues that soon brought him high positions at the courts of several princes; his Ottoman exile was due to the practices of Bethlen’s evil advisors as well as to the fact that the Saxons had chosen him to mediate a peace between them and the prince, who therefore turned against him. Thus, Bethlen became prince at the request of the Saxons to the Porte, “to

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redresse the wrongs offered by a hated Prince, and to releeve the miseries of his own countrie.”53 But he became prince by free election, versus Báthori, “a Prince neither lawfully elected, nor lawfully governing.”54 His first actions as prince were to rebuild the country and restore “justice and civility.”55 He always acted as a mediator of peace, between Poland and the Ottomans, then between Bohe- mia and the Habsburgs. His intervention in the Bohemian war was both meant to relieve them and restore the peace. In this campaign he was elected king of Hungary, but did not crown himself out of prudence, “besides the treachery of his own Popish subjects.”56 His further virtues are the promotion of learning through the establishment of schools and libraries, the advance of religion by peaceful means, never by the sword, and achieving a state of abundance and plenty in the country, defending it “from the power of the Ottoman, the ambi- tion of the House of Austria, the might of the Pole, and the barbarous inroads of the Russes and Tartarians.”57 The details of Bethlen’s lives thus present him as a good Christian to a foreign audience, seeking to refute the claims of his being “a Turke in religion.” For this audience it is also necessary to explain his relationship with the Ottomans, which is done in terms of necessity deriving from the sin of discord. Bethlen, by contrast, is a restorer of peace and concord, counterbalancing the collective sin of discord that had brought on the punishment of God. This rhetoric of princely representation invests Bethlen with the attributes of a Biblical redeemer figure, underpinned by parallels with savior and lawgiver-figures like David and Moses. The prince as a young man is endowed with virtues like love of peace and constancy that foreshadow a pious ruler, both in the Calvinist sense of rightfulness and dutifulness, and in the sense of individual devotion. His love of country, the second of the two virtues required by Melotai of the ideal prince, is proven by moral virtues that make him a sacerdotal figure. It is a recurrent feature of these works to place the present events in an escha- tological framework, starting from the parallelism between the fate of Israel and that of the country, centered on the ideas of collective sins attracting the punishment of God, as well as the recurrent appearance of savior-figures. A most direct formulation of this line of thought is Albert Szenczi Molnár’s dedication to his translation of Calvin’s Institutes.58 Szenczi interprets the biblical history of Israel as God’s recurrent salvation of His people in the proper and predestined time; He did the same when bringing people to the true faith after being corrupted by “the popish,” and when answering the prayers of the people and sending them Gábor Bethlen. This interpretation of his figure underlies the frequent parallels between Bethlen and biblical savior and lawgiver figures, the most prominent of which being David.

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Bethlen’s rule coincides with the increase in the number of treatises on court- ly life or mirrors of princes written in or translated into Hungarian in the early seventeenth century. The relationship between these texts and Bethlen’s person is more than coincidental. Bethlen’s propagandists were prominent leaders of the Hungarian Reformation, while Cardinal Pázmány, one of his main opponents, was the leader of the Counter-Reformation. Debates between Bethlen’s propagandists and his opponents thus took place in the wider context of religious disputes—which obviously had a political aspect as well. The arguments used in support of Bethlen were defined by this context, and his intervention in Hungary was said to have been done in the name of religion. His need to legitimize his rule and actions triggered further such discussions, in which the specific complaints and motifs of each side were often secondary. A mirror of princes written by János Pataki Füsüs in 1622 and published in 1629 with Bethlen’s support was dedicated to the prince.59 Pataki begins his dedication to Bethlen by explaining why piety is the first duty of rulers. Their office derives its authority from God, who elevates people to the position they are in, but it is their duty to preserve their God-given status. With Pataki, one of the basic virtues necessary for governing is prudence, to which he gives a neostoic interpretation that clearly illustrates the interconnectedness between Bethlen’s needs and the theoretical work of Pataki.60 Prudentia is defined as the capacity of adapting to the requirements of the times without compromising one’s constancy. The proper exercise of such prudence is exemplified by the campaigns of Bethlen, celebrated by Pataki for making the Habsburg forces withdraw without engaging into open battles and thus without bloodshed. With his campaigns, Bethlen performed the providential function of preserving his people from the machinations of the enemy (the preventive character of the war is repeatedly mentioned in Bethlen’s own letters and in other propagandistic texts as well). He also acted, Pataki claims, as an arrow in the hand of God which anticipates Christ’s second coming and will finally ruin “the popish.” Pataki’s work brings together the most important topoi concerning Bethlen’s role and figure in a theoretical frame that is supported by his example, but which also legitimates his rule. Prominent features of this frame are its theocratic elements, the inseparability of politics and morals, the importance of prudence and constancy, the requirement of adapting one’s actions to the present times without diverging from constancy, the right to resist an ungodly ruler but the necessity to submit to a godly and rightful one. In this context, Bethlen appears as holding a commission from God both by virtue of his office, which is in direct relationship with God, and also by virtue of his actions, which make his rule legitimate, because conforming to the law of God.

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e have overviewed the central topics of the image Bethlen propa- gated of himself in his letters and his will, and have seen that he W made use of a language that integrated elements of the international rhetoric of the religious wars, with princes posing as defenders of religion and liberty. The main challenge the prince faced on the symbolic level in making himself accepted and supported was interpreting his Ottoman relationship in a way that could be accepted by the imaginary of a Hungary and Europe strongly affected by the anti-Ottoman wars of the previous century. In doing so he made use of arguments already present since the time of Bocskai, but that had to be emphatically restated. The Ottomans are given a function predestined by God, the function of guaranteeing but not threatening the freedom of the country and religion. However, such arguments do not make up a coherent system of thought in which the traditional opposition of Christianity vs. “pagans” would simply be replaced by that of a divided Christianity, with the Ottomans guaranteeing the balance of the two. Necessity, and the topos of rope-dancing between the “two evils” are also referred to, just like that of the moral vices of the people that need to be fought against first and foremost. The emphasis given to these different topics change with the context and intended audience, but they are still the main characteristics of the prince’s image. Arguments supporting Bethlen were drawn from and shaped by a wider context of religious and political disputes. His supporters placed his rule in an es- chatological framework, centered around biblical parallelisms between the fate of Israel and that of the country. Thus, Bethlen was given a place among the savior and lawgiver figures of sacred as well as profane history. Alexander the Great and Matthias Corvinus are the two main figures to which Bethlen was frequently compared, a resemblance which Bethlen consciously emphasized, ar- ranging for his funeral to imitate that of Matthias.61 The recurrent topoi in describing him were drawn from Protestant and traditional humanist thought, as well as from the apocalyptic tradition. Savior of the country by re-establishing concord (concord being the guarantee of the polity’s prosperity since Antiquity) and redeeming the community from the cardinal sin of discord, Bethlen was represented as the promoter of peace and balance both internally and externally. Holding a commission from God to do so, as well as to deliver His punishment on His enemies, and thus uphold His law, he was also described as fulfilling the requirements of the ideal ruler. Bethlen’s supporters personalized the power deriving from God in Calvinist thought, endowing him with the virtues of piety, clemency, prudence, self-sacrifice, constancy and piety, the latter both in the sense of rightfulness and dutifulness and that of individual devotion.

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The rhetoric of Bethlen’s representation changed the meaning of some well- established topoi such as flagellum Dei or propugnaculum Christianitatis. Assign- ing to the Catholic Habsburgs the role traditionally played by the Ottomans, as well as the set of collective sins that bring about God’s punishment, was of course a common feature of Protestant thought. The context of the early seventeenth century, with Ferninand II developing the ideology of pietas Austriaca and identifying the House of Austria with Catholicism, as well as the alleged crisis of the Protestant doctrine seeing the Ottomans as God’s punishment that will cease as soon as the internal sins are overcome,62 combined with the apocalyptic tradition identifying the Ottomans and then the Pope with the Antichrist and the beasts of Daniel and the Revelations, gave force to the argument making Bethlen the defender of the true cause against the House of Austria—even with the help of the Ottomans. These arguments and topoi of course do not make a coherent system of thought. The meaning of the topoi changes with each author and intended audience. They are nevertheless distinctive elements of the official discourse around Bethlen. With the increasing distance in space and time between the authors of these texts and the actual events, the topoi were filled with narrative content from anecdotes, and thus legend formation started around the prince. q

Notes

1. R. J. Evans, The Making of the Habsburg Monarchy 1550–1700 (Oxford: Clarendon, 1979), 268–269. 2. Cf. Henry Kamen, “The Statesman,” in Baroque Personae, ed. Rosario Villari (Chi- cago–London: The University of Chicago Press, 1995), 26. 3. “Don Diego de Estrada visszaemlékezései Bethlen Gábor udvarára,” in Bethlen Gábor emlékezete, ed. Makkai László (Budapest: Európa, 1980), 500–540. 4. Cf. Mihály Sebestyén, “A levelíró fejedelem,” in Bethlen Gábor: Levelek, ed. Mihály Sebestyén (Bucharest: Kriterion, 1980), 10. 5. Cf. László Nagy, Bethlen Gábor a független Magyarországért (Budapest: Akadémiai Kiadó, 1969), 143–147. This was not the case in Transylvania, where the prince was the biggest landowner (in Bethlen’s case, maybe not right at the beginning of his rule; nevertheless he soon managed to get hold of a large part of the domains of the former prince and had some donations of princely lands reviewed, regaining thus many additional domains, coming to hold more land than the Estates). Cf. Gyula Szekfð, Bethlen Gábor (Budapest: Helikon, 1983); the point is also made by the latest authoritative Hungarian history of Transylvania, Köpeczi Béla, ed., Erdély története, vol. 2 (Budapest: Akadémiai Kiadó, 1986), 637–687. 6. Cf. Sebestyén, 6–7.

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7. To György Széchi, 2 September 1619, to György Rákóczi, 5 September 1619, Imre Thurzó, 12 September 1619. In Sándor Szilágyi, ed., Bethlen Gábor fejedelem kiadatlan politikai levelei (Budapest: mta, 1887). 8. Alvinczi Péter, Querela Hungariae (Kassa, 1619), reprinted in Magyar gondolkodók 17. század, ed. Tarnóc Márton (Budapest: Szépirodalmi, 1979), 165–185. 9. Szekfð, 100. 10. Cf. Balázs Trencsényi and Márton Zászkaliczky, eds., Whose Love of Which Country? Composite States, National Histories and Patriotic Discourses in Early Modern East Central Europe (Leiden: Brill, 2010). 11. In Makkai László, ed., Bethlen Gábor krónikásai (Budapest: Gondolat, 1980), 254, 256. 12. A letter he sent to the Tartars asking for intervention and support became a widely debated issue in the European public printed press; Szekfð, 201. 13. Bethlen’s will in Bethlen Gábor emlékezete, 421–422. 14. Bethlen’s will in ibid., 423. 15. Letter to Grand Vizier Hassan, 12 June 1616 (ibid., 157); letter to his ambassadors to the Porte, 18 September 1620 (ibid., 262). 16. Letter to Péter Pázmány, 30 November 1626, in ibid., 373–374. 17. Letter to Gáspár Illésházy, 27 April 1627, in ibid., 377. 18. Letter to the Estates, 21 September 1623, in ibid., 353–354. 19. Letter to Mihály Károlyi, 29 July 1623, where he renders his reproaches with the classical maxim “ingrata patria ne ossa quidem habeas; nihil enim etiam terra ingrato homine gravius alit et portat” (ibid., 350). 20. Letter to Imre Thurzó, 7 June 1621, in ibid., 315. 21. Ibid., 332. 22. Letter to Imre Thurzó, 4 February 1621, in ibid., 291. 23. Since the Ottomans are the punishment of God on Christianity, fighting against them must start by fighting against our own sins, argued Luther. But Cardinal Pázmány’s athleta Christi, the model of the soldier who can successfully fight the Ottoman threat, was also the man who could defeat his own weaknesses. Cf. István Bitskey, Virtus és religio (Miskolc: Felsømagyarország Kiadó, 1994), 129. 24. Bethlen’s will in Bethlen Gábor emlékezete, 420. 25. The fact that issues concerning the execution or validity of wills were dealt with by ecclesiastical courts underlines this latter aspect of wills, a point made by Philippe Ariès, The Hour of Our Death, trans. Helen Weaver (New York–Oxford: Oxford University Press, 1991). 26. Cf. Kemény János és Bethlen Miklós Mðvei, ed. V. Windisch Éva (Budapest: Szépirodal- mi, 1980), 11, 95–96. 27. Cf. István György Tóth, “Bethlen Gábor mókás temetési menete,” Történelmi Szemle 39, 1 (1997): 119–130. 28. Ibid., 125. 29. Cf. Georg Krauss, “Erdélyi Krónika,” in Bethlen Gábor krónikásai, 194. 30. Makkai in Bethlen Gábor emlékezete, 543. 31. Published in Debrecen, 1622; reprinted in Bethlen Gábor emlékezete, 593–618.

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32. Ibid., 594. 33. With Márton Szepsi Csombor, both the ruler and the people have to uphold the law of God; as for the relationship between the two, the ruler attracts the blessings of God unto the people by his godliness, and the people constantly pray to God for the ruler. This argument is also made in reference to Bethlen Gábor. Szepsi Csom- bor Márton, “Udvari schola,” in Összes Mðvei (Budapest: Akadémiai Kiadó, 1968), 330–331. 34. Melotai, 597. 35. János Pataki Füsüs, Királyoknak tüköre (Bártfa: Klösz Jakab Jr., 1626). 36. János Heltai, Alvinczi Péter és a heidelbergi peregrinusok (Budapest: Balassi, 1994). 37. Az felséges Bethlen Gábornak ötrendbéli Isten anyaszentegyházával cselekedett jótétemé- nyérøl (Kassa, 1622), reprinted in Bethlen Gábor emlékezete, 458–579. 38. Háportoni Forró Pál, “Quintus Curtiusnak az Nagy Sándornak, macedónok kirá- lyának viselt dolgairól iratott históriája” (Debrecen, 1619); preface reprinted in Bethlen Gábor emlékezete, 580–592. 39. God “ordered and situated most well and properly all parts of the worldly polity, providing order and hierarchy among its members” (“Ezen nagy világi alkotmánynak minden részeit felette jól és illendøképpen rendelvén és helyheztetvén, az benne való tagok és állatok kozzé bizonyos rendtartásokat és føsegket adott legyen,” ibid., 580). For Luther and Calvin both conceiving of society in terms of relationships between superiors and subjects see Harro Höpfl, ed. and transl., Luther and Calvin on Secular Authority (Cambridge: Cambridge University Press, 1991), 14, 43. 40. Cf. Bethlen Gábor emlékezete, 446. 41. Pataki Füsüs, 110–111. 42. Bojti Veres Gáspár, De rebus gestis magni Gabrielis Bethlen libri tres (1624), in Bethlen Gábor emlékezete, 36–133, Hungarian translation by József Novák. 43. Szekfð, 39. 44. Bojti’s mysticism of numbers was alluded to by Bartoniek Emma, Fejezetek a XVI– XVII. századi magyarországi történetírás történetébøl (Budapest: mta, 1975), 332. The Báthori family dies out after five centuries, and each seventh or eighth year brings about calamities (ibid., 337). 45. This is how Bojti explains why Bethlen faithfully served the former Prince Báthori, presented by him as an ungodly tyrant, and then turned against him using Ottoman support (ibid., 329). 46. Makkai Laszló, “Bethlen Gábor és az európai mðvelødés,” Századok 4 (1981): 673–697. 47. Hungarian translation by József Novák, in Makkai, Bethlen Gábor krónikásai, 13–18. 48. Cf. Nagy Laszló, Botránykövek régi históriáinkban (Budapest: Akadémiai Kiadó, 1981), 264. As a matter of fact so did Bethlen, as Nagy showed, when in need of assuring his supporters that the Porte would help him if necessary. 49. Maksai Péter, “The State of Bethlen Gábor in Transilvania; The Estate of Gabriel Bethlen or Bethlen Gábor in Hungaria: which came to him either by Election, or by conquest achieved from the Emperour: With a briefe Relation or Chronicle of his Birth and fortunes,” published by Gál István in “Maksai Péter angol nyelvð Bethlen Gábor életrajza 1629–bøl,” Irodalomtörténeti közlemények 80, 2 (1976): 223–237.

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50. Cf. Gál, 233. 51. Ibid., 227–228. 52. Ibid., 225. 53. Ibid., 228. 54. Ibid. 55. Ibid. 56. Ibid., 229. 57. Ibid. 58. Hanau, 1624; reprinted in Bethlen Gábor emlékezete, 612–618. 59. Pataki Füsüs. 60. For a more detailed discussion of Pataki’s political thought see Hanna Orsolya Vincze: The Politics of Translation and Transmission: Basilikon Doron in Hungarian Political Thought (Newcastle upon Tyne: Cambridge Scholars Publishing, 2012), 131–188. 61. Tóth, 127. 62. As Evans put it, “the tide of history ran for Protestantism during the sixteenth century and against it thereafter. Protestants had explained one crisis, after 1500, as the death throes of a corrupted church; yet now another crisis, no less severe, was brewing without any full resolution of the first. If Ottoman advance had betokened Divine wrath in the 1520’s, why could progressive elimination of the old observances not assuage it?” (Evans, 114).

Abstract The Making of a Prince: Fashioning the Image of Gábor Bethlen

Gábor Bethlen was elevated prince of Transylvania five centuries ago, in 1613. At present, he figures in much of the local historiography as a local hero, with his reign represented as a golden age of Transylvania. At the same time, his image in Western historiography has been summarized as that of a semi-savage, faithless and lawless man. The conflicting image of the prince originates in the troubled times of the Protestant Reformation and the Thirty Years’ War. This paper argues that the heroic myth of the prince originates in 17th century written sources, many of them drawn up with propagandistic aims, directly inspired and commissioned by the prince himself. It analyzes sources dealing with and contemporary to the prince and his rule, focusing on the way his image was constructed in these texts. The paper shows that the elements of princely representation originate in the discursive traditions that his literati inherited, but also that the literature around the prince changed the meaning and use of several established topoi, such as flagellum Dei or propugnaculum Christianitatis.

Keywords princes of Transylvania, Thirty Years’ War, princely propaganda, princely representation, patriotism, duties of princes

TR 2 2015.indd 20 8/25/2015 10:27:02 AM The Estates of General Paul Wesselényi of Hodod

A n i k ó S z á s z in Sãlaj Region (?–1694)

Throughout the history of the In the year 1687 Paul Transylvanian Principality there had Wesselényi was regarded as been very few noblemen who owned considerable estates not only in Tran- the most important figure sylvania but in the Kingdom of Hun- amongst the Transylvanian gary, and who also enjoyed political authority in both countries. Paul peers, although he did not Wesselényi, an important figure of the hold any important office anti-Habsburg (Kuruts) rebellion, was one of them. Due to this outstanding in the principality. political influence he played an important role in the anti-Habsburg resistance movement, which started in the 1660s in the Kingdom of Hungary and spread to the Transylvanian Prin- cipality as well.1 Paul Wesselényi’s predecessors and his close relatives had held important po sitions in both the Kingdom of Hun- gary and Transylvania. The founder of the family’s branch of Hodod (Hadad) was Francis Wesselényi the Elder. Due to his considerable estate acquisitions and to his career he secured the rise of his family. Stephen Báthory, prince of Transylvania and king of Poland, Anikó Szász rewarded his councilor and treasurer, Researcher at the Transylvanian Museum Francis Wesselényi, with numerous es- Society, Cluj-Napoca. tates in both Transylvania and Poland.

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Francis gained possession of his Transylvanian estates, i.e. the domain belonging to the oppida Hodod and Jibou (Zsibó), in the year 1584. Francis’ uncle, Nicolas had been the founder of the family’s branch of Geaca (Gyeke), and also held the important position of magister prothonotarius of Transylvania until his death in 1584. The abovementioned Francis Wesselényi’s son Stephen, the comes of Middle Solnoc county, succeeded in securing an even higher position: he became a member of the Council of the Transylvanian Principality. How- ever, this important administrative position was not bestowed upon any other future member of the family after his son, Francis Junior, reached the peak of his political career (a countship and the position of palatine) in the Kingdom of Hungary, not in Transylvania. The main figure of this paper, Paul Wesselényi, had slightly less influential forbearers, his grandfather Paul (son of Francis the Elder) having been the comes of Middle Solnoc and treasurer of the principality.2 When Paul’s father, Stephen Wesselényi, passed away in 1656, the three children were still under age. Consequently, their inheritance was managed by the widow, Anne Lónyai, who was the legal guardian of the children. Of the three children (Sigismund, Paul and Barbara), only Paul reached adulthood.3 Paul’s mother was the daughter of Sigismund Lónyai, the comes of Crasna (Kraszna) and Bereg counties, Prince Gabriel Bethlen’s and Prince George Rákóczi I’s trusted man, who was granted the title of baron in 1627. He left a considerable fortune to his daughter, both in Transylvania and in the Kingdom of Hungary. She married Stephen Wesselényi in the year 1642. After her husband passed away in 1659, Anne Lónyai remarried John Kemény, who was appointed prince of Transylvania in 1661. This marriage lasted until the year 1662 when she was again widowed. The second marriage had obviously increased the political authority and prestige of both Anne Lónyai and her family.4 Paul Wesselényi also made a good match, marrying Susanna Béldi in the year 1672, the daughter of councilor (1663–1678) Paul Béldi, the most influential figure of the Transylvanian political stage at the time. Paul Béldi held numerous positions: supreme judge of Trei Scaune (Háromszék) Szekler seat (starting with the year 1655), treasurer for a short period, comes of Inner Solnoc county (from 1662) and the principality’s chief general (1663–1676).5 Despite the fact that Paul Wesselényi was one of the great aristocrats of the principality, he did not hold any political positions in Transylvania. His role in state politics had been limited to the position of general in the anti-Habsburg upheaval, which took place outside the boundaries of the country. Between 1673 and 1680 Paul Wesselényi was a leading figure of the rebellion. His actions were thoroughly presented by Zsolt Trócsányi, and for this reason a more detailed account on this subject will not be presented here.6 His joining the rebellion is not at all surprising, since he enjoyed obvious popularity amongst the organizers of

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the rebellion after the Wesselényi plot had been revealed in 1670. It had been led by and named after his father’s cousin, the palatine of the Kingdom of Hungary. Furthermore, he possessed a considerable fortune and authority in Transylvania. After the imperial authorities seized the estates of his mother, Anne Lónyai, in the Kingdom of Hungary for high treason in 1670, he was urged to actively engage in the anti-Habsburg movements.7 Most of Paul Wesselényi’s Transylvanian estates were situated in Sãlaj region (Crasna and Middle Solnoc counties). Among these there was the domain inherited from his father, Stephen Wesselényi, the estates belonging to the oppida of Hodod and Jibou. He also inherited certain estates from his grandmother, Susanna Gyulaffy, and after 1690 some from his mother, also in Sãlaj region. Still, we know very little about the latter estates. Paul had properties in other regions, too: e.g. in Bihor (Bihar), Turda (Torda) and Cluj (Kolozs) counties; in the Kingdom of Hungary, all bequeathed to him by his mother. These, however, will not be dealt with in this paper. The domain inherited from his father comprised the following estates: the oppida (market towns) of Hodod and Jibou, 17 whole estates and 7 parts of estates. The whole estates belonging to Hodod were Ulciug (Völcsök), Ser (Szér), Bogdand (Bogdánd), Nadişu Hododului (Nádasd), Archid (Erked), Corund (Korond), Apáca (a village that later perished), Motiş (Mutos), and the parts of the estates were Coşeiu (Kusaly), Dioşod (Diósad), Mocirla (Mocsolya), Noþig (Nagyszeg), Jac (Zsákfalva), Someş-Uileac (Szamosújlak). The whole estates belonging to Jibou were: Rona (Róna), Turbuþa (Turbóca), Ciglean (Csiglén), Creaca (Karika), Prodãneşti (Prodánfalva), Mirşid (Nyirsid), Varasitó (a village that later perished as well), Şoimuş (Nagysolymos), Şoimuş (Kissolymos), and there was also a part of an estate in Someş-Odorhei (Udvarhely).8 The center of the domain and the residence of Paul Wesselényi was Hodod. Paul’s paternal inheritance had remained undivided since 1584. Family founder Francis Wesselényi’s estates in Transylvania and Poland had been passed on to his sons, Stephen the Elder and Paul the Elder.9 On 5 September 1614, they made an agreement before the loca credibilia in Oradea (Várad) concerning the division of the abovementioned estates.10 The lands in Poland were in the possession of Stephen the Elder, and those in Sãlaj were handed down to Paul the Elder, the grandfather of the general, on condition that the estates should not end up in foreign hands. Furthermore, if the family were to lose one of the domains, the remaining properties were to be divided. This agreement had been confirmed in Krakow in the year 1643 by the sons of the abovementioned Stephen the Elder and Paul the Elder, Francis (who moved to the Kingdom of Hungary and later became palatine), and Stephen (who remained in Transylvania).11 The latter agreed that their descendants

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would jointly inherit the estates, but if they did not wish to do so, they would also have the right to divide them. This agreement was later renewed by their sons Ladislaus (Francis’ son) and Paul, the general (Stephen’s son), in the year 1664. However, in the year 1669 Paul requested from his second cousin Ladis- laus the division of the family estate.12 As a result of this division the domain of Hodod became the property of the family’s Transylvanian branch and the other branch living in the Kingdom of Hungary was left with the estates in Poland. Although the aforementioned agreements forbade the pledge and alienation of the estates, the fragmentary written sources reveal that during the 17th century the family could not but pledge them from time to time, as was the case of the partial holding in Someº-Uileac in 1642. From 1688 we have data about the redemption of the entire estates of Mirşid and Varasitó. But there are also examples of the enlargement of an estate: in 1683 Bicaz (Bikáca) was referred to as a Wesselényi estate pertaining to Hodod.13 Paul Wesselényi took possession of his paternal inheritance in the year 1668.14 A deed dated 11 July 1669 states that his mother had passed on to her son, Paul, the estates belonging to Hodod and Jibou in the year 1668, but the 1669 diploma acknowledging the transfer of the estates provided that that his mother would be allowed to take back any area of the estates that was worth 12,000 forints, especially those of Jibou and Corund, at any time. She also stipulated that her son should not alienate the estates. Anne Lónyai had the right to claim the aforementioned properties worth 12,000 forints because her husband, Stephen Wesselényi, had redeemed the pledged oppidum of Jibou for 10,000 forints and the village of Corund for 2,000 forints from her money.15 Concerning Paul Wesselényi’s paternal inheritance, it also turns out that in 1668 Paul objected against his mother’s actions over his estates that she had taken without his consent.16 His participation in the anti-Habsburg rebellion consumed his financial re- serves and he was forced to resort to his wife’s parental inheritance. In such cases, namely, when the husband had spent his wife’s inheritance, according to the customs of the age, the husband pledged his property to his wife for the needed sum of money. This happened in the case of Paul Wesselényi as well. According to a document dated 19 September 1677, he pledged his estates of Hodod and Jibou to his wife, Susanna Béldi, for 10,000 forints for life.17 The amount of the pledge also shows that his wealth had increased considerably due to his wife’s inheritance. Paul Wesselényi’s estates had also increased thanks to his grandmother, Susanna Gyulaffy, who remarried18 following the death in 1622 of her first husband, treasurer Paul Wesselényi.19 Susanna Gyulaffy outlived her son, Stephen Wesselényi who died in 1656, as already indicated. According to her last will and testament drawn up in Bratislava in 1644, she left all her Transylvanian estates to her grandson, Paul Wesselényi. Due to the fact that only a later fragmen-

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tary transcript of her testament survived, there is no precise list of these estates.20 However, a later letter of hypothecation reveals that amongst the possessions inherited from Susanna Gyulaffy there were certain properties in Middle Solnoc county, such as a deserted manor house in Cehu Silvaniei (Szilágycseh) and the partial estates in Cehu Silvaniei, Horoatu Cehului (Oláhhorvát), Arduzel (Ardó), Benesat (Benedekfalva), and Noþig (Nagyszeg).21 Paul’s properties had increased in number as a result of the inheritance of his mother, Anne Lónyai. Her father, Sigismund, had inherited his Transylva- nian estates mostly from his mother, Catherine Szaniszlófi Báthori. In the year 1641, Sigismund Lónyai requested the division of his mother’s inheritance between him and his two sisters22 and handed down a part of these properties, i.e. the ones in Middle Solnoc, Crasna and Turda counties, to her three daughters. In 1642 Sigismund had secured a princely warrant concerning the division of his estates amongst his daughters.23 However, later data lead to the conclusion that the abovementioned division did not take place until Sigismund’s death in 1653. Moreover, other difficulties could have occurred regarding the division of the inheritance, because in December 1653 the three daughters of Sigismund requested the re-division of the estates, namely the separation of Sigismund’s properties from those of one his sisters in Crasna and Middle Solnoc counties.24 After Sigismund Lónyai’s death, his daughters and sons-in-law inherited not only his Transylvanian estates but also those in the Kingdom of Hungary, such as the numerous properties situated in Borsod, Szabolcs, Zemplén, Bereg, Szat- már, Nógrád, Heves, and Abaúj counties. A few years later the elder sister, Susanna, Stephen Bocskai’s wife, died and her paternal inheritance from Sãtmar (Szatmár) county was divided between Anne and Margaret Lónyai in the year 1656.25 The division had to be carried out separately in all counties and this is why the deed does not mention the division of the other partial estates in other counties. Yet, it is likely that division of their late sister’s estates in Sãlaj took place at the same time and half thus became Anne Lónyai’s property. However, the possessions in Crasna and Middle Solnoc counties resulting from Anne Lónyai’s paternal inheritance had only partially passed on to Paul. This is due to the fact that Anne Lónyai lost the abovementioned possessions inherited from Catherine Szaniszlófi Báthori in the lawsuit brought by Prince John Kemény’s heirs. Since Anne Lónay had bailed out her future husband John Kemény from Tartar captivity (1657–1659) with money from her own inheritance, the husband pledged his own domains, Chieşd (Kövesd) and Luncani (Gerend) to his wife, for 12,000 and 10,000 forints respectively.26 But in 1683 John Kemény’s descendant won these estates back from Anne Lónay through a legal procedure, on account of negligent tenure and because a considerable part had been pawned by Anne. When taking back the estates in Chieşd in 1683, they

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also took those estates that constituted Anne Lónyai’s paternal inheritance in order to reimburse the Kemény family for their pledged properties in Chieşd.27 The fragmentary data lead to the conclusion that, after having lost the suit against the Kemény heirs,28 Paul Wesselényi inherited only a few estates in Crasna and Middle Solnoc counties from his mother after her death in 1690. Among these partial estates we can list the parts of estates of Pericei (Perecsen), Dobra (Derzsida), Cehei (Somlyócsehi), Bãdãcin (Badacsony), Nuºfalãu (Nagy falu), Dumuslãu (Domoszló) and Giurtelecu ªimleului (Gyørtelek).29

ccording to the sources it seems that Paul did not make estate acquisitions of his own, all his wealth resulting from inheritance. The main A part of his Transylvanian estates was located in Sãlaj region. The existing sources mention only the names of Paul’s estates and, because of the fragmentary nature of the remaining data, the accurate number of the serfs tenanting his estates cannot be determined. Therefore it would be very difficult to rank him in terms of wealth and determine his position amongst the noblemen of Transylvania. An approximately accurate answer to this question could be given only after examining indirect information on the matter. On the one hand, two of his predecessors had been comites of Middle Solnoc county, hence indicating that, given their domain of Hodod, for generations the Wesselényi family was one of the most influential and prestigious families in the region. On the other hand, the significant wealth of the family is also highlighted by the fact that in the year 1687 Paul Wesselényi was regarded as the most important figure amongst the Transylvanian peers, although he did not hold any important office in the principality (even after having resigned from the position of general and retired to his Transylvanian domain), was neither a comes nor a councilor.30 q

Francis (councillor, treasurer)

Stephen Paul (councilor, comes) (treasurer, comes)

Francis Stephen (palatine)

Ladislaus Paul (general)

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Notes

1. Ştefan Pascu, A History of Transylvania (Detroit: Wayne State University Press, 1982), passim; Béla Köpeczi, general ed., History of Transylvania (New York: Columbia Uni versity Press, 2002), vol. 2, passim: http://mek.oszk.hu/03400/03407/html/164.html. 2. Romanian National Archives, Cluj County Branch, the family archive of the Wes- selényis of Jibou (Coll. no. 250), nos. 1–7; the family archive of the Wesselényis of Hodod (Coll. no. 460), no. 22; Tamás Fejér, Etelka Rácz, and Anikó Szász, eds., Az erdélyi fejedelmek Királyi Könyvei (The Libri regii of the Transylvanian princes), vol. 1 (1569–1602), Báthory Zsigmond Királyi Könyvei 1582–1602 (The Libri regii of Sigismund Báthory 1582–1602), Erdélyi Történelmi Adatok, no. VII/3 (Cluj-Napoca: Erdélyi Múzeum-Egyesület, 2005; hereafter cited as Királyi Könyvek, I/3), nos. 119, 584, 707, 708, 1184, 1251; Zsolt Bogdándi and Emøke Gálfi, eds., Az erdélyi kápta- lan jegyzøkönyvei 1222–1599 (Cluj-Napoca: Erdélyi Múzeum-Egyesület, 2006), 212, 227, 228, 247, 355; Tamás Fejér, “Editing and Publishing Historical Sources in the Research Institute of the Transylvanian Museum Society,” in Institutional Structures and Elites in Sãlaj Region and in Transylvania in the 14th–18th Centuries, ed. András W. Kovács, Transylvanian Review 21, Supplement no. 2 (2012): 18; Zsolt Trócsányi, Erdély központi kormányzata 1540–1690, A Magyar Országos Levéltár kiadványai III: Hatóság és hivataltörténet, no. 6 (Budapest: Akadémiai Kiadó, 1980), 36. 3. 17 August 1656. The family archive of the Wesselényis of Jibou, no. 7. (The documents from the boxes are unnumbered and set in chronological order. Thus the documents can be found based on the dates.) 4. The family archive of the Wesselényis of Jibou, nos. 4–6. 5. Trócsányi, Erdély központi kormányzat, 26, 79; id., Teleki Mihály: Erdély és a kurucmoz- galom 1690-ig (Budapest: Akadémiai Kiadó, 1972), 119, 175–181, 186, 205–223; Farkas Deák, Uzoni Béldi Pál (1621–1679), Magyar Történeti Életrajzok (Budapest: Franklin Társulat, 1887), passim. 6. Trócsányi, Teleki Mihály, passim. 7. István Wesselényi, Sanyarú világ: Napló, 1703–1708, 2 vols., eds. András Magyari and Lajos Demény (Bucharest: Kriterion, 1983–1985), 9–14; Trócsányi, Teleki Mihály, 90. 8. 6 March 1584. The family archive of the Wesselényis of Jibou, no. 1. 9. Királyi Könyvek, I/3: 1184. 10. The family archive of the Wesselényis of Jibou, no. 3. This document issued in Oradea was preceded by another one written in Hungarian, dated 11 March 1614 and issued in Krakow containing an agreement between Stephen and Paul. The family archive of the Wesselényis of Jibou, no. 3; Farkas Deák, A Wesselényi család øseirøl, Értekezések a történeti tudományok körébøl, no. VII/8 (Budapest: Magyar Tudományos Akadémia, 1878), 36–39. 11. 27 March 1643. The family archive of the Wesselényis of Jibou, no. 6. 12. 30 July 1669. The family archive of the Wesselényis of Jibou, no. 8. 13. 11 April 1642. The family archive of the Wesselényis of Jibou, no. 6; 19 July 1683. The family archive of the Wesselényis of Jibou, no. 9; 6 August 1688. The family archive of the Wesselényis of Jibou, no. 10.

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14. This was most likely the year when he turned 24. There are different opinions regarding his date of birth, however, in our view the most likely date would be the year 1644 (Trócsányi, Teleki Mihály, 16, 129, 152). 15. National Archives of Hungary (Magyar Nemzeti Levéltár Országos Levéltára), the Archives of the convent at Cluj-Mãnãştur, Cista comitatum (F 17), Szolnok Medi- ocris, fasc. L, nos. 1, 5. 16. 11 October 1668. The family archive of the Wesselényis of Jibou, no. 8. 17. Transcript in a document dated 19 April 1690. The family archive of the Wesselényis of Jibou, no. 9. 18. 1 April 1654. The family archive of the Wesselényis of Jibou, no. 7. 19. On 12 January 1622, he appears in the document as comes of Middle Solnoc county, but by October 12 of the same year he had already passed away. The family archive of the Wesselényis of Jibou, no. 4. 20. Only a fragment of the will dated 10 March 1664 survived (in a transcript issued by the chapter of Bratislava in 1700). The family archive of the Wesselényis of Jibou, no. 8. 21. 26 December 1689. The family archive of the Wesselényis of Jibou, no. 10. 22. The parts of estates inherited by Sigismund: in Crasna county: parts of two oppida, and parts of seven estates; in Middle Solnoc county: parts of eight estates; in Turda county: parts of an oppidum and parts of six estates; in Sãtmar county: parts of 16 estates; in Bihor county: parts of two estates. The family archive of the Wesselényis of Jibou, no. 6; Péter Levente, “Adalékok az aranyosmeggyesi kastély XVII. századi történetéhez,” in Emlékkönyv Kiss András születésének nyolcvanadik évfordulójára, eds. Sándor Pál-Antal, Gábor Sipos, András W. Kovács, and Rudolf Wolf (Cluj-Napoca: Erdélyi Múzeum-Egyesület, 2003), 544–545. 23. 5 August 1642. The family archive of the Wesselényis of Jibou, no. 6. 24. The family archive of the Wesselényis of Jibou, no. 7. 25. Ibid. 26. A warrant dated 19 March 1664 proves that the domain of Luncani was given to Anne Lónyai. The family archive of the Wesselényis of Jibou, no. 8. The documents of the lawsuit and Anne Lónyai’s letter of complaint addressed to the Council of the principality in 1683. The family archive of the Wesselényis of Jibou, no. 9; Mária Ivanics, “Enslavement in the Crimean Khanate,” in Ransom Slavery along the Otto- man Borders (Early fifteenth–Early Eighteenth Centuries), The Ottoman Empire and Its Heritage: Politics, Society and Economy, vol. 37, eds. Géza Dávid and Pál Fodor (Leiden–Boston: Brill, 2007), 211. 27. 21 July 1683. The family archive of the Wesselényis of Jibou, no. 9. 28. The verdict of the suit had been included in the decree of the National Assembly held in March 1684: the family archive of the Wesselényis of Jibou, no. 9; Sándor Szilágyi, ed., Monumenta Comitialia Regni Transylvaniae. Erdélyi Országgyðlési Emlékek 1540– 1699, 21 vols., Monumenta Hungariae Historica. Magyar Történelmi Emlékek, no. 3 (Budapest: Magyar Tudományos Akadémia, 1875–1898), vol. 18: 217. 29. 21 July 1683. The family archive of the Wesselényis of Jibou, no. 9. 30. Trócsányi, Központi kormányzat, 152.

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Abstract The Estates of General Paul Wesselényi of Hodod in Sãlaj Region (?–1694)

The Wesselényis were one of the aristocratic families which had large estates both in Transylvania and the Kingdom of Hungary, and therefore exerted significant political influence in both countries. Due to this outstanding political influence, Paul Wesselényi gained the position of general (1673–1680) in the anti-Habsburg (Kuruts) resistance movement started in the 1660s. Despite the fact that Paul Wesselényi was one of the great aristocrats in the principality, he did not hold any other political office in Transylvania. Most of Paul Wesselényi’s Transylvanian estates were situated in Sãlaj region (Crasna and Middle Solnoc counties). According to the sources, Paul did not make any estate acquisitions of his own, all his wealth resulting from inheritance. Amongst these properties there was the domain inherited from his father, Stephen Wesselényi (the estates belonging to the oppida of Hodod and Jibou).

Keywords Wesselényi, family history, aristocracy, estate, anti-Habsburg rebellion, inheritance

TR 2 2015.indd 29 8/25/2015 10:27:02 AM Traveling and Studying Abroad Performing Identity in the Case of the “Last Transylvanian Polymath”: T í m e a B e r k i Sámuel Brassai

I n the educational context of the Through the reconstruction 19th century, the lack of studies abroad of biographical data, this raised certain difficulties for the career advancement of Sámuel Brassai, a very study has tackled aspects important academic personality from of Sámuel Brassai’s personal, Cluj. In this study, I analyze the phenomenon of studying abroad not from confessional and scientific a broader perspective, but as regards a identity. single personality. During the 19th century, the structure of the Hungarian educational system did not accommodate the possibility of studying abroad, the measures taken to stave off this phenomenon including the implementation of many educational reforms, the broadening of the offer of local higher education institutions, the restructuring of the universities, and the training of uni versity professors, all of these repre- Tímea Berki senting non-existent aspects prior to Program director, Transylvania Trust, au- 1860.1 thor of the book Magyar–román kultu The research dealing with the issue rális kapcsolatok a 19. század második felében: Értelmiségtörténeti keret of the studies abroad undertaken by (Hungarian-Romanian cultural contacts in the youth from Hungary and Transyl- the second half of the 19th century: Intel- vania in the past is based on the stu- lectual history) (2012). dent records collected from the regis-

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ters of the host universities.2 This prosopographic investigation presents personal information about the students, but also other information that makes it possible to analyze the socio-cultural context of their studies and to interpret this phenomenon. The meaning of the phrase “studies abroad” is not restrictive, as it encompasses both semester-long studies and studies started at one university, or at several faculties of the same higher education institution, and continued in other European countries. Academic mobility and the flexibility it imprinted upon the travelling scholars’ minds represented positive aspects, as they could reveal the students’ personal/specialized preferences and provide them with a certain degree of liberty, possibly conditioned, of course, by their mentors, by their sponsors back home or by the private/foundational/confessional stipends they received in the country or abroad. In time, this traditional form of peregrination practiced by the students from the Austro-Hungarian Monarchy disappeared, short sojourns or occasional visits to the universities of Western Europe being preferred in its stead. The scholar Sámuel Brassai (1800?–1897), also known as a Nestor among scholars (since he approached several domains of science, without specializing in any particular one, and carried out scientific work that cannot be circumscribed to one area alone), is a marginalized personality in the history of Hungarian literature; only linguistic research conducted over the past few decades has re- habilitated him on the grounds of his theoretical works on sentence syntax and structure. The importance of Brassai’s life, work, and scientific career is difficult to ascertain by a single researcher, who represents just one field of knowledge; hence, it is necessary to adapt the methodology used to approach his figure. The starting point of this study is the absence of Sámuel Brassai’s name from the prosopographic investigations of the 19th century. Therefore, based on these types of documents, one cannot analyze the phenomenon of peregrinatio academica in his case. However, the scholar’s career and scientific concerns offer substantial details about his academic training. This study examines attitudes surrounding the concept of “polymath,” emphasizing notions of self-construction and self-performance as regards Brassai’s role as a scholar, and it makes reference to archival documents, to manuscripts that have not yet been studied, and to journals of the 19th century, which, in their time, had a wide circulation, influencing the specialized branch of literary sciences. Márton Szilágyi, who has studied the connection between the history of literature and the socio-historical study of a particular culture, draws attention to the relationship between literary history and biography. Like other complementary sources, biographies are useful for documenting not only facts of life, but also those writerly ambitions (or, in our case, those scientific ambitions) that reflect

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interdependent models of life.3 For instance, the family milieu can reveal certain mobility strategies or social and career models. That is why this study also focuses on the micro-society in which Brassai began his life, on his school experience, followed by his outlook on science and scientific concerns after 1840, and by the issue of his inclusion among the members of the Hungarian Academy of Sciences and the professorial community of the new Francis Joseph University of Cluj, during the years 1870–1880.

Genealogy and Micro-Society

rassai’s surname refers to the origin of the family: the city of Braşov. The first generations of the family, starting from the 18th century, opted for the “strategies” of settling in Rimetea, Colþeşti, of occupational con- B 4 tinuity (carpenters), and of integration by marriage. Sámuel Brassai Sr., the scholar’s father, was educated by his mother after his own father’s death and was trained according to the local traditions of those times (the particula, the Unitarian College in Cluj, the philosophy class, as a “togatus” student) and later became rector of the particula in Rimetea.5 He therefore chose a different career from that of his ancestors or the priestly one: being devoted to educating the youth, he initially steered away from priesthood, although he had specialized studies in this respect. However, having married Krisztina Koncz, the daughter of the archpriest of that village, he accepted the pulpit of the local church, replacing his father-in-law in that capacity after the latter’s demise. He died as a priest in April 1837, struck by lightning. For Brassai’s father, the educational offer of the region had led to his changing professions, as confessional institutions allowed for social mobility (vertical, too), while his marriage to the daughter of the local Unitarian archpriest represented yet another way of integrating into the Unitarian society of Rimetea and Colþeşti in the 18th–19th centuries. The scholar’s mother, Krisztina Koncz, an educated person, who taught at the local school together with her husband, knew Latin and German, and was devoted to the Unitarian confession upheld by her family. Little Brassai was educated at home by his parents, without being influenced by a college community or the school system. This educational approach resembled the private educational strategy of the noble families. The child-centered education, the parents’ philanthropy and confessional liberalism left their mark, from a very early age, on the training of the future university don. On 13 September 1813 he was admitted to the Unitarian College in Cluj, as attested by the Testimonium Scholasticum document, written in Latin, in 1822, authenticated by the profes-

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sors’ signatures and the stamp of the institution.6 His institutional education, interrupted several times, was marked by aptitudes and intellectual skills that were different from those of his peers, which explains the professors’ liberalism towards Brassai the student.

Professional Strategies—Models, Changes

rassai’s education followed the schooling model set by his father and the young Unitarians (the confessional particula, the Unitarian College in Cluj), but it also diverged from that model, as he did not choose a B 7 priestly career or peregrination abroad, which would have meant one step up the social ladder, as well as a step forward in relation to his father’s achievements. He worked as a private tutor, teaching foreign languages and piano lessons to the Transylvanian noble families of Bethlen, Kendeffy, etc. He followed another model with important traditions: having completed their institutional studies, the youth worked as tutors to ensure a level of independent living. For instance, in 1851, editing the youth magazine Fiatalság barátja (The friend of the youth), Brassai mentioned the contributors’ names,8 by way of advertisement, on the one hand, as among them were some of the most important Hungarian writers of the time, and, on the other hand, because many of them had educational experience, since they ensured the training of the aristocratic families’ children. They chose the same professional strategy as Brassai and because of this strategy, working as private instructors or tutors, they could later deal with the literature for children and the youth, which, at that time, acquired a distinct status among other fields in the system of Hungarian literature. This professional model— which was practiced in the 1830s—shows that besides specialized forms of in- stitutionalized education, there were also forms of private education that were preferred by certain layers of the Transylvanian population. In the 1830s, Brassai (who had reached professional maturity) began his career as a writer and critic, always adopting combative positions. His publications dealt with current issues: he defended the work of the reformer István Széchenyi in 1832, and wrote about Klio, authored by the historian Ferenc Szilágyi from Cluj. The latter polemicized, taking the stand of a scientist and looking down upon Brassai, whom he considered an amateur that had started his career by writing reviews, not original works, which did not entitle him to speak as a specialist.9 Szilágyi signed his texts as a professor of history and as a correspond- ing member of the Hungarian Academy of Sciences, positioning himself above Brassai on a professional level. Their polemic reveals the characteristics of the professional hierarchy at the middle of the 19th century: the lengthy duration

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of studies, and the fact that original works were regarded as a prerequisite for engaging in a professional scientific discourse. In 1855, in Pest, Brassai edited the review Criticai Lapok (Critical papers), which presented itself as a specialist publication, and participated thus in the polemical debates about modern professional criticism as a special discourse about literature and the other arts, identified as a specialized field of literature, along with literary history (founded by Ferenc Toldy with his histories of literature from the 1850s).10 Brassai went against the famous Pál Gyulai in several debates on the women writers’ practice of writing, of literature, on female authorship in general, evincing a very liberal opinion, close to that of Mór Jókai or János Vajda. Brassai also intervened on the issue of the education of young women, advocating the girls’ access to higher education. In 1860, he criticized Ferenc Liszt’s study on Gypsy music.11 His contemporaries referred to him as an old man who was infatuated with controversy. They also marginalized him, commenting on the legitimacy of his discourses because after the sciences became differentiated into various fields of specialization in the second half of the 19th century, Brassai was somehow left out of the picture. He would not let himself guided by the strategies of his generation, whose members remained in Pest, the future capital, and pursued professional careers, but returned to Cluj after the events of 1848–1849 and was reintegrated in the local elite. If we examine his work chronologically, we may notice that he stayed in touch with the current cultural manifestations at national and international level: he drew up a series of school textbooks entitled Kék Könyvtár (The blue library), after the French model. His first important study on aesthetics appeared in 1832 (A gyönyörðségrøl/On delightfulness), a second edition was published in 1859, and was then translated into German in 1878. His concerns included the economy—Bankismeret (Basics of banking, 1842), logic—Logika (Logic, 1858), Hungarian grammar (studies on the structure of the Hungarian sentence, syntax theory and method), foreign languages, geography, botany, mathematics, literary translations from Russian (Sologub), French and English (Poe), music, astronomy, and journalism. Sámuel Brassai’s professional career spanned—chronologically—various scientific and artistic domains, and was characterized by his orientation towards scientific areas and cultures that were little known at that time by the Hungarian professionals, displaying a strong liberal propensity and being impelled by the idea of keeping up with the advancement of contemporary science. Even though he was sensitive to novelty, Brassai failed to notice that within the changed paradigm of the sciences his writings and concerns appeared to have different validities from a professional point of view. That is why his contemporaries con-

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sidered him an extravagant dilettante. He was a man of science who was, at the same time, a professor (a private tutor initially, then a secondary teacher and, later on, a university professor).12

The Savant Professor—No Peregrination?

he attitude of Brassai the scholar seems to have several explanations: in her study on the University of Göttingen during the late 18th and T the early 19th centuries, Vera Békés states that “the university professors taught, but they also continued their researches so that neither they, nor their students would specialize, because specialization allegedly imperiled the accomplishment of the desideratum of all-encompassing knowledge.”13 The cur- riculum of this university conceived of the limits of science as limitations in dialogue, and relied on the existence of a number of similarities between the different scientific areas, which explains why the contextual aspect was deemed to be important. In the 1830s, the scientific paradigm of the university changed, as the modern, specialized scholars worked in hierarchical teams, dividing their work; this gradually entailed the disappearance of the polymath genius as a type of academic, once collective cooperation was introduced.14 Brassai did not study abroad; at first sight, he cannot, therefore, be associated with this model of scientific thinking. However, I have come across documents at- testing his (not solely indirect) orientation towards the European university centers. In 1844, Brassai sent a letter to the Reformed Minister Peter Nagy from Cluj,15 who had studied natural sciences at the University of Göttingen.16 This letter reveals the fact that Brassai had undertaken a voyage along the route Ber- lin–Halle–Leipzig–Braunschweig–Göttingen–Frankfurt–Paris. The letter dated 4 July 1844, Frankfurt, gives a detailed account of Brassai’s itinerary. I consider these notes to be essential because in them we may find the names of professors and institutions, and we may realize, from the perspective of the traveler, how important it was to recount these journeys to those back home. At Halle, Brassai visited the Pedagogical Institute, founded by August Hermann Francke in the late 17th century, and Sprengel’s Herbarium, which he thought to be more valuable than that of Baumgarten. He also learned something which he was to discuss on his arrival home. He met the botanist Schlech- tendal. The next stop: Leipzig, visiting Kunke, whom he considered more com- petent in training the youth than the entire University of Berlin. At Berlin he spent the longest time, but was disappointed with the city’s rigidity, and only Mademoiselle Melanie from the French vaudeville (ill-appreciated in Berlin, but, if it comes to that, enthusiastically received in Vienna) cheering him up. From

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Leipzig he went on foot to Braunschweig, as he was “botanizing,” and then he arrived at Göttingen. He reported to Nagy that he had also written to his mother from there—a letter that has not been found to this day. The atmosphere in the university center of Göttingen was welcoming, as was that of Dresden. He was received by Apel and Bartling.17 The Bartling family sent their regards to Peter Nagy, considering him a friend. Brassai was excited by Wöhler’s chemistry laboratory.18 He recommended the University of Göttingen to his young compatriots since, despite the thousands of professors in Berlin, here the conditions and the institutions were conducive to valuable studies. He met Gauss19 and Listing.20 He did not have time to see Wilhlelmshöhe21 because he was in a hurry to reach Paris, having got so far as Frankfurt by the time of writing this letter. Here he admired Städel’s “Institute,”22 Senkenbergisches Museum,23 and Bethmann’s museum. Everything seemed beautiful to him: the Dome, Römer— “cela est va sans dire,”24 even the cemetery (Thorwaldsen’s bas-relief).25 He also noted down impressions of a less scientific nature: for instance, his encounter with a baker who painted with his finger pastels on cakes that were more admi- rable than those achieved by the Hungarian painter Miklós Barabás, “with his ten fingers and thirty brushes.”26 In the evening he went to the theater, listing the names of the Hungarian artists who were in Frankfurt: the baritone Gundy and the tenor Gyöngyföldi/Perlgrund. Concluding on Brassai’s travel account, we may detect a friendship between the two scholars from Cluj, based mostly on their botanical interests. Being more experienced, Nagy helped him by suggesting landmarks to be visited on his journey. Brassai did more than merely recount his travel experience: he observed the differences between the university centers, made comparisons, and established friendships with various scientists—through Nagy’s connections. His reflections also presented his aspirations, his scientific interests (as a botanist), and his concerns as an art lover in general, who did not forget to visit museums, go to the theater, and watch vaudeville performances. This attitude of the traveler, who had clear goals and interests, is yet another argument supporting the notion of Brassai’s holistic vision, as for him not only scientific, but also cultural and artistic institutions were important places worth visiting. In his case, travelling, which included visiting foreign universities, represented an informal, liberal form of education, an exchange of experience influenced by the trajectories and social relationships of his friend from Cluj. Although it cannot be categorized as a peregrinatio academica, this short voyage, as well as his other journeys (especially for musical, cultural purposes, to Vienna, Paris, etc.), were nonetheless important for the scholar’s orientation, represented by the thousands of volumes in his library or by his writings; his scientific outlook (for instance, his research on colloquial language and his mother

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tongue)27 confirmed his integration in that German paradigm that was about to vanish at the onset of his career. Brassai remained the representative of this vanishing paradigm, even after its disappearance. Vera Békés states that these paradigms should not be viewed chronologically, teleologically, from the vantage point of the history of sciences, because the “new paradigms are born not only from the old ones, but rather from those forgotten by the old ones, from the latent ones.”28 For example, Brassai’s approach to sentence/phrase theory acquires importance not in terms of its success in the 19th century, but from the standpoint of its present-day valorization, as it has become the starting point for contemporary (generative) grammar.29

Brassai As a University Professor

eturning to a scholar’s life in Cluj, Brassai was elected vice-rector of the Royal University, which opened in 1872, the rector being Mózes R Berde, also a Unitarian. He became a professor of mathematics. If we examine the premises of his election, we may say that he became a professor on the basis of his socio-cultural positions within the church, the Unitarian College, and the Transylvanian Museum Society. His age (75 years old?) and the document that certified his studies appear to have been less important in this respect. In the Register of the counselors and doctors of the University from Cluj, next to the name of Sámuel Brassai, we may read the following: “matheseos elemen- taris Professore publico ordinario, Academicae Scientiarium Hungaricae Socio ordinario, Viro ad tentandos numeris docendi in gymnasiis candidato publice misso.”30 From the point of view of the meritocratic system, already at work in the educational structure of the monarchy, he remained behind the other professors of the university, Grigorie Silaşi and Hugo Meltzl, who had studied abroad and had received their doctoral degree before becoming university professors.31 The lack of a documented peregrination was thus a hindrance in the way of Brassai’s professional advancement. What counted towards his recruitment as a professor32 and vice-rector was the fact that he was a member of the Hungarian Academy of Sciences and that he had experience in the educational system. For Brassai, from the perspective of family strategies, career mobility occurred late in life due to the prestige of the socio-cultural background he came from. During the following year, both he and Berde obtained their Ph.D.’s: Berde received his doctorate in law from the Faculty of Law, and Brassai—in philosophy, from the Faculty of Letters, Math- ematics and Natural Sciences. It should be noted that Brassai did not become a doctor of mathematics, that is, in the subject he taught, but in the discipline he

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was interested in at that time: philosophy. This suggests his nuanced approach to scientific inquiry, shedding light on his conception about the limits between disciplines, and even faculties. These data also reveal the scholar’s self-perception, highlighting his process of self-construction.

Brassai’s Personality: Performing the Self

rassai’s attitude and his scholarly career represented the conscientious construction of a striking personality. We have access to biographical B data that helped build this type of personality: as an independent, single man, living with his mother until he reached the age of 62/65 years, Brassai perforce adapted to the traditional type of a scholar who, as a mentor, assisted (even financially) the youth who aspired to learn. From the perspective of generative psychology, Dr. William S. Pollack states that men who do not have the opportunity to become fathers may still have this parenting skill, manifesting it towards the youth through care and attention.33 The account of a visit undertaken in 1887 may be found in the magazine Magyar Szalon. Several Hungar- ian young men had come to Cluj from Budapest and claimed that their joy, as traveling artists and writers, would not have been complete during their visit to Cluj had the image of the historical town not been rounded off by Brassai’s patriarchal figure.34 In time, he became the emblem of Cluj for the youth: the epitome of the patriarchal scholar, hardly an effigy of the present, who appeared as a relic, even though he was still alive. As we have seen, as he was aging, he began to be called “Brassai bácsi,” being very popular among the younger generation, among students and acquaintances. The construction of identity emerges, as a theme, also from his correspondence, which is in manuscript form. When his works were published, he wrote to important personalities in the field: in 1842, he contacted—through János Bethlen, that is, through his social relations with the noble families—István Széchenyi, asking for the latter’s permission to dedicate his work about banks (Bankismeret) to him. On 24 January 1884, he wrote a birthday card to Pál Gyulai, mentioning his election as an honorary member of the Hungarian Academy of Sciences on the anniversary of 50 years since his election as a full member thereof. He said that if he was not elected, he would resign his position as a full member.35 Although the jubilee year should have been 1887, as he had been elected in 1837,36 Brassai mentioned his option much earlier, using his amicable relations for professional successes or for consolidating his professional position: he became an honorary member on 13 May 1887.37

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Due to the Anglo-American relations of the Unitarian Church, Brassai’s work also crossed the ocean.38 We have no data on Brassai’s American reception; perhaps this was just a symbolical gesture, but it does highlight the scholar’s importance from a confessional point of view, as the result of his socio-cultural relations. Brassai’s scientific aspirations stood apart in the context of the turn of the century. Before his university career came to an end, he founded the journal Acta Comparationis Litterarum Universarum (together with Hugo Meltzl, in 1877)—the first journal of comparative literature in the world, and taught San- skrit, in the 1880s, changing once again his domain and discipline. Finally, as regards the concept of “polymath,” which is also placed between quotation marks in the title of this study, it is consistently used in the specialist literature about Brassai (initially written by his disciples, who were all Unitari ans);39 however, I consider it to be an a-historical concept, which started losing its referent in the latter half of the 19th century. Mention should be made that not only Brassai, but also his younger colleague at the Transylvanian Museum, Otto Herman, received this sobriquet of “the last polymath.” In my research on this problematic phrase, I have come across the series of monographs published by the Hungarian Academy of Sciences, A múlt magyar tudósai (Hungarian scholars of the past). These monographs have also been published in cd-rom format.40 If we use the search function of this cd-rom, we find this phrase occurring 21 times.41 The polymaths’ dates of birth show that there existed a continuity of this type of scholars (Brassai was not the only one in the 19th century, and there were also polymaths who were younger than him), and these scholars’ places of death coin- cide in most cases—the capital, Buda, and, as of 1873, Budapest. This emphasizes Budapest’s quality as a scientific, professional center and as a city of opportunities. As we saw above, Brassai’s career came to fruition in another important city of the monarchy, Cluj (Kolozsvár), which aspired to be its second capital, the center of the region of Transylvania, constantly competing against Budapest.42 Another feature polymaths held in common with Brassai was their election as academic members. Summing up, the tendency evinced by these scholars’ career was their presence at the center, not in peripheral regions, and their election as academic members. These statistical data highlight, in fact, Brassai’s uniqueness as a scholar. Through the reconstruction of biographical data, this study has tackled aspects of Sámuel Brassai’s personal, confessional and scientific identity. It has examined a leading figure of the 19th century, a personality whose economic and symbolic high standing reflects his charitable concerns, and it has documented the construction of his identity, foregrounding his gestures towards generating the cult of his personality. q

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Notes

1. The Hungarian educational system in the Austrian-Hungarian Monarchy was reformed mainly in the 1860s; through its ranking of the institutions and through the specialization of its scientific areas, it differed substantially from the Romanian system in the Old Romanian Kingdom. In the latter, peregrination occupied an important place well into the early 20th century, while in Hungary it lost its value due to the expansion of the possibilities offered by the local education institutions. 2. See the volumes edited by Sándor Tonk, Erdélyiek egyetemjárása a középkorban (Bu- charest: Kriterion, 1979); Miklós Szabó, László Szögi, Júlia Varga and others, published by the Archives of Eötvös Loránd University of Budapest. For the Romanian students, see Lucian Nastasã, Itinerarii spre lumea savantã: Tineri din spaþiul românesc la studii în strãinãtate (1864–1944) (Cluj-Napoca: Limes, 2006). 3. Márton Szilágyi, “Irodalomtörténet és társadalomtörténet,” in Bevezetés a társada- lomtörténetbe, eds. Zsombor Bódy and József Ö. Kovács (Budapest: Osiris, 2006), 567–578. 4. See György Boros, Dr. Brassai Sámuel élete (Cluj-Kolozsvár: Minerva, 1927). 5. A particula was an educational institution similar to a gymnasium. 6. Testimonium Scholasticum (the document is found at the National Széchenyi Library, Budapest, Hungary: ms Analekta). 7. On the peregrinations of the Unitarians and, mainly, of the Protestants, see: Kelemen Gál, A kolozsvári unitárius kollégium története (Cluj: Minerva, 1935), 430–485; István Török, A kolozsvári ev. Református collegium története (Kolozsvár: Ev. ref. Collegium, 1905); István Rácz, “A magyarországi protestáns peregrináció szükségszerðsége és lehetøsége,” in Politikai gondolkodás-mðveltségi áramlatok, ed. István Rácz (Debre- cen: Kossuth Lajos Tudományegyetem, 1992), 133–143; Régi és új peregrináció kül- földön, külföldiek Magyarországon (Budapest–Szeged: Scriptum, 1993). 8. He enumerates them: Arany, Csengeri, Emødi, Gáspár, Gönczi, Gyulai, Jókai, Kriza, M. Lukács, Majer, Mentovich, Nagy, Tárkányi, Vas Gereben, János Varga in Fiatalság barátja, ed. Sámuel Brassai (Pest, 1851), 33. 9. Ferencz Szilágyi, “Vég-szó a Klio perben recensens Brassai Sámuelhez,” Nemzeti Tár- salkodó (22 March 1834): 178. “So Mr. B. starts his literary career by writing reviews, this unknown man, who has not attended or finished any schools, but is now a harp- sichord master, now an educator, and today even a publicist; thus, dabbling in everything, he wants to gain, at once, what others get only much later, through effort and a scientific education acquired over the years, achieving thus genuine critical talent.” 10. Tímea Berki, “Brassai Sámuel kritikaértelmezései az 1850–60-as években: Egy példa Criticai Lapok 1855,” Keresztény Magvetø 3 (2007): 277–288. 11. However, he also participated in other polemical exchanges: with Csató, on the English Constitution (1838), with Jókai, on Roman feminine names (1853), with Gyulai, on a line from the poem “Fóti dal” (1859). 12. As of 1837, he taught at the Unitarian College in Cluj, and then, from 1872, at Francis Joseph Royal University. 13. Vera Békés, A hiányzó paradigma (Debrecen: Latin Betðk, 1997), 54, 59.

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14. Cf. ibid., 70–74. 15. “Brassai Sámuel Nagy Péterhez” (the manuscript is in the Hungarian Academy of Sciences, Budapest, Hungary: Ms 4745/107-108). 16. In 1841, Peter Nagy enrolled at the University of Göttingen. See: Miklós Szabó and László Szögi, Erdélyi peregrinusok (Târgu-Mureº: Mentor, 1998), 340. 17. Friedrich Gottlieb Bartling (1798–1875), botanist. 18. Friedrich Wöhler (1800–1882), chemist. 19. Carl Fridrich Gauss (1777–1855), mathematician. 20. Johann Benedict Listing (1808–1882), mathematician. 21. A castle with a dendrological park near Kassel, close to Göttingen. 22. An art museum. 23. It had a very important zoological collection. Today it is a pathological institute. 24. “Brassai Sámuel Nagy Péterhez.” 25. Bertel Thorwaldsen, German sculptor. 26. “Brassai Sámuel Nagy Péterhez.” 27. For a further discussion of this problem, see Berki, “Brassai Sámuel kritikaértel mezései.” 28. Békés, A hiányzó paradigma, 85. 29. Vera Békés, A kreativitás mintázatai (Budapest: Áron, 2004), 9. For a further discussion of this problem, see the works of Katalin É. Kiss on Brassai’s grammar theories. 30. “Album Doctorum Almae ac Celebrimae Regiae Hungaricae Scientiarium Universitatis Francisco-Joesphinae Claudiopolitanae Die 10 mensi Novembris anni MDCCCLXXII. inauguratae,” vol. 1, 1872/3–1899/1900 (the document is in the National Archives of Romania, Cluj County Branch, Coll. 315, University of Cluj, no. 111). 31. Cf. ibid. 1872: 138, 217. 32. About the recruitment of university professors, see: Gábor Kovács and Gábor Kende, “Egyetemi tanárok rekrutációja a két világháború közötti Magyarországon,” in Zsombékok: Középosztály és iskoláztatás Magyarországon, ed. György Kövér (Buda- pest: Századvég, 2006), 417–509. 33. William S. Pollack, “Az apaság szerepe az én átalakításában:lépések a férfiak új pszi chológiája felé,” in Férfiasság és szexualitás: Válogatás a férfipszichológia témakörében, eds. C. Friedman, and I. Downey (Budapest: Lélekben otthon, 2003 [2004]), 112. 34. Antal Váradi, “Látogatás Brassai Sámuelnél,” Magyar Szalon (1887): 321–324. Váradi depicted Brassai’s home, decorated with the portraits of István Széchenyi and Ferenc Erkel. I consider that the elements of the narrative fully make sense (e.g. the kind of portraits that decorated this house), since they reflected not only the scholar’s decorative concept, but also the elements he selected towards the construction of the self: next to him, his musician friend, the great Hungarian reformer. 35. “Brassai Sámuel Gyulai Pálhoz” (the document is in the Hungarian Academy of Sciences, Budapest, Hungary—Letters). 36. Cf. Academic Almanac on the elections of 1837. 37. Cf. Academic Almanac from 1886–1888 (Budapest: mta, 1888).

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38. “Stein Brassaihoz” (the document is in the Brassai Collection of the Unitarian Church Archives, in Cluj). “Due to the encouragements of Professor János Kovács, your works have been sent to America, to Harvard University.” 39. László Køváry, “Brassai százéves pályafutása,” Erdélyi Múzeum (1897): 349–361, 444–456, 505–518, 550–560; György Boros, Dr. Brassai Sámuel élete (Cluj- Kolozsvár: Minerva Irodalmi és Nyomdai Mðintézet Rt., 1927); Imre Mikó, Az utolsó erdélyi polihisztor: Száz dokumentum és történet Brassai Sámuelról (Bucharest: Kriterion, 1971). 40. A múlt magyar tudósai (Budapest: Akadémiai Kiadó, 1991), cd-rom. 41. Ferdinánd Barna (Carei, 1825–Budapest, 1895), Farkas Bolyai (1775–1856), Antal Csengery (Oradea, 1812–Budapest), Otto Herman (Breznóbánya, 1835–Budapest, 1914), Pál Hunfalvy (Nagyszalók, 1810–Budapest, 1891), Ferenc Kállay (Debrecen, 1790–Buda, 1861), Mór Korach (Miskolc, 1888–Budapest, 1975), Emil Thewrewk, Ponori Török (Bratislava, 1838–Budapest, 1917), Vince Wartha (Fiume, 1844–Buda- pest, 1914). The physician Sámuel Decsi (1742–1816) and Martinus Fogelius, a polymath from Hamburg, are mentioned in relation with the work entitled Demonstratio, written by the linguist Sajnovics. 42. Without going into details: the competition was reflected diachronically through the particular independence of Transylvania, as a principality, over the centuries, as well as through the institutional parallelism formed in the second half of the 19th century: the Transylvanian Museum Society was the equivalent of the Hungarian Academy; the second university of the Austrian-Hungarian Monarchy opened at Cluj, after the model of Pest, Budapest, etc.

Abstract Traveling and Studying Abroad: Performing Identity in the Case of the “Last Transylvanian Polymath”: Sámuel Brassai

The name of Sámuel Brassai is missing from the prosopographic investigations of the 19th century. Therefore, based on this type of documents, one cannot analyze the phenomenon of peregrinatio academica in Brassai’s case. However, the scholar’s career and scientific concerns offer substantial details about his academic training. This study examines several attitudes towards the concept of “polymath,” emphasizing notions of self-construction and self-performance as regards Brassai’s role as a scholar, and it makes reference to archival documents, to manuscripts that have not yet been studied, and to journals of the 19th century, which, at that time, influenced the specialization of literary and historical sciences.

Keywords 19th century, Transylvania, education, polymath, professional identity, Unitarian

TR 2 2015.indd 42 8/25/2015 10:27:03 AM Vernacular Architecture As a Source for National Architectural Identity M a r a P o p e s c u Ion Mincu and Károly Kós

I n the late nineteenth century, the “Without knowing the old search for national identity gave ver- architecture of our neighbors nacular architecture a special place in the history of architecture. The it is impossible to characterize phenomenon called Art Nouveau ap- an architecture of our own.” peared in response to nineteenth-century historicism, sprinkled with plenty (Károly Kós) of cultural references, and included the attempts of the intellectuals of that time to find new ways for the nation to identify itself. Architects sought inspiration in their own roots, in the purest and the most unaltered forms of expression of a country, where patterns of material culture and non-material traditions are interwoven, where the liberating spirit is present—that is, in vernacular architecture. Such focus on the awareness of national values is a natural step in the development of a nation. This transformation was a time of critical thinking, intensely exploited by architects. The picturesque

Mara Popescu I wish to thank Zsuzsanna Tasnádi from Ph.D. candidate, architect, Romanian the Hungarian National Museum in Bu- National Commission for unesco, Culture dapest for the assistance given in editing Subcommittee. the material.

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and authentic architectural image remains a constant element, regardless of their individual styles. Vernacular architecture accounted for two great architects, Romanian Ion Mincu (1852–1912) and Hungarian Károly Kós (1883–1977), the sources of inspiration for the creation of a national architectural identity. This movement, with an original character and with a theoretically coherent program, crystallized in modern Romanian national culture as “Neo-Romanian architecture.” It is part of the Romantic trend, where the sources of expression are inspired by the architecture of the past. In terms of the ideas translated into projects, it is an eclectic architecture, giving architects the freedom to choose motifs from the past. The interest in the vernacular and the traditional, combined with the spirit of innovation—the main concepts of Art Nouveau—can be found with the Romanian architects who created this new national style. In general, it attempted to exploit the structural and decorative elements taken from the vernacular architecture of Romania (columns and wood railings, porches, roadside crosses), from the Balkans (bow-windows with wooden con- soles, ribbed windows), and even from the Mediterranean area (loggias, pergo- las); from the Moldavian and Wallachian church architecture (types of roofing, masonry paraments, wooden doors, girdles, frames, ceramic medallions), from Brancovian architecture (alternation of simple masonry with frames, railings, specific decorative intarsia in stone), as well as compositional themes selected from regional architecture that became specific compositional elements (themes like the keep, the small tower, the popular house with an elevated ground floor). An important role in finding, creating, and promoting this style was played by the architect Ion Mincu. In 1871, he enrolled at the National School of Bridges and Roads in Bucharest, which he graduated in 1875, obtaining an engineering degree. Two years after graduating, Mincu went to France, where he studied at the National School of Beaux-Arts in Paris, until 1884. In 1883, his talents were recognized when he received the Award of the Central Society of French Architects. One of the constant themes in Mincu’s work was the concern for creating a new style that would incorporate elements of Romanian peasant and religious architecture. After returning to Romania in 1884, he began designing his first works. The first application of the national style came in 1886, when Mincu was asked by Jacob Lahovary to refurbish his small residence. The building received new interior partitions and an exterior with modern decorations of various in- spirations. The beginning of the new style is best represented by Mincu’s 1889 work on the Romanian pavilion at the Universal Exhibition in Paris. The difference between the Romanian pavilion of architect Mincu and the other pavilions of

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Romania, created over time, inspired by classical church architecture, is obvious. Since then, the Romanian pavilion, inspired by peasant life, has adopted the looks of a roadside inn. The pavilion, known as “Bufetul de la Şosea” (The roadside inn) was rebuilt in Bucharest in 1892. It functions as a restaurant, and its style includes all the important elements of the new national architectural style: a free composition of volumes, where the tower is a dominant element, carved wooden pillars with folk motifs, the twisted belt, semicircular openings, acco- lade arcs, buttons and medallions made out of glazed ceramics, the introduction of writing in architecture with its own calligraphy, which became a characteristic of the era, and the console roof. All these elements, interpreted in a modern style, represent the combination of peasant, Balkan, Oriental, Brancovian, and classicist inspiration. Although Mincu’s accomplishments are widely recognized, the architect designed few public buildings. However, his works are important milestones in the Neo-Romanian style: the Central School for Girls, Monteoru House, Vernescu House, Nicolae Petraşcu House, and Mincu House (the headquarters of the Order of Architects in Romania). Besides architecture, the maestro made his mark in the fields of furniture and memorial design, in interior decoration and restoration, the most famous being the restoration of Stavropoleos church in Bucharest.

t the beginning of the twentieth century, the Hungarian architect Károly Kós was involved in the search for a national identity within A the larger struggle for independence, social reform, and modernization. Kós studied engineering at the Technical University of Budapest between 1902 and 1904. Afterwards, he transferred to the Department of Architecture, which he graduated in 1907. Kós was a central figure of the Fiatalok (The young ones) movement, founded in 1906, and an advocate of the creation of a national contemporary Hungarian architecture, whose model was model the national Romantic Finnish movement (Lars Sonck) and the ideas of “Art and Crafts.” Transylvania became the inspiration for the new Hungarian national style. Studying Hungarian folk and medieval architecture, weaving it within a modern building technique and elements of Art Nouveau, Kós managed to create his own style. The first important works of Kós, from the Roman-Catholic church in Zebegény to the culmination of his style in the Szekler National Museum of Sfântu Gheorghe (Sepsiszentgyörgy) (1914) or the Crow Castle (Varjúvár) (1910) at Stana, constituted a step forward in crystallizing the statement about a “conscious” national architecture. The emblematic representation of the new national style was the building of the Szekler National Museum, where the unique elements of Transylvanian

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architecture were skillfully combined in a new and contemporary language. The synthesis of medieval elements begins with the entrance to the courtyard. A wooden gate, set in a stone wall and covered with glazed ceramic tiles just like the museum, provides access to the stairs of the central tower of the building, where the main entrance can be found. The latter is a testament to the influence of medieval architecture, with a semicircular arch made of stone. The roof, in the architecture of Kós Károly, is a central element; the artist considered it as merging with the universe. The high roof features simple shapes made in a traditional way, with references to the vernacular, namely to the appearance of a church. Here, at the museum, we find the same dominant tower with four small corner towers, seen at the archetypal Protestant churches in the region of Cãlata (Kalotaszeg). Other references to secular Transylvanian architecture can be seen from the outside, as he took up and adapted the concept of space and courtyard entry, a model taken from the fortified churches in the area. The museum impresses even at first sight by its exquisite outwardly appearance, and its choice of colors: the strong white of the façades contrasts with the variously colored roof tiles. Uniformity is interrupted by strategically placed windows piercing the façade, creating an interesting effect. The same principle is repeated inside the building, where the walls are combined with the arches and with the material used for the floor. The interior decorations feature patterns taken from folklore, just like the structural principles. In the main staircase rail- ing decoration we can see some images from the life of ordinary people from the countryside, that is, of their crafts. Other subtle folk motifs can be discovered in the ironware of the door handles, molded into symbols of birds. The architect always insisted that his works use local materials (stone, wood) and local craftsmen, to keep the tradition handed down from generation to generation. Except for the ceramic tiles made in Pécs, all other materials were produced locally. The national recognition of the architect led, in 1908, to his inclusion as the Hungarian representative at the International Exhibition of Architecture in Vienna. The Romanian national style, neo-Byzantine, was carefully studied by Kós. He did not reject the idea, especially since he had personally studied the Byzan- tine style in Istanbul. Kós was interested in Eastern architecture and wanted to further study in Russia, but as a result of World War I he was able to spend only two years at the Turkish-Hungarian University in Istanbul. During this period, he studied the Byzantine architecture of Istanbul and published a monograph titled Istanbul: An Architectural History. He discovered the possibility of an interpretation of the Byzantine cultural heritage in Transylvanian culture with the project for the Orthodox cathedral

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in Cluj, which came second in the competition. He designed several Roma- nian churches (Greek-Catholic) in the Cãlata area: the Greek-Catholic church of Stana, designed in 1924 and built in 1927, the Greek-Catholic church of Petrinzel, designed between 1924 and 1927 and built in 1927, the Greek-Cath- olic church of Ardeova, designed in 1928 and built in 1930. The church of Fei- urdeni (1927–1928) is the smaller-scale version of his design for the Orthodox cathedral in Cluj, with which he participated in the contest. He restored a medieval edifice in Feleac (Cluj county), expanding it and also designing a tower. Drawing directly on the structural and functional logic of peasant houses, Kós gave great importance to the regional cultural heritage, in which he integrated his projects, mostly churches. For the preservation and restoration of significant historical architecture, they took account of the cultural landscape through direct reference to historical archetypes. Károly Kós was a pioneer of the protection of built heritage in Transylva- nia, being a renowned specialist in recognizing and saving Transylvanian eth- nographic assets. A good example of this is the wooden Romanian church in Turea. This eighteenth century church, now exhibited at Dimitrie Gusti Village Museum in Bucharest, is classified as the oldest in the wooden churches category. In fact, the church was saved because of the recognition of its value by Kós. The old Orthodox wooden building would have been destroyed, same as all the other wooden churches of Transylvania from the same period. In the inter- war period, the wooden church was moved to Bucharest by Alexandru Tzigara- Samurcaş, the director of the Museum of Ethnography and National Art, an acquaintance of Kós. Returning to Károly Kós’s interest in vernacular architecture, it should be noted that he published a study in architecture called “The Old Kalotaszeg” in 1911. This work, which had a major impact on the specialists in the field, may be considered Kós’s architectural manifesto. q

Bibliography

Balassa, M. Iván. Kós Károly: Erdély népi építészete. Budapest: Kelenföld Kiadó, 1989. Balogh, Ilona. Magyar fatornyok. Budapest: A Királyi Magyar Pázmány Péter Tudomány- egyetem Néprajzi Intézete, 1935. ——. “A magyar faépítészet emlékei Erdélyben.” In Ódon Erdély: Mðvelðdéstörténeti tanulmányok. Budapest: Neumann, 2004. Bitay, Enikø, László Márton, and János Talpas, Technikatörténeti örökség Kalotaszegen a gótika árnyékában. Kolozsvár: Erdélyi Múzeum Egyesület, 2010.

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Gall, Anthony. Kós Károly mðhelye: Tanulmány és adattár/The Workshop of Károly Kós: Essays and Archives. Budapest: Mundus Magyar Egyetemi Kiadó, 2002. Lascu, Nicolae. “Arhitectura din România în secolele al XVIII-lea şi al XIX-lea într-o perspectivã europeanã.” Ion Mincu University of Architecture and Urban Planning, Bucharest, 2009–2010. Malonyai, Dezsø. A magyar nép mðvészete. Vol 1, A kalotaszegi magyar nép mðvészete. Budapest: Franklin-Társulat, Magyar Irod. Intézet és Könyvnyomda, 1907. Popescu, Mara. “Kós Károly şi biserica de lemn din Turea.” Anuarul Centrului de Studii de Arhitecturã Vernacularã U.A.U.I.M.–Dealu Frumos (Bucharest) 2011: 93–110. ——. “Kós Károly.” Arhitectura (Bucharest) 6 (2013): 91–102. ——. “Traseu urban: Ion Mincu.” Arhitectura 6 (2013): 103–106. Ştefãnuþ, Ada. Arta 1900 în România. Bucharest: Noi Media Print, 2008. Trencsényi, Balázs, Dragoş Petrescu, Cristina Petrescu, Constantin Iordachi, and Zoltán Kántor, eds. Nation-Building and Contested Identities: Romanian and Hungarian Case Studies. Budapest: Regio Books; Iaºi: Polirom, 2001. Zahariade, Ana Maria, Mariana Celac, Alexandru Beldiman, Anca Brãtuleanu, Nicolae Lascu, and Mihaela Gavriº, eds. “Patrimoniul Arhitectural al sec. al XX-lea – România.” Online project: http://www.archi-web.com/uar/333.htm.

Abstract Vernacular Architecture As a Source for National Architectural Identity: Ion Mincu and Károly Kós

The search for national identity led to a renewed interest in vernacular architecture starting with the late nineteenth century. Architects began to seek inspiration in their own roots, in the purest and the most unaltered forms of expression of a country. The new style attempted to exploit the structural and decorative elements taken from the vernacular architecture of Romania, the Balkans, and even of the Mediterranean, from Moldavian and Wallachian church architecture and from Brancovian architecture. The paper presents the manner in which two great architects, Romanian Ion Mincu (1852–1912) and Hungarian Károly Kós (1883–1977), contributed to the creation of a national architectural identity drawing on vernacular models.

Keywords vernacular architecture, national architecture, Ion Mincu, Károly Kós, Neo-Romanian style

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The Transylvanian Scholar

M a r Þi a n I o v a n Ştefan Manciulea

Introduction

orn in the Romanian city of Blaj and imbued with the spir- B it, the traditions and the values of the Transylvanian School, Ştefan Manciulea (1894–1985) attended school in his native town and then the Faculty of Greek-Catholic Theology and the Faculty of History-Geography of Bucharest, along with the Pedagog- ical Seminar, which allowed him to teach as a professor in the educational system—a dream come true when he taught at Moise Nicoarã High School during 1921–1928 and at Sfântul Vasile cel Mare High School after 1929. The scientific coordinator of his Ph.D. in geography was Professor

ªtefan Manciulea (1894–1985) S. Mehedinþi, and in 1941 the Minis- ter of Education appointed him as associate professor with the Geography Department of the Faculty of Sciences, teaching regional geography and the geography of states and continents. Marþian Iovan Professor at Vasile Goldiº Western Uni- In addition to his teaching career, versity of Arad. Author, among others, of Ştefan Manciulea followed his inner the vol. Science and Humanism in the calling and passion for history, geog- Knowledge Society (2013). raphy, geology, historical demogra-

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phy, Transylvanian culture and philology, being strongly influenced by Timotei Cipariu. Ştefan Manciulea’s achievements were widely acknowledged, given the originality and the practical importance of his scientific work, not only by the numerous fellow professors, students, graduates, lecture participants, but also by esteemed former professors of his, such as N. Iorga, S. Mehedinþi, D. Onciul, T. Simionescu, V. Pârvan and many other Romanian personalities. Ştefan Manciulea became a well-known figure in Straja, his native parish situated in the vicinity of the Romanian city of Alba Iulia; he also became famous in the city of Blaj—where he received his theological education—and in the academic circles of Cluj and Timişoara. He was perceived as a person of outstanding intellectual qualities, an encyclopedic scholar, a person who shared his wisdom and theoretical knowledge, and was also a true and noble Christian devoted to the Biblical precept “Love thy neighbor.” Ştefan Manciulea’s main traits of character (modesty, simplicity, tenacity, scientific originality and innovation in teaching) were also widely praised. Nowadays’ society appreciates Ştefan Manciulea as an important geographer and historian, the founder of geo-history as a new science, a true academic scholar who tried to answer the socio-political, demographic-economic and geo-historical questions of his time. After facing many difficulties and hardships, mainly in the first part of his adult life, Manciulea’s activities became more complex and varied, highly appreciated by both his superiors and his friends, bringing him academic prestige. The situation changed in 1947 after the totalitarian political system asserted its authority and force, and when a whole generation of hard-working, honest, nation-oriented intellectuals and scholars were no longer allowed to exercise their profession because they refused to join the Communist Party or they refused the orders of the new political system. Professor Ştefan Manciulea was one of them, prosecuted for “affiliation to the Romanian Greek-Catholic religion and the publication of scientific studies that instigate to racial hatred between the cohabiting nationalities of the country” and sentenced to seven years of harsh imprisonment.1 Thus began his personal Golgotha, a long stretch of pure injustice. He was forced to leave the university, being no longer allowed to hold any public office. As a consequence, his only alternative was to apply for positions that involved physical labor. In 1962 a second conviction was pronounced on the same political basis. After the Romanian government decided to release all the political prisoners in 1964, he had to work as simple manual laborer, at the farm of the Normal School in Blaj, at the Romanian Rail Company Green- houses, as a gardener at the Romanian Rail Company Asylum, as a carpenter, locksmith and laboratory technician—all jobs meant to humiliate and demean any person proven to have been “a bandit, a thief and a robber”—words used

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by the prison guards during the hard years of his incarceration. He accepted this long stretch of pure injustice in a stoic manner, with Christian faith and hope. Thinking rationally, he was fully aware that much was to be done for the Romanian nation, especially when it came to promoting young people so that the following generations would not be ashamed of being Romanian. This idea required thoughtful actions, commitment to specific ideals, as well as hard work. His advice for the young was: “Every little thing you do, do it so that it truly serves you and others. Unfortunately, most of us Romanians are only willing to work if somebody makes us. Maybe it is because of the atavistic instinct we acquired while forced to work for the benefit of others. We have not yet reached that point where we cherish work itself, the way the Saxons are cherishing it.”2

Personality Profile

uring the last year of his life, picturing his final judgment before the Allmighty, Manciulea defined himself as “a simple archive moth or D bookworm.”3 He always used sharp artistic images to talk about himself, resorting to the neutral third person: “He was as much as possible a very modest person. He never liked people to talk about him, or about his work and studies. He did not interfere with other people’s life, things or rules. He lived most of his life among books, searching libraries and archives for as much information as possible about the life and history of the Romanian people in Tran- sylvania, the history of Blaj city, about the most important religious figures, the local bishops and scholars, trying to identify their achievements in the service of the religious, cultural and national progress of all Romanians.” Divinity and the Lord were the supreme values that guided his life, ambitions and actions. As a youth he took an oath to faithfully and loyally serve God, a true pledge which, besides the fear of sinning, influenced all his decisions and actions. He admitted to sin and wrongdoing, including the worst of all: “The temptation, the ardor and hunger for writing and reading quickly brought me to forget my oath. All these temptations began to strongly sway my soul, so that I slowly began to forget the holiness of my oath.”4 From adolescence to old age, throughout his life, Manciulea’s personality was uniquely shaped by his qualities and daily activities as a professor, scientist, vicar, social tutor, day laborer, livestock farmer, plowman, gardener, engine driver, carpenter, miner, bench-screw worker, laboratory technician, meteorologist, archivist, librarian, museum curator, school vice-principal, and associate professor at the Faculty of Sciences. The administrative and political professions did not appeal to him; he

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sometimes turned down job offers in spite of promises of important financial income. Nicolae Iorga offered him the position of county prefect, but Ştefan Manciulea turned down the offer because he had always refused to join any political party. In the spring of 1947, he declared to his investigators: “I have never done politics in my entire life, nor was I part of any political organization. On the contrary, I hated and I was the declared enemy of any activities of this nature. My God-gifted knowledge and intelligence were used for scientific research and studies, thus serving the interests of the Romanian country and nation. This is path that I will follow and I will firmly say no to any political party.”5 Ştefan Manciulea was deeply absorbed by his studies and research, investigating the historical sources, or the archive documents written in Romanian, Latin, Hungarian, German or Slavic, or having simple conversations with local people in the Romanian villages, town, schools, churches or administrative institutions to find out about the local customs, traditions, “the common law” with long- established rules and regulations, “the judgment seat” (local law forum), the folklore, the traditional folk costumes, the local toponyms or information about religion, the economy etc. Often he lost track of himself, paying no attention to hunger, thirst or clothes: “Because he only covered his body so he would not fell too hot in the summer and too cold in the winter, showing a modesty suitable only for the humblest monks in the world.” 6 As a professor, Manciulea acquired a solid pedagogical culture, assimilating the knowledge, courses and teaching methods of his brilliant professors. His pedagogical instruction consisted of attending the courses of the Pedagogical Seminar and applying his knowledge during practical training done in middle schools. Ştefan Manciulea’s understanding of Romanian and world pedagogical history motivated him to expand his knowledge, focusing in particular on the successes and failures of Transylvanian educators in the eighteenth and nineteenth centuries. He even wrote a book, The Teachers of Blaj City Guiding the Pupils’ Decency and Good Behavior, clearly emphasizing the scientific and meth- odological role of geography and history in school. He also underlined the important educative and formative role of moral, social, civic and health education. Ştefan Manciulea’s teaching career followed a winding path. He made his teaching debut as a confessional substitute teacher in his native village of Hãpria, near the city of Alba Iulia; then he taught as a secondary teacher at Moise Nicoarã High School in Arad (1921–1927) and at Sfântul Vasile cel Mare High School. In 1938 he was appointed secondary school inspector for Mureş County. Begin- ning with the 1940–1941 academic year, he was appointed by the Ministry of Education as associate professor with the Geography Department of the Faculty of Sciences, teaching regional geography and the geography of states and continents. Ironically, during the totalitarian regime, fate made it so that he worked

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in another high school, unfortunately not as a geography teacher, but as a farm hand at the Blaj–Chereteu Normal School farm, and then as a laboratory technician in the Physics and Chemistry Department of Iacob Mureşianu High School in Blaj. Although he was forced to do such demeaning jobs in spite of his scientific degrees and pedagogical training, he did not give up and used after-work hours to complete his scientific research, reading through the whole library of the high scool. The Blaj schools’ philosophy and values were guided by the following educational motto: “Book knowledge, faith and piety.”7 Implementing this principle, the teachers of Blaj morally advised and guided their pupils so that, upon reaching maturity, they would be honorable men, ready to devote their life and activity to the nation’s interests and showing nothing but respect for the Romanian nation. Manciulea underlined the importance of educating young people in a spiritual way and of school and family relations, since education begins at home, the educational system continuing this instruction, strengthening the moral virtues seeded by parents and seeking to change and eliminate the base urges that might spring up in the child’s mind. In their turn, his pupils, students and colleagues praised professor Manciulea as one of the greatest teachers of Blaj. One of his former students, who completed his theological studies in Rome and was the initiator of the Romanian language segment broadcast by Vatican Radio, the priest Pamfil Cârnaþiu, described the personality of professor Manciulea with great sincerity and admira- tion. He remarked that “everybody considered him strange,” he was “always deeply lost in his thoughts,” “he taught with extreme tenacity” and, besides the geography classes, he also taught “moral education,” as he was trying to help his students improve the very act of learning, to value time, to take care of their health and to aim for higher moral values. He had a comprehensive vocabulary and when he told a story, everybody was all eyes and ears. He advised his pupils to prepare for life as best they could, for “there are many things to be done for the poor people of this country.”8 He frequently reminded his pupils of the rules of good behavior, of what the French call “le bon-ton,” meaning good manners in school, on the street, when having lunch, dinner or supper, during vacations, when using a means of transport, at the theatre and telling them how to properly dress for various occasions. As a scientific researcher, Ştefan Manciulea was always guided by truth and justice, by the Christian love for his fellow men—regardless of their ethnic origin—and by the objectivity resulted from the application of specific methods, processes and techniques used in history, geography, geology and historical demography. Under arrest, during his second interrogation, Manciulea sincerely declared that “through my scientific work and studies, I tried to show and prove

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with the help of foreign, historical and ethnic data, our native right over this land. You will not find a single word showing disrespect for our nationality. I used the historical, geographical, anthropo-geographical, ethnic and statistical data found in archives and libraries, beginning with the eighteenth century and till 1850, which proved the Romanian presence in this region and in other parts of our country, describing our old administrative structures and forms of organization and the Romanian principalities and voivodeships.”9 Moreover, in his most important study—The Western Border, which brought him a Romanian Academy award—Manciulea reassures his readers that

in an objective manner, taking into account the general historical truth and mainly using Hungarian information, diplomas, documents and statistical data, the following arguments will seek to prove that we have every right over the region known nowadays as the Tisza Plain, the land delimited by the western border of the Ro- manian state; we were the first settlers, before the Hungarians, and we have lived as a nation with a distinct political and economic life in an area that far exceeded today’s borders. We mean here the historical time of the seventeenth and sixteenth centuries and the land beyond the Tisza, all along the Northern Carpathians, up to the regions at the foot of the Tatra Mountains, the western and northwestern region as far as Moravia and Silezia, and north up to nowadays Poland.10

In order to obtain real scientific results, to find the truth, to make fair and equidistant political decisions, Ştefan Manciulea paid special attention to writing methodology and style. With an encyclopedic culture and a polyglot, he studied various topics reading important studies by Hungarian, Romanian, Ser- bian historians, geographers, chroniclers and scholars, etc. gathering their ideas, descriptions and information about the nations’ continuity, the state of the civi- lization, the social position and mobility of the various nations in the Transyl- vanian region, the Tisza Plain etc. He used the evaluation method, analyzing historical documents, archives and statistics from different centuries and data on population censuses, language, clothing, folklore, toponyms; he also studied the functioning of administrative institutions, the traditional rights in various regions, the courts of justice, the economy and way of life. In order to complete his studies, he traveled to various regions, visiting almost all villages in the western part of Romania. His research focused on unpopulated areas as well as on villages, parishes and towns. Every time Ştefan Manciulea arrived in a small town, he would study the archives and libraries in order to find archeological, historical and statistical documents, as well as the relevant ethnic, demographic and toponymic data.11

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The manner in which he presented his scientific research and results and his writing style denote the author’s desire to make his studies well understood, in order to better convince the readers of his beliefs. In his writings, Manciulea uses a scientific approach, a concise and accessible phrasing, precise enuncia- tion and sufficient arguments and proofs. That is why his studies are defined by simplicity, conciseness, precision and logical coherence. The studied maps, tables and statistical data contribute to the consolidation of the information. For example, his study The Romanian Settlements in Hungary and Transylvania during the 14th–15th Centuries, awarded by the Romanian Academy in 1941, begins with a very useful and appropriate introduction regarding the content of his work, continuing with a short presentation of each chapter: ideas on the Hungarian settlements in the Tisza Plain and Pannonian Plain, and the coloni- zation of Transylvania; the presence of the Romanian element in these regions; the religious and political organization of the Romanians living in Transylvania and Hungary until the sixteenth century; the taxes levied from the Romanians of Transylvania and Hungary during the Middle Ages; the Romanian people and their settlements in the Hungarian counties until 1500; the Romanian settlements in Maramureş; the Romanian people and their settlements in Crişana and Sãtmar until 1500; the Romanian settlements in Banat; the Romanians from Haþeg (Hunedoara County) until 1500; the Romanian settlements on the estates of the Roman-Catholic Diocese of Alba Iulia until 1500; the Romanian settlements in the Arieş Valley and Turda County; the Romanian villages in the county of Cluj; the Romanian settlers from Sãlaj and Crasna regions, the Rodna Valley, the Bistriþa region, the Târnava Valleys, the Szekler Land, the Bârsa and Olt regions until the year 1500; the Romanian settlements on royal territories. The volume ends with clear, logical and well-structured conclusions. Manciulea used the same scientific method in his later studies, including the ones referring to some of the essential moments of Transylvanian culture. He was a dedicated and devout man of the Church and Greek-Catholic vicar. He did not confine himself to rhetoric and simple words, nor did he simply perform the religious rituals, but he dedicated himself to helping those in need, the Christians who were sick or poor. Every time he had to leave the church, especially when he was a high school teacher in Blaj, the Christians from the parish acutely felt the loss of a truly devout spiritual father. His activity as a priest was praised by Bishop Alexandru Todea in the eulogy delivered at Ştefan Manciulea’s funeral on 14 July 1985. The bishop emphasized the fact that even after the Blaj church took another path of the Divine Providence, Ştefan Man- ciulea still continued to perform the Holy Liturgy and he was constantly present in sacerdotal life until the last days of his life.12

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Therefore, as a teacher, scientist, scholar and priest, Ştefan Manciulea was enlightened and guided by the Christian love for his peers, by passion and per- severance in his teaching and research career. Above all, the faith in the Holy Father and consequently in the people’s power to discover the truth and do good had been the fundamental principles of his life, work, writings and scientific conferences. He believed that his main duty was to serve the country and its people. He often declared that he only searched for truth and justice and all he wanted to witness was the eradication of evil from the life of the Romanian people and the victory of the good through truly worthy life values.13

The Existential Motivation

uring his education and in his research, Manciulea valued the importance of modern and contemporary European culture; he was deeply D touched by the effects of the Enlightenment movement and especially by the concepts and ideas of the representatives of the Transylvanian School, the so-called “forty-eighters.” From this point of view, he understood well the relations between “form and substance,” discovering that in the Austro-Hungarian Empire there was a huge difference between the Romanians and the other op- pressed nationalities, in economic, social, and cultural terms. However, he was particularly influenced by the work of his mentor, Timotei Cipariu, whom he regarded as the founder of Transylvanian philosophy and philology. Certainly Manciulea was profoundly impressed by the ideas and the bitter answers emerging from his master’s writings: “When I contemplate the sad fate of this country,” T. Cipariu wrote, “it breaks my heart seeing how far behind it is compared to other nations,” which not very long ago were uncivilized and today, to our shame, are far ahead of us.14 After the Great Union of December 1918, he often said: “So many things are to be done in this country!” In his opinion, the advancement of the country could be obtained through disciplined work and tenacious involvement in achieving the established goals. “Still, despite the favorable conditions of this country, there is no other people in his world living in poorer conditions than us. Almost everything that we produce is in the hands of foreigners.”15 Such ideas characterize his critical attitude (in a Kantian sense) and the fundamental motivation behind his assumed purpose in life: to serve his people and his country. By the end of his life, Manciulea still believed with all his heart in the motto of his adolescence, written on his graduation picture: “We will be our nation’s sacrificial shrine and the soul of our people!”

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The other component of his motivation, his permanent desire for knowledge, self-education, research, discovery, is connected to that egocentric type of personality that relies, in any circumstance, on true belief. Compared to belief and to divinity, all the other things are evanescent. In his Testament he said: “I wain, ask and demand from those still alive that no one, for no reason, should preach a sermon. No speeches, no discourses, no forgiveness, etc., for I consider them all empty notions and the ‘vanity of vanities.’”16 In conclusion, “the sense of human life on this earth is subordinated to the final goal of the individual—that of receiving the final judgment and entering the kingdom of heaven and achieving eternal happiness.” Here we also have the philosophical exhortation of Timotei Cipariu, as a secular existential principle: “Dear brothers, be mindful of the short time of your lives and properly use it, for the time of death is long.” Most of Manciulea’s works, if not all of them, were written as a response to the imperatives of the time, whether political, religious or cultural. In some of his introductory or closing notes Manciulea reveals the reason motivating him to write the book. For instance, in The Western Border, Manciulea intends to reply to Hungarian revisionism and to its territorial claims, which started right after the end of the First World War, by dismantling its discourse and presenting the historical truth supported by evidence.17 By the end of his life, in the context of the re-emergence of the Hungarian revisionist propaganda claiming that the Transylvanian territory should be returned to Hungary, Ştefan Manciulea re- opened old files containing statistical data, maps, and information in order to give new arguments supporting the continuity of the Romanian people inside the borders set by the Trianon Peace Treaty. Manciulea actively sought to send his works to international specialists and organizations, in an attempt to spread the historical truth regarding the origins of the Romanian people. In what regards Manciulea’s personality, such extrinsic reasons are less relevant than the intrinsic motivation, especially the one correlated with his existential belief. The latter, as his daughter says, helped him overcome the suffering, the physical ordeals, humiliations and sorrow caused by the political imprisonment and by the communist authorities.18

Conclusions

s a humanist thinker with philological skills, a scientific researcher in the fields of history, geography, demography, geology and Romanian cul- A tural history, Ştefan Manciulea had an original contribution to all these domains, appreciated even during his life by Nicolae Iorga, Virgil Madgearu,

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and the Romanian Academy, which gave him two awards for The Western Bor- der (1937) and The Romanian Settlements in Hungary and Transylvania during the 14th–15th Centuries (1941). His scholarly and cultural work owes its depth and accuracy to his encyclopedic, multilingual and interdisciplinary education, put to good use in his research. The methodology he used was specific to the field of historical studies and he employed it with objectivity, in pursuit of both historical truth and justice. Manciulea never abandoned his goal in life, his values and principles of science and humanism. His only policy was to serve his people and country. But his destiny was tragic and unjust. He was removed from the university and from scholarly studies for no good reason, at the peak of his career, by the repressive totalitarian authorities. During the communist regime, Manciulea remained the same dignified man, of a generous, forgiving and loving character. He had great difficulties in understanding that a significant part of his works were used by historians, geographers, and other intellectuals without properly quoting and without acknowledging his contributions, even plagiarizing some of them. The Romanian writer Ion Brad was so impressed by Manciulea’s life that he wrote a novel about him, entitled Appeal (1988). The high quality of his research work has been underlined in recent decades, especially after 1989, by many historians, geographers, and other intellectuals, who, emphasizing their accuracy and their present importance, have initiated the necessary steps for republishing them, thus acknowledging their real scholarly and cultural value. His remains rest in Blaj, in a small church cemetery near the hill by Liberty Field. Just like he used to evoke the great names of Transylvanian teachers and scholars such as Timotei Cipariu and other intellectuals of the Transylvanian School, the time has come for contemporary scholars to praise his work, his scholarly activity, his altruistic nature and to republish his major scientific works. q

Notes

1. Ştefan Manciulea, Povestea unei vieþi (Cluj-Napoca: Clusium, 1995), 100. 2. Ştefan Manciulea, Profesori blãjeni îndrumând purtarea de bunã-cuviinþã a şcolarilor, foreword by Ion Buzaºi (Târgu-Lãpuş: Galaxia Gutenberg, 2011), 43–44. 3. Ibid., 141. 4. Ibid., 142. 5. Ştefan Manciulea, Povestea unei vieþi, rev. edition by ªtefania Manciulea and Ion Buzaºi (Cluj-Napoca: Clusium , 1995), 90–91.

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6. Alexandru Todea, “Panegiricul rostit la înmormântarea profesorului Ştefan Manciu- lea, 14 iulie 1985,” in Manciulea, Povestea unei vieþi, 153. 7. Ibid., 32. 8. Ibid. 9. Ibid., 113–114. 10. ªtefan Manciulea, Graniþa de vest, 2nd edition, ed. Prof. Valeriu Achim (Baia Mare: Gutâiul, 1994,), 18. 11. Ibid., 66. 12. Todea, 152–153. 13. Manciulea, Povestea unei vieþi, 151. 14. Ştefan Manciulea, Timotei Cipariu: Început de autobiografie (Blaj: Tipografia Semi- narului, 1940), 4. 15. Manciulea, Profesori blãjeni, 44. 16. Ibid., 148. 17. Manciulea, Graniþa de vest, 17–21. 18. Ibid., 144.

Bibliography

Achim, Valeriu. “În loc de prefaþã.” In Ştefan Manciulea, Graniþa de vest, 7–15. Baia Mare: Gutâiul, 1994. Buzaşi, Ion. “Profesorul Ştefan Manciulea la 90 de ani.” Tribuna (Cluj-Napoca), new. ser., 28, 50 (1984): 6. ——. “Un om al Blajului: Ştefan Manciulea.” Tribuna (Cluj-Napoca) new ser., 7, 2 (1995): 7. Cãpâlnean, V. “Postfaþã. Ştefan Manciulea (1894–1985).” In Ştefan Manciulea, Graniþa de vest, 147–150. Baia Mare: Gutâiul, 1994. Cârnaþiu, Pamfil. “In memoriam: Profesorul Ştefan Manciulea (1894–1985).” Perspec- tive 9, 7–9 (1986): 32–45. Ciobanu, Tiberiu. “Ştefan Manciulea (1894–1985).” Columna 2000 (Timişoara) 40 (2009): 94–96. Gânduri împãrtãşite. Ploscaru–Manciulea: Corespondenþã ineditã 1968–1984. Vol. 1. Ed. Dr. Ioan Mitrofan. Blaj: Buna Vestire, 2002. Manciulea, Ştefan, Timotei Cipariu: Început de autobiografie. Blaj: Tipografia Seminaru- lui, s.a. ——. Graniþa de vest. Blaj: Tipografia Seminarului, 1936. Second edition: Ed. Prof. Valeriu Achim. Baia Mare: Gutâiul, 1994. Third edition: Eds. Ion Buzaºi and Ion Moldovan. Blaj: Buna Vestire, 2014. ——. Frontiera politicã şi etnicã româno-maghiarã. Bucharest: Universul, 1938. ——. Aşezãri româneşti din Ungaria şi Transilvania în secolele XIV–XV. Blaj: Tipografia Seminarului, 1941. ——. Timotei Cipariu şi Academia Românã. Blaj: Tipografia Seminarului, 1941.

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——. “Elemente etnice strãine aşezate în Banat între anii 1000-1870.” In Banatul de altã- datã: Studii istorice. Vol. 1: 329–389. Timişoara: Institutul Social Banat-Crişana, 1944. ——. Timotei Cipariu şi astra. Blaj: Tipografia Seminarului, 1943. ——. Povestea unei vieþi. Revised edition by ªtefania Manciulea and Ion Buzaşi. Cluj- Napoca: Clusium, 1995. ——. Profesori blãjeni îndrumând purtarea de bunã-cuviinþã a şcolarilor. Foreword by Ion Buzaşi. Târgu-Lãpuş: Galaxia Gutenberg, 2011. Todea, Alexandru. “Panegiricul rostit la înmormântarea profesorului Ştefan Manciulea, 14 iulie 1985.” In Ştefan Manciulea, Povestea unei vieþi. Cluj-Napoca: Clusium, 1995.

Abstract The Transylvanian Scholar Ştefan Manciulea

The present study presents the Transylvanian scholar Ştefan Manciulea (1894–1985) and his contribution to the development of geography, history, geology, historical demography and culture, focusing on the analysis of the motivational factors and values that conditioned his decisions and guided his life, scientific work and teaching career. Even though he had an endless trust in truth, justice and the political rights of the Romanian people, his destiny proved to be tragic. During the totalitarian regime, Ştefan Manciulea was a true model of human dignity for the future generations and a devoted patriot.

Keywords ªtefan Manciulea, geo-history, Blaj schools, Transylvanian culture

TR 2 2015.indd 60 8/25/2015 10:27:03 AM Smaranda ªtefanovici Ileana Galea

The volume De la victorianism la postmodernism: In memoriam Ileana Galea (From Victorianism to postmo dernism: In memoriam Ileana Galea) (Cluj-Napoca: Presa Universitarã Clu- jeanã, 2013) is dedicated to the memory of Ileana Galea (1938–2002), professor at the English Department of Babeº-Bolyai University, philologist, researcher, essayist, translator and le xicographer. Seventy-six years after her birth and ten years after her death, Ileana Galea has by no means been forgotten. This is largely due to the editor of this book, the essayist and translator Mihaela Mudure, professor at Babeº-Bolyai University of Cluj-Na- poca, a feminist “voice” who is natio nally and internationally known and Ileana Galea (1938–2002) appreciated. The memorial volume is a welcome and successful initiative to present posterity with the image of a multi- faceted personality. The portrait, initially sketched through the papers presented at the Symposium In Memoriam I. Galea (15 November 2012) organized by the English Department of Babeº- Smaranda ªtefanovici Bolyai University, is completed by Associate professor at Petru Maior Uni- versity of Târgu-Mureº, author of two M. Mudure in the preface to this vol- monographs on American literature, co- ume through an exhaustive biblio editor of the vol. Spectral Bodies: Her- graphical record which defines the meneutical Essays (2011). contribution of I. Galea to the devel-

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opment of Romanian Anglistics. This anniversary book includes nineteen essays outlining I. Galea’s intellectual portrait, written by former colleagues and students, academics, young Ph.D.s, Anglicists or lovers of literature: Rodica Albu, Carmen-Narcisa Braşoveanu, Bianca Doris Bretan, Ruxandra Bularca, Rodica Dimitriu, Marius Jucan, Tamara Lãcãtuşu, Octavian More, Mihaela Mudure, Amelia Nan, Adriana Neagu, Claudia Novosivschei, Ştefan Oltean, Alina Pamfil, Oana-Meda Pãloşanu, Adrian Radu, Ioana Sasu-Bolba, Virgil Stanciu, and Sanda Tomescu Baciu. They discuss the human profile of Mrs. I. Galea (generous, elegant, distinguished and warm, sociable, encouraging and dedicated to her craft), her philological contributions (translator of H. James, interpreter/essayist of Victorian British literature, author of modern and contemporary textbooks), as well as the high-interest topics she addressed in her work (such as the dual perspective on a literary text, melodrama and modernity, tradition and modernity, Victorianism and passion, intellectual fetishism and the Victorian spirit, Victorianism and Bakhtinism, Victorianism and Modernism). The original portraits of I. Galea, her translator’s creed, and her text annotations raise a full range of emotions in the readers. Ileana Galea, the translator, engages in a dynamic and pluralistic dialogue with the text, which she approached as an active and inquisitive reader. The very title of the volume, From Victorianism to Postmodernism, suggestively selected by M. Mudure, indicates an arch over time as well as an opening of the author I. Galea towards the new. Hence, we have the dual prospect of recycling tradition as a way of thinking and feeling through new theories and interpretations which go beyond the antinomies of Victorianism (tradition) and modernity (innovation), to entwine the two in a dynamic link which must be exploited with introspective finesse and critical honesty. I met Professor Galea many years ago. She was my teacher in college and then a member of my doctoral committee. I admired her humaneness and kindness in dealing with people in a straightforward manner and without any academic sophistication; I cherished her innate teaching qualities and the total dedication to the courses she taught. Ileana Galea was also a special mentor who imposed scientific rigor, and today I continue to apply many things I learned from her in my own teaching. Her mentorship qualities are also evidenced in reverential essays by other former disciples as well (M. Mudure, R. Albu, R. Dimitriu, T. Lãcãtuşu, A. Neagu, etc.): to love your job, to be interested in new theories, to come to class with a smile, to instil courage and confidence in students. Today I feel extremely honored to have the opportunity to write a review on a volume in memory of this distinguished lady. For purely subjective reasons, I will proceed by pointing out those things that I believe are worth highlighting from the

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articles, in a thematic order chosen for reasons connected to my own memories about Professor I. Galea. The teacher I. Galea is remembered nostalgically by former apprentices. Ioana Sasu-Bolba remembers her continuous concern for improving the teaching system, her didactic, analytical, and ordered approach to her courses (231). She was always open to dialogue, dismantling the premise according to which the text is immutable; she was never content to summarize established opinions; her model of interpretation was dynamic, inviting the student to internalize, compare, and perform. Full of introspective insight and critical honesty, supple- mented by an on-going appetite for the new, she made her students realize the need to get away from arid patterns by exposing new ideas and arguments (Neagu 159). As a matter of fact, the textbooks devoted to the study of English that she wrote alone or in collaboration with other academics (V. Stanciu, I. Criveanu, A. Ivaş, M. Voia, I. Sasu-Bolba) confirm this didactic dimension. Former disciples, now teachers, speak in their essays about the textbooks and anthologies she edited as indispensable tools used today to achieve language proficiency. In this respect, the articles by B. D. Bretan (27) and I. Sasu-Bolba (231) are quite illustrative. On a market saturated with textbooks dedicated to the learning of English, they are now re-edited and/or advertised on the Internet, and represent a serious alternative to the many copy-books and textbooks that might have a more attractive design, but do not show that original lexical, stylistic, and gram- matical approach to the text. Her selection of texts is rich and varied in kind and difficulty, and combines cultural components with a fine humor which makes the learning process seem so much easier and pleasant. At the university level, she drew attention to the classical analytical method, which although had seem- ingly lost ground in favor of modern methods (ex. free conversation with image support) is the only effective one, concludes the author, leading to quality results even in developing a course as demanding as that for law students, for example. Whether we talk about the human being, teacher, textbook author, essayist or literary critic, I. Galea occupies the same intermediate space in which O. More places the Bronte sisters in his article (115); we witness the same oscil- lation between tradition and innovation, the same quest for balance, for order, the need to integrate traditional and modern approaches into a unified whole. This polar approach leads to a tension that I. Galea sustained in the way she approached Victorian modern and postmodern novels. The emerging identity of I. Galea, the critic, underscores Carmen-Narcisa Braşoveanu (17), alternates the old and new theories of literary criticism, the communication between different literary movements, the double perspective, that of the inner life and of the outer

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life, through the development of referential circular applications that are subject to a continuous movement of transformation, remodeling and adjustment. In his essay “The (Hi)Stories of the Novel,” V. Stanciu (235) makes evident I. Galea the critic’s opening toward more recent mutations taking place in the literary field. By comparing J. Barth with J. Fowles, the author of the article affirms, I. Galea understands the significance of the transition from modernism to postmodernism, thus proving the perfect fusion of tradition and modernity. Her perspective is inter-disciplinary, being situated at the crossroads of literary theory and hermeneutics, literary sociology and literary theory; it proves once again the indispensable qualities of the independent thinker that was I. Galea. Some of the articles contained in this volume are meant to be a tribute and a respectful continuation, as coming from a disciple to one’s mentor, of certain strongpoints of I. Galea’s intellectual preoccupations. Of mention is the novel Ouida (133), pointed out by M. Mudure, for her courage and discretion in questioning a series of Victorian Era taboos: the marriage market, adultery, domestic violence, the necessity of accepting divorce. The author’s approach to the text proves a high degree of mastery of feminist and gender discourses. The reconciliation between traditional and innovative principles, the polarization between moral dilemmas and the materialistic spirit that characterized the Victorian Era, created, especially towards the end of the Victorian period, an environment conducive to the development of certain progressive attitudes which would ultimately result in propelling the world toward modernity. Oana- Meda Pãloºanu (199) offers proof in this sense by mentioning the cultivation of sensuality almost exclusively. Hence, towards the end of the Victorian epoch, we see a growth in the popularity of the novel that primarily illustrated the conflict, characteristic of the Victorian period, between the real and the allegorical, in which the role of educator falls on both the author and the reader, thus bringing about a narrative shift toward the inner life and the psychology of the characters. These dual perspectives, which constitute approaches between Victorianism and modernity on the one hand, and between modernism and postmodernism on the other, are also found in other articles that reflect I. Galea’s intellectual preoccupations. For example, A. Radu discusses the validity of a general application of Bakhtin’s modern ideas to the Victorian Dickens. Likewise, M. Jucan talks about melodrama, a component of kitsch, and its central role in the cultural expression of modernity, whose origin is to be found in the desire to escape from reality into an idyllic, spectacular past which would be accessible to the middle class and thus to mass culture (67). Ruxandra Bularca talks about steampunk, another recycling of tradition, this time a typically postmodern recycling (35). Worth mentioning is the association R. Dimitriu makes in her article between the modern A. Huxley and the postmodern M. Eliade (49). Finally, we mention

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here the semantic analysis done by ª. Oltean from the same dual perspective of the literary text. It demonstrates that along with the character’s and the narra- tor’s perspective, the denotation of the literary text is to be found at the intersec- tion of those two worlds. As a last homage paid to this lady, T. Lãcãtuºu (101) brings to our attention an older contribution of I. Galea (1988), a speech at a round table (organized in Iaºi) on the theory and practice of translation, which was never published due to human oversight. This material is of great value since it contains I. Galea’s creed as a translator, which, I dare say, should be the creed of the translator in general. It ought to be applied to the great mass of translations, some of them of doubtful value, which suffocate today’s book market at the expense of cultural quality. It is a creed that should be inscribed on the front page of any translation and interpretation manual, as it is comparable in importance to E. A. Poe’s, R. W. Emerson’s, and W. Whitman’s famous literary creeds. During the communist era, when access to world culture was difficult and heavily censored, I. Galea talked in that unpublished speech about the importance of translation for any culture, and, in fact, acted on it by becoming one of the foremost translators of British literature, and especially of Henry James. According to her creed, a good translator must be bilingual and bicultural, a versatile interpreter who goes through two stages: personalization and depersonalization in deciphering the text to be translated. Alina Pamfil (187) offers us the profile of a reading professional by creating a portrait of I. Galea from her annotations. The author presents, in an atypical and succinct manner, I. Galea’s dynamic dialogue with the texts she reads. The author interprets the dialogic elements inscribed by I. Galea on the margins of the texts she read and reaches the conclusion that Mrs. Galea did not simply read; she was a careful, lively, questioning reader who often took great pleasure in the act of reading itself. In her article, C. Novosivschei touches upon aspects of M. Arnold’s cultural criticism. The primary sense of the word culture is to cultivate, to grow (163), the author affirms; hence the parallel between culture and education, meaning the cultivation/growing of the mind through education. This is, we believe, the very message I. Galea embodies as a person and the one she sends us through her work as a teacher, translator, essayist, and literary critic. The volume constitutes not just a tribute to the person, the teacher, the translator, and the researcher I. Galea; due to the scientific value of the articles included, this volume also constitutes a certain and valuable contribution to the study of Victorian, modern, and postmodern literature. Not least, this volume enables both an emotional remembrance and an intellectual challenge for those who take the time to read and find the value of this initiative.

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inally, we have to congratulate Mihaela Mudure, the initiator of this project, for having facilitated this “reunion across time.” She succeeded F in gathering within these pages I. Galea’s contributions, her intellectual pursuits, as well as the memories with and of her. I believe that the motivation of the editor of this volume has been a very suggestive one: “[I. Galea] generous, always ready to learn something new, was one of those professors who is never afraid of being upstaged by her former students’ successes, but instead is happy for them” (133). q

Abstract Ileana Galea

The study presents a memorial volume, De la victorianism la postmodernism: In memoriam Ileana Galea (From Victorianism to postmodernism: In memoriam Ileana Galea), published in Cluj- Napoca by Presa Univesitarã Clujeanã, celebrating the life and career of a Babeº-Bolyai University professor and Anglicist. The author highlights a number of elements from the various essays included in the volume, outlining both the human and the professional profile of the distinguished professor, as well as the qualities of her mentorship.

Keywords Ileana Galea, Romanian Anglicists, memorial volume

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Dumitru Stãniloae en dialogue avec Martin Heidegger et Karl Jaspers Les Circonstances culturelles et politiques des débats philosophiques entre l’Est et

F l o r e P o p l’Ouest dans les années quarante

Dumitru Stãniloae, « le deuxième « C’est pour la première fois grand penseur chrétien du siècle »1 dans la théologie orthodoxe passé (comme l’avait apprécié, paraît-il, M. Heidegger), avait entrepris depuis moderne qu’est faite une sem- les années trente un vaste effort d’assi- blable relation directe entre milation de la pensée contemporaine, dans le but de contribuer au renou- la sotériologie et l’ontologie. » veau théologique et spirituel dans une orthodoxie qui risquait de s’éloi- gner de ses sources patristiques et de l’inspiration philosophique originelle des Pères, victime des rationalisations scolastiques ou des courants philosophiques contemporains en vogue. Le théologien roumain a été amené, des années durant, à intervenir dans des Flore Pop Maître de conférences à la Faculté des polémiques acerbes avec les philo- Sciences Politiques, Administratives et sophes roumains, comme Nae Ionescu de la Communication, l’Université Babeº- ou Lucian Blaga, ou dans un débat à Bolyai, docteur en droit international, distance avec les maîtres de l’existentia- philosophie et anthropologie religieuse lisme allemand, Karl Jaspers et Martin à l’Université de Paris. Heidegger. On aura un bref écho de

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ses débats à distance avec ces deux penseurs allemands dans les pages qui suivent. Le cadre restreint de cette analyse ne nous permet pas une présentation exhaustive des auteurs impliqués et de tous les débats, nous allons parcourir tout de même plus largement les critiques apportées par Stãniloae à Heidegger et à la conception que se fait Jaspers de la divinité et du divin, ce « philosophe du paradoxe » étant plus proche que d’autres du « paradoxe » constitutif de la pensée orthodoxe (malgré sa foi « philosophique » et la non acceptation de la divinité de Jésus), d’abord par son apophatisme « radical », ensuite par l’effort, stimulé par la pensée patristique latine – qui l’a influencé, de cristalliser la vision d’une transcendance authentique.

La participation de Stãniloae aux débats philosophico-théologiques de l’entre-deux guerres

Stãniloae s’est confronté avec les philosophes et théologiens allemands, français ou suisses à distance2, en se tenant informé sur l’essentiel mais D. n’ayant pas la possibilité, à l’époque, de participer aux débats européens sur les questions des rapports entre philosophie et théologie, son ouvrage le plus important au moment de la Seconde Guerre, Jésus-Christ ou la restauration de l’homme, n’entre pas à cette époque dans le débat philosophique et idéologique du moment à cause de l’isolement de la Roumanie et le contexte particulier de la guerre à l’Est. Ce livre, paru en 1943, étant pratiquement inconnu à l’étranger faute de traduction, le vrai dialogue avec la culture occidentale se noue à peine vers 1967-1968, au moment où Stãniloae a pu sortir du pays pour donner des conférences en Allemagne, en France et au Royaume-Uni, ensuite en Amérique, après le dégel des idéologies à l’Est. Il a fait un effort considérable de réaliser tant la synthèse patristique impérieusement nécessaire pour un renouveau de la philocalie en Roumanie et à l’Est en général, au moment même où un système politique matérialiste et totalitaire s’est installé dans ces pays après la Seconde Guerre, qu’une synthèse des réalisations les plus importantes de la philosophie européenne de jusque-là. C’est dans ce contexte que Stãniloae cite souvent K. Jaspers, M. Heidegger, M. Blondel, M. Buber, M. Scheler, et bien d’autres, pour cristalliser un débat chez nous sur les questions les plus ardentes du moment et les rapports entre théologie et philosophie. Stãniloae critique et complète à sa manière certaine vue de Jaspers, Heidegger ou Buber, en étant le plus souvent d’accord avec Blondel ou Scheler, par exemple. Mais ses préoccupations philosophiques ne se limitent pas à ces auteurs, faisant d’ailleurs une traversée de la philosophie contemporaine quasiment en son entier, en fonction des besoins de son analyse théologique.

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La position de D. Stãniloae sur la question de la transcendance de Dieu dans le dialogue avec Heidegger et Jaspers

est en 1943, quand la violence déchaînée brisait la vie en Europe, que D. Stãniloaë achève son maître-livre qui constitue, en quelque sorte, C’ l’apogée de « la période de Sibiu » (1929-1948), Jésus-Christ ou la restauration de l’homme:

un livre de première importance dans toute la littérature orthodoxe de l’époque, parce qu’il met au premier plan l’un des aspects fondamentaux de la sotériologie patristique, l’aspect ontologique. La sotériologie orthodoxe ne peut pas se réduire à la doctrine de la Rédemption comme dans le catholicisme, ni à celle de la justification comme dans le protestantisme, il faut qu’elle renferme l’ontologie de la personne. Le salut est avant tout la reconstitution ontologique de l’humanité, qui s’est déjà produite dans l’hypostase du Fils de Dieu incarné, celui-ci étant « le sujet des sujets ». C’est pour la première fois dans la théologie orthodoxe moderne qu’est faite une semblable relation directe entre la sotériologie et l’ontologie. [...] Pour celui qui désire retrouver la théologie roumaine de cette époque, l’étude de ce livre est indispensable.3

Selon Sandu Frunzã, l’auteur d’un livre sur l’expérience religieuse dans la pen- sée de D. Stãniloae4, « parmi les auteurs évoqués, Karl Jaspers lui semble être le plus près d’une véritable compréhension de la transcendance, parce qu’il recherche une transcendance proprement dite, vue comme fondement de toutes les choses ».5 Il y a des rapprochements possibles entre eux, toutefois, Stãniloae pense que la façon dans laquelle Jaspers conçoit la transcendance peut nous donner l’impression d’un simple état d’âme ou tout au plus d’une impression subjective particulière6 et non pas le sentiment d’une véritable transcendance, de caractère personnel et concret, dans le sens où les auteurs patristiques uti- lisent ces mots. D’après le penseur roumain, des philosophes comme Heidegger et Jaspers s’efforcent, bien évidemment, de trouver et de définir la transcendance de l’homme, mais rien de ce qu’ils arrivent à présenter à travers leur philosophie n’est de l’ordre de la vraie transcendance. Dans le giron des études récentes sur la pensée jaspersienne, nous allons essayer d’efleurer la conception de Jaspers7 sur le transcender « formel » et la transcendance, par opposition à celle de Heidegger – et aux critiques apportées jadis par Stãniloae – parce que, selon Paul Ricœur, « c’est par l’inspiration centrale plus que par la méthode que ces deux philosophes s’opposent. La philosophie de Jaspers vit d’une série de tensions, c’est-à-dire de bonds et de paradoxes, qui tout à la fois unissent et opposition, qui porte sur les rapports de l’homme au monde, prépare et [...]

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reflète la seconde, qui porte sur les rapports de la liberté et de Dieu. Rien de tel ne se produit chez Heidegger... »8

Le dialogue théologico-philosophique de D. Stãniloae avec M. Heidegger

u moment où Stãniloae essaye d’analyser du point de vue théologique le concept de transcendance de Heidegger, il concède que le philosophe A allemand a bien montré que la structure fondamentale de l’homme se trouve dans sa « transcendance », mais, selon lui, celui-ci n’a réussi à présenter qu’une vision fragmentaire de la transcendance. Ainsi, « la tension manifestée par la réflexion humaine dans la philosophie existentielle à la recherche d’une transcendance est satisfaite à peine dans le christianisme ».9 Donc, le christianisme arrive à réaliser l’existence plénière, véritable, parce que c’est que lui qui met l’être humain en son entier en rapport avec la vraie transcendance.10 Stãniloae développe ainsi l’idée que l’existence authentique est celle qui prend en compte l’homme tout entier, mis en rapport ou qui se trouve en rapport avec sa véritable transcendance, dans le cadre d’une conception personnaliste, où la personne humaine est en relation avec les personnes divines et avec les autres êtres humains, ses semblables, en communion permanente par la foi et par le respect des autres, ce qui préserve la transcendance (on parle donc, sur le fond, d’une sorte de « personnalisme communautaire », s’agissant d’une ontologie de la personne, l’être est relationnel, idée développée aussi par le philosophe et théologien grec Jean Zizioulas11): « La considération qu’on porte au semblable comme limite (frontière) à respecter, comme transcendance, est en rapport pro- portionnel avec notre foi en Dieu, avec l’obligation dans laquelle Dieu nous assoit envers les semblables. »12 Pour lui, ce qu’offre la philosophie de Heidegger, Grisebach ou même Jaspers, n’est pas synonyme de transcendance au sens théo- logique: « La mort, si elle est considérée comme passage de notre être dans le néant n’est pas une transcendance ; la personne de mon semblable n’est pas une transcendance persistante, une fois qu’elle meurt ou on peut l’amener à l’état d’objet de notre volonté. »13 Tout de même, on doit accepter que le problème de la mort est autrement posé chez Jaspers (« la mort change de sens avec moi », dit-il), parce qu’il se rapproche, par son transcender, du thème de l’immortalité en se tenant sur le plan même de ce mythe transcendant, vu comme mythe nour- ricier de l’existence vraie, authentique, par rapport à l’analyse neutre de Heidegger (la mort comme ultime et plus haute possibilité de l’homme), par exemple.

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Transcendance et sotériologie des « chiffres » chez K. Jaspers. Les commentaires de D. Stãniloae

ous nous proposons par la suite d’analyser de plus près la conception que se fait K. Jaspers de la transcendance, dans un bref essai de nous N édifier du bienfondé des critiques que lui a apporté D. Stãniloae et des rapprochements possibles entre la vision du philosophe allemand et la philosophie chrétienne et patristique, en général.

La critique faite par D. Stãniloae à l’idée de transcendance de K. Jaspers

our Stãniloae, « L’Église c’est l’immanence qui contient en soi la transcendance »14 ; la transcendance il la considère comme corrélative de la per- P sonne. Sandu Frunzã pense que « En adoptant une position théologique restrictive par rapport à la philosophie, Dumitru Stãniloae reconnaît comme la vraie transcendance uniquement la personne de Jésus-Christ. [...] La vraie transcendance est théorisée ainsi sous deux aspects. En premier lieu, nous observons la dimension théandrique, supposée comme archétype d’un vrai transcender. En second lieu, on a en vue la relation effective que l’acte transcendant vise. Il s’agit d’une relation archétypale qui met en jeu la réalisation humaine selon le modèle christique. »15 C’est tout à l’opposé que se situent certains philosophes analysés par Stãniloae, dont K. Jaspers.16 En citant souvent les théologiens et les philosophes allemands en vogue entre les deux guerres (Jaspers, Heidegger, Grisebach, etc.)17, au moment de la rédac- tion de son ouvrage Jésus-Christ ou la restauration de l’homme, paru en 1943, Stãniloae étudie attentivement leurs conceptions de la transcendance: « Son second trait [de cette philosophie] est la recherche d’une transcendance ultime, non pas pour la connaître, mais pour que devant elle et dans un rapport vivant avec elle l’homme puisse réaliser son accomplissement. »18 Selon ces philosophes l’homme vient à l’existence propre, intime, seulement quand il arrive à se rappor- ter en son intégralité à cette transcendance.19 « Lorsqu’il se rapporte uniquement par la raison à cette transcendance, l’homme reste dans une existence statique, terne, démunie de résonance intérieure. »20 Donc, en ce qui concerne une transcendance par rapport à laquelle l’homme pourrait se définir mieux soi-même, les philosophies de l’existence et existentielle n’ont pas réussi à l’amener au-delà des marges de la transcendance et ne peuvent pas lui offrir la possibilité de rester en communion avec elle. Pour Stãniloae, comme nous l’avons vu, la transcendance

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est corrélative à la personne, elle est marquée par l’apophatisme de la personne. Donc uniquement la personne peut ouvrir la possibilité d’une communion, d’une intériorisation intense et, implicitement, d’un dépassement de la condition actuelle de l’homme. Mais, pour la philosophie de l’existence, seule une réalité qui se trouve au loin, à l’horizon, à la limite, qui se trouve d’une certaine manière en opposition avec l’homme, sans pouvoir être absorbée ou dominée par lui, est une vraie transcendance pour l’être humain. Stãniloae apprécie que la philosophie de Jaspers a un véritable souffle religieux, mais sa peur d’objectivation et l’absence d’explication convaincante de ce qu’il pense qu’est la transcendance, l’oblige à éviter toute fixation de son expérience dans une doctrine religieuse : « K. Jaspers voit la rencontre avec la transcendance dans tout mécontentement de l’âme vis-à-vis des objectivations de ses expériences. »21 Ainsi, selon la conception que se fait K. Jaspers, lorsque nous essayons de penser Dieu « nous ne rencontrons, dans nos pensées et représentations, que les chiffres ».22

La multiplicité des « chiffres » de Dieu – selon Jaspers, la critique de la pensée patristique latine et le refus de l’autorité de l’Église

ans la conception de K. Jaspers, la pensée qui échoue dans le non-penser n’implique pas d’emblée que l’impensable soit la divinité. Le Dieu Un, dès qu’on le pense, nous conduit à des absurdités. La transcendance D 23 reste toujours cachée dans la multiplicité des chiffres de Dieu. Le même pro- blème s’est posé à saint Augustin d’une manière inaccessible à la philosophie de Jaspers, qui refuse de croire: « Croire, c’est reconnaître que Dieu s’est fait homme. »24 Voici ce qu’il en retient: « L’acte transcendant philosophique fait éclater tout le pensable. [...] Ainsi dans un effort pour concevoir Dieu, quand tout se dérobe à notre pensée finie et qu’il ne lui reste plus rien, deux attitudes sont possibles : prendre le langage transcendant de la métaphysique pour l’expression adéquate de ce que l’on éprouve lorsqu’on est existentiellement confon- du par la réalité de l’Un ; ou bien rejeter ce langage comme l’échec de toute tentative de penser Dieu, qui nous laisserait déçus devant le vide de son absence. Voici le point décisif: l’homme a besoin d’incarnation. Dieu est là dans le Christ. “Le Verbe s’est fait chair.” »25 C’est ainsi que « la pensée de saint Augustin est maintenant capable d’adopter les deux attitudes avec une égale passion : il est animé par l’élan transcendant qui, n’ayant rien à fournir à la connaissance, s’achève dans le silence, et il peut accueillir dans le Christ incarné la grâce de Dieu qui se révèle, du Dieu qui s’étant fait homme s’adresse à l’homme – à celui

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qui est capable de croire tout cela. »26 Jaspers ne suit pas ce chemin, il préfère se sentir obligé27 « de vivre dans une tension continuelle : tout en voulant toucher sans cesse cette réalité proprement dite, nous ne rencontrons, dans nos pensées et représentations, que les chiffres ».28 Selon Jaspers, par une prise de conscience systématique, l’acte formel transcendant, en même temps qu’il crée un espace où les chiffres parlent de la trans- cendance29, empêche leur concrétisation. Inévitablement, presque, Dieu apparaît dans nos représentations comme une personnalité d’une sagesse et une bonté parfaites. Le philosophe allemand montre dans sa démarche dialectique que par l’absolutisation de l’un des trois groupes de catégories la transcendance se trouve dégradée et ramenée soit au logicisme, soit à la nature, soit à l’anthropomor- phisme ; à travers les modes ainsi déterminés elle pourra être pensée comme l’inconnaissable divinité. Ainsi la connaissance de Dieu qu’a la théologie, en s’inspirant de ces trois domaines, n’est pas un savoir. On trouve cependant en elle l’acte formel transcendant qui n’est pas anéanti par le rappel de l’échec dans l’impensable. Mais c’est seulement en passant par un bond transcendant de l’objectif à l’inobjectif, du pensable à l’impensable que je peux trouver un accès véritable à la transcendance30, même si elle reste sans détermination. La transcendance est présente dans la pensée en ce sens qu’elle est, sans qu’on sache ce qu’elle est. C’est ainsi que la divinité reste cachée dans son lointain, d’où elle s’impose à moi comme le Dieu proche, le Dieu Un, dès que je suis authentique- ment moi-même, en me donnant la conscience de son être et en m’apprenant à supporter la condition mortelle : « Que l’être de l’Un soit, cela suffit. »31 Dieu Un peut donc signifier pour l’existence la paix parfaite de l’être, même s’il ne devient rien de concret ou de durable dans le monde : « Car l’Un est comme une divinité qui viendrait étrangère en ce monde et m’aiderait dans la mesure où je me sentirais faire un avec elle à partir de l’un existentiel. »32 Jaspers se situe là dans la proximité de l’idée de l’Un plotinien et non pas dans celle du Dieu pensé par saint Augustin : « L’Un de Plotin est en repos, l’être humain se tourne vers lui. Le Dieu biblique d’Augustin est volonté agissante, qui de son côté se tourne vers l’homme. »33 C’est donc ici l’Un de Plotin compris comme paix parfaite de l’être, même si cet « Un » « n’est pas de ce monde », ou rien de concret et de durable, son « chiffre » (trace ou symbole de Dieu) peut s’actualiser à travers mon action. Mais si la conscience d’être s’égare, l’existence échoue, le doute s’installe. Contre le doute, la conviction de Jaspers est ferme, il y faut toujours une action : « On ne prouve pas la transcendance, on en témoigne. Le chiffre par lequel elle est présente pour moi ne s’actualise pas sans mon action. L’insa- tisfaction et l’amour engendrent l’action qui actualise le chiffre alors qu’il n’a pas encore d’être, ou bien qui absorbe dans sa contemplation le message qu’il lui adresse. »34 (Et presque dans le même sens, Heidegger semble lui confirmer

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la conviction : « parce qu’un Dieu qui doit au préalable se faire prouver son existence ne serait en fin de compte qu’un Dieu fort peu divin...»35) Quant au témoignage lui-même, Jaspers essaye de distinguer l’attitude de saint Augustin, qui « témoigne » par la prière, de celle de Plotin : « Plotin ne prie pas. Pour Augustin, la prière est le centre de la vie. Plotin prend son élan dans la spécula- tion pour parvenir à l’extase, Augustin dans une élucidation totale de soi-même pour éclairer la foi »36, mais il va critiquer saint Augustin pour avoir fait appel à l’autorité et la garantie de l’Église qui « constituent pour Augustin l’ultime motivation de la confiance qu’il fait aux Évangiles » (selon une phrase de saint Augustin: ego vero Evangelio non crederem, nisi me catholicae Ecclesiae commoveret auctoritas).37 Jaspers semble admirer plutôt Plotin qui « se réalise dans la libre alliance de ceux qui isolément et disséminés dans le monde se livrent à la quête philosophique ; Augustin se réalise dans l’Église comme autorité, en présence d’une puissante organisation »38; « Il met en jeu toutes les possibilités d’atteindre Dieu par la pensée. Mes ses idées sont reliées entre elles par le lien de l’autorité, non par un principe de la philosophie. »39 De l’avis de Jaspers, chez saint Augus- tin « la communication elle-même est soumise aux ressources de l’autorité. Dans un de ses premiers ouvrages, Augustin dit préférer être de ceux qui persuadent plutôt que de ceux qui veulent commander. [...] De tous ces éléments qui amor- çaient une possibilité différente, rien n’est demeuré. »40 Jaspers conduit sa ré- flexion jusqu’au point où il est en train, non pas de critiquer, mais de condamner impitoyablement la pensée de saint Augustin :

L’existence d’un saint Augustin et celle de l’Église posent un immense problème. C’est en effet par-là que, non seulement s’atteste, mais se dégrade aussi la volonté de vérité qui unit et procure la paix. [...] Cette volonté s’est dégradée parce qu’elle déclencha des luttes violentes, impitoyables, sournoises, telles qu’on n’en vit jamais de pires; parce que, divisée contre elle-même par les Confessions, elle aboutit à un anéantissement fanatique de soi, parce qu’elle étendit ses conquêtes au monde extérieur et déclencha des croisades, et tout cela, toujours et partout avec la conviction d’être seule en possession de l’unique vérité, de la Révélation authentique du Dieu unique. Ainsi se justifièrent, comme étant au service de Dieu, tous les mau- vais instincts de domination.41

Mais cela, encore, n’empêche nullement Jaspers d’affirmer que « Ce qui fait la grandeur et les limites de saint Augustin, c’est la profondeur originelle avec laquelle il pense l’autorité de l’Église. Ne trouvant pas dans la philosophie de quoi se satisfaire, il devient chrétien et se soumet par-là à l’autorité spirituelle de l’Église : “Je n’accorderais aucune foi à l’Évangile si l’autorité de l’Église catholique ne m’y invitait.” »42

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Avant de conclure, on pourrait dire, avec Jaspers, que « la transcendance est ce qui nous enveloppe chaque jour si nous venons à sa rencontre ».43 Penser l’être de la transcendance implique, comme nous l’avons vu, la création d’un cadre qui permettrait de saisir les rapports directs à la transcendance, ainsi que la présence de la transcendance dans ses chiffres. Les attitudes antinomiques de l’existence humaine envers la transcendance sont présentées chez Jaspers par couples de contraires, dans le souci d’intégrer les attitudes négatives à la quête de la transcendance et de ne pas manquer une possible révélation, liée aux attitudes négatives elles-mêmes. La tension des antinomies résultantes, seule « vraie traduction phénoménale de l’existence se rap- portant à sa transcendance »44, va se résorber dans la contemplation des chiffres. Dans le sens de la méditation de Jaspers, « chaque attitude n’est pas seulement un rapport à Dieu dans le secret »45, elle est aussi une possibilité d’actualiser dans le monde la transcendance, par les chiffres de mythes ou de pensées spéculatives. On peut tout de même conclure sur l’avis positif de D. Stãniloae, en analysant le concept de chiffre de K. Jaspers : « Le mot “chiffre”, utilisé par le philosophe Karl Jaspers pour montrer la qualité de la chose concrète de nous dévoiler, lorsqu’on est capables, la transcendance, est tout à fait justifié, surtout pour l’homme dont la foi fait s’allumer en nous l’assurance de l’existence de Dieu. »46 q

Notes

1. Cf. I. I. Icã jr. (dir.), Persoanã ºi Comuniune. Prinos de cinstire preotului profesor acade mician Dumitru Stãniloae, Sibiu, Arhiepiscopia Ortodoxã Românã, 1993, p. XVII. Cette affirmation est reprise par le métropolite de Sibiu, Mgr Antonie Plãmãdealã, de Mme Zoe Dumitrescu Buşulenga, de l’Académie Roumaine ; elle-même a pu l’apprendre, vraisemblablement, par l’intermédiaire du poète Ioan Alexandru, son ancien collègue à l’Université de Bucarest, à la Faculté des Lettres, et ancien étudiant de Heidegger, à l’occasion, semble-t-il, de son dernier séminaire privé. 2. D. Stãniloae était quasiment isolé à Sibiu, étant données les circonstances par- ticulières dans lesquelles se trouvaient la Roumanie dans les années quarante, conséquence du morcellement du pays en 1940, la Bessarabie et la Bucovine de Nord étant rattachées à l’Union Soviétique et la Transylvanie à la Hongrie, circonstances dramatiquement aggravées dans les années cinquante et soixante avec l’arrivée au pouvoir des communistes, qui ont carrément détruit les élites intellectuelles et religieuses. De 1958 à 1963, Stãniloae a été lui-même arrêté et emprisonné tout en étant innocent et en plaidant non coupable. Voir l’ouvrage de Lidia Ionescu Stãniloae, Lumina faptei din lumina cuvântului. Împreunã cu tatãl meu, Dumitru Stãniloae, Bucarest, Humanitas, 2000.

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3. M.-A. Costa de Beauregard et D. Stãniloaë, Ose comprendre que je t’aime, Paris, Édi- tions du Cerf, coll. « Témoins spirituels d’aujourd’hui », 1983, p. 15. 4. S. Frunzã, Experienþa religioasã în opera lui Dumitru Stãniloae. O eticã relaþionalã, Cluj, Dacia, 2001. 5. Ibid., p. 191. 6. Ibid., p. 56. 7. Un essai récent sur « Cipher and Existence – Karl Jaspers between West and East » a été publié par István Király V., in Journal for the Study of Religions and Ideologies, n° 13, 2006, p. 152-160. 8. M. Dufrenne et P. Ricœur, Karl Jaspers et la philosophie de l’existence, Paris, Seuil, 1947, p. 363. 9. Ibid., p. 57. 10. Ibid. 11. J. Zizioulas, Being as Communion. Studies in Personhood and the Church, Londres, Longman and Todd, 1985. 12. D. Stãniloae, Isus Hristos sau restaurarea omului, 2e éd., Craiova, Omniscop, 1993, p. 57. 13. Ibid. Stãniloae insiste donc sur le fait que même la mort, si elle est considérée comme passage de notre être dans le néant n’est pas de l’ordre de la transcendance. Il semble être plus proche de Jaspers que de Heidegger, sur cette question, car, « pour Jaspers, transcender, c’est dépasser l’ordre même du monde, c’est pourquoi la mort n’est pas la plus haute possibilité de l’existence. Pour Heidegger, transcender, c’est fonder l’ordre même du monde ; aussi la mort est-elle une structure constitutive de la ré- alité humaine et sa plus haute possibilité ». Voir Dufrenne et Ricœur, Karl Jaspers et la philosophie de l’existence, op. cit., p. 366. Pour Stãniloae, le rapprochement de la philosophie existentielle du christianisme est montré par la tendance de revendiquer tout l’homme, qu’elle ne s’adresse qu’à l’esprit (intelligence) ou au cœur (sentiment), mais à la totalité de l’être humain. Tout de même, Stãniloae n’est pas convaincu par la notion de transcendance de Jaspers, « qui facilement peut devenir un simple état d’âme, une certaine sensibilité subjective ». Voir Isus Hristos sau restaurarea omului, op. cit., p. 57. Par contre, chez Heidegger, « La doctrine de la mort est à cet égard une véritable pierre de touche. Loin que les possibilités de la réalité humaine contien- nent le principe d’un dépassement de la condition empirique, la mort est, aux yeux de Heidegger, la plus haute des possibilités ; la mort qui achève la réalité humaine, est ainsi à la fois la possibilité suprême de l’existence et la consécration suprême de sa déréliction ; elle complète toutes les possibilités en les suspendant. L’homme est jeté dans le monde pour y mourir, et il n’est de résolution authentique que pour y mourir : dans la mort convergent et la déréliction et la liberté, la déréliction pour s’y consommer, la liberté pour l’assumer de toute sa lucidité et de tout son courage. La liberté est liberté pour la mort. » Voir Dufrenne et Ricœur, Karl Jaspers et la philosophie de l’existence, op. cit., p. 366-367. 14. D. Stãniloae, Teologia dogmaticã ortodoxã, tome 2, Bucarest, Ed. Institutului Biblic, 1978, p. 208. Selon le théologien roumain, l’Église contient la transcendance au sens de la communauté des Personnes divines, qui entretiennent en elle un mouvement infini d’« auto-transcender » par l’amour.

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15. Frunzã, Experienþa religioasã în opera lui Dumitru Stãniloae, op. cit., p. 168. 16. K. Jaspers, La foi philosophique face à la révélation, trad., Paris, Plon, 1973, p. 240 : « Par le Christ, la transcendance cesse d’être cachée dans la multiplicité des chiffres de Dieu, mais elle s’est révélée elle-même en tant que Dieu réel. Une monstruosité ! » 17. Stãniloae, Isus Hristos sau restaurarea omului, op. cit., p. 54. Cette « restauration » de l’homme doit être comprise dans le sens de la restauration de la nature déchue de l’être humain, mais Olivier Clément, en commentant ce livre, avait insisté sur « l’instauration » de l’homme, par ce jeu de mots il suggère en fait la même chose, l’instauration d’une nature innocente de l’homme suite à la Rédemption par le Christ. 18. Ibid. 19. Ibid. Stãniloae fait souvent allusion à Jaspers ; il va critiquer de façon aïgue ses idées et sa conception de la transcendance, tout en lui reconnaissant les réalisations philo sophiques et les mérites d’avoir développé cette problématique, en particulier. 20. Ibid., p. 55. 21. Ibid., p. 56. 22. Jaspers, La foi philosophique face à la révélation, op. cit., p. 238. 23. Voir aussi Király V., « Cipher and Existence », op. cit., p. 156. 24. Karl Jaspers, Les grands philosophes, trad., Paris, Plon, 1989, réimprimé en 1993, tome 2, p. 217. 25. Ibid., p. 216-217. 26. Ibid. 27. Király V., « Cipher and Existence », op cit., p. 157. 28. Jaspers, La foi philosophique face à la révélation, op. cit., p. 238. 29. Király V., « Cipher and Existence », op. cit., p. 157. 30. Ibid., p. 158. 31. Jaspers, Les grands philosophes, op. cit., tome 2, p. 708. 32. Ibid., p. 709. 33. Ibid., p. 174. 34. Ibid., p. 770. 35. M. Heidegger, Nietzsche I, trad., Paris, Gallimard, 1971, p. 286. 36. Jaspers, Les grands philosophes, op. cit., tome 2, p. 174. 37. Jaspers, La foi philosophique face à la révélation, op. cit., p. 72-73. 38. Jaspers, Les grands philosophes, op. cit., tome 2, p. 174. 39. Ibid., p. 172. 40. Ibid., p. 279. 41. Ibid., p. 279-280. Jaspers semble tenté, du moins selon ce paragraphe, cité ci-dessus, de mettre toute la responsabilité du mal de l’histoire occidentale à la charge de la seule pensée de saint Augustin. Après tout, si l’on se soumet, avec Jaspers, aux seules rigueurs de la raison ou de la foi philosophique, on peut toujours s’évertuer non pas simplement à critiquer, mais même à détruire le fond de la pensée de saint Augustin, parce ce qu’il n’est rien d’autre qu’un « penseur chrétien ». C’est du moins cela qui semble se dessiner dans le geste... philosophique de Jaspers. Mais, avant toute critique, un précepte hésychaste vaudrait peut être mieux pour la circonstance : « faire

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descendre l’intelligence dans le cœur », avoir un juste raisonnement, une raison droite, unifier les deux sphères de l’esprit. 42. Ibid., p. 268. 43. Jaspers, Les grands philosophes, op. cit., p. 635. 44. Ibid., p. 667. 45. Dufrenne et Ricœur, Karl Jaspers et la philosophie de l’existence, op. cit., p. 324. 46. Stãniloae, Isus Hristos sau restaurarea omului, note à la p. 17.

Abstract Dumitru Stãniloae in a Dialogue with Martin Heidegger and Karl Jaspers: The Cultural and Political Context of the East–West Philosophical Debates of the 1940s

In this article the author presents a philosophical dialogue delayed and at distance between the Romanian theologian Dumitru Stãniloae and the German thinkers Karl Jaspers and Martin Heidegger in the context of the early tensions in Europe during the Second World War and its division afterwards. D. Stãniloae had already begun in the thirties an extensive work of assimilation of Western philosophical thought with the purpose of trying to help renew Romanian Orthodoxy both theologically and spiritually, as it risked to depart from the patristic sources and the original inspiration of the Church Fathers, a victim of the scholastic rationalization of the modern philosophical currents. The analysis made by Stãniloae highlights elements that could provide a genuine philosophical dialogue between East and West, between philosophy and theology, through its representatives personalities at the time, even at a distance and in the critical circumstances of war and of the fragmentation of our continent.

Keywords philosophic dialogue, D. Stãniloae, K. Jaspers, M. Heidegger, authenticity, transcendence, existential philosophy

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La Biographie F l o r i a n D u m i t r u S o p o r a n d’un héros

Le partenariat entre les structures de recherche de l’Académie Roumaine et l’Université Babeş-Bolyai de Cluj- Napoca a démontré une fois de plus son efficacité, sur le plan éditorial aussi, par la publication de l’ouvrage de Oliver Jens Schmitt dédié à un tournant dans le passé médiéval des Balkans, dans la traduction du professeur et chercheur Rudolf Gräf. Les lecteurs ordinaires et les professionnels Skanderbeg. Noul Alexandru al Balcanilor

, de l’histoire ont ainsi l’opportunité de , Academia Românã/Centrul de Studii Transilvane, 2014 c connaître des réalités ayant suscité des pu chm itt

S débats qui n’ont parfois rien à voir

ens avec l’esprit critique et académique. J Du point de vue de l’écrit historique liver O (Skanderbeg. Le nouvel Alexandre des Balkans) Cluj-Napoca, roumain des dernières décennies, cette démarche est placée sous les auspices d’une double légitimité. Première- ment, il s’agit de la réactualisation de l’image de réalités historiques concer- nant les communautés de proximité balkanique, sujets abordés de manière assez condescendante dans le contexte de la redéfinition des paradigmes culturels dans les années 1990. La mé- Florian Dumitru Soporan fiance à l’égard du passé et du présent Chercheur au Centre d’Études Transyl- des nations du voisinage sud-est euro- vaines de l’Académie Roumaine. péen a de multiples origines, depuis les

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traumas provoqués par les expériences totalitaires et les affrontements violents du XXe siècle à la diffusion de stéréotypies liées aux Balkans et au caractère prio- ritaire attribué à la vocation européenne de la civilisation et la culture roumaines, avec la tendance implicite de privilégier un certain occidento-centrisme superfi- ciel. L’exagération des différences vis-à-vis des peuples de proximité, en vertu de l’appartenance aux valeurs occidentales, est soumise, par la lecture de ce livre, à un examen critique rigoureux, en raison des options méthodologiques assumées par l’auteur, adepte d’une histoire des interférences, issue de la géographie des Balkans comme espace d’interpénétration et de tangences. Deuxièmement, cet ouvrage, paru en albanais en 2008 et en allemand en 2009, se remarque par le défi adressé au potentiel récepteur au sujet de la manière de percevoir le passé de l’altérité et, indirectement, le passé de sa nation, par l’appel aux acquis critiques de la recherche médiévale récente. La perception collective a perpétué sous différentes formes l’enthousiasme de auteurs romantiques pour une étape historique qui se définit comme un temps des fondateurs de l’État et de l’Église, des héros du combat pour la liberté et des manifestations de solidarité ethnique et confessionnelle. La popularité acquise par les réalités médiévales a assuré aux historiens le support nécessaire à l’approfondissement de la recherche, mais elle a généré aussi la tentation d’instrumenter des gens et des faits du passé au service d’objectifs inspirés du militantisme national moderne, ainsi que le risque de les expédier dans la sphère des soi-disant géographies symboliques, constructions intellectuelles peuplées de mythes et de symboles. De ce point de vue, l’ouvrage ci-présent et les controverses qu’il a suscitées au niveau du public cible repré- sentent un besoin d’accorder l’intérêt pour le passé éloigné avec les exigences scientifiques de l’investigation historique. Le thème de la Croisade tardive et des nations gardiennes des frontières de la chrétienté a catalysé les controverses liées à l’appartenance ethnique ou confessionnelle de personnalités tels que Jean Hunyadi, disputé entre Roumains et Hongrois, ou, dans ce cas-ci, de Gjergj Kastrioti Skanderbeg, sujet de polémique entre les historiens albanais et serbes. Le livre se définit comme une biographie, qui retrace la destinée d’une personnalité typique de la Renaissance, mais il finit par devenir une histoire des gens, des lieux, des faits, une image des loyalismes et des conflits qui animaient le monde pluraliste du point de vie ethnique et confessionnel des Balkans du XVe siècle. L’édition en roumain s’ouvre par une « Esquisse de portrait », due à l’acadé- micien Ioan-Aurel Pop, qui dresse un profil intellectuel de l’auteur, professeur à l’Université de Vienne et membre de l’Académie des Sciences d’Autriche, bon connaisseur des langues parlées dans les Balkans. Y sont relevées aussi la dimension géographique de l’investigation, les connexions du héros avec la Transylva- nie et les Pays roumains, ainsi que la contribution des historiens roumains – tels

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Constantin Marinescu et Francisc Pall – à la connaissance des événements liés au soulèvement des Albanais et aux sources de l’époque. Les considérations prélimi- naires de l’auteur dédiées à l’édition en roumain passent en revue la biographie du livre, principalement les controverses suscitées par l’édition albanaise. Il s’agit surtout des accusations relatives aux noms serbes des personnalités identifiées à l’idéal national albanais et la mention d’un rapport milanais, où l’on affirme que ce qui a poussé Skanderbeg au combat a été le désir de venger la mort de son père, tué par les Ottomans. La section introductive du livre s’adresse principalement aux spécialistes de l’histoire médiévale et clarifie les options méthodo- logiques de l’auteur, à commencer par le rôle moins fréquent de la biographie dans l’histoire de l’Europe du Sud-Est et la mention des sources consultées dans les archives de Milan, Venise, Mantoue, Rome, Zadar, Dubrovnik, Vienne etc. Significatives de la disponibilité au dialogue sont la comparaison entre la carrière du héros albanais et celle d’un autre rebelle, le héros national gallois, Owain Glyn Dwˆr, ainsi que l’option pour le type de recherche proposé par R. R. Da- vies, une anatomie de la révolte qui part de données personnelles pour reconsti- tuer le contexte social et les caractéristiques du mental communautaire, essentiel pour une bonne connaissance des événements. L’auteur parvient à réaliser une véritable historiographie du sujet, à commencer par les biographies écrites par Marinus Barletius, Demetrio Franco ou Giovanni Musachi, sans oublier les faux ayant joui d’un grand impact sur l’écrit historique, tel que l’ouvrage de Giamma- ria Biemmi. La dimension critique est soulignée par des éclaircissements essen- tiels liés aux ethnonymes et aux toponymes, expression de la complexité des réalités des Balkans au XVe siècle et de l’influence exercée par la terminologie classique privilégiée par les auteurs humanistes. Le premier chapitre s’ouvre par des notations sur le cognomen que les Otto- mans ont accordé au héros albanais, qui sera instrumenté par les biographes de la Renaissance en valorisant les traditions locales, selon lesquelles le noble albanais à l’onomastique serbe était le continuateur du combat pour la défense de la civilisation chrétienne contre les menaces de l’Orient. La démarche historiographique continue par une brève présentation de l’histoire de l’Europe du Sud-Est aux XIVe et XVe siècles, période de transition et de transformations profondes, au cours de laquelle l’expansion ottomane a placé en défensive un monde politique- ment fragmenté et en plein processus de modification de ses paradigmes éthiques et spirituels. De pareilles évolutions sont de nature à déterminer le changement des structures sociales, sous l’impact des transferts de loyautés et de patrimoine. D’autres informations sont liées à la géographie de la région de Dibra, province d’origine du héros, et aux débuts de l’ascension de sa famille. Fidèle à ses options critiques, l’auteur n’hésite pas à dévoiler des aspects controversés de la carrière de Skanderbeg, telles que son origine ethnique, la conduite de sa famille ou la

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conversion à l’islam sous l’influence des derviches rencontrés durant sa captivité à Edirne. La précarité des sources et le caractère légendaire des événements ayant marqué les premières années de la vie de Skanderbeg ne peuvent pas empiéter sur la tentative de se fixer un fil rouge dans le creuset de réalités régionales et d’affinités personnelles qui ont propulsé l’ancien serviteur du sultan à la tête du soulèvement des Albanais en 1443, dans le contexte de la croisade hongroise dirigée par Jean Hunyadi. La présentation succincte de la compliquée succession de faits ayant impacté le monde des Balkans et des rapports de force en Méditer- ranée orientale souligne le profil du héros, impliqué aussi bien dans l’assassinat d’Alaeddin Ali Çelebi, fils du sultan Murad II, que dans les efforts diplomatiques visant la coordination des révoltes des peuples balkaniques avec les actions des puissances chrétiennes. Selon l’auteur, les qualités qui font de Skanderbeg le chef informel de la noblesse albanaise révoltée sont à chercher non pas autant dans ses aptitudes militaires, que surtout dans la différence de vision qui faisait de ce représentant d’une famille dépourvue de l’apanage d’une descendance illustre le promoteur d’un projet politique très populaire dans les milieux instruites occidentaux – celui de chasser les Turcs de l’Europe. Le prestige acquis par les succès militaires remportés et le support de l’élite locale s’avéraient vulnérables dans les années 1449-1450, quand l’antagonisme entre Aragon et Venise et les contra- dictions qui divisaient la noblesse locale empiétaient sur la résistance devant l’assaut du sultan, les victoires étant payées par la dévastation du pays et la perte de quelques cités de frontières. La deuxième section du livre, « L’Anatomie d’un soulèvement », a comme prémisse le caractère unique de la résistance albanaise, la seule capable de s’oppo- ser avec succès aux Ottomans pendant deux décennies et demie et de résister devant l’armée la plus puissante du temps avec des forces nettement inférieures. La primauté revient au dirigeant, dont le portrait est reconstitué à l’aide des données offertes par les biographies, les rapports diplomatiques et la tradition folklorique balkanique, tous enregistrant des qualités physiques et morales propres à l’homme d’exception. Ces dernières se sont matérialisées en une action politique efficace, grâce à la jeune génération de petits nobles de Dibra et Mati et de la plupart de la population de paysans et de bergers d’Albanie centrale, à l’aide de qui l’autorité de Skanderbeg a pu se maintenir même en l’absence d’un système administratif cohérent et d’un pouvoir d’État. D’une grande importance pour la connaissance de l’histoire de la région sont les considérations liées à la dynamique des sensibilités religieuses des protagonistes, animés au début par la loyauté envers la hiérarchie orthodoxe traditionnelle, mais évoluant vers un rapprochement progressif de l’Église romaine, à mesure que les hostilités s’approchaient des zones catholiques de l’ouest de l’Albanie, et grâce au support constant accordé par la papauté et les États italiens. Les moines orthodoxes sont

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remplacés dans l’entourage de Kastrioti par des clercs catholiques, et les alliances matrimoniales initiées par celui-ci témoignent d’un même transfert de loyauté. Un autre chapitre original dans la sphère de l’intérêt pour l’histoire des Balkans vise le souci permanent du chef albanais de procurer les ressources financières qui devaient soutenir l’effort de guerre, par une politique fiscale et des parte- nariats conclus avec Raguse, Venise et Naples. C’est à ce même souci qu’il faut rattacher l’intérêt pour la connaissance de l’espace contrôlé de manière constante ou sporadique par les rebelles, avec la délimitation des frontières naturelles et les modifications imposées par les campagnes militaires. L’auteur estime en ce sens que la principale cause de l’échec du soulèvement albanais a été l’impossibilité de contrôler tous les habitats fortifiés, en dépit de ses préoccupations constantes en ce sens. L’auteur prête une attention toute particulière aux ennemis intérieurs de Skanderbeg, opérant des distinctions entre les représentants des familles nobi- liaires de souche, les facteurs de pouvoir du nord de l’Albanie – engagés dans les sinuosités du jeu diplomatique entre les acteurs politiques italiens et le sultan ottoman – et, surtout, les anciens alliés devenus traîtres. Le phénomène de la trahison n’épargne pas la famille du protagoniste non plus et il finit par acquérir des proportions de masse à la suite du déclin militaire des rebelles, la reconstitution de cas individuels offrant l’occasion de connaître le mental collectif local à un moment du changement. L’investigation surprend la spécificité de la relation entre Skanderbeg et les deux sultans ayant régné au temps de son soulèvement, les ressentiments personnels acquérant la dimension d’une incompatibilité idéo- logique issue de son statut d’ancien renégat passé dans le camp chrétien. Le caractère irréconciliable du conflit n’a pas exclu les options pragmatiques, les tentatives de négociation ou les périodes d’armistices. L’implication directe des principales forces ottomanes a été épisodique, les protagonistes de la guerre ont été les auxiliaires islamisés et les peuples orthodoxes des Balkans, engagés dans la succession des campagnes de pillage et des sièges des années 1443-1468. Le chapitre s’achève avec des notations sur le type de guerre menée par les deux parties, qui est reconstituée par un rigoureux appel aux rapports diplomatiques, la victoire du sultan étant considérée comme le résultat de la guerre totale, diffé- rente des traditions ottomanes. La section suivante, « Un héros de la Renaissance », marque le retour à la dimension biographique. Cette fois-ci, la place centrale revient aux options personnelles de Skanderbeg, engagé dans des rapports de vassalité envers les souve- rains napolitains de la Maison d’Aragon, Alphonse V et Ferrante Ier, même dans la situation où la loyauté envers eux l’a fait rater des opportunités dans le combat antiottoman et l’a conduit à des affrontements militaires avec Venise. Ces engagements anticipent la participation aux combats contre les ennemis italiens

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du roi Ferrante. L’intensification des contacts avec l’Italie et les perspectives du soutien pontifical sont considérées comme les éléments qui annoncent l’identification de la révolte des Albanais avec la croisade, évolution qui touche à l’apogée durant le pontificat de Pie II (1458-1464). Le chapitre sur « La guerre totale » est une narration condensée des événe- ments survenus au fils des dernières années de la résistance : les préparations à la guerre du sultan, la totale dévastation de l’Albanie centrale, le compliqué jeu diplomatique impliquant l’Empire ottoman et les États italiens, qui allait conduire à l’isolement de Skanderbeg. Sa mort, en janvier 1468, laissait au sultan un pays presque dépeuplé, alors que la liquidation de l’infrastructure économicosociale préparait quatre siècles et demi de domination ottomane. La dernière section, « Famma perrenis » s’ouvre par un passage en revue des événements succédant à la mort du héros. Le destin de la génération de Skanderbeg s’est réduit aux deux options qui restent aux vaincus à toute époque – l’exil ou l’acceptation de nouvelles réalités politiques –, et la pression exercée sur l’Italie allait assurer la survie de Skanderbeg comme thème de la propagande des croisés pendant les premières décennies du siècle suivant. L’analyse de la dynamique de ce motif historiographique et littéraire offre à l’auteur l’occasion de réfléchir à la manière dont l’histoire des Balkans est perçue dans la culture occidentale entre le XVe et le XXe siècles. Si la reconstitution de la vie et des exploits de cet Alexandre du Moyen Âge balkanique est réalisée par l’appel à une variété de techniques interprétatives et de méthodes à la portée de l’historien, depuis des données d’histoire universelle à des développements régionaux et familiaux, depuis des analyses propres à la théorie des relations internationales à des données économiques et statistiques, sa lecture s’adresse au grand public et non seulement aux spécialistes de l’histoire. Les historiens médiévistes bénéficient du contact direct avec un modèle de recherche qui, avec les nuances conférées par la spécificité du sujet, peut être appliqué aussi à d’autres réalités ayant évolué en dehors des paradigmes insti- tutionnels de l’Occident médiéval, de même que de l’avantage de connaître un fragment de l’histoire de l’Albanie, à l’aide également d’un vaste appareil critique, des données généalogiques et géographiques. Le passionnée d’histoire universelle fait connaissance avec un rare exemple d’érudition accessible, où la quantité de documents et de faits ne l’empêche pas de se faire ses propres convictions et où les personnalités évoquées sont humanisées par l’appel au quotidien. Le livre du professeur Oliver Jens Schmitt est une étude de cas pour un type d’attache- ment de l’historien au sujet choisi qui refuse la tentation d’ignorer des faits ou la tentation des options apologétiques, proclamant l’importance de la liberté en tant que prémisse de connaissance du passé, comme réalité vivante et vie vécue. q

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O t i s N o r ma n Aspects of Long Distance C r a n d e l l Trade by the Precucuteni D i a n a -M Ãr i u ca V o r n i c u Culture

The largest category Introduction of imported lithics from he objective of this study was the Precucuteni settlement to determine whether lithic ar- T tefacts or raw materials were is represented by the artefacts being imported from the Lower Dan- made of so called “Balkan ube region into the Târgu Frumos settlement, in the Moldavian Plain, flint,” a raw material that originates in the Lower The authors would like to express gratitude to Prof. Dr. Nicolae Ursulescu (Alexan- Danube region. dru Ioan Cuza University, Iaşi) for providing access to the artefacts (which played an important role during the doctoral studies of Dr. Vornicu). Gratitude is also owed to Prof. Dr. Corina Ionescu (Babeº-Bolyai University, Cluj-Napoca) for providing advice and information concerning the geological raw materials. This study was supported by funds from Otis Norman Crandell the Romanian Ministry of Education and Scientific researcher at the Geology Research projects pnii-id 2241/2008 (cncs- Department, Babeº-Bolyai University, uefiscdi) and pn-ii-id-pce-2011-3-0881. Cluj-Napoca. D.-M. Vornicu acknowledges financial support from the Sectorial Operational Pro- Diana-Mãriuca Vornicu gram for Human Resources Development Scientific researcher at the Institute 2007–2013, co-financed by the European of Archaeology, Romanian Academy— Social Fund, under the project number Iaşi Branch. posdru/88/1.5/S/47646.

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during the Early Chalcolithic. This is of particular interest because both zones were occupied at that time by populations with different material cultures: the settlement at Târgu Frumos—Baza Pãtule (Iaşi county, northeastern Romania) is included in the Precucuteni III–Tripolye A area, while in the southern areas the early Gumelniþa communities were spreading in the Romanian Plain and Dobruja (where some late Hamangia communities still existed). For this purpose, flint artefacts from the Târgu Frumos—Baza Pãtule site were studied. Of the over 6,000 chipped stone artefacts found at this site, almost 250 items were suspected of being flint from sources at least 300 km away on the Danube ter- races. The rest of the assemblage appeared to have been made predominantly from the relatively closer Moldavian flint and a small number from local or allogenous rocks. Macroscopic and petrographic analyses of artefacts and geo logical samples were used to help distinguish between Moldavian flint and flint from the Lower Danube as well as to help determine the origin of suspected imported artefacts. Researchers specializing in the prehistory of these regions have suggested the existence of a trade network that conveyed commodities from south to north and vice-versa at that time (regarding import and influences between the two areas, see Roman 1963, 33–49; Marinescu-Bîlcu 1972, 29–38, 1974, 1976, 347–353; Ursulescu and Boghian 2001; Pandrea and Vernescu 2005, 263–278), but until now have not demonstrated this through a petrographic analysis. Since Moldavian flint is just as good in functional quality as flint from Do- bruja, and the territory of the Precucuteni culture has numerous river bank and surface outcrops of this materials (the closest being along the Pruth River) from a purely logistical or practical point of view, the Chalcolithic inhabitants of the site would not have needed to import flint from far away in the Lower Danube area. This study was conducted to verify or deny this theory of long distance importation. Finally, artefacts were examined to determine whether imported artefacts show any differences in depositional context, or technological and typological aspects in comparison to artefacts made of much more locally available flint (i.e. Moldavian flint). Trade has been seen in the archaeological literature as the transfer of goods or services between individuals (Alden 1982, 84), from hand to hand or from one social group to another (Earle 1982, 2). The transfer involves the individuals that trade the objects, constrained by the society and the environment in which they live. This gives both an individual as well as a social character to the trade (Earle 1982, 2). The exchanged items are not only related to subsistence necessities, but as ethnological and sociological studies have demonstrated the exchanged commodities can take the form of polite formalities, children, women, labor, religious services, ranks or amulets (Mauss 1925, 37). All these can be

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traded during feasts, rituals, celebrations, fairs, in moments when trade is one of the components of a more general and durable contract (Mauss 1925, 37). In most cases, the archaeological record does not allow us to interpret the more or less festive background of the exchange. Fortunately, traded commodities are easier to identify, because they constitute in the overall picture of a settlement the foreign element, different from the majority. This is also the case of the imported items from the Precucuteni settlement at Târgu Frumos—Baza Pãtule.

Background Archaeological Background

he Early Chalcolithic settlement at Târgu Frumos—Baza Pãtule has an estimated surface area of 10 ha and is situated on a high ridge on the T right side of the Adâncata River (Bahlui River basin) in the Moldavian Plain (Ursulescu, Boghian, and Cotiugã 2005) (Figure 1), between the Car- pathian Mountains and the Pruth River, about 50 km from each and about 15 km from the Siret River. The landscape during the Chalcolithic was very different from the current one. The Adâncata River Valley was not as deep as today, the hydrographic network was more diverse and the two ravines that delimit the site to the north and south were more pronounced (Ursulescu, Boghian, and Cotiugã 2005). The existence of large fields for agriculture and pastures alternating with forests (although large deforestation took place, the forest re- generated fast) made the site an advantageous habitat for human settlements (Ursulescu et al. 2002, 41). Unfortunately, the settlement was only partially excavated because a large part of it is covered by modern cement structures. At the time that the site was occupied, the territory of the Precucuteni culture was geographically at its largest. It extended west into the Carpathian Mountains (modern day Romania), north to the upper Dniester River basin, east almost to the Dnieper River (modern day Ukraine) and to the south almost to the northern part of the Romanian Plain. There, it bordered on the territory of the Stoicani–Aldeni–Bolgrad (S.–A.–B.) communities, which are seen in the Roma- nian archaeological literature either as a sub-group within the Gumelniþa culture or as a mixture between Gumelniþa and Precucuteni elements (see the map in Figure 1). For a review of the S.–A.–B., see Dragomir (1983), Sorokin (2000, 157–168), and Frânculeasa (2007, 7–32). The remains at the Târgu Frumos—Baza Pãtule site have been typologically connected to the last phase (phase III) of the Precucuteni Culture (Ursulescu and Boghian 1996). Carbon-14 data shows that the settlement began its almost

TR 2 2015.indd 87 8/25/2015 10:27:05 AM Precucuteni site Gumelniþa site Hamangia site Moldavian flint Balkan flint Carpathian materials

Figure 1. Location of the Târgu Frumos site and the territory of the Precucuteni culture at the time of its occupation (Vornicu 2011). Abbreviations: ro—Romania, md—Republic of Moldova, ua—Ukraine. Sites mentioned in the text. Precucuteni sites: 1. Okopy, 2. Luka–Vrublevetskaya, 3. Lenkovci, 4. Bernashevka, 5. Alexandrovca, 6. Solonceni I, 7. Isacova, 8. Ruseştii Noi. Gumelniþa sites: 9. Stoeneºti (formerly Tangâru), 10. Mãgurele, 11. Vidra, 12. Cuneºti, 13. Ghinoaica, 14. Borduºani, 15. Liºcoteanca, 16. Cârjelari. Hamangia site: 17. Baia–Goloviþa.

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300 years of development around 5830±100 bp (Lv-2152: 5830±100 bp; 3830 b.c.; 4838–4584/4940–4470 bce) (Mantu 1998, 246, no. 5; Ursulescu, Boghian, and Cotiugã 2005; Ursulescu, Boghian, and Cotiugã 2014). During the 16 excavation campaigns, between 1990 and 2005 (Ursulescu, Boghian, and Cotiugã 2005), 14 dwellings (1 below ground and 13 surface dwellings) and a ditch which partially enclosed the oldest settlement were excavated. Within the settlement, aside from the dwellings, researchers discovered areas used for flint knapping, butchering, bone and antler processing and numerous copper objects (Ursulescu, Boghian, and Cotiugã 2005). The settlement had three levels of habitation: the oldest level is represented by only a few archaeological complexes, such as the ditch of the settlement, a few pits and a dwelling. The next two levels are richer in archaeological complexes and one can observe the growth of the settlement, in space, wealth and probably also in its importance in the cultural area. Signs of the importance and status of the settlement are indicated by the numerous imported items, originating in the neighboring cultures, some of which have already been discussed by others (Ursulescu and Boghian 2001). The largest category of imported lithics from the Precucuteni settlement is represented by the artefacts made of so called “Balkan flint,” a raw material that originates in the Lower Danube region.

Geological and Lithological Background

he area of the Târgu Frumos—Baza Pãtule site belongs, geologically, to the Eastern European platform, with its Cenozoic sedimentary covering. T The sediments are clayey marls, sands, clays, sandstones and some oo- lithic limestones (Saulea, Sãndulescu, and Bratu 1966; Murgeanu and Mirãuþã 1968). The immediate area does not contain any sources of knappable material. The nearest in this respect are outcrops in the Eastern Carpathians and minor fluvial deposits in the Siret River to the west and the Pruth River to the east. In the Eastern Carpathians, there are numerous sources of lower quality material such as biogenic jasper, chert from limestone outcrops, siliceous shale, opal and quartzite (Popescu and Patrulius 1964; Mutihac, Chelaru, and Cîstov 1966; Ion, Antonescu, and Alexandrescu 1995). It is worth noting the Creta- ceous limestones with cherts of the Flysch (Murgeanu and Mirãuþã 1968). Moldavian flint originates both in Upper Cretaceous (Cenomanian) limestones (chalky marl to be precise) with flint (a variety of chert) cropping out along the Upper Pruth River, and as flint pebbles and cobbles in the alluvial sediments of the same river (Vãscãuþanu 1923, 1925; Saulea, Popescu, and Bratu 1966) (Figure 2). Outcrops of the same material can also be found at

TR 2 2015.indd 89 8/25/2015 10:27:05 AM Lithic sources Moldavian flint Balkan flint Carpathian materials Cultures Precucuteni 3 Stoicani–Aldeni Gumelniþa

Figure 2. Location of rock samples used in the study, possible sources used for lithic tools and the distribution of cultures in the Chalcolithic (based on Brandabur and Patrulius 1967; Chiriac 1968a, b; Mirãuþã, Mutihac, and Brandabur 1968; Dragomir 1983).

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locations across the Pruth River as far away as the Rãut and Dniester Rivers (Macovei and Atanasiu 1934, 179–181; Chetraru 1995a, b; Chirica, Borziac, and Chetraru 1996). Geologists refer to this material as Miorcani type flint—the type locality being the village of Miorcani (Botoºani county, Romania) situated on the bank of the Pruth River where even today a modern flint mine still exists (Simionescu 1897; Vãscãuþanu 1923; Chelãrescu, Nichita, and Mihul 1961). In archaeological literature, it is referred to as “Pruth Flint,” “Dniester Flint,” “Prutho-Dniestrian,” “Moldavian Flint,” and “Volhynian Flint” (Barfield 2004; Połtowicz-Bobak 2005; Ryzhov, Stepanchuk, and Sapozhnikov 2005; Biagi and Voytek 2006; Sytnyk et al. 2007; Boghian 2009; Szakmány et al. 2011). Although this material has been referred to by all of these names, it should be noted that these names may have also been used to refer to other materials as well. To be clear, in this study all flint sampled in the Moldavian Plateau was from the Cenomanian limestone layer. In this paper it is referred to in general as Moldavian flint (or flint from Moldavia). About 300 km to the south there are abundant sources of good quality flint, the so called “Balkan flint” (Jolkičev 2007; Nachev 2009; Biagi and Starnini 2010, 2011; Crandell 2013). Also known as “Balkanic flint” and “Honey flint,” the primary sources of Balkan flint are found throughout the Drobruja region of Romania and Bulgaria and along the lower Danube River (Figure 2). Current research in Bulgaria indicates that several different materials from that region are referred to as “Balkan flint” (Gurova 2008; Nachev 2009; Biagi and Starnini 2010; Bonsall et al. 2010). The closest of these is Murfatlar flint (aka Dobruja flint, Moesian flint), which comes from the Late Cretaceous chalk formations between the Danube and the Black Sea. The type locality is the town of Mur fatlar in Constanþa county, Romania (Macovei and Atanasiu 1934, 203–207; Ciocârdel 1953, 157; Ciocârdel and Popovici 1954, 322; Chiriac 1957, 93, Table B; Macovei 1958, 368; Ianovici et al. 1961, 47, Table 3; Chiriac 1964, 336; Brana 1967, 421–422; Mutihac and Ionesi 1974, 99–101; Chiriac et al. 1977; Chiriac 1981, 12–22; Ionesi 1988, 112; Crandell 2013). Sources in Dobruja (i.e. the Romanian region also called Northern Dobruja) have been noted as well by archaeologists (Comºa 1975, 1976).

Samples and Analytical Methods

or the present study, approximately 5,338 of the lithic artefacts found at the site were compared to 84 different rocks sampled in Moldavia and F Dobruja (Figure 2) (Brandabur and Patrulius 1967; Chiriac 1968a, b;

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Mirãuþã, Mutihac, and Brandabur 1968), 32 of which were thin sectioned for petrographic analysis. The macroscopic observations were followed by optical microscopy (om) in plan polarized light, carried out on thin sections cut from each artefacts and rocks. A Nikon Eclipse E200 Pol microscope was used and images were captured with a Nikon D3100 dslr camera. Macroscopic and microscopic observations for each geological sample and artefact were stored in a database (Crandell 2005, 2006, 2009).

Results and Discussions Rock Samples—Macroscopic Analyses and Optical Microscopy

oldavian flint is often either a sub-opaque, light grey, sub-translucent light brownish-grey or a highly translucent dark brown (coffee M colored). By the Munsell color system, the range of colors varies from 2.5Y 8.5/1 (white) to N 3/0 (very dark grey). Its color is generally a light to dark grey, and often brownish, particularly when viewed with a light source behind it. Typical colors of this material include 5Y 6/2 (light olive grey), 5Y 4/1 (dark grey) and 10YR 3/3 (dark brown) (Munsell Color 2009). Translu- cent samples often have whitish spots and speckles. (See Figure 3 a–c.) All types have a matt (non-shiny) surface. It breaks with a perfect conchoidal fracture, has a very smooth surface, and is relatively sharp (Alba, Gheorghiu, and Popescu 1960; Crandell 2008). Approximately 80% of the knapped assemblage found at Târgu Frumos—Baza Pãtule appears to have been made from Moldavian flint. Balkan flint from Dobruja can be clearly distinguished from Moldavian flint by microscopic analysis. Both flints are almost completely composed of very fine, equigranular quartz. Other than where the quartz is mixed with calcite, Fe oxide or Fe hydroxide, both are relatively devoid of other minerals. Occasional larger quartz crystals (25μm being common, and up to 50μm) or opals appear. The difference between them is that Balkan flint samples showed a noticeably higher amount of Fe oxides and hydroxides, e.g., goethite and hematite, which causes the yellow, orange and red colors of this type of flint (Figure 4). Macroscopi- cally this material ranges from greys to yellows and orange. Common colors include 2.5YR 5/1 (reddish grey) to 2.5YR 5/8 (red) and 2.5Y 7/2 (light grey) to 2.5Y 7/8 (yellow) and 2.5Y 5/4 (light olive brown) (Munsell Color 2009). There also appear to be slightly more spots with high calcite content. (See Fig- ure 3 d–g.) Although Fe oxides and hydroxides were found in the Moldavian flint samples as well, pieces were very uncommon and were smaller and more spread out than those found in the Balkan flint samples (Figure 4). (For more details on Balkan flint, see Crandell 2013.) Petrographically, both of the flint

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a b c

d 5cm e f g

Figure 3. Photos of raw material samples. a) to c) Moldavian flint from the Miorcani flint mine. Balkan flint originating from d) near Ovidiu; e) near Remus Oprean; f) and g) the Murfatlar chalk quarry.

sources in this study can easily be distinguished from the other knappable lithic resources of the nearby Carpathian Mountains. As none of the suspected Bal- kan flint artefacts microscopically analyzed in this study appear to be from the sources in the Carpathian Mountains, these sources will only be briefly described for the purpose of comparison. The cherts (from limestone instead of chalk) are the most similar to the flints but they are typically composed of larger quartz crystals of more varying sizes. In addition, the cherts often have more calcite spread throughout the material, as well as in spots of high quantity (Figure 4). The biogenic jaspers, as with the Balkan flint, have a quartz component which contains a large amount of Fe oxides and hydroxides, often considerably more than Balkan flint and many of the quartz crystals are small. Aside from the higher Fe oxi-hydroxide content, they are easily distinguished from the flints in that the quartz component often takes the form of a microfibrous quartz (chalcedony) or a granular quartz with varying size, generally larger than that of the flints or cherts. The rock is crosscut by later veins composed of fibrous quartz (Figure 4). Other materials found in the Carpathian Mountains include siliceous shale, quartzite and menilite (opal). Microscopically, all of these materials are very distinct from the flints. They contain various other minerals (often in large quantities) and fossils. They may have a highly fragmented matrix and grain size usually varies more. Although it is not very difficult to macroscopically distinguish between different categories of knappable materials it is often very difficult to distinguish between sources of the same category of material because most are

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mqz Fe

150 µm 150 µm

c Fe d Fe

Cal mqz Cal

150 µm 150 µm

e f

fsl Fe mqz

150 µm 150 µm

g h mqz

Dol Dol 150 µm 150 µm

Figure 4. Microphotos (polarized light) of raw material samples. a) and b) Moldavian flint from the Miorcani flint mine; c) and d) Balkan flint from near Hârºova; e) and f) biogenic jasper (radiolarite) from Dãmuc Valley (microquartzitic mass with fossil ra- diolaria tests and Fe-rich inhomogeneous pigmentation); g) and h) East Carpathian chert from Voievodeasa R. (mixture of microquartz and relic carbonate (calcite)). Left side, one polarizer (1P). Right side, the same with crossed polarizers (+P). Abbreviations: mqz for microgranular quartz, Cal for calcite, Fe for iron-rich phase, fsl for fossil, Dol for dolomite.

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150 µm 150 µm

c d Fe Cal Fe Cal mqz

150 µm 150 µm

e f Fe Fe mqz

150 µm 150 µm

g h

Fe Fe mqz 150 µm 150 µm

Figure 5. Microphotos (polarized light) of Balkan flint artefacts from Târgu Frumos—Baza Pãtule. a) and b) artefact number 1913 (end scraper); c) and d) artefact number 1952 (blade); e) and f) artefact number 1855 (blade); g) and h) artefact number 1904 (end scraper). All samples show homogeneous microquartzitic mass, mixed with some calcite and occasionally locally pigmented with Fe compounds. Left side, one polarizer (1P). Right side, the same with crossed polarizers (+P). Abbreviations: mqz for microgranular quartz, Cal for calcite, Fe for iron-rich compounds.

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very heterogeneous materials and there are many sources available for exploitation. Many of the sources are geographically small in size. Of the tools suspected of being made from Balkan flint, 15 were microscopically analyzed and compared with 32 thin sections of potential raw materials. The artefacts analyzed in this study have a fine grain size the same as most flint, and have a constant Fe oxide-hydroxide content consistent with that of Balkan flint (Figure 5). None of the pieces appears to be Moldavian flint and are certainly not from any raw materials available in the Carpathian Mountains.

Balkan Flint Artefacts

he knapped stone collection from Târgu Frumos is one of the largest in the Precucuteni–Tripolye A culture, along with those from Bernashevka T (Zbenovič 1996) and Luka Vrublevetskaya (Bibikov 1953), comprising over 6,000 pieces (tools, blanks, debris, and cores) (Ursulescu, Boghian, and Cotiugã 2005). As previously stated, the majority of the lithic assemblage excavated at site was macroscopically identified as having been knapped from Moldavian flint, most likely originating in the Pruth River area. In addition to this, archaeologists have found items knapped from other types of rocks which they macroscopically described as Balkan flint, quartzite, opal, jasper, obsidian and an unidentified material which some researchers have referred to as simply “Dni- ester flint” (Boghian and Tudose 1994, 147–159; Ursulescu, Boghian, and Co- tiugã 2005, 231). That some of the flint brought from the Pruth River area was knapped inside the Târgu Frumos settlement is evidenced by the cores (46 cores, coming from all the levels), the flakes from different stages of knapping (10% of the flakes are cortical) and the debris found there. The technology used by the inhabitants of the Târgu Frumos—Baza Pãtule settlement is no different from the technology used in other Precucuteni settlements. Cores for flake and for blade knapping were discovered. The blade debitage shows advanced skill. Soft percussion and indirect percussion were used and some pressure blades were produced in the settlement. The Moldavian flint blades come mainly from the advanced stages of débitage but cortical ones were also produced at the site. The places where some of the flint was knapped were identified along with the hammers used (Boghian and Tudose 1994, 150). On the other hand, at Târgu Frumos no hard evidence of knapping the Bal- kan flint inside the settlement was discovered. Of the approximately 6,000 knapped stone artefacts discovered at the site 5338 were examined in this study. Based on macroscopic and microscopic

TR 2 2015.indd 96 8/25/2015 10:27:06 AM 1 2 3 4

8 7 6 5

9 10 11 12 13

Figure 6. Examples of Balkan flint artefacts from the Precucuteni settlement at Târgu Frumos. In this figure, the artefacts labelled 2, 3, 4 and 8 were among those which were thin sectioned (2. artefact number 1952; 3. artefact number 1855; 4. artefact number 1904; 8. artefact number 1913). The bar below each artefact is equal to 1 cm.

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characteristics of Balkan flint (Comºa 1975; Gurova 2003, 2008; Nachev 2009; Crandell 2013; Crandell, Niþã, and Anghelinu 2013; Crandell 2015), up to 5% of the artefacts analyzed were made from this material (see Figure 6 for examples). An initial total of 228 pieces were identified of which several have since been found to fit together as fragments of larger artefacts (the current total being 219 artefacts) (for example see the blade from Figure 6.9). It is possible that more might still be found to be in the same situation. The specific number is therefore hard to specify due to the possibility that a few more of the finds may in fact be fragments of the same artefact (although the same is likely true of the artefacts from the other materials). (It should be noted that the artefacts from the 2005 excavation were not analyzed due to logistical reasons.) The Balkan flint assemblage is composed of blank blades and retouched products (representing 7% of these particular groups of artefacts) and some small debris (less than 11 mm in length, and probably coming from the breakage and retouching of tools). Since a presentation of these artefacts was made elsewhere (Vornicu 2011), a detailed presentation will not be made here. Still, mention should be made of the fact that further research is needed for identifying whether import- ing lithic products from southern areas had any influence on the lithic technology of the Precucuteni communities. It was observed that the items imported into the Târgu Frumos settlement from the Lower Danube area are, in general, more robust than the lithic tools made from Moldavian flint. The Balkan flint blades (including those with their distal end transformed into endscrapers) have in 70% of the cases parallel edges and arrises (a higher percentage than those from Pruth flint) and a slight curvature of the profile. The imported lamellar products (both blanks and retouched) are mainly from the plein débitage stages but cortical (six coming from levels II and III) and crested (one) blades were also discovered. As for the formal tools, we noticed that the same types of tools are present in both Moldavian and Balkan flint assemblages, with the exception of arrowheads. In the 5,338 analyzed pieces were identified 21 arrowheads, mainly from Mol- davian flint, none from Balkan material. The Balkan flint artefacts from Târgu Frumos are highly fragmented: less than 20% of the Balkan flint artefacts from this assemblage are intact (up to 40 artefacts). This should not come as a surprise, bearing in mind the fact that the majority of the lithic artefacts from the settlement are also fragmented. Whether this is a behavior related to a ritualized discard of the tools, whether they were broken during usage or being broken intentionally (perhaps for a better hafting), is still an unresolved problem. Because the assemblage is very fragmented we cannot draw conclusions regarding the accurate dimensions of the Balkan flint material compared with the Moldavian flint material.

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Artefact Distribution

he distribution, within the settlement, of the lithic assemblage was also examined. Although Balkan flint artefacts were discovered in all three T levels of habitation, most were discovered in the last two. Almost 12% of the total supposed Balkan flint artefacts were discovered in level I (the oldest), while in the next two levels 40% (level II) and 38% (level III) of the Balkan flint was discovered. For 10% of the Balkan flint pieces the level was not determined. One can observe the fact that the import of Balkan flint at the settlement signifi- cantly increases with the transition to the second level of the settlement. Dur- ing this same period both the population and the surface area of the settlement probably underwent a noticeable increase. As far as spatial distribution is concerned, no pattern in discarding the Balkan flint products could be observed at the settlement. Tools of imported material have been found all over the site. As with artefacts of other materials, they were discarded in pits (some of them interpreted as ritual pits), near the dwellings, inside the dwellings, in the defense trench, in butchering places and everywhere else in the settlement along with the knapped lithic assemblage made of other raw materials (Vornicu 2011). There was no discriminating deposition or special treatment of the Balkan flint items.

Comparison with Other Sites

s stated before the Balkan flint outcrops are located within the area of the Gumelniþa–Karanovo VI–Kodžadermen and late Hamangia com- A munities. The presence in the settlement at Târgu Frumos of artefacts made from this raw material is being considered as due to imports. Balkan flint items are also part of the lithic assemblages from other Precucuteni III–Tripolye A settlements such as those at Luka–Vrublevetskaya, Solonceni I, Isacova, Alexandrovca and Ruseştii Noi (Figure 1), where they appear only in the form of products which are already knapped and not cores (Sorokin 2000, 157–168). Thus, for the moment, a pattern can be observed: only blanks and retouched products were imported by the Precucuteni III–Tripolye A communities from southern communities which had access to the sources. Due to a lack of much archaeological research on this topic regarding the Pre- cucuteni-Cucuteni culture, assemblages from only a few settlements west of the Pruth have been studied with the intention of sourcing the lithic assemblages. In recent years, assemblages from several Precucuteni-Cucuteni sites in the region have been shown to contain artefacts made from Balkan flint. Whether or not

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they were produced by members of the Gumelniþa culture (rather than at the sites where they were found) has yet to be determined. At Sãcãluşeşti—Dealul Valea Seacã and Topoliþa—La Ilioi, both in Neamþ county, 2–3% of flint artefacts appear to have been made of Balkan flint (or about 1–2% of all knapped artefacts) (Crandell 2012). Studies by the same author found that similar sites in the area also had Balkan flint artefacts in varying amounts (unpublished reports by O. N. Crandell). Balkan flint has also been found at Palaeolithic sites in the general area, although in very low quantities (Crandell, Niþã, and Anghelinu 2013). Along with the Balkan flint other elements of material culture specific to the southern communities were discovered in Precucuteni III–Tripolye A sites. The influences of the Hamangia culture have been seen in the pottery and statuettes from the Târpeºti settlement (Marinescu-Bîlcu 1968, 410), while at the Ha- mangia III sites of Mangalia (Berciu 1966, 34), Limanu, Ceamurlia de Jos and Goloviþa–Baia (Marinescu-Bîlcu 1972, 29–38) (see Figure 1) many vessels with northern influences were discovered, a fact that led S. Marinescu-Bîlcu to even propose an ethnic Precucuteni presence in the Hamangia area (Marinescu-Bîlcu 1972, 34). Ceramics that are characteristic of the Precucuteni III area have been discovered in the Gumelniþa A sites of Vidra (Rosetti 1934), Tangâru (Stoeneºti) (Berciu 1961), Medgidia, Mãgurele (Roman 1963), Cuneºti and Borduºani (Bem 2001, 44). Gumelniþa influences have been observed for some sherds and statuettes discovered in the Precucuteni–Tripolye A settlements of Traian— Dealul Fântânilor (Dumitrescu 1955), Târpeºti (Marinescu-Bîlcu 1981), Alexan- drovca, Bernovo (Zbenovič 1989, 140), Târgu Frumos (Ursulescu and Boghian 2001) (see Figure 1) etc. While in the case of the clay objects it is hard to state whether the elements that moved from south to north and vice-versa were due to imports or to influences, for the objects made of other raw materials (e.g., stone) it is very clear that they originated in southern areas and were brought as imports into this region to the north. Examples of such imports include Balkan flint items, Spondylus Gaederopus bracelets (for example, see Vornicu 2013) and copper objects. According to the results of spectral analyses of copper objects from the Precucuteni cultural area, their raw material originated from the present day territory of Bulgaria which, during the Chalcolithic, was occupied by Gumelniþa–Karanovo VI–Kodžadermen communities (Chernykh 1978, 59). When discussing the relationships between the Precucuteni area and the communities from the lower Danube (particularly the early Gumelniþa communities) one must consider them also in light of the existence of the Stoicani–Al- deni–Bolgrad culture (Sorokin 2000; Vornicu 2011). As the S.–A.–B. communities occupy a border territory between those of the Precucuteni and Gumelniþa communities it has been stated before that they must have played an important

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role in the circulation of commodities (Sorokin 2000, 159). The S.–A.–B. communities, which are considered to be a mixture between the Precucuteni-Cu- cuteni and Gumelniþa cultures (Dragomir 1983), do not have many Precucuteni elements in their early stages, Gumelniþa elements being the majority (Sorokin 2000, 165). The lithic assemblages of the S.–A.–B. settlements contain flint brought from both the Pruth River and from the Lower Danube (Bejlekci 1978, 88–89; Dragomir 1983, 40). For the S.–A.–B. communities from the south of nowadays Republic of Moldova a 68% of the lithic assemblage is considered being of Balkan flint (Sorokin 2000, 163), but for the same cultural communities from the right part of the Pruth River we found no published percentages. There is definitely a need for future research involving the analysis of early S.– A.–B. lithic assemblages, both petrographic and typological in order to compare the results with Precucuteni and Gumelniþa lithic assemblages.

Conclusions

hrough a petrographic analysis of lithic artefacts, we have demonstrated that the commodities traded in the Early Chalcolithic also included flint T artefacts. Specifically, we refer to Balkan flint items that originated in the Lower Danube area and were imported into the settlement at Târgu Frumos, in the Moldavian Plain, over a long distance of about 300–400 km. In the early 1980s, Earle (1982, 3–4) suggested at least three important aspects of exchange that must be defined in every single case: (a) sourcing the commodities of exchange; (b) describing the spatial patterning of the commodities; and (c) reconstructing the organization of the prehistoric exchange. For sourcing the commodities of the exchange, macroscopic and microscopic analyses as well as the field observations show that a portion of the lithic artefacts at this Precucuteni settlement came from the Lower Danube area, from outside the cultural area in which they were finally deposited. The trade routes of this commodity crossed an area which comprises different cultures from the Early Chalcolithic. The Balkan flint artefacts were likely knapped by the Gumelniþa communities, and were traded to Precucuteni communities like those at Târgu Frumos, Luka–Vrublevetskaya, Solonceni I, Isacova, Alexandrovca, Ruseştii Noi and probably many others. The distance over which these items were traded varies from ca. 250 km (e.g. at Ruseştii Noi) to over 400 km (to the settlements along the Dniester such as Luka–Vrublevetskaya). The distance that these tools travelled plus the time, the different cultural landscapes, the energy and knowledge required for them to arrive at the settle-

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ments support the idea that occupational specialization had already occurred by this point in time. This occupational specialization related to raw material acquisition and distribution may have taken different forms. One possibility of how the tools arrived in the settlement is through travelling merchants. Members of the Gumelniþa culture living near to sources likely acquired locally available flint and knapped them into tools. They may have then traded them for other goods via a merchant. The merchants may have travelled to another region where the material was rarer and traded it for something else that was locally available. Another possibility may have been a series of traders. Raw materials may have been traded between a series of settlements via a series of traders or merchants. Yet another possibility is the existence of regional market places or seasonal fairs. In this case merchants may have only travelled half of the distance to export the flint from the Lower Danube area while people from settlements further north would have also travelled to the markets to trade for their settlements. In this case, one would expect to see some settlements in the border area that have artefacts and possibly even cultural practices from both cultures. This may be connected to the role Stoicani–Aldeni–Bolgrad communities played in this trade, their settlements being located between the Gumelniþa and Precucuteni areas. In any of these examples, the person moving the materials would have to take time from their regular self-sustaining work in order to import or export materials. Therefore the benefits of doing this specialized work must have outweighed the loss incurred by neglecting their regular work. Import in this proportion indicates that this non-local material was well known to the local people and that a demand for it existed. If people were not travelling to the sources themselves to get materials, then it is likely that long distance trade routes were in existence at this time. This also suggests regular contact and interaction with neighboring cultures. As economics is an aspect of culture, if these cultures were interacting economically then this type of discovery requires researchers to reconsider the current definitions of the cultures of that time period and what separates them. Judging from the high percentage of the imported tools (up to 5%) and the disposal of the imported items at the Târgu Frumos site, it is believed that the imported materials and tools were not necessarily regarded as prestige goods, as sometimes is the case with imported artefacts. They were rather widely available and accessible to everyone in the settlement. Thus this trade in lithic artefacts may be the result of the two dimensions of exchange: a quid pro quo dimension implying economic necessities or opportunities, as well as the symbolic dimensions of the exchange, i.e. a way through which relations are built and reinforced. q

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Ursulescu, Nicolae, Dumitru Boghian, and Vasile Cotiugã. 2014. “Contributions to the knowledge of the anthropomorphic plastic art of the Precucuteni culture: The representations from the settlement of Târgu Frumos.” In Anthropomorphism and symbolic behaviour in the Neolithic and Copper Age communities of South-Eastern Europe, eds. C.-E. Ursu and S. Þerna, 377–414. Suceava: Karl A. Romstorfer. Vãscãuþanu, Theodor. 1923. “Asupra cretaceului superior din Nordul Basarabiei.” Ana- lele Academiei Române, Memoriile Secþiunii ªtiinþifice (Seria 3) 1: 287–299. ——. 1925. “Asupra formaþiunilor mediterane din nordul Basarabiei.” Analele Acad- emiei României, Memoriile Secþiunii ªtiinþifice (Seria 3) 3 (Mem. 6): 239–256. Vornicu, Andreea. 2013. “Industria materiilor dure animale în cultura Precucuteni: Studiu de caz: artefactele din aşezãrile de la Isaiia şi Târgu Frumos.” Doctoral thesis, Alexandru Ioan Cuza University, Iaşi. Vornicu, Diana-Mãriuca. 2011. “Relaþii între cultura Precucuteni ºi aspectul cultural Stoicani–Aldeni reflectate în utilajul litic din aºezarea de la Târgu Frumos.” Acta Musei Tutovensis 6: 7–15. Zbenovič, Vladimir Getselevich. 1989. Ранний этап трипольской культуры на территории Украины [The early stages of the Tripolye culture in the territory of Ukraine]. Kyiv: Naukova Dumka. ——. 1996. Siedlungen der frühen Tripol’e-Kultur zwischen Dnestr und Südlichem Bug. Espelkamp: Marie Leidorf.

Abstract Aspects of Long Distance Trade by the Precucuteni Culture

The objective of this study was to determine whether lithic artefacts were long distance trade commodities between different cultural areas, in the Early Chalcolithic of the Moldavian Plain. Some of the lithic artefacts discovered in Precucuteni settlements are believed to be made from Balkan flint whose sources are hundreds of kilometers away in the Lower Danube area, inhabited at that time by the Gumelniþa communities. The lithic assemblage from the Târgu Frumos—Baza Pãtule site (Romania) was studied to help determine whether or not this was the case. Macroscopic and petrographic analyses of artefacts and geological samples were used to distinguish Balkan flint from local flint and other knappable materials and to determine that approximately 5% of the lithics were imported in the form of blanks and finished products. The depositional context of the Balkan flint tools shows no differences from that of the other tools.

Keywords trade, Balkan flint, Chalcolithic, Precucuteni culture, Gumelniþa culture, Moldavian Plain

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Communication

F l a v i u C ã l i n R u s and the Power of the Word

The very existence of life on earth “There is no such thing as has brought with it the communication non-communication.” process, a process highlighted by all sources, both religious and scientific. (Paul Watzlawick) We consider that the presence of communication in all areas and sectors of the material and spiritual life deserves particular attention and a profound analysis. It is obvious that the human individual has evolved as a bio-psycho- social being and that ever since the beginning man has constructed a reality which has been permanently evolving. Even at the present time, the human being is still building reality as a basis of realities to come. It is hard to quan- tify how much sounds, words and gestures have influenced us, but it is certain that these three primary elements of communication have influenced human evolution to a smaller or greater extent. Communication is the basis for Flaviu Cãlin Rus all interactions, for the learning pro- Habilitated professor in communication cesses, for solving problems, for social sciences at Babeº-Bolyai University behavior, for any kind of emotions and of Cluj-Napoca. Author, among others, creations, for religions, etc. If we were of the vol. Contribution to Developing to choose a term, an action, a state of the Domain of Communication Scien ces and Public Relations in Romania mind as the most important of them (2013). all, this would be extremely difficult

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due to subjectivism, due to our own perception of the world and of reality. If instead we were to think about an action omnipresent in our life, communication would most certainly be one of the most frequent answers. The importance of communication in our life is given, in the first place, by the power of this process to embrace all human activities and states. At the same time, communication has always supported, and will always support, our development in terms of knowledge, state and action. The process has gradually evolved, alongside the evolution of life itself. This aspect deserves to be mentioned in order to better explain our present scientific approach. Many pieces of evidence gathered by “anthropologists over more than a century”1 show that “the evolutionary process that eventually resulted in contemporary humankind goes back some 70 million years.”2 Regarding our species’ evolution, the evidence is dated 14–5 million years ago, with the appearance of the so-called Ramapithecus. “We are not even certain that it walked upright, but it may have been the first member of the family Hominidae (manlike creature).”3 Researchers say that evolution occurred after the appearance of Australopithe- cus africanus, which is said to have existed 5.5–1 million years ago.4 Within the same evolutionist paradigm we would also like to mention that the evolution of the human species followed its normal course thought many evolutionary ramifications. One of this ramification was Homo habilis who “dates from between 2.2 and 1.6 mya.”5 Another branch of humanoid, who used handmade tools, was Homo erectus: “by about 1.6 million years ago still another hominid (Homo erectus) was using finely chipped, two-edged hand axes and other cutting tools.”6 A new step in evolution was brought by the Neanderthals who “began to occupy the European area and parts of the Near East some 150 to 125 thousand years ago.”7 Anthropologists also present another evolutionary line. They consider that this line developed much later: “These were the Cro Magnon (Homo sapiens sapiens), who first appeared in parts of Europe and the Near East somewhere between about 90,000 and 40,000 years ago…”8 Research- ers consider that the Cro Magnon were more advanced compared to previous humanoid branches and this means they were closer to nowadays humankind.9 With the evolution of the human species communication also evolved, becoming more and more diverse in each stage. During this evolutionary history there have been the following communication ages: “the Age of Signs and Sig- nals, the Age of Speech and Language, the Age of Writing, the Age of Print and… the Age of Mass Communication . . . and we have recently lurched quite unprepared into the Age of Computers.”10 The transformations of the human being throughout these periods of evolution in communication are fascinating to observe. Obviously, all of them are important but, from our point of view, special attention has to be given to the

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invention of printing in Mainz (1455), by Johann Gutenberg, the one who offered humanity the first printed copy of his “42 line Bible . . . one of the finest examples of the printer’s art ever produced.”11 We highlight the invention of printing because we consider that it marked a landmark moment that allowed the rapid multiplication of humanity’s writings and teachings. As a consequence of this phenomenon, in time, the price of books diminished and another extraor- dinary phenomenon occurred—mass access to information. This phenomenon led to changes in the human beings’ mentalities and implicitly to the quicker development of humankind. In this introduction we wanted to point out some very important arguments and ideas regarding the evolution of communication and of mankind. At the same time, the introduction represents the motivation behind our present scientific approach, an approach which has been constituted around a fundamental hypothesis, namely, that the communication process is omnipresent and it represents the basis of mankind’s evolution and development. We have also taken into consideration the power of the word and the way communication influences us. As a research method we have used the content analysis. In order to demonstrate the abovementioned hypothesis we analyze the most important approaches that define, explain and present communication. We will next discuss and explain these approaches based on our knowledge and experiences. As stated before in this material, communication is an omnipresent process, extremely vast, hard to explain in a single definition. Therefore it was not easy to choose, from the multiple explanations and definitions given to this process, those that we consider most important. As in the beginning of our work we have mentioned the evolutionist theory, we believe it is necessary to refer here to the religious approach to communication. Does the Bible offer an answer to the question regarding the nature of communication? Surprisingly, the Gospel according to John says: “In the beginning was the Word, and the Word was with God, and the Word was God.”12 The biblical vision is total, ample, perfect and immortal. From our point of view, this verse consists of the following parts: 1. In the beginning was the Word: this means that the word (or, by extrapolat- ing, communication) lay at the foundation of everything that existed or has been done or created; we may even interpret these words in the sense that the word predates all creation. 2. and the Word was with God: from our point of view, this means that the he who had the word, the capacity to communicate, was the Great Creator himself, or indeed God himself. 3. and the Word was God: these last words express the boundless power of the word, meaning its Divine power.

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From this verse’s point of view, the “word” has three fundamental characteristics: it had existed from the very beginning and from the beginning it belonged to God, being God himself. Even if our subjective explanation can be contra- dicted by other theological and scientific theories, it is certain that the word (communication) is very important and has been cherished by both priests and scientists. We support this idea by virtue of the fact that both the Bible and the scientific discoveries were brought to the attention of the public by way of written or spoken words, in other words, with the help of communication. We will further analyze this concept using explanations and definitions belonging to a series of specialists which have been studying this phenomenon. Paul Watzlawick is the first author we would like to mention here. He gives the following definitions of communication, in his meta-communicative axiom as well as in some appreciations: 1. Communications is “a conditio sine qua non of the human life and social order.”13 2. The meta-communicative axiom: “There is no such thing as non-communication.”14 These two assertions convey a common message, sustaining the idea that we cannot exist in the absence of communication; basically, communication is inside each of us. Also, the author transmits the idea that life is meaningless without communication and that order, law, organization, hierarchy and behavior cannot exist without communication. In other words, Watzlawick considers that the communication process is omnipresent, being a basic element of our life and society. The German professor Michael Kunczik has an interesting approach to communication. He tries to define this process by taking into consideration the problem of intentionality and non-intentionality. According to Kunczik and considering intentionality, communication is “a behavior which, from the point of view of the sender, aims to transmit messages from a person to another with the help of symbols.”15 The same author, considering non-intentionality, defines the process as follows: “Communication comprises the interaction with the help of symbols and the non-intentional transmission of information through the communicator, interpreted as informative by an observer.”16 Judging these two definitions as one, with this description Kunczik comes close to Watzlawick, because the German researcher considers that basically the human being communicates both intentionally and non-intentionally; therefore the possibility of non-communication does not exist. Watzlawick’s vision is more general, but Kunczik introduces new elements into his definitions, such as: information, symbols, purposes, and transmission. Kunczik’s outlook brings communication close to action, his explanations offering dynamic features to this process. Also, within the German researcher’s approach, the two elements

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of communication, the sender and the receiver, are clearly presented. Michael Kunczik’s explanations regarding communication also suggest that communication is omnipresent in interpersonal interactions. Denis McQuail is another very important researcher in the field of communication studies. In his book entitled Communication he explains what this phenomenon represents. A first definition brings him very close to Kunczik, because of the following ideas: “In normal use the verb to ‘communicate’ usually refers to an action of ‘sending’ a ‘message’ about ‘something’ to someone who is a receiver . . . First, there is a choice between the communication as sending or receiving since messages can be sent without being received and received without their having been consciously sent—as when we scan our environment and derive meaning from scenes, situations and unordered sense experiences. Second, and relatedly, there is the question of intention, which some definers like to include as characterizing communication act.”17 McQuail also analyzes the phenomenon from other perspectives, considering that “Third, we can emphasise communication either as effect or cause of a given set of social relationships and pattern of interaction.”18 This third way of understanding communication brings McQuail closer to both Watzlawick’s and Max Weber’s approaches to communication. For the latter, communication is very close or can identify itself with individual and social behavior. Weber emphasizes the subjective sense of our actions which, from our point of view, contains a high degree of intentionality. McQuail adds two more directions of analysis to his explanations regarding communication, stating that “Fourth, communication can be treated as linear (one way transmission) or as circular and interactive.”19 This fourth direction of analysis focuses on the different ways of information transmission—linear, circular, and interactive—, ideas that underlie the main general models of communication: Harold D. Lasswell’s linear model, Hiebert, Ungurait and Bohn’s circular model (hub) and the interactive model of communication. With these models, the authors tried to provide a general explanation of the mechanisms inherent to information transmission. The last direction of communication analysis and explanation mentioned by Denis McQuail is the following: “Fifth, we can think of it as a source of order, unity and cohesion or as a cause of change, fragmentation or conflict.”20 This last explanation links communication to the concept of organization; cohesion means understanding, and fragmentation and conflict refer to misunderstandings and situations like crisis communication or communication in times of conflict. In this frame, according to Robbins, “it is considered that most of the conflicts are due to communication problems”;21 on the other hand, communication is perceived “important in solving conflicts because it can increase understanding and reduce the risk of jumping to conclusions or making generalizations.”22

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Because the power of the word was mentioned in our title, we would like to present here another idea belonging to McQuail, which refers to another dimension of communication, namely, influence: “Finally, there is a choice between an active or reactive view, the former when we try to influence others or our situation, the latter when we accept influence and adept to circumstances.”23 This last dimension of the analysis highlights the process of manipulation which cannot be obtained in the absence of communication. There clearly results, from Denis McQuail’s perspective on communication, that this process is present within society as one of the key elements of its development. Following the same idea of influence, of the word’s power to influence, of manipulation, we will further discuss the outlook of three other authors: Michèle Jouve, Isabelle Nazare-Aga and Alex Mucchielli. With regard to communication, Jouve contended that “Not all our acts, decisions, beliefs are manifestations of the mind, of reasoning, because they are not always conscious. We are sometimes driven by inner forces that can exceed our power, which can remain obscure, which we do not analyze, to which we do not pay attention. And which we could miss even if we desired to observe them at any cost . . . Since it desires to be persuasive (meaning manipulative) communication is interested in finding support in these psychological elements, trigger mechanisms that make us permeable (meaning vulnerable) to the message.”24 Michèle Jouve refers mainly to the psychological mechanisms which determine a certain type of behavior and which, practically, develop under the influence of communication, transforming this process into an influence and manipulation factor. As a consequence, the human being can be manipulated by the power of the word. In her book entitled Manipulators Are Among Us, Isabelle Nazare-Aga sup- ports the same idea—the connection between communication and manipulation: “The manipulator does not clearly communicate his needs, demands, feelings and opinions. But the impression he leaves us is the exact opposite (with the exception of the shy type of manipulator). Most of the times, we are able to decode his verbal and non-verbal messages (the tone of voice, facial expressions, looks, attitudes, etc.)”25 “As a conclusion, the only way to communicate better is to express as clearly as possible the message so that the effect upon the interlocutor is equal to the transmitted intention. Someone clearly expressing his thoughts does not give rise to supplementary questions. A clear expression involves the transmission of all the necessary information in the same time in order to avoid any incorrect interpretation, having as a single purpose the good understanding of the intention of the message.”26 It is obvious that clarity in articulation, together with a solid argumentation and coherence in thinking, elimi-

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nates the possibility of misinterpretation, but it does not eliminate manipulation because we can either be influenced by persuasion or not, or more precisely by the speaker’s clear thinking and articulation (which convinces us). Alex Mucchielli is another researcher who considers that individuals can be influenced by the power of the word. In his book entitled The Art of Influence he gives the following definition of communication, a definition taken from another of his books, Les situations de communication, published in 1991: “To communicate means to use an ensemble of communication methods: it means to talk, to modulate your intonation, to behave in a certain manner, to adopt a certain facial expression, certain gestures and specific attitudes, to choose an attitude, to prepare combined actions, to elaborate physical or normative devices, to act on the elements in the environment . . . everything in order to resolve as well as possible a problem connected with a fact of life.”27 This definition clearly specifies that Mucchielli focuses on both: intentionality—the individual has an interest in solving a situation; manipulation—the individual somehow solves a problem, usually in his favor, and he adapts his communication in order to be able to influence the environment. Mucchielli clearly expresses himself in regard to the connection between communication and manipulation: “Any communication is an attempt to influence. Communication truly seeks to transmit a sense (of an idea or of a situation, of a phenomenon, etc.), something which cannot be done without influencing. Influence is co-substantial to communication. To communicate and to influence represent the same action.”28 Mucchielli also considers that “The analysis of the act of influence is facilitated by the use of the great categories of the communication processes established within the theory of communication processes. These are acts of communication that intervene on the positions of the actors, on their relations, on their normative references and on their identities, but also on the elements of temporal, spatial and sensorial contexts.”29 “Influence is based on communication processes, unconscious, implicit.”30 These three authors offer a new perspective on this process, which states that certain psychological parts of the individual are involved, and focus on the direct and indirect influence. Also, intentionality is a parameter taken into consideration by these authors when they analyze communication. Every second of our lives we are bombarded with information which may lead to certain effects, states and reactions. It is obvious that some information affects us more and other less. From our point of view, the information which does not have a major (direct) impact on us determines certain psychic processes on a conscious or unconscious level, even if they only inform us. Information also requires ce- rebral effort. As a consequence, we state that influence is all around us, whether we influence the environment or the environment has an influence upon us;

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and the information that stands at the basis of this influence may have different degrees of impact.

he next area where communication manifests its fundamental role is represented by misunderstandings, risk, crisis and conflicts. Cristina T Coman, in her book entitled Crisis Communication: Techniques and Strat- egies, discusses the opinions of two authors: M. J. Palenchar, who tried to define risk communication, and K. Fearn-Banks, who is more concerned with crisis communication. M. J. Palenchar’s definition: “Risk communication is a community infrastructure, transactional communication process among individuals and organizations regarding the character, cause, degree, significance, uncertainty, control, and overall perception of a risk. Risk communication provides the opportunity to understand and appreciate stakeholders’ concerns related to risks generated by organizations, engage in dialogue to address differences and concerns, carry out appropriate actions that can reduce perceived risks, and create a climate of participatory and effective discourse to reduce friction and increase harmony and mutuality.”31 As it can be observed, the definition shows us that this type of risk communication has the role of preventing any created tension and of reducing misunderstandings. This type of communication has a transactional role in negotiating and understanding the potential sources of tension, which are fundamental pa- rameters which have to be taken into account. By reducing misunderstandings or by creating connecting bridges, dialogue bridges, risk communication comes close to the area of public relations. If we look around us, we notice that every day we encounter at least one situation which can generate tension and that communication is essential and omnipresent in the risk area. In K. Fearn-Banks’s opinion, crisis communication is “the dialog between the organization and its public(s) prior to, during, and after the negative oc- currence. The dialog details strategies and tactics designed to minimize damage to the image of the organization.”32 Discussing about image we can define this concept as “the perception that the public has with respect to a person or object,”33 or we can think about the perception of the whole organization. Analyzing K. Fearn-Banks’s approach to communication, we may observe that a part of the crisis communication is made before its start; one of the activities preceding a crisis is represented by risk evaluation. It is obvious that during this period risk communication will be employed. The crisis occurs, and also the need for crisis communication and for crisis management, when all solutions are exhausted. Regarding this subject, Cristina Coman has the following approach: “Crisis communication or the answer involves a multitude of activities

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of sending certain messages to the organization’s different audiences: internal audiences, mass-media, stakeholders, authorities, community, etc.”34 In the same K. Fearn-Banks’ opinion, crisis communication also takes place right after the end of a crisis situation, because it is necessary to offer explanations, arguments to the interested audiences and to rebuild the communication bridges affected by the crisis situation. After a certain period, after stabilizing the situation, the connections will be set and developed by the institution’s pr department. Because in the framework of crisis communication we have mentioned the pr sphere, we will further present communication from the point of view of pr and institutional communication. In this matter, we would like to offer the arguments of some of the founding fathers of modern public relations: Doug Newsom (professor at Texas Christian University), Judy Vanslyke Turk (professor at the University of South Carolina) and Dean Kruckeberg (professor at the University of Northern Iowa). These researchers highlight the complexity of public relations offering the following arguments to the readers: “The complexity of pr’s role prompted the Public Relations Society of America (prsa) to define fourteen activities generally associated with public relations: (1) publicity, (2) communication, (3) public affairs, (4) issues management, (5) government relations, (6) financial public relations, (7) community relations, (8) industry relations, (9) minority relations, (10) advertising, (11) press agency, (12) pro- motions, (13) media relations, (14) propaganda.”35 If we carefully analyze these 14 activities regarding public relations, we will see that communication is placed at number two. In the prsa vision, mentioned by the three authors, communication is separately approached but it is also the basis for the rest of the 13 activities comprised within the pr concept. Alongside the American approach, where public relations reach maximum expansion at the level of society, we consider it necessary to also present a European perspective. We have chosen the definition of German researcher Heinz Flieger:

Public relations are understood as functional actions contributing to maintaining and developing the potentiality of the pluralist systems. pr consists of informational, communicational and interactive potentialities, capable to establish a climate of transparency and openness both within the organization and outside of it. The purpose of public relations is to make public and legitimize different organizations’ interests, aims and negotiations. From a social point of view, through the respon- sible use of certain PR methods, instruments and techniques, supported by a serious scientific basis, these manage to create a transparent social system. Public relations will influence the organization’s decision factors due to their function of integrating the system’s internal and external realities. Also, they will influence the decision

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making processes within the social system contributing to conflict prevention and mitigation by offering compromise solutions. The social system’s identity, integrity and reality will be improved with the help of all these.36

All fields of activity where public relations have a specific role are based on communication, on informational transfer and counter-transfer. Just like the other approaches, this one too highlights the multiple meanings of this concept and the fact that the process of communication binds together these human activities. As a conclusion, we would like to mention that this approach comes to state the omnipresence of the communication process, a process which helped the human society to become structured and to develop. Because we live in an era when the mass-media play an overwhelming role, the last approach of this study will focus on the concept of media communication. The first approach to communication within mass-media belongs to the same three American authors mentioned above in the context of public relations: Doug Newsom, Judy Vanslyke Turk and Dean Kruckeberg. We will present here their opinion about the public information (publicity) concept: “Public relations is often used as a synonym for publicity, but the two activities are not the same. Publicity is strictly a communications function, whereas pr involves a management function as well. Essentially, publicity means placing information in a new medium—either in a mass medium (such as television, newspaper or internet) or in a specialized medium (such as corporate, association, trade or industry magazines, newsletters, brochures, including quarterly corporate reports or cd-roms).”37 As a consequence, any type of public information, including the mass-media one, has the communication process as its basis. The second approach to the connection between mass-media and communication is also the shortest and clearest one and it belongs to Gheorghe Schwartz. In his book Politics and Press, he makes the following assertion: “Mass-media means communication.”38 The development of mass-media has rapidly increased in the past 50 years. The communication process has diversified into different electronic forms of transmission of information. About this topic Charles R. Berger considers that “within the context of the new communication technologies zeitgeist, the notion of mediated social interaction immediately brings to mind various communication options afforded by computers, video conferencing, video telephones, and mobile telephones.”39 Along with this dispersion and diversification of communication, with respect to mass-media, the effects these electronic means of mass communication have on people, as well as their power to influence, are very important. The vi-

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sion about this phenomenon is well highlighted by Walther et al.: “The Internet and related technologies have the potential to have as great an impact on the social, organizational, political, and relational interactions of our daily lives as other media such as the television and the telephone have had in the past.”40 The influence phenomenon is mostly observed in the political field in which politicians’ images or public reactions concerning the political field are presented and sustained online: “the Internet offers a wide scope of possibilities to engage in political activities like visiting political blogs, researching political information, following online news, participating in forums, discussing politics by e- mail, or organizing electronic petitions.”41

ur scientific approach has focused on demonstrating our hypothesis that the communication process is omnipresent and it represents the O basis of the humanity’s evolution and development. This isn’t just a simple working hypothesis; it is our belief with respect to this phenomenon’s importance and amplitude. All the above-mentioned approaches lead to a single conclusion: our hypothesis is validated and our belief proves to be true. Due to the complexity of the term, it would have been impossible to analyze all the forms and approaches to the concept of communication. Throughout this work we tried to take into consideration some of the most important names in the field, who have been preoccupied with the study of communication and who, through their work, led to the emergence, crystallization and development of a new field of research called communication science. Together with the valida- tion of our hypothesis, we have observed the researchers’ difficulty in finding a complete definition of the communication process, because it is omnipresent and, furthermore, it constantly develops and permanently changes in keeping with the new realities, making its description impossible. For those who raised the question—what would the world be without communication?—we have an answer: this is not possible because the social dimension of the human being im- peratively demands the existence of communication. From the two simple forms of communication, verbal and non-verbal, this process permanently developed and diversified contributing to the development of humanity and to the transmission of information towards the new generations. Communication isn’t just a support for our development and evolution, but also a basis for those who will come after us. In this study we have focused on the importance of communication within interpersonal relations, as interactions (between the human being and the environment) on a conscious or unconscious level exist permanently and they can influence us to varying degrees. These interactions are forms of informational transfer and counter-transfer, ultimately leading us towards certain states or beliefs regarding the surrounding reality. They are ways in which we

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influence the environment or the environment influences us. At the end of this study we would like to emphasize the power of the word. The two approaches presented here, the religious and the scientific one, lead to the same conclusion: the word is very important and it has the power to influence us; with its help we can also influence others. Even if technique comes and amplifies this phenomenon, the word’s power to influence comes from the interpersonal communication based on the verbal message or transmitted through non-verbal and paralinguistic forms. q

Notes

1. Melvin L. DeFluer and Sandra J. Ball-Rokeach, Theories of mass communication (New York: Longman, 1989), 4. 2. Ibid. 3. Ibid., 5. 4. Ibid. 5. Raymond Scupin, Cultural anthropology: a global perspective, 8th edition (Boston etc.: Pearson, 2011), 28. 6. DeFluer and Ball-Rokeach, 6. 7. Ibid. 8. Ibid. 9. Scupin, 34–35. 10. DeFluer and Ball-Rokeach, 9–10. 11. Ibid., 23. 12. The Holy Bible: Revised Standard Version Containing the Old and New Testaments, eds. Herbert G. May, and Bruce Metzger, The Gospel According To John 1: 1 (New York: Oxford University Press, 1962), 1284. 13. Apud Michael Kunczik and Astrid Zipfel, Introducere în ºtiinþa publicisticii ºi a comu- nicãrii, trans. (Cluj-Napoca: Presa Universitarã Clujeanã, 1998), 12. 14. Apud ibid., 15. 15. Ibid., 14. 16. Ibid., 15. 17. Denis McQuail, Communication (Aspects of Modern Sociology), second edition (Lon- don–New York: Routledge, 2014), 2, 5. 18. Ibid., 5. 19. Ibid. 20. Ibid. 21. Apud Gabriela Hener, “Communication and conflict management in local public organizations,” Transylvanian Review of Administrative Sciences 6, 30E (2010): 134. 22. Ibid., 135. 23. McQuail, 5. 24. Mich„le Jouve, Comunicarea: Publicitate ºi relaþii publice, trans. (Iaºi: Polirom, 2005), 25.

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25. Isabelle Nazare-Aga, Manipulatorii sunt printre noi, trans. (Bucharest: Niculescu, 1999), 105. 26. Ibid., 107–108. 27. Alex Mucchielli, Arta de a influenþa: Analiza tehnicilor de manipulare, trans. (Iaºi: Polirom, 2002), 197. 28. Ibid., 190. 29. Ibid., 192. 30. Ibid., 193. 31. Robert L. Heath, ed., Encyclopedia of Public Relations, vol. 2 (Thousand Oaks, ca: sage Reference, 2005), 753. 32. Kathleen Fearn-Banks, Crisis communications: A casebook approach (New York: Rout- ledge, 2011), 2. 33. Ioana Iancu and Delia Cristina Balaban, “Religion and Political Communication during Elections in Romania,” Journal for the Study of Religions and Ideologies 8, 24 (2009): 154. 34. Cristina Coman, Comunicarea de crizã: Tehnici ºi strategii (Iaºi: Polirom, 2009), 162. 35. Doug Newsom, Judy Vanslyke Turk, and Dean Kruckeberg, This is pr: The Realities of Public Relations, seventh edition (Belmont: Wadsworth/Thomson Learning, 2000), 2. 36. Apud Rolf Berger, Hans Dieter Gärtner, and Reiner Mathes, Unternehmenskommu- nikation (Frankfurt am Main: Gabler, 1989), 25. 37. Newsom et al., 4. 38. gheorghe Schwartz, Politica ºi presa (Iaºi: Institutul European, 2001), 65. 39. Charles R. Berger, “Interpersonal Communication: Theoretical Perspectives, Future Prospects.” Journal of communication 55, 3 (2005): 429. 40. Joseph B. Walther, Geri Gay, and Jeffrey T. Hancock, “How do communication and technology researchers study the internet?” Journal of communication 55, 3 (2005): 652. 41. Tom P. Bakker and Claes H. de Vreese, “Good news for the future? Young people, Internet use, and political participation,” Communication Research 38, 4 (2011): 453–454.

Abstract Communication and the Power of the Word

This article refers to the concept of communication and to the power of the word. Through this study we wanted to highlight the complexity of the communication process, as well as the fact that it represents one of the engines of development in society. The first part of the article presents the main evolutional periods of the human race, together with the most important stages in the crystallization and development of communication. The second part refers to the main theoretical approaches through which communication is explained and defined.

Keywords communication, human being, word, power, manipulation, understanding, intentionality

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From Decentralization to Independence in 21st Century Europe Economic and Legal Challenges of Developing the eu’s Institutional Framework on the Backdrop A l e x i s D aj of a Hyper-Technological Economy

“Social support may be one 1. Introduction of the critical elements distin- n the aftermath of the financial guishing those who remain and economic crisis, and on the I background of the independence healthy from those who movements within the European Union become ill.” (eu), a paradoxical question arises: does the European integration foster centri fugal forces that can break apart sub- national entities from some of the member states? This is a vital problem, which can be analyzed only after a careful examination of the conceptual foundations related to the design of the institutional framework of the Eu- ropean Union. This analysis has to be Alexis Daj Lecturer at the Faculty of Economic Scien performed both from economic and ces and Business Administration, Transyl- legal perspectives, while focusing on vania University of Braºov. Author, among the disruptions and opportunities gen- others, of the book Dreptul afacerilor erated by the knowledge economy and (Business law) (2011). a hyperconnected society.

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In this setting—characterized by the Europeanization of law and the constitutionalization of the European Union—scholars (e.g. Ladeur 2010) examine if the eu is able to be the successor of the nation-state under conditions of globalization and represent a more competitive political entity at international level.

2. European Legal Integration: Federalism and Constitutionalism in the European Union

he constitutionalization process of the eu is a subject that has claimed much attention, especially the latest set of constitutional developments T (which started with the Laeken Declaration and ended with the coming into effect of the Lisbon Treaty). Currently, the eu faces the issue of how to coordinate the supra-national law adopted and implemented within a regional organization with the existing national-state laws. In order to solve this problem, certain general legal principles must be elaborated for guidance. In an attempt to break the deadlock generated by the rejection of the Consti- tutional Treaty (ct) in 2004, the Treaty of Lisbon (tl, adopted in 2007) departs from the approach of the Constitutional Treaty and the “federal” model (that assumes “eu law is inherently superior to member state law, and that it is inherently expansive in that it may continually encroach upon member state law”) by supporting a “pluralist” model (in which “eu law coexists with member state law on a roughly equal footing, and eu law is maintained within strict limits in relation to member state law”)—thus generating parallel (coexisting without either one being superior to the other) and overlapping (in part merged, but still separate) spheres between eu law and member state law (Cooper 2009, 2). From a structural point of view, the Treaty of Lisbon is composed of two core treaties: The Treaty of the European Union (teu) and the Treaty on the Functioning of the European Union (tfeu). The former deals with the Eu- ropean Union, while the latter takes the place of the Treaty on the European Community (Treaty of Rome), whereas the three-Pillar structure is eliminated (Inocencio 2010). Although many of the initial roles of the eu institutions are still valid, Inocencio considers that the changes implemented by the Treaty of Lisbon considerably altered the institutional framework of the eu, which is why it is essential to examine some of the provisions of the treaty and factor in their influence on the relationship between member states and the eu. On the one hand, the Treaty of Lisbon salvages most of the innovations of the rejected project of the “European Constitution,” but on the other hand it avoids its “constitutional” symbolism and wording:

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• The eu legal personality is recognized (Article 47, teu). • The eu can only act within the limits of the powers conferred by the member states, i.e. the competences of the Union are restricted according to the principle of conferral (Article 5, 1/2 teu). • The principle of subsidiarity is recognized (Article 5/3, teu) and furthermore, the role of national Parliaments is introduced in the Protocol on Subsidiar- ity and Proportionality (Article 12, teu) through the “Early Warning System,” reinforcing the powers of member states in the eu institutional framework. • Similar to federal political systems, the Treaty underscores the dual representation in the common eu institutions (citizens in the European Parliament and member states, through the Council). • The European Council is established as one of the main institutions of the eu (Article 9, teu), with the introduction of a President of the European Council by Qualified Majority Voting (qmv) for a term of two and a-half years, renewable (Article 15/6, teu). • The Treaty of Lisbon also introduces a new High Representative of the Union for Foreign Affairs and Security Policy chosen for a five-year term (Ar- ticle 18/3, teu). • A new method for determining qmv under which votes are not based on “weighted voting,” but on the concept of “double majorities” (the number of states and number of citizens) is also adopted. Finally, the Treaty explicitly regulates the right of withdrawal from the eu by member states (Article 50, teu). • Moreover, addressing the need for a more competitive and efficient institutional framework, but also incorporating the case law of the ecj, the Treaty of Lisbon manages to change the balance of power between the individual institutions. In this respect, Inocencio (2010) stresses that the Treaty on the Function- ing of the eu (tfeu) replaces the ec Treaty, and implements significant changes: it demarcates the sphere of competences of the Union by splitting it into exclu- sive competences (Article 2/1, tfeu), shared competences (Articles 2/2; 4, tfeu) and coordinated competences (Article 2/5, tfeu). • The powers of the European Parliament are reinforced in the co-decision procedure, now entitled “ordinary legislative procedure,” in the appointment of the European Commission, its President, and the New High Representative, but also in several other areas. • The jurisdiction of the Court of Justice of the European Union (the former ecj) has been extended encompassing the whole Area of Freedom and Justice (i.e. the “Old Third Pillar”). As a consequence of the Lisbon Treaty, the powers of the European Com- mission have also been amplified, especially in relation to the tfeu, which pro-

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vides for unanimity in the Council when amending proposals if the Commission does not agree with the amendment (Article 293). Another important aspect of how the Lisbon Treaty moves the eu closer to the competitive networked political entity of the future is related to the reinforcement of the role which the Committee of the Regions (cor) has in the law-making process and in the way it protects the interests of autonomous regions and promotes decentralization. While, in the game of Multi-Level Gov- ernance, member states sought to preserve control of the Community funding component (which was, in principle, supplementary to their national expendi- tures), under the Maastricht Treaty the Committee of the Regions gave sub- state authorities their first formal basis for participation, with indirect representation and consultative status alongside the Economic and Social Committee (Daj 2014). The implications of these reforms will be further discussed in the following sections.

3. Macroeconomic and Technological Factors Shaping the eu’s Institutional Framework and Competitiveness

he modern state evolved along with the emergence of complex nets of transactions based on industry and on complicated commercial arrange- T ments. The greater scale of activities allowed by the modern state presented important advantages for both economic and political actors (Shively 2013). In his study “Small Worlds,” Michael Burgess (2013) stresses that the nature of the national political economy tends to have either a binding effect (which stimulates federal unity) or a dismantling effect (which can nurture the desire for secession) upon some constituent units. This is the reason why all federations and federal systems have to have an operative federal fiscal transfer system with instruments designed to solve issues concerning resource allocation, distribution and redistribution. Quoting the 2013 European Competitiveness Report—ecr (drawn up by dg Enterprise), as well as recent literature, Guarascio (2014, 1) considers that improving competitiveness is at the top of the eu Commission policy agenda—since competitiveness is at the heart of economic growth. He believes in the necessity for a deeper understanding of the concepts of growth and competitiveness— mainly because the analysis and the policy proposals of the eu Commission regard the current situation in Europe as if it were only related to a price competitiveness problem, neglecting the essential role of innovation and technological

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competitiveness. Accordingly, technological competitiveness will represent one of the major European challenges for the coming years. The Global Competitiveness Report 2014–2015, which assesses the competitiveness landscape of 144 economies, defines competitiveness as “the set of institutions, policies, and factors that determine the level of productivity of a country” and emphasizes that “the level of productivity, in turn, sets the level of prosperity that can be reached by an economy.” As eu–27 gdp growth was flat in the second quarter of 2014 compared with the first one (i.e. 0.2% growth in annualized terms), Guarascio (2014) observes that the Eurostat data outline a state of never ending depression encompassing also the “core” eu countries. He underlines that the crisis (which began in 2008) has exposed a dangerous polarization in Europe: “a strong ‘core’ composed by a group of Central (Germany, Austria and, to some extent, the Netherlands), Northern (Sweden and Finland) and Eastern countries (Czech Republic, Po- land and Slovakia) with a modest growth trend but with political and financial power”; and “a weak ‘periphery,’ populated by most of the Central and Mediter- ranean countries (France, Italy, Spain, Portugal and Greece) as well as by those Eastern countries which didn’t manage to integrate themselves in the industrial system of the ‘core’ (Romania and Bulgaria, among others),” which are con- fronted with sometimes harsh recessions, while losing essential segments of their industrial base. However, Guarascio also notices the positive aspects of the 2013 ecr, which mentions that the eu as a whole enjoys a comparative advantage in most of the manufacturing sectors, and indicates that technology is the main source of the European industries’ competitiveness, and consequently, the wide manufacturing base, product complexity, immaterial competences and a strong position in international value chains represent vital assets, which must be preserved. While many determinants drive productivity and competitiveness, the Global Competitiveness Report 2014–2015 presents the rankings of the Global Com- petitiveness Index (gci), which is based on 12 pillars of competitiveness, providing a wide-ranging picture of the competitiveness landscape in countries around the world. Within the Global Competitiveness Index, the 12 pillars are grouped into three categories: • Basic requirements subindex—is key for factor-driven economies (encompassing 4 pillars: 1. Institutions, 2. Infrastructure, 3. Macroeconomic environment and 4. Health and primary education); • Efficiency enhancers subindex—is key for efficiency-driven economies (encompassing 6 pillars: 5. Higher education and training, 6. Goods market efficiency, 7. Labor market efficiency, 8. Financial market development, 9. Techno- logical readiness and 10. Market size);

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• Innovation and sophistication factors—are key for innovation-driven economies (encompassing 2 pillars: 11. Business sophistication and 12. Innovation). According to The Global Information Technology Report 2014 (gitr), information and communication technologies (icts) represent key enablers of innovation and new employment opportunities, while their benefits increasingly materialize into tangible assets—thus strengthening digital ecosystems (Bilbao- Osorio et al. 2014). As illustrated in the gitr 2014, Europe has been “at the forefront of developing a digital ecosystem” as a key element that advances innovation and competitiveness. Consequently, several European countries lead the Networked Readi- ness Index (nri) rankings, while six European economies—Finland, Sweden, the Netherlands, Norway, Switzerland, and the United Kingdom—are situated in the top 10. While presenting details on how Internet Protocol (ip) networks support the concept of the Internet of Everything (IoE) and exploring how ip networks boost big data’s transformational impact on individuals, businesses, and governments around the world, the gitr 2014 concentrates also on methods of leveraging data-driven innovation’s potential—i.e. increasing the social and economic value of data, but from the perspective of use and purpose rather than volume. Therefore, recognizing the importance of technological advance, the Euro- pean Commission has conceived its Digital Agenda as one of seven flagship- initiatives and has integrated it into the growth strategy Europe 2020—in order to maximize the positive effects of icts and generate synergies and positive ex- ternalities. On this backdrop, K. H. Ladeur (2010, 5) identifies another important and surprising impact of modern icts—namely that “technology has also deeply changed the role of territory within the nation state”—and concludes: “If one takes the transformation process of society in European countries seriously, the reconstruction of eu institutions should follow the new relational rationality that emerges in the differentiated social systems.” Moreover, in the context of widespread broadband 4G/lte mobile and wire- less Internet access, Daj (2014, 190) highlights problems generated by mobility, its result being “that those with a stake in what happens in a place are not only local residents or citizens of a specific administrative-political jurisdiction.” The effect is that place governance needs to consider a broader public which is connected to the so-called “soft spaces”—alternative administrative geographies that can be used as a policy tool to enable the cross-sectoral policy coordination goals of strategic spatial planning. In this context, the eu should also concentrate on accommodating this new perspective of technology-defined space into the regulated institutional frame-

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work, since the meaning of distance itself and its consequences are changing, and accordingly, the importance of geographical distance is diminishing in favor of other types of distance, such as institutional, cognitive, organizational, or social distance.

4. The Pursuit of Independence in 21st Century Europe and the Need for a New Competitive European Paradigm

s the analysis of the political, legal, economic, and technological factors has already shown, small sub-national advanced entities seem to gain A an advantage (in both economic and political terms) as direct recipients of the increases in performance (e.g., through local knowledge and specialization, easier administration of public and social goods provision) generated by technological disruptions, the freer trade and the economic opportunities made possible by globalization. These events produce a “critical juncture,” a “policy window,” by which localism or independence movements may occur (Duke 2014, 24). The eu, as a post-Westphalian regional system of legal governance (i.e. a transitional realm within the multi-level configuration of global legal relations), offers a clear crossing point of global and local legal norms and institutions and—notwithstanding its unwillingness to take a strong position in specific recent cases—retains an exceptional and undeniably unprecedented role in the legal shaping of political community with regard to state-making and state-breaking questions (Walker 2014). On the backdrop of intensifying European integration, the paradox of separatism within the eu can be partly explained by the effects of globalization and the pervasive implementation of icts that have eroded many of the advantages generated by the political and financial economies of scale—benefits that a local region used to receive from its parent nation state.

4.1. Decentralization, Regionalization and Independence in the eu: Between the “Europe of the Regions” and the Secession of European Sub-National Entities

he United Nations Research Institute for Social Development (unrisd) considers that decentralization is valuable since it tries to “reduce rent T seeking behavior and seeks to reduce resource allocation associated with

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centralized power by dispersing such power to lower levels of government” (unrisd 2010, 278). In this study, we share Duke’s (2014, 17) view according to which decentralization is an arrangement of governance where choices are “made by those who have most knowledge about the local area and conditions” and “can be defined as the delegation of decision-making powers to a grassroots body of people”; therefore, “the lower the level where decisions are made, the greater the degree of decentralization.” Crucq and Hemminga (2007, 13) highlight the connection between decentralization and regional autonomy, while appreciating that regionalization in the eu happened predominantly in Spain, the United Kingdom, Italy, France and Belgium. In their opinion, the regionalization process can be described as the “division of an area, in this case a state, into regions and the transfer of administrative and political responsibilities to those regions.” The World Bank (2001) differentiates between four types of decentralization: political, fiscal, administrative, and market decentralization—all manifesting themselves in different forms and combinations across countries, within countries, and within sectors. White (2011, 2) stresses that decentralization (especially administrative decentralization—Crucq and Hemminga 2007, 5) is “generally broken down into three different but related processes”: deconcentration (whereby the central government disperses responsibilities for certain services to regional branch offices without any transfer of authority); delegation (when the central government transfers responsibility for decision-making and administration of public functions to local governments—which are not fully controlled by central governments but are accountable to them); and devolution (when the central government transfers authority for decision-making, finance, and administrative management to quasi-autonomous units of local government, which have members elected by their region’s citizens and can often generate their own revenues and have independent authority to make investment decisions). While the idea of a “Europe of the regions” (in which local governments would substitute states as the primary building blocks of a more fully integrated Eu- rope) became widespread as early as the 1980s, efforts to create formal channels for regional involvement in eu governance have generated only limited results until 1993, when the Maastricht Treaty entered into force, encouraging the “Eu- rope of the regions” paradigm by enacting the principle of subsidiarity in eu law (according to which authority over any given area of competency should be conferred at the lowest possible political level), founding the Committee of the Regions, and permitting regional ministers to participate in member state del- egations at the European Council—if considered suitable by the member state (Connolly 2013).

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Through the enforcement of the Lisbon Treaty (since 2009), eu regions’ scope and force of action increased—on the one hand—by their legal recognition as regions through access to European structural funds, and through rights- based and anti-discrimination actions granting linguistic and cultural protection for minority groups, and—on the other hand—by the strengthened role of the Committee of the Regions obtained through the legal provisions which compel the Commission, Council and Parliament to consult it on problems regarding local or regional government, thus permitting it to challenge eu laws that might infringe the principle of subsidiarity (Walker 2014). In the context of the possibilities to engage in “para-diplomacy” provided by the eu to stateless nations, many nationalists have perceived these decentralization and regionalization tendencies as an opportunity to achieve independence from their parent member states and attempted to use the new European mechanisms and institutional framework in reaching their goals. Although we can identify several nationalist sub-state independence movements in the eu (e.g., in Scotland, Catalonia, Flanders, Corsica, the Basque Country and Northern Italy etc.), the cases of Scotland and Catalonia present important aspects of European separatism in the 21st century. Therefore, we will summarize the main traits of these two independence movements.

a) Scotland On 18 September 2014, the saga of the Scottish referendum ended when the people of Scotland voted by 55.3 per cent to 44.7 per cent to remain a part of the United Kingdom (Mullen 2014). No matter what the exact starting point of Scottish history is, the history of Scotland is heavily intertwined with that of its southern neighbor—England. In 1603, a Scottish king, James VI, succeeded to the English throne, thereby bringing the two kingdoms under one rule (Wencker 2014). Connolly (2013, 60) considers that “Scotland’s existence as an independent state ended in 1707, when the Scottish parliament entered into the Treaty of Union with England” and thus the Treaty dissolved the Scottish parliament and transmitted ultimate political authority to London. Centuries later, the Scottish National Party (snp) was founded in 1934. Furthermore, after the discovery of oil in the North Sea in 1970, many nationalists requested an increased Scottish control over its own resources and revenues, and declared that Scotland could prosper economically as an independent state. Wencker (2014) stresses that the first steps towards more Scottish autonomy weren’t started by the snp, as expected, but were initiated by Tony Blair’s La- bour that won the elections in 1997, after having made promises for referenda on devolution. Connolly (2013) highlights that, in contrast to the unsuccessful

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devolution referendum of 1979, the Scotland Act, introduced in 1998 by the Labour government, was strongly supported by Scottish voters. The Scotland Act provided for the establishment of a local Scottish Parliament and, in 1999, the first Scottish Parliament since 1707 met at Holyrood outside Edinburgh. Afterward, according to Mullen (2014), at the May 2007 election, the snp at- tained the largest number of seats and formed a minority government. In August 2007, it initiated a “National Conversation” on Scotland’s constitutional future. The United Kingdom government’s reaction was to establish in April 2008 the Commission on Scottish Devolution (the “Calman Commission”) in order to investigate possibilities for constitutional reform within the United Kingdom. On 25 January 2012, Alex Salmond, the First Minister of Scotland, revealed plans to hold a referendum on Scottish independence in the autumn of 2014, while the government of Prime Minister David Cameron militated against Scot- tish independence. However, in the Edinburgh Agreement concluded on 15 October 2012, the British government conceded the Scottish Parliament authority to hold a referendum, and the two governments decided the ground rules for the referendum process (Connolly 2013). Ironically, the outcome of the Scottish referendum demonstrates that uk’s distinctively “unwritten” constitution (with its unique standing as a national constitutional arrangement lacking a canonical textual authority) and the very flexibility of constitutional content (able to accommodate radically different political arrangements and legal forms)—both allowed by the bare doctrine of par- liamentary sovereignty—have encouraged a striking continuity of constitutional form (Walker 2014).

b) Catalonia Located in the Iberian Peninsula, Catalonia is currently a part of the Spanish state, which is the result of the gradual integration and disintegration of several kingdoms and territories. Originating from a great medieval empire (Catalonia represented the leading part of the Crown of Aragon, which ruled over a powerful trading empire that extended throughout the Mediterranean), the Catalans exhibited characteristics specific to modern statehood, such as a common language and well-developed political, legal, and economic structures and had, de facto, an independent country until 1714 (Wencker 2014). After the Spanish Civil War, nevertheless, General Francisco Franco—during 36 years of dictatorship—created a centralized state and was resolute to put an end to the “Catalan problem.” Only alleviating the Catalan pursuit for national ideals, the transition process to democracy (subsequent to the death of General Franco) and the Constitution of 1978 established a state “based on the indis- soluble unity of the Spanish Nation, the common and indivisible country of all

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Spaniards, that guarantees the right to autonomy for the nationalities and regions of which it is composed (arts. 1.2 and 2 Spanish Constitution)” (Bartlett and Enric 2014, 65). The Spanish Constitution does not guarantee to the regions any particular set of distinct competences, and therefore Spain lacks at least the formal attributes of a federal system, being a unitary state. Nevertheless, reforms have gradually converted the country into a regionalized system constructed on three levels of subnational self-government. Thus, there are 17 Autonomous Communi- ties, two Autonomous Cities (special administrative units, halfway between a municipality and an Autonomous Community), 50 provinces and 8,111 mu- nicipalities. The Autonomous Communities constitute the primary level of territorial self-governance in Spain. The handover of responsibilities to the Autonomous Communities is based on the principle whereby all responsibilities not expressly attributed to the State by the Constitution are devolved to them, which is why the Autonomous Communities have gradually assumed more administrative responsibilities, although there is an evident weakness of intergovernmental relations and the Senate is not able to accomplish its mission as a Chamber of territorial organization. In this context, the Autonomous Communities have little power to influence the State, even in issues that directly affect them. The economic arguments are of great significance in the Catalan case. Wencker (2014, 47) considers that “Spain has been economically crippled by the financial crises since 2008, and is still dealing with the severe consequences today. Unemployment rates have been slightly decreasing recently, but are still up at a soaring 24.5% of the population, with youth unemployment reaching a staggering 53.5%.” Although Catalonia is also in economic crisis—with 23.1% of the Catalan working force being unemployed, Wencker (2014) shows Cata- lonia’s advantaged position, which, with a population of 7.5 million—16.1% of the entire Spanish population, generates 19.9% of the Spanish gdp, making it the wealthiest of the 17 Autonomous Communities in Spain, also in terms of gdp per capita.

valuating the overall claims of separatist movements, Walker (2014, 30) highlights the fact that “the economic and political structure of a E supranational union can provide avenues of opportunity to regions not available within the solitary state” and believes that “regions now have free access to a community-wide market of 500 million people, and these open fron- tiers can help promote joint economic activity and encourage cultural connections between regions.”

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Closing his analysis, Connolly (2013, 78) asserts that it “is overly simplistic to conclude that the eu encourages or discourages separatism or that it makes secession easier or more difficult” and therefore a thorough examination of three facets of the eu with a particularly important role in shaping sub-national self- determination claims is needed every time a specific case is scrutinized: “the respective roles of states and regions in eu institutions, the rules governing eu membership, and the debates over the future of Europe” in the aftermath of the Eurozone economic crisis (ibid., 79). Recently, as a possible response to a new set of problems that the old region- alism was either not aware of, or was not designed to address, the development of so-called “macro-regions” within the eu (e.g., the Baltic Sea Region, the Danube Region, the European North Sea Strategy, the Black Sea Synergy, or the Adriatic-Ionic Initiative) represents a model of both flexible integration and regionalization schemes (Daj 2014). Therefore, Walker (2014, 30) voices his conviction that all of the abovementioned factors “speak not to a directly prescriptive role of the eu in matters of polity- making, but to a more subtly (re)constitutive role,” while “the emerging structure of regional opportunities we have described testifies to the ways in which the eu, just by providing a new level of political community, begins to reframe the terms on which we conceive of political membership.”

4.2. Regulation of Secession of European Sub-National Entities and its Consequences in International Law and in eu Law

he legal issues generated by separatist movements in Europe have to be addressed both from an eu and international law perspective—mainly T because such a challenge to the geo-political status-quo has to be checked not only in terms of socio-political legitimacy, but also of constitutional and international legality. In this respect, Walker (2014) and Connolly (2013) depict the interlaced legal framework related to the right to self-determination, secession and its consequences relative to eu membership in very reserved terms. Connolly (2013, 67, 68) states that “International law is frequently described as taking a neutral stance towards secession; acts of secession are evaluated under domestic law, while international law is only concerned with regulating secession’s consequences” and “nonetheless, secession is clearly disfavored” while “in the post- colonial era, it would appear that the right to self-determination never amounts to a unilateral right to secede.” For Walker (2014, 26), self-determination (spe-

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cific for international law) and secession are two “liminal concepts . . . situated both within and outside the boundary of legality.” Connolly (2013, 68) pinpoints the origins of the modern concept of self- determination in us President Woodrow Wilson’s Fourteen Points following the First World War. Wilson’s idealistic vision of self-determination implied that “well-defined national elements” should be given “the utmost satisfaction that can be accorded them without introducing new, or perpetuating old, elements of discord or antagonism.” Walker (2014, 26) identifies the concept of self-determination in a number of influential postwar instruments (e.g., in Art. 1(2) of the un Charter; in the common Art. 1(1) of the two global human rights treaties adopted by the un in 1966; and in the General Assembly’s Resolution 1541 (XV) of 1960 and in its later Declaration on Friendly Relations of 1970). Although he emphasizes the fundamental role of self-determination, as a “cornerstone of the international legal system,” that “allows us to identify the legitimate subjects of international law—those collective state actors to whom sovereignty is attributable and whose territorial integrity is to be respected,” Walker also acknowledges the limits to that right. Summarizing the main findings of the studies on self-determination and secession, we can highlight the following. After the adoption of the un Charter, the legal status of self-determination has changed and self-determination became almost entirely associated with the process of decolonization, manifested in the form of a right to independent statehood—only when applied to overseas or “saltwater” colonies (Connolly 2013, 70). Secession without the former parent states’ consent is an exception for non-colonial territories in the un Charter age (the only successful examples are Bangladesh, Eritrea, and Kosovo). According to international jurisprudence, there is an option of a possible but much disputed right to “remedial secession” but only as a means of last resort to counter the oppression of a minority population (which is deprived of fundamental democratic liberties and is exposed to severe human rights abuses)—a case that is not congruent with the situation of European sub-national entities, which are democratically entitled and socially and economically protected poli- ties (Walker 2014, 15). From the point of view of the legal consequences entailed by a potential successful secession of a European sub-national entity, Connolly (2013) identifies two aspects: the first is mainly related to the eu membership question for the newly founded political entity and the second is linked with the international law issue of treaty succession and state continuity and extinction. In respect to the eu membership question, while sub-state nationalists just assume direct eu membership for their new states (or, at least, an easy admission

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through an accelerated and streamlined procedure), the otherwise reserved and neutral eu officials (e.g. the former European Commission President Jose Manuel Barroso) opined that a new state created by secession from an eu member state would have to apply for membership on its own, following the eu’s regular application procedure as provided under Article 49 of the teu (the latter position corresponds to the practice of international organizations, being supported by both eu and international law). The general rule in international law regarding the law of state succession, as mirrored in the 1978 Vienna Convention on Succession of States in Respect of Treaties, assigns continuing treaty commitments to all successor states covering the territory of the predecessor state, but this principle is subject to a far-reaching exception for international organizations (the effect of Article 34 being limited by Article 4 of the Convention)—this limitation applies especially in the case of an organization as profoundly and intricately integrated as the eu. Therefore, “it is required simply to indicate which entity in a post-separation context should be the single continuator state, thereby automatically inheriting the existing rights and obligations of club membership and avoiding the burden of any special rules and procedures associated with membership acquisition” (Walker 2014, 16). As international law commonly assumes the persistent existence of states (even if states are faced with losses of territory or population), the extinction of states is relatively rare, and the overarching principle concerning state continuity and extinction that the un and several international organizations (e.g., the International Monetary Fund and the World Bank) have embraced proclaims that “a member state retains its membership despite a loss of territory, while a new state established on the former territory of a member state must apply for membership on its own” (Connolly 2013, 86). Consequently, by reviewing the history of international practice and the regulations concerning secession of European sub-national entities and its consequences in international law and in eu law, we consider that the most realistic perspectives for sub-state national entities for the future encompass two main elements: there is only room for a consensual, negotiated secession from their parent state (in order to obtain international law legitimacy); and the most likely way of joining the eu (as newly formed political entities) is that of regular, “non- priority” eu accession.

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5. Conclusions

s the study of extant literature has shown, the European Union can be best described as a sui generis political entity and subject of international A law which could represent a new form of “networked” statehood based on a complex system of international and multilevel institutional arrangements. The main eu problem is related to the fact that its institutional spread and complexity reflect the composite nature of the eu polity and the challenges presented by the way in which it combines distinct areas—national (Council and European Council), supra-national (Commission, Court of Justice) and popular (European Parliament)—with the interests of these individual actors only partially reconciled in a political form which holds no unchallenged core of sovereignty. We consider that the reframing role of the European Union (including the support for sub-national participation in the eu legislative process) alters the cal- culation of the instrumental and symbolic value associated with statehood and its alternatives, modifying the balance of sub-national forces in Europe, and offers the possibility to focus on generating a deeper bond between its institutions and its citizens and on constructing a stronger identity—be it through civic, political, economic, technological, or cultural means. Furthermore, the future development of the eu will be certainly shaped by the explosive evolution of technology and by the deep cultural, social and economic changes it entails—transformations that have a significant disruptive potential, which will further allow for centrifugal forces to exert pressure on the member states if not properly addressed through a modern, pragmatic and streamlined European and national institutional framework. Nevertheless, the legal and administrative success of the European Union could be further enhanced by developing a proper European citizenship and through strengthening the common European sense of belonging and identification of the people living within the eu—because, as Dr. Kenneth Pelletier (1994, 137) of the Stanford Center for Research and Disease Prevention writes, “a sense of belonging . . . appears to be a basic human need—as basic as food and shelter. In fact, social support may be one of the critical elements distinguishing those who remain healthy from those who become ill.” q

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References

Bartlett, C. and R. Enric. 2014. “Scotland and Catalonia: Two Historic Nations Challenge a Three Hundred Year-Old Status Quo.” American International Journal of Social Sci- ence 3, 4 (July): 63–75. Bilbao-Osorio, Beñat et al. 2014. The Global Information Technology Report 2014: Re- wards and Risks of Big Data. Geneva: World Economic Forum. Burgess, M. and S. Keil, eds. 2013. “Small Worlds: The Character, Role and Signifi- cance of Constituent Units in Federations and Federal Political Systems.” L’Europe en Formation (Brussels: Centre International de formation européene, 2013), 54, 369: 7–19. Connolly. C. K. 2013. “Independence in Europe, Secession, Sovereignty, and the Euro- pean Union.” Duke Journal of Comparative and International Law 24, 51: 51–105. Cooper, I. 2009. “Mapping the Overlapping Spheres: European Constitutionalism after the Treaty of Lisbon.” Paper prepared for the meeting of the European Union Stud- ies Association, Los Angeles, ca, 23–25 April 2009. arena—Centre for European Studies University of Oslo. Crucq, P. and H. J. Hemminga. 2007. Decentralization and Economic Growth per capita in Europe. Gröningen: University of Gröningen Science Shop of Economics and Business. Daj, Alexis. 2014. “Economic, Legal and Technological Facets of the European Union’s Regional Policies in a Networked World.” Bulletin of Transylvania University of Braşov (Braşov: Transylvania University Press), 5th ser., 7 (56), 2: 189–196. Duke, B. 2014. “‘Small is Beautiful,’ Analysing the Democratising Effect of Localism, Greater Regional Autonomy, Decentralisation and Constitutional Reform.” Euro- pean Journal of Interdisciplinary Studies 6, 2: 14–35. Guarascio, D. 2014. “Which Competitiveness for Europe?” In 20th Conference on Alter- native Economic Policy in Europe 2014—What future for the European Union—Stagna- tion and polarisation or new foundations? Rome: Sapienza University. The Global Competitiveness Report (2014–2015), issued by the World Economic Forum. Inocencio, F. G. I. 2010. “Reconceptualizing Sovereignty in the Post-National State: Statehood Attributes in the International Order.” Ph.D. thesis. Nottingham: Not- tingham Trent University. Available at: http://irep.ntu.ac.uk/R/-?func=dbin-jump- full&object_id=211913&silo_library=gen01 Ladeur, K. H. 2010. “The State in International Law.” Comparative Research in Law & Political Economy. Toronto: Osgoode Digital Commons, CLPE Research Paper. 27/2010. Vol. 06, no. 6. (Available at: http://digitalcommons.osgoode.yorku.ca/ clpe/94) Mullen, T. 2014. “The Scottish Independence Referendum 2014.” Journal of Law and Society 41, 4: 627–640. Pelletier, K. R. 1994. Sound Mind, Sound Body: A New Model For Lifelong Health. New York: Simon & Schuster. Shively, W. Ph. 2013. Power & Choice: An Introduction to Political Science, 14th edition. New York: McGraw-Hill.

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Walker, N. 2014. “Beyond Secession? Law in the Framing of the National Polity.” Edin- burgh School of Law Research Paper 2014/51; Europa Working Paper 2014/11. Avail- able at http://papers.ssrn.com/sol3/papers.cfm?abstract_id=25. Wencker, T.M. 2014. “An ever more divided Union? Contemporary separatism in the European Union: a comparative case study of Scotland, Catalonia and Flanders.” Master thesis. Available at Leiden University Libraries: https://openaccess.leidenu- niv.nl/handle/1887/29130. White, S. 2011. Government decentralization in the 21st century. Report of the csis program on crisis, conflicts, and cooperation. Washington, D.C., Centre for Strategic and International studies. Available at http://csis.org/files/publication/120329_White_ Decentralization_Web.pdf. United Nations Research Institute for Social Development (UNRISD)—Combating Poverty and Inequality—Report. 2010. Geneva, unrisd.

Abstract From Decentralization to Independence in 21st Century Europe: Economic and Legal Challenges of Developing the eu’s Institutional Framework on the Backdrop of a Hyper-Technological Economy

Contemplating the economic crisis and the independence movements within the eu, a paradoxical question arises: does European integration foster centrifugal forces that can break apart sub- national entities? This study will answer the question after a careful examination of the conceptual foundations related to the eu’s institutional framework. The author conducts his investigation from both economic and legal perspectives, focusing on the disruptions and opportunities generated by a hyperconnected society and following three directions. First, he considers the evolution of the eu’s Institutional Framework from the perspective of juridical and political science. Second, he identifies the most important macroeconomic and technological factors shaping the eu’s institutional framework and competitiveness. Third, he assesses the main traits of separatism and provides key features of a new competitive European paradigm.

Keywords comparative advantage, eu’s economic competitiveness, decentralization, separatism, “soft spaces”— alternative administrative geographies

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Formes de la subversion dans la prose satyrique M a r i u s N e n c i u l e s c u des années ’80

A u cours des années ’80 du siècle « Il avait été décidé de nous dernier, dans un Braşov dépourvu de obliger à sortir bénévolement maisons d’édition, paraissaient, sous forme de suppléments à la revue Astra, au travail, pour embellir plusieurs recueils de prose satyrique une rue de la périphérie. » roumaine et étrangère1, comprenant entre autres des morceaux d’un carac- tère assez subversif. Ainsi, c’est para- doxalement à l’époque de « restalinisa- tion » et de durcissement du dogma- tisme et de la censure que voit le jour la plus importante série d’anthologies satyriques de l’histoire littéraire roumaine de l’après-guerre. Une telle contradiction reflétait bien le caractère équivoque de la politique officielle de l’époque Ceauşescu, qui avait toléré, parallèlement à la production de propagande, une littéra- ture à visée purement esthétique, qui Marius Nenciulescu osait souvent critiquer ou évoquer des Chargé de cours à la Faculté de génie erreurs et des faux commis non seule- des matériaux et de l’environnement de l’Université technique de Cluj-Napoca. ment par le régime Gheorghe Gheor- Auteur, entre autres, du vol. Dimitrie ghiu-Dej – condamné ouvertement par Stelaru şi paradigma poeticã a anilor ’40 la nouvelle direction du Parti – mais (Dimitrie Stelaru et le paradigme poétique aussi par les dirigeants contemporains. des années ’40) (2011). Il est vrai pourtant qu’une telle mani-

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festation « ne pouvait pas représenter le lieu du grand refus, de la contestation massive et globale du pouvoir ».2 Toutefois, après 1965, le genre de la satyre a bel et bien subi en Roumanie une mutation profonde : renonçant à l’attaque virulente contre l’ennemi de classe et contre l’Occident, typique des années ’50, la satyre passe dans la zone neutre des vices humains (l’ivrogne, le flagorneur, le carriériste) ou professionnels (le gérant malhonnête, etc.), pour arriver enfin à la critique de la société et, implicitement, du système et du mouvement artistique officiel, le réalisme socialiste.

e premier type de prose satyrique subversive qui se laisse identifier dans les anthologies Astra est représenté par la description crue de l’atmos- L phère sombre du quotidien sous le communisme.3 Ion Cristoiu, dans son « Dicþionar de întâmplãri, personaje şi locuri secundare. Admiterea. “De o mie de ori de ce”. Dacia 1300. Iordache Câmpureanu » (Dictionnaire d’anecdotes, de personnages et de lieux secondaires. L’examen d’entrée. « Pourquoi, mille fois, pourquoi ? ». La Dacia 1300. Iordache Câmpureanu), évoque sans ména- gements l’échec de l’agriculture collectiviste, qu’il illustre par le désastre d’une « coopérative agricole de production » qui n’avait pas de quoi payer sa facture d’électricité et dont les employés gagnaient « deux lei par jour de travail, et à la fin de l’année, au lieu de les recevoir, devaient les donner ».4 Un tel texte n’a pu éviter les écueils de la censure qu’en feignant de parler – comme l’indique le titre – d’un espace secondaire (la campagne) et imaginaire (le village de Vintileasa, absent de la carte), peuplé de personnages secondaires (gens simples, ayant des professions modestes, sans fonction politique). Autrement dit, l’œuvre décrivait une prétendue exception à la règle générale, sous une forme textuelle modeste, sans visée universelle. Mais Cristoiu ne s’en contente pas et élargit la perspective, cette fois-ci sous l’aspect du manque chronique de matériel, au groupe plus prestigieux de la Mi- lice. Dans cette anecdote, la simulation pompeuse d’un contrôle routier, devant la presse et la population civile, tourne au grand guignol lorsque les conduc- teurs, pourtant bien éméchés, ne parviennent pas à faire verdir les éthylotests, défectueux. Le contraste entre l’intention et le résultat, entre le but poursuivi et les moyens employé est savamment distillé dans un style proche de la narration journalistique, qui accumule les détails, la peinture des réactions et les points de vue des différents témoins oculaires. Enfin, l’écrivain préoccupé des affaires « publiques » ne dédaigne aucun sujet « délicat », et évoque par exemple les faux dépassements du plan quinquennal, le retrait de livres incommodes du marché ou encore, dans les mots de l’époque, le détournement de la propriété collective (une escroquerie par laquelle la direction d’une entreprise hydroélectrique utili- sait l’essence attribuée à la société pour faire fonctionner les véhicules personnels).

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On voit ainsi apparaître un monde à mi-chemin entre le banal et l’absurde, où chacun se débrouille comme il peut, et sur lequel pèse un pouvoir politique chaotique, grotesque dans ses manifestations – le café du village occupé par la bibliothèque d’idéologie politique, où personne n’étudiait rien, « car les volumes de la bibliographie obligatoire commandés par le département n’étaient pas arrivés et n’allaient jamais arriver »5 – et peu crédible dans ses promesses : les ouvriers souriant sur les affiches de propagande « bien que jaunis par le temps, devenus presque transparents, au point qu’on voyait à travers eux le métal rouillé du panneau, contemplaient là-haut, au loin, une chose que ceux de Vintileasa, dans leur manque d’éducation politique, ne pouvaient voir : les lendemains qui chantent, les usines scintillant fièrement sous le soleil d’un éternel après-midi, les villes aux immeubles blancs nichées dans la verdure, les avions qui faisaient briller leurs ailes dans l’azur du ciel printanier ».6 Une même image morne de la vie sous le communisme émerge des textes traduits. La courte mais suggestive narration intitulée « Raritate anticã » (Rareté antique)7 de l’écrivain soviétique Tatiana Andreeva présente une image qui de- vait être familière aux lecteurs roumains des années ’80 : les queues. Un couple d’amoureux s’arrête devant un magasin fermé pour se contempler dans la vitrine comme dans un miroir. D’autres passants s’arrêtent à leur tour, par reflexe, en demandant « Que vend-on? »8 Au bout d’un moment, les jeunes gens s’en vont en se tenant par la main, à la grande satisfaction de la foule qui faisait la queue derrière eux. « C’est ainsi que la vie devient plus joyeuse »9, c’est la conclusion de l’auteur, qui laisse entendre que l’amour est la seule expérience qui puisse sauver l’individu du gris quotidien. Il convient d’ajouter à ces œuvres qui décrivent des situations exemplaires les portraits, qui sont axés sur la radiographie de la vie intérieure. Ainsi, dans « Ozeneul » (l’ovni), Ioan Groşan propose le cas d’un technicien vétérinaire de 43 ans qui, rentrant un soir dans son village après un séjour prolongé chez une dame de Cluj, aperçoit un ovni dans la forêt de Baciu. Bouleversé, il l’annonce au garde forestier, qui raconte l’évènement à la ronde, de sorte que toute la communauté est rapidement au courant de tous les détails de l’étonnante rencontre. Mais le protagoniste n’y trouve au début que des malheurs : le maire le prévient que des journalistes sont attendus au village, et qu’il ne doit pas leur mettre la puce à l’oreille : « Ce n’est pas le moment, tu comprends ? Nous n’en sommes qu’à la première monte des vaches, par contre, nous nous occu- pons de voir des soucoupes volantes... Pourquoi attirer l’attention ? [...] Rien que pour ce trimestre, on est en retard de 2 tonnes de lait sur le plan ! »10 Le brigadier le visite ensuite pour lui faire signer une déclaration officielle et lui suggère d’avouer « pour le bien de tous, qu’il n’avait rien vu dans la forêt, ou qu’il avait eu la berlue parce qu’il était en état d’ébriété »11 etc. Mais Ilie Pop,

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têtu, refuse de mentir ; pire, il en parle à un journaliste, qu’il conduit d’ailleurs sur les lieux, dans un carrosse gracieusement offert par le Conseil populaire. C’est ainsi que le quotidien du département fera une large place aux réalisa- tions du village, et évoquera, sous la rubrique « Divers » du samedi suivant, la possibilité qu’un ovni ait atterri dans la forêt voisine. Heureuses d’avoir bien passé « l’inspection » et constatant, par la publication de l’entrefilet, qu’il était permis de parler de tels « évènements », qui étaient des faits scientifiques et non pas « mystiques », les autorités locales se proposent d’exploiter le phénomène. L’histoire ridiculise ainsi deux lieux communs de la société roumaine sous le communisme : la dépendance d’un centre qui décide de la signification à donner à chaque évènement, et la capacité des petits chefs locaux à virer de bord à tout moment, en fonction de la situation.

e deuxième type de prose satyrique subversive est représenté par les textes analysant les incongruités du quotidien, à la recherche des ressources L comiques les plus savoureuses. La tonalité joyeuse, l’aspect ludique, la sympathie manifeste de l’auteur envers ses personnages cachent dans ce cas une satyre mordante du caractère formel, purement spectaculaire de la réalité « de nos jours », qui verse souvent dans la caricature. L’écrivain cubain Miriam surprend un tel cérémonial dans « Şedinþã fulger » (Réunion éclair)12, où les participants assistent passivement au monologue du directeur, dont les propositions n’ont pas à être discutées. Le directeur ayant exi- gé que les prises de parole soient réduites au minimum, les employés choisissent la concision extrême et la seule attitude qui leur évite les problèmes – le silence :

Camarades, dans le cadre de cette réunion nous devons aborder plusieurs points, c’est pourquoi, pour ne pas perdre inutilement le temps, nous vous prions [...] de vous en tenir aux sujets inscrits à l’ordre du jour, car nous savons que les camarades ont travaillé toute la journée et ont besoin de repos ; en outre, les camarades mères doivent aller chercher leurs enfants à la maternelle, et nous ne voulons pas les re- tarder sans motif. Pour plus d’efficacité, nous vous prions de vous inscrire à la parole en levant la main dans l’ordre, et de vous exprimer le plus brièvement possible. [...] Si quelqu’un souhaite ajouter quelque chose ?... Personne?... Parfait, camarades, alors je déclare la réunion close.13

« O duminicã voluntarã » [Un dimanche de volontariat] de Valentin Silvestru évoque un sujet de prédilection des auteurs satyriques, sauf dans les années ’50, qui est introduit rapidement, à la Caragiale, dès la première phrase : « Il avait été décidé de nous obliger à sortir bénévolement au travail, pour embellir une rue de la périphérie. »14

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Le secrétaire du Comité syndical tente de mobiliser les volontaires en faisant appel premièrement à l’utopie : « Nous prendrons une rue modeste sous notre aile spirituelle [...], nous l’embellirons, nous nous attacherons à ses habitants pour toute la vie. »15 Voyant que cet argument n’a pas d’écho, il recourt à la contrainte, exhibant la liste des employés et obligeant ces derniers à la signer en guise d’engagement de participation. Mais les volontés se laissent difficilement plier, et le détachement de volontaires se réduit peu à peu de 46 à 16 personnes. Arrivées enfin sur les lieux, celles-ci constatent stupéfaites que le représentant local n’était pas là pour les accueillir et leur donner les instructions. En outre, les volontaires doivent affronter la méfiance des habitants : « Mais qui vous a appelés ? », « Avez-vous une autorisation de la mairie ? », « Vous n’allez pas au moins couper nos acacias ? », « Mais pourquoi chez nous ? »16 Désemparés, les volontaires se mettent pourtant au travail, nettoient et balaient la rue, qui n’était d’ailleurs pas pavée. Les conséquences seront aussi chaotiques que l’action : le détachement sera chaudement félicité par le Comité syndical et recevra une amende de la société de salubrité de la ville, parce que « Vos hommes ont sali une rue qui venait d’être nettoyée à l’aube par nos très compétents salariés. »17 Sous le couvert de la prose divertissante, Silvestru évoque ici des aspects plus graves et profonds. Il montre comment une personne animée par les meilleures intentions, une fois prise dans l’engrenage du système communiste de travail, est transformée non pas en héros admiré de tous, mais en victime ou, pire, en clown. L’anomalie, l’absurde sont surpris à l’aide de toute la palette de motifs, personnages, techniques et procédés du comique, ce qui n’est pas pour étonner, car l’auteur est également un théoricien en la matière.18 On voit ainsi à l’œuvre le motif comique de la vision erronée des choses, le personnage mécanique qui force la réalité à se plier à des conventions, la transgression des règles de l’interaction verbale, l’attitude exaltée en contraste flagrant avec la banalité de la situation, les sautes d’humeur, le commentaire auctorial à tonalité naïve, etc.

e troisième type de satyre subversive aborde le thème de la condition de l’artiste et de l’art sous le régime communiste. Iosif Naghiu, dans L « O dezbatere reuşitã » (Un débat réussi), pose ainsi le problème de la conception-réception de l’œuvre réaliste socialiste à partir du cas concret de sa propre pièce de théâtre, dans laquelle un jeune zootechnicien entreprend de moderniser la ferme où il travaillait, laissant ainsi sans emploi sa propre femme, « une jeune et talentueuse trayeuse ».19 Or, le conflit entre l’ancien et le nouveau était un sujet de prédilection de la littérature officielle et de propagande. Le communisme se voulait « l’agent de la modernisation, envisagée sous l’aspect de la croissance économique et de la

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transformation du tissu social »20 ; pourtant, dans les années ’80, lorsque le ré- gime se proposa de rembourser la dette extérieure du pays, « on cessa d’investir dans la modernisation des entreprises ; tandis que les pays occidentaux entraient dans “l’ère numérique”, la Roumanie se figeait dans la technologie des années ’70 ».21 Le discours officiel continua pourtant à être marqué par le « symbo- lisme ascensionnel »22 et à exiger avec vigueur la mise en œuvre des dernières conquêtes de la révolution technique et scientifique. Ouvrir les portes à l’innovation est précisément l’idéal qui anime le jeune zootechnicien, et lui fait acheter dans la capitale des machines à traire pour sa ferme. Le fait que cette modernisation fait perdre son emploi à la propre épouse du technicien est justifié par l’auteur, dans un simulacre satyrique de naïveté gauche : « aucune amélioration ne peut se faire sans sacrifice ».23 Dans son par- cours sinueux jusqu’à la scène, la pièce de théâtre s’arrête, comme il est d’usage, sur les bureaux de différents responsables – le secrétaire littéraire du théâtre, le Président du Comité des travailleurs, le directeur – qui formulent des « recom- mandations précieuses » visant à éliminer du texte tout élément « parasitaire et superflu »24, et qui proposent à l’auteur de donner une lecture de sa pièce dans une coopérative agricole. À la coopérative, la délégation littéraire est bien reçue, tout le monde assiste à la lecture, y compris les enfants, et le Président de la ferme apprécie le message du texte, affirmant qu’il est lui aussi soucieux de moderniser son entreprise, mais « à quoi bon avoir des machines à traire si on n’a pas de vaches, à quoi bon avoir des vaches si elles n’ont pas de lait ».25 Après ces débats, le groupe va dans la bibliothèque locale pour dîner et suivre la série télé du samedi soir, Kojak. Confrontée à la vie réelle, l’œuvre réaliste socialiste montre ainsi son caractère idéaliste, utopique26, et en même temps ses pauvres qualités esthétiques. C’est ce dernier aspect qui est également évoqué par Dumitru Solomon dans un texte significativement intitulé « Unitate în diversitate » (Unité dans la diversité). La cible de la critique est un certain « Xcs, scénariste prolifique et passionné »27, qui invente une formule synthétique qui, moyennant de légères variations, produirait une infinité de films, y compris des comédies musicales et des films pour enfants :

Dans une usine (chantier), (exploitation minière), un jeune ingénieur (contre maître) propose un procédé (invention), (granulat) innovant. Mais l’ingénieur en chef s’y oppose. En période de courage auctorial, ce sera le directeur qui s’y oppose, en période de délire créateur (nous y sommes tous sujets...) ce sera le bureau national (mais pas dans sa totalité). Pourquoi tous ces personnages s’y opposent-ils ? C’est évident : parce qu’ils n’aiment pas l’innovation. Pourquoi n’aiment-ils pas

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l’innovation ? Eh bien... (Passons.) Le jeune inventeur du granulat est rétrogradé (par des rétrogrades) ou, dans les moments de délire créateur susmentionnés, muté dans un autre département. Le jeune homme a aussi une vie privée, qu’il néglige pour se consacrer à sa passion de l’innovation. Sa petite amie le quitte (temporaire- ment). S’ils sont mariés, elle déménage chez la mère (la sienne). Comment ces situations dramatiques s’arrangent-elles? Elles s’arrangent bien.28

Le Polonais Jerzy Wittlin, dans son « Vademecum pentru grafomani » (Vade- mecum pour graphomanes)29, prend lui aussi en dérision l’art produit sur com- mande politique : il offre une recette universelle pour composer tous les romans imaginables, à partir de l’amour qu’éprouve le Président d’une coopérative agricole pour la comptable. Dans sa tentative d’adapter le sujet à tous les genres possibles, l’auteur produit de savoureuses énormités :

Le roman pour jeunesse décrira les débuts timides de l’amour entre le Président et la comptable, qui n’iront que jusqu’à un chaste baiser. Mus par leur amour récip- roque, les héros décideront de fonder une association rurale des jeunes agriculteurs, pour améliorer le travail à la coopérative. [...] Le roman fleuve sondera les liens étroits qui unissent le Président et la comptable aux 1500 travailleurs de la coopéra- tive : il décrira leurs rapports avec chaque membre de la collectivité et approfondira la motivation de ces contacts. [...] Le roman satyrique démasquera la conduite petite-bourgeoise du Président envers la comptable, une jeune femme de la plus saine origine. Finalement, la comptable sera nommée Présidente, et son mari – comptable adjoint, ce qui conduira à une nette amélioration dans l’approvisionnement en briques du village.30

a prose satyrique a joui ainsi d’un grand succès auprès du public des années ’80. Ceci était dû à l’illusion de liberté qu’elle offrait en faisant directement ou indirectement référence aux aspects négatifs de l’actua- L 31 lité, en les signalant, les démasquant, les ridiculisant. À l’instar de la critique , la prose satyrique ne fut jamais virulente – ce n’était pas permis. La satyre s’y mêlait à l’humour ludique ou gratuit, avec des résultats esthétiques remarquables. S’oc- cupant aussi bien de l’individu que de l’ensemble de la société, visant (ou pré- textant viser) à corriger tout ce qui était ancien, rétrograde, malsain, ces œuvres dénonçaient en réalité tout un système, pour offrir à la postérité une image plus vraisemblable de la vie sous le communisme. q

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Notes

1. Il s’agit de Prozã satiricã românã contemporanã, sélection par Anatol Ghermanschi, avec une préface de Valentin Silvestru, Braşov, Astra, 1982 ; Se cãsãtoresc dovleceii. Prozã satiricã, sélection par Anatol Ghermanschi, avec une préface de Valentin Silvestru, Braşov, Astra, 1984 ; Cãrãmida cu mâner. Prozã satiricã, sélection et notes par Viorica Mircea, avec une préface de Valentin Silvestru, Braşov, Astra, 1986 ; Tigrul monden : prozã contemporanã satiricã, sélection et présentation par Viorica Mircea, avec une préface de Marin Sorescu, Braşov, Astra, 1989 (paru en 1990). Ont également paru à la même époque : une anthologie de prose fantastique (Trenul de noapte, sélection, avant-propos et notes par Angela Tudorii, avec une préface de Mircea Ciobanu, Braşov, Astra, 1987) et deux recueils de prose universelle contemporaine (Luna în oglinda apei, sélection et notes par Viorica Mircea, avec une préface de Zoe Dumitrescu-Buşulenga, Braşov, Astra, 1988, et Meandre, traductions de textes en langues romanes, sélection et notes par Doina Condrea Derer, Paul Alexandru Georgescu, Viorica Mircea, Tudora Şandru-Olteanu et Cristina Onose, coordinateur Viorica Mircea, avant-propos par Alexandru Balaci, avec une préface de Laurenþiu Ulici, Braşov, Astra, 1989). 2. Daniel Barbu, « Destinul colectiv, servitutea involuntarã, nefericirea totalitarã : trei mituri ale comunismului românesc », in Lucian Boia (dir.), Miturile comunismului românesc, Bucarest, Nemira, 1998, p. 186. 3. Eugen Negrici parle d’une littérature « néo-authenticiste du réalisme mineur » dans sa Literatura românã sub comunism : 1948-1964, vol. 1, 2e édition revue, Bucarest, Cartea Româneascã, 2010, p. 36. 4. In Prozã satiricã româneascã contemporanã, op. cit., p. 44. 5. Ibid., p. 48. 6. Ibid., p. 44. 7. Traduction de Tinca Silvestru, in Se cãsãtoresc dovleceii, op. cit. 8. Ibid., p. 3. 9. Ibid. 10. In Tigrul monden: prozã contemporanã satiricã, op. cit., p. 293. 11. Ibid., p. 301. 12. Traduction de C. Popescu, in Se cãsãtoresc dovleceii, op. cit. 13. Ibid., p. 103. 14. In Prozã satiricã românã contemporanã, op. cit., p. 266. 15. Ibid. 16. Ibid., p. 270. 17. Ibid., p. 273. 18. Voir Elemente de caragialeologie, Bucarest, Eminescu, 1979, et Umorul în literaturã şi artã : glose istorice şi teoretice, Bucarest, Meridiane, 1988. 19. In Prozã satiricã românã contemporanã, op. cit., p. 134. 20. Barbu, « Destinul colectiv, servitutea involuntarã, nefericirea totalitarã », op. cit., p. 181.

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21. Ioan Scurtu, Ion Alexandrescu, Constantin Rezachevici et Stan Stoica (dir.), Enciclo- pedia de istorie a României, vol. II, avant-propos par Ioan Scurtu, Bucarest, Meronia, 2003, p. 72. 22. Ioan Stanomir, « Spectrele lui Ceauşescu », in Paul Cernat, Angelo Mitchievici, Ion Manolescu et Ioan Stanomir (dir.), În cãutarea comunismului pierdut, Piteşti, Paralela 45, 2001, p. 279. 23. Naghiu, « O dezbatere reuºitã », op. cit., p. 134. 24. Ibid., p. 135. 25. Ibid., p. 136. 26. In Strategiile subversiunii. Incursiuni în proza postmodernã, 2e édition, Bucarest, Car- tea Româneascã, 2008, p. 55, Carmen Muşat définit l’idéologie communiste comme « une fiction construite selon les règles de l’utopie (en tant que genre littéraire) ». 27. In Cãrãmida cu mâner, op. cit., p. 319. 28. Ibid., p. 320. 29. Traduction de Nicolae Mareş, ibid. 30. Ibid., p. 395-396. 31. Voir Alex Goldiş, Critica în tranşee. De la realismul socialist la autonomia esteticului, Bucarest, Cartea Româneascã, 2011.

Abstract Forms of Subversion in the Satirical Prose of the ’80s

In the 1980s, during a period of escalating dogmatism and censorship, on the initiative of the edi- tors of Astra magazine in Braşov, the most important anthology series of Romanian and universal satirical prose of the entire post-war literary history was published. Considering the obvious subversive content of the texts, the present study examines the artistic means employed to denounce the working mechanism of the communist system, to emphasize the contrast between the official discourse and an increasingly darker reality.

Keywords communism, short prose, anthologies, Astra magazine, satire, subversion

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sur l’histoire de la Transylvanie. Cultivant Ioan-Aurel Pop et Ioan Bolovan Istoria Transilvaniei de prédilection l’histoire politique et ec- (L’Histoire de la Transylvanie) clésiastique de la Transylvanie médiévale Cluj-Napoca, Academia Românã/Centrul ainsi que l’histoire culturelle des Rou- de Studii Transilvane, Eikon, 2013 mains transylvains à l’époque prémoderne, l’académicien Ioan-Aurel Pop s’arrête cette fois-ci à la formule d’une synthèse, ayant pour partenaire le professeur Ioan a Transylvanie, « territoire de contacts L Bolovan, qui s’est fait remarquer par des et de conflits », selon la définition de contributions de référence à l’histoire de Jean Nouzille (1993), a généré une litté- cette province, liées notamment à l’histoire rature aussi bien riche que variée, où les de la Révolution quarante-huitarde et au approches professionnelles se mélangent mouvement d’affranchissement national avec celles marquées de parti pris national des Roumains, à l’associationnisme cultu- et d’engagements politicoidéologiques. Il rel des Roumains transylvains, à la démo- y a des « histoires » roumaines, hongroises, graphie historique etc. Le livre ci-présent saxonnes de la Transylvanie, tout comme fait en même temps partie d’un projet de chaque génération a, au fil du temps, cru synthèse que le Centre d’Études Transyl- nécessaire d’avancer ses propres impres- vaines de l’Académie Roumaine a ferme- sions sur l’histoire bouleversée de cette ré- ment promu au cours des deux dernières gion, confirmant, en quelque sorte, l’excla- décennies, une synthèse sur l’histoire de mation qui donne le titre d’un ouvrage de l’espace transylvain, nécessaire aussi bien David Prodan, Transilvania şi iar Transil au débat historiographique profession- vania (La Transylvanie, encore la Transyl- nel qu’au public intéressé par l’histoire vanie !). ancienne ou récente de cette province. Le plus récent des livres sur ce thème a L’historiographie roumaine a été appelée, paru en 2013, sous un double patronage dans le contexte du débat contemporain, à éditorial : le Centre d’Études Transylvaines offrir une histoire de l’espace transylvain, et la maison d’édition Eikon. Il appartient à sereine et équilibrée, affranchie des condi- Ioan-Aurel Pop, membre de l’Académie tionnements polémiques, qui marque un Roumaine, directeur du Centre d’Études pas en avant sous l’aspect de l’honnêteté Transylvaines, recteur de l’Université et du professionnalisme. Cette démarche a Babeş-Bolyai, et à Ioan Bolovan, vice-rec- été assumée et menée à bonne fin par le teur de l’Université Babeş-Bolyai, cher- Centre d’Études Transylvains, qui entre cheur au Centre d’Études Transylvaines. 2003 et 2008 avait fait paraître, sous la La présence de cet ouvrage dans le pal- coordination de Ioan-Aurel Pop, Thomas marès scientifique de ces deux auteurs est Nägler et András Magyari, une synthèse le fruit de leurs recherches de longue date en trois volumes, ouvrage de référence

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sur l’histoire de la Transylvanie. C’est dans pas à l’accoutumée dans des ouvrages l’esprit du même exercice de synthèse, plus historique de ce genre. Le livre s’achève condensée et orientée vers un public plus par une bibliographie sélective contenant, large, qu’a vu le jour le présent ouvrage. outre des ouvrages classiques consacrés, La publication de ce livre a répondu à bien des titres de l’historiographie récente une nécessité, celle de réunir dans les pages en roumaine, en hongrois et en allemand, d’un seul ouvrage toutes les informations ainsi que des références de la bibliographie réclamées par le lecteur actuel, de plus en internationale, suivie d’un index de noms plus pressé et tenté d’abandonner la lec- et de localités. ture traditionnelle en faveur du milieu en Tout ouvrage d’histoire est porteur ligne, beaucoup plus attrayant à ce début d’un message, il propose ou réaffirme des du XXIe siècle. valeurs et des attitudes. Un livre sur l’his- Structurée en 18 chapitres, cette His- toire d’un pays multiethnique et multicul- toire de la Transylvanie commence par turel telle la Transylvanie propose ou sug- le monde antique des Thraco-Daces et gère une idée de la manière dont on doit des Romains, pour aboutir à la Première assumer actuellement le passé commun et Guerre mondiale et au parachèvement de vivre le quotidien : « L’entité transylvaine, la Grande Roumanie. L’intention des au- dont l’histoire remonte loin dans le passé, teurs a été de réaliser non seulement une est actuellement une réalité vivante. C’est histoire de la présence et des actions rou- le lieu, unique en Europe, où une église maines en Transylvanie, mais d’évoquer byzantine est placée à côté d’une basilique aussi, d’un point de vue multiculturel, romane, d’une église gothique ou baroque l’histoire des communautés et des identités et même d’une synagogue ! Elle est aussi le transylvaines, qui ont cohabité et interagi, seul lieu où un local de culte orthodoxe se tout au long des siècles, de manière paci- trouve à quelques pas d’un établissement fique ou conflictuelle. C’est une approche gréco-catholique, romano-catholique, cal- moderne, en accord avec les évolutions de viniste, luthérien ou unitarien. C’est un fait l’historiographie contemporaine. Le carac- qui parle plutôt de cohabitation pacifique tère synthétique de l’ouvrage est donné que de conflits et c’est le message que cet par l’éventail d’informations couvrant des ouvrage veut transmettre : il faut connaître domaines des plus variés, depuis l’écono- le passé non pour s’acharner et se venger, mie et la démographie, la vie sociale et mais pour se détendre et vivre en bonne politique, à l’art et la culture, l’histoire de intelligence » (p. 348). l’Église et de la vie religieuse. La rigueur q académique, spécifique de l’écrit histo- Ion Cârja rique professionnel s’allie à merveille avec un langage accessible, rapprochant le lecteur des événements évoqués et l’invitant à y revenir encore et encore. D’autre part, les illustrations et les reproductions font défi- ler sous nos yeux des personnalités, pay- sages ruraux et urbains, monuments pu- blics de Transylvanie qui ne se retrouvent

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cupa con competenza e passione storiogra- Alexandru Ciocîltan Comunitãþile germane la sud de fica dell’argomento. Per questo le sue ap- Carpaþi în Evul Mediu (secolele XIII-XVIII) profondite ricerche negli archivi romeni ed Brãila, Ed. “Istros” a Muzeului Brãilei europei, oltre ad una fruttuosa attenzione “Carol I”, 2015 alle fonti epigrafiche (come dimostrano le appendici documentarie del volume), han- no consentito di colmare in buona parte questa mancanza. a pregevole monografia del dr. L Il quadro in cui si inserisce l’analisi del Alexandru Ciocîltan, ricercatore a Bucarest presso la sezione di storia medievale dell’ libro è quello della colonizzazione germa- Istituto di Storia “Nicolae Iorga” dell’Ac- nica dell’Europa centro-orientale in età cademia Romena, ricostruisce con una at- medievale, che – come osserva giustamen- tenta disamina delle fonti, supportata da te l’autore – fu un processo storico che “ha una profonda conoscenza della letteratu- segnato profondamente e in modo dura- ra storiografica sul tema, le vicende degli turo l’evoluzione del continente” (p. 15). insediamenti di origine germanica nella Il fenomeno, com’è noto, ha avuto avvio Valacchia subcarpatica dall’Età medievale agli inizi del secolo XI, con un apice nei sino alla fine dell’Età moderna. Il corposo secoli XII e XIII, per poi cessare nel secolo e ricco volume è prefato dall’accademico XIV, a causa della stagnazione economica, ªerban Papacostea, che ne evidenzia, per del calo demografico e della Peste nera. l’approfondito lavoro di ricerca e l’inter- La politica feudale nei territori dell’Im- pretazione delle fonti, il consistente appor- pero aveva senza dubbio rappresentato la to scientifico alla ricostruzione delle vicen- molla iniziale di questo vasto movimento. de di una delle più significative minoranze Dopo l’iniziale colonizzazione dei territori nella storia dello spazio romeno. fra Elba, Oder e Saale, variegati gruppi di Quattro gli insediamenti di fondazio- ceppo germanico si spinsero sino in Polo- ne medievale esaminati dall’autore: Câm- nia, Boemia, Moravia, Ungheria, Prussia e pulung, il più consistente e continuativo spazio baltico. Un’onda migratoria meno lungo l’arco di quattro secoli, Târgoviºte, consistente giunse nei territori russi, in Râmnic e Argeº. La comunità tedesca di Moldavia, in Valacchia e nel Balcani. La Bucarest, costituitasi nel corso del secolo composizione di queste popolazioni era XVIII, non è stata presa in esame a causa varia: tedeschi, fiamminghi, valloni, dane- delle sue caratteristiche storicamente eso- si e persino francesi. Il fenomeno fu, sal- gene rispetto al tipo di insediamento nelle vo rare eccezioni, pacifico, e coinvolse in località citate. diversa misura anche le popolazioni slave Uno dei problemi maggiori incontra- e baltiche autoctone. L’alta densità de- ti nel corso della ricerca è stato la scarsi- mografica in Occidente e il mancato con- tà delle fonti, in conseguenza anche delle seguimento da parte di disparati soggetti complesse vicissitudini storiche (p. 13). Le (non solo i contadini, ma anche la piccola fonti già pubblicate e la vasta letteratura nobiltà e i ceti cittadini) di diritti sulla ter- sul tema si dimostravano perciò insuffi- ra o garanzie giuridiche, spinse i medesimi cienti rispetto agli scopi che l’autore si era all’emigrazione verso Est. Ciò produsse prefisso (pp. 13-14). Va ricordato, infatti, peraltro sul piano pratico un’innovazio- che da più di un decennio Ciocîltan si oc- ne tecnologica nella società agricola dell’

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Oriente europeo: l’introduzione dell’aratro Braºov in particolare ricoprì una posizio- col vomere di ferro, l’uso della falce, la ro- ne egemonica nelle attività commerciali in tazione triennale delle coltivazioni (Drei- quell’area lungo i secoli XIV e XV. Questa felderwirtschaft) e la diffusione dei mulini a stessa egemonia territoriale fece sì che la vento e ad acqua (p. 16). comunità godesse di privilegi concessi da Circa le dinamiche di espansione e co- una parte dai re d’Ungheria e dall’altra dai lonizzazione dell’elemento etnico germa- voivoda della Valacchia. Un indizio signifi- nico nello spazio romeno, una premessa cativo, che l’autore ricorda, è che la città di fu senza dubbio costituita dalla conver- Braºov (Corona) non fu fondata dai cava- sione di re Stefano d’Ungheria alla fede lieri teutonici, essendo il suo insediamento cattolica: l’obbedienza romana del Regno più antico (1203) (p. 21). La fondazione d’Ungheria e l’orbita del medesimo nel sis delle quattro comunità esaminate dal volu- tema geopolitico occidentale, favorirono me, avvenuta nella seconda metà del seco- nei secoli XII-XIII l’arrivo dei coloni nei lo XIII, ebbe il medesimo carattere pacifi- territori transilvani, come la provincia di co e mercantile. L’attività e l’insediamento Sibiu, o in quelli posti ai confini settentrio- a scopi commerciali non potevano infatti nali dell’attuale Ungheria, come la contea svilupparsi senza le condizioni di sicurezza di Vizsoly e la regione di Zips (p. 17). Il garantite ai mercanti che operavano lungo re concesse privilegi allo scopo di favori- le vie commerciali che collegavano l’Euro- re l’insediamento e lo sviluppo dei centri pa centrale al Mar Nero, come la strada che urbani. L’arrivo dei coloni germanici in portava, passando dalle Gole del Danubio, Transilvania, denominati tradizionalmen- da Braºov a Brãila, e quindi al tratto finale te “sassoni”, giunti pacificamente quali del Danubio. Quest’ultimo percorso pas- hopistes regni, si intensificò nel XII secolo sava anche da Câmpulung e Târgoviºte. durante i regni di Géza II, Stefano III e L’intensità di tali scambi, e il conseguente Béla III, come è stato dimostrato dalla re- sviluppo urbano, sono testimoniati dalla cente indagine archeologica (pp. 18-19). Cronica di Ottokar di Stiria del 1307 (pp. All’inizio del XIII secolo, durante il regno 22-23), e tali fenomeni non si verificarono di Andrea II d’Ungheria, un diploma re- certo grazie ai teutonici, come voleva una gio del 1224 concesse ai “sassoni” ulteriori certa tradizione storiografica che Ciocîltan privilegi, come il diritto di utilizzare le ter- analizza e confuta nel testo (pp. 45 e ss.), re, i boschi, le acque, di eleggere in libertà quantunque la venuta meno del pericolo i propri preti, di commerciare liberamente tataro avesse favorito condizioni di vita in tutto il regno, di organizzare proprie pacifica necessarie alla vita civile (p. 60). fiere e di essere titolari di un proprio si- Nel corso del tempo vennero siglati una gillo. Queste concessioni furono nei secoli serie di accordi tra i commercianti tedeschi perfezionate ed estese per decisione di di provenienza transilvana e i voivoda, tesi Mattia Corvino, che nel 1486 riunificò da un lato a non mettere in discussione tutte le colonie germaniche presenti nel la signoria voivodale e dall’altra a mante- regno (pp. 20-21). nere un’egemonia commerciale in quella Braºov e Sibiu divennero i due princi- porzione della Valacchia (privilegio di pali centri urbani di insediamento germa- Vladislav Vlaicu del 1368) (p. 25). Non nico e rivestirono un ruolo decisivo nell’ va dimenticato che nel corso del secolo XV espansione dei “sassoni” a sud dei Carpazi. inizierà a svilupparsi a sud dei Carpazi l’at-

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tività dei mercanti autoctoni, dotati di ap- ri” fossero già presenti in Valacchia nella positi privilegi (Dan II, 1424, 1431), e nel metà del secolo XIV, allorché il voivoda secolo successivo si assisterà all’afferma- Nicolae Alexandru, in un atto di donazio- zione dei commercianti levantini (greci). ne alla chiesa di Câmpulung, vi comprese Tutto ciò non poté che ridimensionare non nuclei famigliari di rom (pp. 78-79). solo il ruolo economico dei “sassoni” in I capitoli 3 e 7 del volume sono dedi- quell’area (nel ’400 dediti anche all’alleva- cati alle origini, allo sviluppo e al declino mento, e tradizionalmente alla coltivazio- della comunità “sassone” di Câmpulung ne della vite [p. 61; pp. 161-162]) ma la (Langenau). L’autore si sofferma a ricos consistenza e la struttura stessa dei loro in- truire la struttura e lo sviluppo delle ma- sediamenti urbani (pp. 34-36), all’interno gistrature cittadine, dalla figura di Lau- dei quali si era sviluppata anche una pre- rencius, il “comes” (la cui funzione sarà cisa politica edilizia, come la realizzazione successivamente sostituita dalla figura del di edifici di culto. Fra gli edifici religiosi judex), alla composizione assembleare del ancora oggi spicca la chiesa di san Giacomo governo municipale con i 12 cittadini a Maggiore a Câmpulung (seconda metà fianco del “judex”, denominato “Richter” sec. XIII), che nel volume assume centrale in un raro documento in lingua tedesca del rilevanza non solo per gli aspetti artistici, febbraio 1527, a conferma dell’influsso del ma per il fatto che custodisce il sarcofago modello istituzionale transilvano a sud dei di “comes Laurencius” (1300), definito a Carpazi (pp. 95-96). Si segnalano inoltre giusto titolo l’eponimo della comunità te- le pagine dedicate al ruolo dei cittadini di desca, colui che guidò i coloni che diedero Câmpulung nella lotta anti-ottomana av- avvio all’insediamento subcarpatico (pp. viata alla fine del secolo XIV e protrattasi 71, 78). L’autore dedica peraltro due in- nel secolo XV, con il riferimento all’impor- teri capitoli del libro alla vita religiosa ed tante documento del luglio 1433, analiz- ecclesiastica nelle comunità, e alle varie zato vent’anni fa da Daniel Barbu. In esso fasi di mutamento confessionale dei coloni si menziona “Petermanno de Longocam- (Cattolicesimo, Riforma, Ortodossia), av- po”, “armiger Argensis diocesis”, che re- venute secoli dopo l’insediamento (capp. catosi in pellegrinaggio a Roma assieme a 5, 6). Non va inoltre omesso che gli in- sua moglie Margaretha, sollecitò al papa la sediamenti germanici a sud dei Carpazi, concessione dell’indulgenza ai pellegrini collocati in naturale posizione strategica, devoti o a quanti avessero contribuito ai la divennero anche sede della corte del voivo- vori di restauro della chiesa di San Giacomo da, a conferma del ruolo eminente assunto (pp. 143-144). Interessanti le note sull’or- da questi centri nella storia prestatale del ganizzazione ecclesiastica: la chiesa di principato (pp. 57, 64). L’approfondita Câmpulung rispettava il modello germani- indagine condotta in questo volume rivela co della “Genossenschaftskirche”, la chie- inoltre novità cronologiche sulla presenza sa cioè dove la comunità eleggeva il suo degli “zingari” in Valacchia, grazie ad un prete e vantava un diritto di patronato e atto che antepone la presenza dei rom di un’autonomia amministrativa (pp. 175 decenni rispetto a 1385 (donazione di Dan ss.). Il cap. 4 si occupa degli altri tre in- I al monastero di Tismana). In un docu- sediamenti germanici a sud dei Carpazi, mento (hrisov) dell’aprile 1647 il voivoda Târgoviºte (Tervisch, Tergowisch), Râm- Matei Basarab ricorda come gli “zinga- nic (Rebnick) e Argeº (Argisch), eviden-

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ziandone però la scarsità documentaria e München, Oldenbourg, 1960). Per ques nel contempo confermando la preminente to, esso si propone come uno strumento importanza commerciale legata alla loro importante e utile per lo studio delle vicen- origine e alla loro ubicazione geografica. de dello spazio romeno nel suo complesso, Il declino della comunità di Câmpulung soprattutto se affrontate attraverso la de- fu dovuto a varie cause (pp. 273 ss.). La finizione culturale, confessionale ed etnica pressione fiscale sempre maggiore da parte del suo composito profilo storico. della dominazione ottomana sulla Valac- q chia dalla seconda metà del secolo XVI, e Alberto Castaldini – come già detto – il ruolo sempre più ege- mone dei mercanti levantini, costituirono le premesse del suo tramonto. Le fonti Marinel Ovidiu Koch-Tufiş confermano che nei secoli XVII e XVIII Aspekte der Durchsetzung des la situazione economica della comunità Absolutismus in Siebenbürgen durch “sassone” della città peggiorò progressiva- die Habsburgischen Monarchen mente. Anche i missionari cattolici presen- (1688-1790). Die Finanz- und ti nella prima metà del Seicento descrissero Wirtschaftspolitik la condizione di povertà della comunità lu- Graz : Leykam, 2014 terana (p. 278). A ciò si aggiunse la pressione confessionale e culturale sull’identità germanica originaria, accompagnata dalla Die vorliegende Studie bezieht sich progressiva dispersione dell’elemento lin- auf ein äußerst spannendes Spezialkapitel guistico tedesco (fenomeno da me osser- der habsburgischen Herrschaft im südöst- vato anche presso le comunità tedescofone lichen Europa. Der Wiener Hof sah sich confinanti con le aree romanze dell’Italia mit beträchtlicher Gegenwehr konfron- nord-orientale. Cfr. A. Castaldini, Il ballo tiert, als es darum ging, sich das jüngst sotto il tiglio. Scritti sulle comunità di origi- in die Monarchie einverleibte, an der Pe- ne germanica delle Alpi meridionali, Padua, ripherie verortete und als terra incognita Imprimitur, 2012). Intorno al 1640-1644 klassifizierbare Siebenbürgen im Sinne i 500 abitanti di origine “sassone” rappre- des Absolutismus nutzbar zu machen. Im sentavano il 18,5-20% dell’intera popola- Besonderen durch den Widerstand der zione di Câmpulung (pp. 287-288). siebenbürgischen Stände − Siebenbürger Concludendo, il volume di Alexandru Sachsen, Szekler und Ungarn − gestalte- Ciocîltan, corredato da una ricca appendi- te sich die Umsetzung von Modernisie- ce documentaria e fotografica, rappresenta rungsbestrebungen, Reorganisation und il primo organico contributo alla ricostru- schlussendlich die Mobilisierung sieben- zione storiografica della presenza tedesca bürgischer Ressourcen nach zentraleuro- a sud dei Carpazi in età medievale e mo- päischem Muster als besonders schwierig. derna, ed è paragonabile per la completez- Das Festhalten der Stände an ihren Präro- za alla monografia di Hugo Weczerka sul gativen gab oftmals den Ausschlag dafür, germanesimo in Moldavia (Das mittelal- dass die Durchsetzung des Absolutismus terliche und frühneuzeitliche Deutschtum im in Siebenbürgen nur mühsam gelang und Fürstentum Moldau von seinen Anfängen bis in einigen Bereichen gar in den Kinder- zu seinem Untergang. 13.-18. Jahrhundert, schuhen stecken blieb.

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Vor diesem Hintergrund setzt der Au- Festlegung eines Fixums an Kontribution tor seinen Schwerpunkt auf die Untersu- zu Kriegs- und Friedenszeiten, welches chung der Finanz- und Wirtschaftspolitik. von den Ständen selbstständig eingeho- Diese thematische Fokussierung erscheint ben und in der darauffolgenden Zeit an vor allem deswegen sinnvoll, da die Durch- den Landtagen neu bewilligt wurde. Dass setzung absolutistischer Macht mit einem es dem Wiener Hof gelang, die Stände im beträchtlichen Anstieg der Staatsausgaben Recht zur selbstständigen Steuereinhe- verknüpft war. Die Deckung der steigen- bung zu beschneiden, ist dem Umstand den Kosten, welche der Aus-, Um- oder zuzuschreiben, dass diese im Jahr 1761 Aufbau zentral orientierter Komponenten einer jährlichen Zahlung zustimmten und wie Verwaltung und Bürokratie, Militär, daraufhin der Landtag nicht mehr ein- Polizei und Jurisprudenz verursachten, berufen wurde. Koch-Tufiş bietet ferner versuchte der Wiener Hof in erster Linie detailreich Aufschluss über die Einfüh- durch Steuergelder und die effektive Nut- rung moderner Steuersysteme sowie die zung der regionalen Ressourcen zu stillen. anteilsmäßige Verteilung und Höhe der Infolgedessen war eine vom Wiener Hof Steuerlast auf die verschiedenen Bevölke- gelenkte Finanz- und Wirtschaftspolitik rungssegmente nach Profession und eth- zur Festigung des absolutistischen Staates nischer Zugehörigkeit. Mit Ausnahme der unumgänglich. Besteuerung von Teilen des Kleinadels ab Koch-Tufiş bedient sich einleitend ei- dem Jahr 1714 blieben sämtliche Bestre- ner übergeordneten Perspektive des Phä- bungen zur Aufhebung der Steuerfreiheit nomens Absolutismus, einschließlich sei- des Adels erfolglos. ner Spezifika und Ausformung auf dem Viel Raum gibt der Autor der Wirt- Terrain der Habsburger Monarchie, und schaftspolitik. Das Hauptaugenmerk rich- unternimmt zur Abrundung der Fragestel- tet er dabei auf die Stützpfeiler der sieben- lung eine Charakterisierung Siebenbür- bürgischen Wirtschaft: die landwirtschaft- gens vor dem Zeitpunkt der habsburgi- liche Produktion, den Berg- und Salzabbau schen Eroberung. Drauf aufbauend führt sowie auf die Entwicklungen im Bereich der Autor seine Leserschaft zunächst zur des Gewerbes und des Manufakturwesens. habsburgischen Finanz- und Steuerpolitik Abgerundet wird dieser Themenkomplex in Siebenbürgen hin. Während im autono- durch eine eingehende Analyse der damit men Siebenbürgen die Einkünfte der Fürs- verflochtenen Fragestellungen betreffend ten primär auf Regalien und auf Einkünfte der Handels- und Zollpolitik sowie im aus der Bewirtschaftung fürstlicher Domä- Kontext dessen dem Verkehrs- und Post- nen fußten, wurde unter habsburgischer wesen. Ausführlich schildert Koch-Tufiş Herrschaft, neben Einkünften aus dem jene im Sinn der merkantilistischen Poli- Berg- und Salzwesen, der Münzprägung, tik zweckmäßig initiierten und durchge- dem Zoll- und Mautwesen sowie etwa führten Maßnahmen zur Förderung der dem Zehnt aus der agrarwirtschaftlichen wirtschaftlichen Situation als auch die Produktion, die Kontribution zur bedeu- Charakteristika derselben. Diese Maßnah- tendsten Einkunftsquelle. Bereits durch men erwuchsen vordergründig aus der das Leopoldinische Diplom (1691) er- Siebenbürgen zugeschriebenen Stellung folgte zwischen dem Wiener Hof und den innerhalb der Habsburger Monarchie: Ständen ein Kompromisses bezüglich der Zum einen die Position des Fürstentums

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als Rohstoffproduzent für die Monar- mus in seiner regionalen Ausbildung auch chie und zum anderen als Importeur von aus einer vergleichenden Perspektive wei- Fertigprodukten aus der Monarchie. Der ter zu denken. Wiener Hof versuchte folglich, die wirt- q schaftlichen Verflechtungen mit den an- Sabine Jesner grenzenden Donaufürstentümern und dem Osmanischen Reich nutzbringend zu lenken sowie beispielsweise die Verbin- Mariana Hausleitner dungen der siebenbürgischen Händler mit Die Donauschwaben 1868-1948. Ihre den kommerziellen Drehscheiben etwa Rolle im rumänischen und serbischen in Leipzig und Breslau zu unterbinden. Banat Koch-Tufiş unterstreicht in seiner Analyse, Stuttgart: Franz Steiner Verlag, 2014 dass die periphere Lage Siebenbürgens, die niedrige Konsumkraft der primär bäu- erlich wirtschaftenden Bevölkerung, die Im Jahr 2014 wurde das Buch Die Do- feudalen Zwänge und gleichermaßen die nauschwaben 1868-1948. Ihre Rolle im ru- schlichtweg konservativen Einstellung der mänischen und serbischen Banat im Franz siebenbürgischen Stände gegenüber tech- Steiner Verlag Stuttgart veröffentlicht, in nischem Fortschritt und Modernisierung der Schriftenreihe des Instituts für do- einen Hemmschuh für wirtschaftliche Pro- nauschwäbische Geschichte und Landes- sperität im Land darstellten. Facettenreich kunde Tübingen. Die Autorin, Mariana bespricht der Autor den umgesetzten und Hausleitner ist eine deutsche Historikerin, in manchen Fällen lediglich angedachten die sich mit der Geschichte multiethni- Maßnahmenkatalog zur Hebung der wirt- scher Gebiete Südeuropas beschäftigte. Im schaftlichen Produktivität. Jahr 2000 habilitierte sie am Fachbereich Obwohl in der Historiographie schon Geschichts- und Kulturwissenschaften viel über Konzept und Ausformung des der Freien Universität Berlin; ihre Habi- Absolutismus in der Habsburger Monar- litationsschrift war Die Rumänisierung der chie geschrieben wurde, fehlte bislang eine Bukowina: Die Durchsetzung des national- monographisch umfassende Studie über staatlichen Anspruchs Großrumäniens 1918- die Durchsetzung des Absolutismus in 1944. Das Buch über die Donauschwaben Siebenbürgen. Koch-Tufiş bietet ein stim- fügt sich in der Thematik anderer Publika- miges Erklärungskonzept, wobei er das tionen der Schriftenreihe des IdGL ein, die wechselseitige Verhältnis von ständischer auch zur Geschichte Banats oder Ost- und und fürstlicher Macht, die Beziehung Südosteuropas gewidmet wurden. zwischen Zentrale und Peripherie und Aufgrund mehrerer nicht publizierten auch die Bedeutung der einzelnen Wirt- Archivquellen (wie auch mehreren Zei- schaftszweige mit samt ihren Akteuren ins tungen) behauptet Mariana Hausleitner, Zentrum rückt. Das Buch trägt nicht nur dass einige Aspekte der Geschichte der zum besseren Verständnis der Verzahnung Minderheiten im Banat unterbelichtet von finanz- sowie wirtschaftspolitischen bleiben. Am Anfang stellt die Autorin ihre Aspekten und Absolutismus bei, sondern Hypothese vor. Der Hauptzweck dieser lädt durch den Reichtum an Fallbeispielen Studie ist, die Entwicklungen der Lage der dazu ein, die Durchsetzung des Absolutis- Schwaben in beiden Teilen Banats zu ana-

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lysieren. Am Ende sollten wir erfahren, ob der Schwaben aufgrund ihrer katholischen die unterschiedlichen sozialen Strukturen Glaube und wichtigsten Tätigkeiten (Bau- im Ost- und Westbanat die Radikalisie- ern). Entscheidend für die zukünftige Ent- rung der Schwaben seit 1933 beeinflusst wicklung ist auch die stärkste politische hatten. Strömung der Deutschen im Banat: die Das Buch wurde in sieben Teilen struk- Sozialdemokratie. turiert, darunter eine Einleitung samt Das nächste Kapitel (Banater Sozialisten Forschungsstand und Argumentation (In- und die Minderheitenprobleme 1918-1934) terethnische Beziehungen und Minderheiten- stellt die besondere Lage Banats nach dem politik im Vergleich) und eine Schlussfolge- Krieg vor. Die Gewerkschaftsbewegung rung (Parallelen und Unterschiede im Ent- wird stärker als die Situation der Arbeiter wicklungsweg der Schwaben beider Banater im Rumänien zwischen 1919-1920 ver- Regionen); das Forschungsthema wurde in schlimmert. Es wird herausgestellt, dass fünf Kapiteln sehr ausführlich dargestellt; die Industrieorte im rumänischen Banat die Kapiteln folgen eine logische und chro- ein Zentrum der Arbeiterbewegung ge- nologische Struktur und analysieren im- worden sind; die Sozialdemokraten und mer die beiden Regionen Banats. die Deutsch-Schwäbischen Volksgemein- Mariana Hausleitner erklärt, wie sie in schaft haben zusammen für die kulturelle dem Buch den Begriff Donauschwaben Autonomie der Minderheiten gekämpft verwenden wird: Es soll eine Benennung (bis 1938). Im Westbanat gab es keine sein, sowohl für die Bauern, die im 18. Jh. Arbeiterkultur wegen geringerer Indu- angekommen sind, als auch für die Hand- strialisierung, deshalb war das Gebiet von werker und Facharbeiter, die in Städte an- den Nationalsozialisten nach den 1930er gesiedelt wurden. Jahren leichter zu beeinflussen. Bemer- Selbstverständlich ist das zweite Kapi- kenswert war die Kritik der Neuen Zeitung tel (Die Donauschwaben und ihre Nachbarn aus Temeswar bezüglich des Aufstiegs des vor 1918) eine Schilderung der Herkunft Nationalsozialismus im Deutschen Reich. des multikulturellen Banats. Damit wollte Im Kapitel Nationalorientierte Schwa- die Autorin auf weitere Fragen antworten: ben und ihre Nachbarn 1918-1937 be- Wurden die Beziehungen der Schwaben schreibt die Autorin die Entwicklung der zu den Nachbarn im Ost- und Westbanat Schwaben im Banat in den Bereichen von anders geprägt? Welche waren die politi- Schulwesen und Politik. Die deutschen schen Organisationen der Banater Schwa- Konfessionalschulen bekamen Subventio- ben? Einige konkrete Informationen zei- nen von der rumänischen Regierung und gen, wie sich die deutschsprachige Bevöl- danach von Deutschland; es gab auch eine kerung bis 1900 beschränkt hat. Separat Lehrerbildungsanstalt. Folglich wurde werden die Beziehungen der Deutschen es eine katholische Jugendbewegung be- zu den Serben, Rumänen und Juden ana- gründet. Es wurde gefragt, warum im ser- lysiert. Schon nach dem Ausgleich entstan- bischen Banat kein breites Netzwerk von den die ersten politischen Vereine (welche deutschen Schulen entstanden ist und auch auch schwäbische Mitglieder hatten) und keine Jugendbewegung. Man kann bestäti- ihre Publikationen. Interessante Aussagen gen, dass es im Ostbanat einen schwachen dieses Kapitels waren die Schlussfolgerung Einfluss der Ungarn im Vergleich zu den betreffend die leichtere Magyarisierung Westbanat gab, deswegen haben sich die

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deutschen Kirchen und Schulen im Rumä- Autorin analysiert ausführlich eine schon nien besser entfaltet. In den beiden Teilen bekannte Tatsache: Die Donauschwaben Banats erfuhr man ein Konflikt zwischen wurden im Allgemeinen bestraft, ungeach- Konservativen und Nationalsozialisten; Die tet ihrer wirklichen oder erfundenen Teil- Letzteren wurden vom Deutschen Reich nahme an Kriegsverbrechen. Sie wurden durch Volksdeutsche Mittelstelle unterstützt. erstmals enteignet und dann deportiert; Das fünfte Kapitel Nationalsozialis- wichtige Mitglieder der deutschen Gesell- mus im rumänischen und serbischen Banat schaft Banats saßen in rumänischen Ge- 1938-1944 hat ein interessantes Problem fängnissen. Ein großer Unterschied zu der als Schwerpunkt der Forschung: welche Lage Ostbanats kann man im serbischen waren die Gründe für den Einschluss der Banat erfahren: Hier haben sich die Deut- Schwaben in den ns-Organisationen. Wei- schen durch ihre Verhaltung mehrere Fein- ter fragt man ob die Schwaben großes de gemacht. Die Sclussfolgerung der Un- Interesse an das Eigentum der Juden ge- tersuchung stellt heraus, dass die Gewalt- zeigt haben. Dafür werden die politische aktionen gegen Schwaben im Westbanat Lage im Rumänien am Anfang des Zwei- stärkere und längere als in anderen Staaten ten Weltkrieges und die ersten Maßnah- Südosteuropas waren. Es könnte eine Wi- men gegen den Juden dargestellt. Nach derspiegelung deutscher Verbrechen wäh- der Allianz Rumäniens mit dem Reich rend des Krieges sein; ein entscheidendre wuchs der Einfluss Deutschlands im Be- Aspekt könnte auch das Fehlen einer Opo- reich des Schulwesens der Schwaben. Die sitionskraft in Jugoslawien, während in Banater Schwaben nahmen an einem all- Rumänien es noch einige Fürsprecher der gegenwertigen Krieg teil, als der Angriff deutschen Minderheit gab. gegen Jugoslawien begonnen hat. Aus- In dem letzten Teil des Buchs fasst schlaggebend sind die Wörter einer Ba- die Autorin ihre Schlussfolgerungen zu- nater Nationalsozialisten, H. N. Hockl: sammen, die eigentlich an die vielen ur- „Ein Reichsgau wäre die höchste Krönung sprünglichen Fragen antworten. Für die unserer Arbeit, da die Zugehörigkeit zum Argumentation verwendet sie nicht nur Reich immer unsere höchste Sehnsucht eine umfangreiche Literatur, sondern auch war“. Die Mehrheit der Schwaben wurden zeitgenössische Quellen für jede Epoche: in der Waffen-SS-Division Prinz Eugen Zeitungen aus Banat und nicht nur, Ar- aktiv und wurden mit den Gewalttaten in chivquellen betreffend Massenmorde der Serbien assoziiert. Darüber hinaus, wur- Schwaben in Jugoslawien (Tübingen), den die Deutschen im Ostbanat von der Nationalsozialisten im Banat (Bukarest, rumänischen Regierung teilweise verhin- Temeswar), die konservativen Führer der dert; im Gegensatz, im Westbanat waren deutschen Minderheit (Berlin) usw. Die die Schwaben interessierter, die Juden zu Neuheit dieser Untersuchung besteht aus enteignen. Der Umsturz Rumäniens (23. dem Vergleich zwischen Ost- und Westba- April 1944) und das Kriegsende hatten nat, der aufgrund der Anzahl der Schwa- furchtbare Folgen für die Schwaben, so ben in beiden Gebieten eine angemessene wie wir weiter im Buch erfahren. Komparation ist. Mariana Hausleitner Das letzte Kapitel (Kollektive Bestrafung verfolgt die Entfaltung beider Gruppen der Donauschwaben 1944-1948) ist der Be- geduldig, bis es am Kriegsende ein Un- strafung der Schwaben gewidmet. Die terschied gefunden wird. Die Vielfalt der

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Details jedes Kapitels kann den Text über- with other cultures considered to be mar- häufen; ein Grund für diese Auswahl der ginal, in order to identify what is represen- Autorin soll der folgende sein: Die Studie tative of Romanian literature and culture ist in Deutschland (d. h. für ein deutsches today, in keeping with the standards of Publikum) erschienen und deshalb ent- the European market of symbolic goods. hielt es zu viele Informationen besonders Therefore, acknowledging and including im Bezug auf der Geschichte Rumäniens. several key issues derived from cutting- Der Ton ist sachlich und die Wortwahl ge- edge research on different approaches to eignet, aber die Dichte der Angaben be- post-totalitarian culture (Peter Gay, Peter schwert die Lektüre der Demonstration. Bürger, Peter Sloterdijk, Antoine Com- Der Autorin ist es gelungen so eine breite pagnon, Octavio Paz, Reinhart Koselleck, Darlegung der Argumente bis am Ende zu Marcel Cornis-Pope, John Neubauer and führen und für den Leser neue Auskünfte others), the book is intended to be “an ap- zu herausbringen. proach centered upon the need for a more q active participation of our literature in the Sandra Hirsch European dialogue, through a careful analysis, studies focused on European parallels, embodiments of the subtle relationships of spiritual affinity with other marginal Eu- Rodica Ilie ropean cultures (such as the South-Eastern Revoluþia codurilor culturale. and Central European, or the Portuguese Identitate ºi spirit european în literatura culture, for example) so as to provide in- românã a sec. XX depth knowledge of the mechanisms of lit- (The Revolution of cultural codes: Euro- erature in totalitarian regimes and its ways pean spirit and identity in 20th-century of survival by transgressive codes” (p. 9). A Romanian literature) prominent position is held by the analysis Bucharest: Ed. Muzeul Naþional al Litera- of the imaginary and by aesthetic theories turii Române, 2013 that have underpinned a steady renewal of both artistic codes as well as historical and political circumstances (political interfer- The Revolution of Cultural Codes: Euro- ence, resistance through culture, the estab- pean Spirit and Identity in 20th-Century Ro- lishment of rhetorical strategies, etc.) that manian Literature, a book signed by Rodica determined the existence of some features Ilie, professor at Transylvania University specific to the codes adopted. of Braşov (Romania), is the outcome of The idea of a revolution of codes is tracked extended research work conducted within along two dimensions: in literature and the project “Revaluating Cultural Identi- at the level of ideological representations ties in Global Processes,” co-financed by of the 20th century. The process by which the European Social Fund through the literature becomes a challenging reaction Sectoral Programme Human Resources to codes, understood in terms of devia- Development 2007–2013, under the ae- tion from ideology, subversion in relation gis of the Romanian Academy. The cen- to political power, is thus pinpointed. The tral idea of the author’s approach is to (re) author analyses different ways of repre- define the Romanian cultural relationships senting power, of expressing truth and lib-

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erty, as well as the existence of euphemis- nuclei, groups, models, magazines, repre- tic, subversive, allegorical language codes, sentatives of 20th-century Romanian litera- and the translation from orthos logos to loxos ture, meant to illustrate the fertile dialogue logos, from transparency and transitivity to between the Romanian and European lit- ambiguity, metaphor, or experimentalism erary experiences. There was a time when, of avant-gardist, hermetic, ludicrous-pa- though some personalities such as Tristan rodical nature. The methodology specific Tzara, Marcel Janco, Benjamin Fondane, to hermeneutics, literary theory and criti- Constantin Brancusi, Victor Brauner, Ilarie cism contributes to the identification of Voronca, D. Trost and others, Romanian ways to promote Romanian literary codes literature proved that it is capable of re- among the European models through ex- newal and can maintain a genuine and pro- cellent comparative observations. found cultural dialogue with the European In an initial sequence of her book, the values. author studies the status of literary history q as both a source of models and concepts Ovidiu Moceanu in the revolution of codes, and a mirror of their alteration during various periods. The attention shifts towards some “patterns and practices of literary history and criticism” illustrated by Nicolae Manolescu, Eugen Negrici and Cornel Ungureanu, prominent Romanian literary critics and historians, but also towards the Roma- nian avant-garde, constantly regarded in relation to its European counterpart. What strikes you instantly about the author’s discourse is a very good grasp of references with quick transitions from one cultural area to another, while maintaining a balance between the theoretical and the practical side. Confining the investigation to the avant-garde and innovative movements in Romanian literature up to the middle of the 20th century, Rodica Ilie identifies authors and phenomena which have caused a radical shift in the national literary landscape. Subversive codes and transgressive poetics are the subject of a chapter on authors and phenomena of the second half of the twentieth century. The idea of creating a modern image of Romanian literature is an important quality of the research. Hence the author’s permanent attention focused on identifying

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Tímea Berki, Ph.D. Flore Pop, Ph.D. Program director, Transylvania Trust Associate professor at the Faculty of Political and 14/A Breaza St., Cluj-Napoca 400253, Romania Administrative Sciences and Communication, e-mail: [email protected] Babeº-Bolyai University 71 Gen. Traian Moºoiu St., Cluj-Napoca 400132, Alberto Castaldini, Ph.D. Romania Associate member of the Center for Jewish e-mail: [email protected] Studies of the University of Bucharest 5–7 Edgar Quinet St., Bucharest 010017, Romania Mara Popescu, Ph.D. candidate e-mail: [email protected] Architect, Romanian National Commission for unesco, Culture Subcommittee Ion Cârja, Ph.D. 67 Trèves St., Bruxelles 1040, Belgium Senior lecturer at Babeº-Bolyai University e-mail: [email protected] 1 M. Kogãlniceanu St., Cluj-Napoca 400084, Romania e-mail: [email protected] Flaviu Cãlin Rus, Ph.D. Habilitated professor in communication sciences at Otis Norman Crandell, Ph.D. Babeº-Bolyai University Scientific researcher at the Geology Department, 71 Gen. Traian Moºoiu St., Cluj-Napoca 400132, Babeº-Bolyai University Romania 1 M. Kogãlniceanu St., Cluj-Napoca 400084, Romania e-mail: [email protected] e-mail: [email protected] Florian Dumitru Soporan, Ph.D. Alexis Daj, Ph.D. Researcher at the Center for Transylvanian Studies Lecturer at the Transylvania University of the Romanian Academy 1 Colina Universitãþii, Braºov 500068, Romania 12–14 Kogãlniceanu St., Cluj-Napoca 400084, e-mail: [email protected] Romania e-mail: [email protected] Sandra Hirsch, Ph.D. candidate Babeº-Bolyai University Anikó Szász, Ph.D. 1 M. Kogãlniceanu St., Cluj-Napoca 400084, Romania Researcher at the Transylvanian Museum Society e-mail: [email protected] 2–4 Napoca St., Cluj-Napoca 400009, Romania e-mail: [email protected] Marþian Iovan, Ph.D. Professor at Vasile Goldiş Western University Smaranda ªtefanovici, Ph.D. 94 Revoluþei St., Arad 310025, Romania Associate professor at Petru Maior University e-mail: [email protected] 1 Nicolae Iorga Sr., Târgu-Mureº 540088, Romania e-mail: [email protected] Sabine Jesner, Ph.D. Institute for History, Karl-Franzens-University Hanna Orsolya Vincze, Ph.D. 7/11 Kopernikusgasse, Graz 8010, Austria Lecturer at the Faculty of Political and Adminis e-mail: [email protected] trative Sciences and Communication, Babeş-Bolyai University Ovidiu Moceanu, Litt.D. 71 Gen. Traian Moşoiu St., Cluj-Napoca 400132, Professor at the Transylvania University Romania 29 Eroilor Blvd., Braşov 500036, Romania e-mail: [email protected] e-mail: [email protected] Diana-Mãriuca Vornicu, Ph.D. Marius Nenciulescu, Litt.D. Scientific researcher at the Institute of Archaeology, Associate lecturer at the Faculty of Materials and Romanian Academy—Iaşi Branch Environmental Engineering, Technical University 6 Codrescu St., Pavilion H, Iaşi 700481, Romania 103–105 Muncii Blvd., Cluj-Napoca 400641, Romania e-mail: [email protected] e-mail: [email protected]

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