2015–2016 Editorial Board

Jennifer Andre Jennifer Cha Brendan Coyne Stephen Freeman Kaitlyn Krall Maggie McDowell David O’Connor Sheridan Rosner Tianyi Tan

Editors-in-Chief Irina Celentano Guido Guerra Joe Kelly

The Man Who Would Be King: The Prophetic Iconography of Lysimachus’ Post-Ipsus Tetradrachms

Abstract I aim to show how the iconography of the tetradrachm coin1 of Lysimachus of Thrace utilizes prophetic imagery to express his right to rule as Alexander the Great’s heir. Lysimachus started production of his tetradrachm after his victory at the Battle of Ipsus in 301 B.C.E., and while he used iconographic elements found in the coins of Alexander and the other Successors, Lysimachus modified them circulate a message of his own future might. My interpretation is based on the idea that Lysimachus, unlike his peers, did not have a record of victories with which he could gain the military support to expand his territory. The obverse of Lysimachus’ tetradrachm features a dynamic portrait of Alexander the Great, depicted with his signature anastolé hairstyle, the ram’s horns of Zeus Ammon, and a royal fillet. My examination of extant primary sources and secondary scholarship, demonstrates that each of these attributes relate to Lysimachus’ prophesied rule. The reverse of Lysimachus’ tetradrachm depicts a reclining Athena holding a Nike. I compare Lysimachus’ coin to those of his peers, and argue that both Athena and Nike are derivative but uniquely presented; they reinforce the message on the obverse of future success by implying that Lysimachus is secure in his victory. Ultimately, Lysimachus’ tetradrachm demonstrates the importance how well literary and iconographic propaganda help to establish his right to rule. The overall success of this coin type will be briefly argued by discussing its continual minting well after the death of Lysimachus in 281 B.C.E.

1 All coin plates used with permission pursuant to the non-commercial regulations governing owning entities’ copyright policies. All coin plates © The Trustees of the British Museum or © American Numismatic Society.

Introduction After the Battle of Ipsus in 301 B.C.E., Lysimachus of Thrace began minting a silver tetradrachm coin that innovatively combined iconographic elements from the coinage of Alexander the Great and that of Lysimachus’ fellow Successors Ptolemy I Soter and Seleucus I.2 Ptolemy I Soter had begun minting his own variation on the Alexander III tetradrachms shortly after Alexander’s death,3 and Seleucus I followed Ptolemy’s example in 305 B.C.E.4 Ptolemy and Seleucus incorporated headdresses and Nikes into the iconography of their tetradrachms, just as Alexander had. These numismatic images may be interpreted as Ptolemy and Seleucus’ attempts to express their respective claims to Alexander’s empire by emphasizing their own military accomplishments and those of Alexander before them. The iconographic program of Lysimachus’ tetradrachm also contains these elements, but, until Ipsus, Lysimachus did not possess victories equal to those of

2 The tetradrachm was the most common silver coinage minted circulated during the Hellenistic period. According to the Concise Oxford Dictionary of Archaeology (2nd ed.), a tetradrachm is a silver coin worth 4 drachmas. Brill’s New Pauly states that the weight ratios of coins was usually 1 talent= 60 minai, 1 mina = 50 staters, 1 stater= 2 drachmas, 1 drachma= 6 oboloi. This particular coin had lasting, widespread popularity: Bellinger 1962: 30 argues that the Lysimachean tetradrachm was so popular that originals and copies of the coin occur all over the Hellenistic World for centuries after Lysimachus’ death: See Thompson et al. 1973: nos.138, 141, 142, 144, 158, 163, 175, 176, 181, 332, 444, 448, 449, 454, 850, 867, 1292, 1293, 1299, 1302, 1303, 1356, 1369, 1403, 1423, 1450, 1529, 1537, 1735, 1764, 1766, 1768, 1772, and 1774. 3 These tetradrachms maintained the Alexander tetradrachm reverse, but replaced the Alexander/Heracles obverse with one depicting Alexander wearing an elephant scalp headdress. For the different dating traditions of this coin, see especially Zervos 1967, Lorber 2005, Hazzard 1995: 72, Green 1993: 13, Hölbl 2001: 15. 4 For in depth dating and discussion of the Successor’s coinage, see Mørkholm 1991, cf. Dahmen 2007, and Hadley 1965.

Ptolemy, Seleucus, or Alexander.5 I propose that while Ptolemy and Seleucus’ iconography is primarily focused on the past victories of Alexander and their own present conquests, every aspect of Lysimachus’ numismatic program is designed to emphasize his future reign as Alexander’s heir. Lysimachus utilizes prophetic imagery such as the horns of Zeus Ammon, the royal filet, and the Nike on his tetradrachm to compensate for a past lack of military victory, by implying that his victories had not yet come. The deft combination of divine attributes on the obverse with Athena and Nike on the reverse, along with an examination of literary sources such as Curtius, Arrian, Appian, Plutarch, Justin and Aristotle to contextualize Lysimachus’ iconography, create the prophetic message of Lysimachus’ right to rule as Alexander’s heir. As a mid-level currency, the tetradrachm was not only worth more than bronze coinage, but also was physically larger, allowing for the use of more complex iconography. The iconography of the tetradrachm theoretically needed to be tailored to its specific audience, which posed a problem for Lysimachus, since his new tetradrachm, introduced after Ipsus in 297 B.C.E.,6 was primarily used to pay the wages of his mercenaries and soldiers.7 According to Aristotle (Pol. 5.10.8= 1310b 38 trans. Jowett), kings were individuals who “…have benefited… states and nations; some… have prevented the state from being enslaved in war; others… have given their country freedom, or have settled or gained territory…” The victory at Ipsus and the territory Lysimachus gained in that battle were the foundation of his claim to be the next βασιλεύς βασιλέων, but he did not have any other victories to show.8 The strength of a Macedonian king

5 Lysimachus’ reign in Thrace: Bosworth 2002: 269-72 cf. Lund 1992: 19- 50; Chamoux 2003: 61-62. 6 Thompson 1968, cf. Brown 1981:20 and Dahmen 2007: 49-50. 7 Lund 1992: 162, cf. Hadley 1974: 61; also Dahmen 2007 and Grainger 2007. For the role of silver coinage in particular, see Panagopoulou 2007. 8 For Lysimachus’ role under Alexander, see Heckel 1982 (“The Early Career of Lysimachos.”) For Lysimachus’ assignment to Thrace: Anson 2014: 25-26. Lysimachus’ reign in Thrace: Bosworth 2002: 269-72 cf. Lund 1992: 19-50; Chamoux 2003: 61-62. For Lysimachus’ internal wars

depended on his military accomplishments, which allowed him to reward his army and maintain its loyalty.9 Without a strong military record Lysimachus may have had difficulty justifying his right to rule to his armies. Complicating matters further, Lysimachus was not the only one vying for Alexander’s former territories: he was one of over a dozen Diadochi or ‘Successors’ -those individuals who were competing to acquire portions of Alexander’s empire after his death in 323 B.C.E.10 Lysimachus had to contend with his fellow Successors for the loyalty of his troops, as it was not unheard of for one’s forces to change sides at the most inopportune moments.11 It is possible that a leader’s success in battle depended greatly on the satisfaction of his troops. Until 301 B.C.E., Lysimachus may have been caught in a dilemma: he did not have the forces necessary to expand his territory, but he also lacked the resources normally gained through territorial expansion to satisfy his troops. But after the Battle of Ipsus, Lysimachus gained new, rich territory, and was closer to controlling the entirety of Alexander’s empire than any of the other

in Thrace: see especially Delev 2000 (“Lysimachus, the Getae, and Archaeology.”) 9 For further discussion of Macedonian kingship, see Samuel 1988. For Hellenistic kingship, see Chamoux 2003: 214-54. 10 Many of the Successors played small roles in the Diadochi Wars that ensued after Alexander’s death in 323 B.C.E.; The most well-known of the Successors are as follows: Antigonus I and his son Demetrius Poliorcetes; Cassander, son of Antipater; Lysimachus; Perdiccas; Ptolemy I; and Seleucus I. Secondary discussions of the Successors and their wars are myriad, but for discussion of the initial division of Alexander’s empire after his death in 323 B.C.E., see: Waterfield 2011: 16-22 & 25-6, Anson 2014: 25-28, Bosworth 2002: 29-63. For secondary source discussion of the rumors and propaganda surrounding the death of Alexander the Great, see Bosworth 1971: 112-136. 11 Plut. Pyrrh. 12.6: According to Plutarch, Lysimachus himself managed to sway the troops of Pyrrhus the ruler of Macedonia to his side by chiding them for following a foreigner Plut. Pyrrh. 12.6.

Successors.12 He had the finances needed to attract followers, but not the military prowess to satisfy the Macedonian profile of a king,13 so he still needed to create propaganda to encourage others to follow him despite his sparse credentials. I propose that Lysimachus’ response to this problem was original, and demonstrates how a ruler without the qualifications necessary for kingship could utilize iconography to amass support that was otherwise unobtainable. Lysimachus did not possess a history of military victories comparable to those of his fellow Successors when he began minting his coinage in 297 B.C.E., so I suggest that in order to gain the support of his subjects, he utilized an innovative and subtly propagandistic numismatic program, which anticipates his inevitable inheritance of Alexander’s empire. Propaganda was not an incidental component of these coins, though they are primarily meant to function as currency. Philip Taylor (1995:6-7) defines propaganda as “…the deliberate attempt to persuade people to behave in a desired way…what distinguishes propaganda from all other processes of persuasion is the question of intent.” Alexander the Great was a highly skilled propagandist and issued large quantities of gold and silver coinage on the Attic weight standard, which allowed them to be used throughout the Greek world and beyond.14 The iconography of Alexander’s coins was carefully constructed: in his work Hellenistic Civilization, Francois Chamoux (2003:250) argues that Alexander the Great was aware of the “…value of propaganda of all kinds, not least the value of myth to solidify his hold on the minds of his subjects.” If Alexander’s goal was to capture the attention of his subjects, he succeeded; the iconography of the Alexander III tetradrachm was easily identifiable, comprehensible, and accessible to his diverse subjects, and its universally popular nature ensured its continued use and influence well into the 3rd century B.C.E.

12 Waterfield 2011:173. 13 See footnote 7. 14 See Bellinger 1963: 2n4, also Le Rider 2007: 6-8 for Alexander’s implementation of a single weight coin standard. For Alexander’s role in the designing and production of his coin types, see Bellinger 1963:50-55, Stewart 1993: 93-94.

The Successors must have recognized the confidence Alexander’s portrait inspired, since the iconographic changes they made to this coin type maintain the underlying propaganda of the original Alexander tetradrachm, while still reflecting the political motives and messages of each man. Alexander’s tetradrachm fulfilled the Successors’ need for a universally recognized coinage with an easily adaptable propagandistic program.15 Alexander demonstrated the influence of numismatic propaganda, and Lysimachus, in particular, followed his example by mass-producing a coin whose iconography was simple yet powerful. The act of modeling his coinage off Alexander’s is the first indication that Lysimachus, like the other Successors, was depicting himself as the next ruler of Alexander’s empire.

Lysimachus’ Tetradrachm Lysimachus, tetradrachm, Pergamum. (fig. II.3). Obv.: Head of Alexander III, right, with horns of Zeus Ammon, wearing royal diadem. Rev.: ΒΑΣΙΛΕΩΣ – ΛΥΣΙΜΑΧΟΥ. Athena with Corinthian helmet seated left, holds in right hand Nike. Spear pointed downwards behind Athena, round shield with Gorgon depicted leans against throne. In left field monogram, crescent; monogram under throne.

The Lysimachean tetradrachm (fig. II.3) has a complex iconography. On the obverse, the deified Alexander is depicted16

15 For discussions of Alexander’s propaganda, see Bosworth 2010 and Jones 2007. General history of propaganda: see Taylor 1995. 16 The individual on Lysimachus’ tetradrachm is commonly identified as Alexander, because of a certain similarity between the physiognomies of Lysimachus’ Alexander and the Heracles on the tetradrachm of Alexander (fig. I.1). For similarities between the Lysimachean Alexander and the Alexander Heracles, see Brown 1981; Thompson 1968; Kiilerich 1988: 51- 66. For general descriptions of Alexander’s features, see Plut. De Alex. 2.2; Plut. Alex. 4; Plut. De Iside 24.6.

with his idiosyncratic sweeping and wild anastolé hairstyle, a royal fillet resting upon his head, and the ram’s horns of Zeus Ammon emerging from the mane to curl over his ear. The reverse legend reads ΒΑΣΙΛΕΩΣ – ΛΥΣΙΜΑΧΟΥ, which is the only portion of the coin that directly identifies Lysimachus as its creator. Athena is portrayed seated in loose robes and a Corinthian helmet. A shield rests against the side of her throne, and a spear is stuck into the ground behind her. She holds out a Nike who crowns the “Λ” of Lysimachus’ name. I suggest that the different aspects of the Lysimachus tetradrachms- the anastolé and its connection to Lysimachus’ description in literary sources as a lion-slayer, the divine attributes of the ram’s horn of Zeus Ammon and the fillet of Dionysus on the obverse, and the depiction of Athena and the role of the Nike on the reverse- indicate that Lysimachus compensated for his few military victories in the iconography of this coin; since Lysimachus minted his coinage well after the other Successors, his tetradrachms incorporated the best elements of both their tetradrachms and Alexander’s in order to prophesy Lysimachus’ own coming reign.

The Obverses Alexander III, tetradrachm, Babylon. (fig. I.1). Obv.: Head of young Heracles, right, in lion scalp. Rev.: ΑΛΕΞΑΝΔΡΟΥ. Zeus seated to left, holds in left hand a staff, right hand has an eagle perched on it, monogram below throne and in left field.

Ptolemy I, tetradrachm, Alexandria. (fig. III.5). Obv.: Head of Alexander III, right, with horn of Zeus Ammon, elephant scalp headdress, and scaled aegis. Dotted border. Rev.: AΛEΞANΔPOY. Athena (either Athena Alkidemos or Athena Promachos), right, with shield and spear. In the right field is an eagle holding a lightning bolt in its claws; a

Corinthian-style helmet is above the eagle. Monogram between Athena and the eagle.

Seleucus I, tetradrachm, Susa. (fig. II.4). Obv.: Head of (deified) Alexander III, right, wearing panther helmet, with bull horn and ear. Rev.: ΒΑΣΙΛΕΩΣ – ΣΕΛΕΥΚΟΥ. Winged Nike, right, crowning war trophy.

This section relies on the idea that the Successors tried to imitate the numismatic propaganda of Alexander. The key feature on the obverses of Ptolemy I and Alexander’s tetradrachms is the depiction of Alexander wearing a headdress. On his own tetradrachm, Alexander is presented in the guise of Heracles (fig. I.1), wearing the Nemean lion skin headdress, whose imperviousness to mortal weaponry helped protect Heracles during his subsequent labors.17 A. Brian Bosworth (2010: 49) calls this depiction of Alexander as Heracles “unscrupulous” in its blatant attempt to garner the favor of his subjects by associating himself so closely with the divine. However, B.R. Brown (1981:22) argues that despite the dangers in depicting oneself as a god, the similar physiognomy of Heracles and Alexander demonstrates that either the Heracles head was already synonymous with Alexander before his death in 323 B.C.E., or that the Heracles head depicts Alexander himself in an idealized style. For Alexander, Heracles may have held a special meaning: Heracles was the progenitor of the Macedonian royal family, and later became Alexander’s half-brother through Zeus Ammon.18

17 For discussion of the continuous use of Zeus and Heracles in Macedonian kingship, see especially Hammond 2000; for the role of the gods in a group’s cultural identity, see Bremmer 1997: 16. For references to Heracles and the Nemean lion: Apolld. 2.5.1, Hes. Th. 326, Eur. Her. 153-54, 359. 18 Hdt. 8.137; Thuc. 99.3. Both Herodotus and Thucydides describe the Macedonian royal family as descending from Perdiccas, who could trace his ancestry to Heracles.

The familial connection, combined with the presence of a lion scalp, emphasizes Alexander’s superhuman strength and power as well as his semi-divine status. The Alexander tetradrachm depicts his success in battle to his Hellenistic subjects; to the newly added portions of his empire, Alexander’s iconography serves as a reminder of his undefeated military strength. Whether the portrait on the obverse is Heracles or Alexander in the guise of Heracles is still much debated.19 On the one hand, depicting oneself as divine would, according to Photius, …εἱς ἄκρον ἀλαζονείας ἐλάσαι… (“…drive matters to the height of false pretension...”)20 The hubris of such an action has caused many to assert that the obverse is not Alexander. However, the unidentifiable nature of the portrait may be intentional: Alexander and Heracles are depicted as one being, the same semi-divine heroic personage, whose excellence is what allows him to accomplish his superhuman feats. 21 The Nemean lion skin headdress may also refer to Alexander’s conquest of the Rock of Aornus, a feat which Heracles himself failed to accomplish.22 If this is the correct association, the headdress then connects Alexander’s deeds to those of gods by depicting him wearing a distinctly Heraclean attribute that was acquired through a superhuman feat. However, it could also emphasize Alexander’s military might and superiority over Heracles. Since Alexander, not Heracles, conquered the Rock of Aornus, he wears the headdress proclaiming his superior strength and ability.

19 Scholars who argue for the identification of the obverse as Alexander (in the guise of Heracles) include: Bieber 1964:48-49; Pollitt 1986:25; cf. Bellinger 1963:13-21; Stewart 1993: 158-59; Thompson 1982:119. 20 FGrH 434 F 1= Phot. Bibl. 224.222b.9-239b.43. 21 Brown 1981: 22. For further discussion of Alexander’s physiognomy, see Fulińska 2011: 125-135, Kiilerich 1988: 51-66, Meeus 2009: 235-250, and Stewart 1993: 318-323. 22 Arr. An. 4.28.1-2, Arr. An. 5.26.5.: Arrian’s description of events seems to indicate that Alexander was aware that his accomplishments were greater than Heracles, and used the knowledge to rally his forces on numerous occasions.

The obverse on the tetradrachm of Ptolemy I (fig. III.5) uses the headdress in the same way as Alexander’s tetradrachm, referring to a specific military victory that seemed impossible for an ordinary man. Ptolemy’s tetradrachm depicts Alexander wearing a peculiar elephant headdress, which may refer either to Alexander’s victory over Porus at the Battle of the Hydaspes in 326 B.C.E., or to Ptolemy’s defeat of Perdiccas and his elephants in 321 B.C.E.23 The elephant headdress refers to a superhuman feat in both examples, since an elephant was considered an insurmountable opponent to simple infantry men.24 Furthermore, for the scale of the elephant headdress to function within the proportions of the obverse, Alexander’s head must be gigantic (instead of the elephant’s head being abnormally small, which I think defeats the purpose); however the depiction is rendered so aptly that this irregular proportion is not obvious. The depiction of Alexander as literally larger life further emphasizes his super-human nature. Ptolemy’s elephant headdress lacks a direct connection to a deity, unlike the Nemean lion headdress; but like the Nemean lion headdress, it alludes to a vicious fight for survival between two strong forces. The headdresses on Alexander and Ptolemy I’s tetradrachms suggest the importance of past victories when creating a system of propaganda appealing to one’s troops, since both headdresses reference specific victories. But in contrast to this evidence, the figure on the Lysimachus tetradrachm (fig. II.3) wears no headdress at all, instead depicting Alexander with a head of wildly curling hair commonly known as the anastolé hairstyle. I suggest that the use of

23 For Alexander’s battle against Porus, see Arr. An. 5.9-19 and Curt. 8.13- 14. For Ptolemy’s defeat of Perdiccas see Diod. 18.28.2-4, Strab. 17.1.8, and Curt. 10.10.20. For the use of elephants by the Successors, see Troncoso 2013. 24 Curt. 10.9.11-18 discusses how Arrhidaeus used elephants with his cavalry to intimidate his opponent’s infantrymen, and then instituted ‘death by elephant’ for those who opposed him. Plutarch (Plu. Eum. 17.5) says the Greek general Eumenes proclaimed before his army that he would rather die in that way than be delivered to Antigonus, emphasizing the horror of such a death.

the anastolé was not a new concept, as pieces of Alexander’s hair are visible sticking out from under his lion skin headdress on coins older than Lysimachus’(fig. I.1); rather its appearance is a demonstration of Lysimachus’ innovative use of preexisting iconography. Plutarch describes the anastolé hairstyle in his Life of Pompey (who styled his hair to imitate Alexander) as ἀναστολὴ τῆς κόµης ἀτρέµα (“a putting back of the hair stiffly”).25 During Alexander’s own lifetime, Aristotle wrote his work Physiognomics, in which he lists stiffened hair as an attribute of courage (Aristot. Physiognomics 806b.7-11, 15-18): Τὰ δὲ τριχώµατα τὰ µὲν µαλακὰ δειλόν, τὰ δὲ σκληρὰ ἀνδρεῖον. τοῦτο δὲ τὸ σηµεῖον εἴληπται ἐξ ἁπάντων τῶν ζῴων. δειλότατον µὲν γάρ ἐστιν ἔλαφος λαγωὸς πρόβατα, καὶ τὴν τρίχα µαλακωτάτην ἔχει· ἀνδρειότατον δὲ λέων, ὗς ἄγριος, καὶ τρίχα σκληροτάτην φέρει… ὁµοίως δὲ καὶ ἐπὶ τῶν γενῶν τῶν ἀνθρώπων ταὐτὸ τοῦτο συµπίπτει· οἱ µὲν γὰρ ὑπὸ ταῖς ἄρκτοις οἰκοῦντες ἀνδρεῖοί τέ εἰσι καὶ σκληρότριχες, οἱ δὲ πρὸς µεσηµβρίαν δειλοί τε καὶ µαλακὸν τρίχωµα φέρουσιν.

Soft hair shows timidity and stiff hair courage. This is based on observation of all the animal kingdom. For the deer, the hare and sheep are the most timid of all animals and have the softest hair; the lion and wild boar are the bravest and have

25 Plut. Pomp. 2.1.

very stiff hair. Exactly the same thing occurs with races of men; for those living in the north are brave and stiff-haired, and those in the south are cowardly and have soft hair.

I suggest that Aristotle’s correlation between stiff hair and leonine courage may be applied when examining the hairstyle of the Lysimachean Alexander. The anastolé hairstyle demonstrates the courageous qualities of Alexander, and can also be closely associated with the wiry mane of a lion. It seems entirely possible that the detailed definition of each curl of hair and the wildly dynamic appearance of the anastolé hairstyle on Lysimachus’ tetradrachm is meant to eliminate the need for a headdress, since it can be connected to Alexander by conjuring up images of the Nemean lion headdress he wears. The hair itself fulfills the same role as the lion and elephant headdresses: to express a message of military triumph over one’s foes and divine favor. However, while the headdresses of Ptolemy and Alexander also refer to their own victories, Lysimachus’ design is a portent of his future might rather than a reference to past deeds. Since Lysimachus was the last of the Successors to begin minting his own coinage in 297 B.C.E., I propose that he was able to select the best aspects of his contemporaries’ coins and combine them in way that innovatively expressed his message of future power. While Ptolemy maintained the presence of a headdress on his portrait of Alexander, Lysimachus chose instead to remove Alexander’s Nemean lion skin, revealing his leonine anastolé. The subtraction of the headdress cannot be considered a dismissal of a useful piece of propaganda. Rather, Lysimachus’ depiction of Alexander with the anastolé may be viewed as a change from one lion headdress to another. The iconography of Lysimachus’ tetradrachm reinforces the idea that numismatic iconography did not exist in a vacuum, but relied on other forms of propaganda to explain, strengthen, and spread its meaning. In the 5th century B.C.E., the rhetorician Isocrates delivered his speech Evagoras, in which he argues that Evagoras would have preferred his deeds be praised to any sort of funeral honors. Isocrates comments on the importance of relating

the deeds of men through speech instead of through imagery (Isoc. 9.73-74 trans. Norlin, G.): …I think that while effigies of the body are fine memorials, yet likenesses of deeds and of the character are of far greater value, and these are to be observed only in discourses composed according to the rules of art. These I prefer to statues because I know, in the first place, that honorable men pride themselves not so much on bodily beauty as they desire to be honored for their deeds and their wisdom: in the second place, because I know that images must of necessity remain solely among those in whose cities they were set up, whereas portrayals in words may be published throughout Hellas, and having been spread aboard in the gatherings of enlightened men, are welcomed among those whose approval is more to be desired than that of all others… To Isocrates, effigies (which may be interpreted as iconographic propaganda similar to that used on coinage) were not as important as relating an individual’s deeds through the written word. However, he does not say that one must exist without the other; rather Isocrates seems to think that both types of propaganda can be used simultaneously. Keeping this in mind, I propose that the anastolé of the Lysimachean Alexander may serve as a substitute for a headdress, because of the depiction of Lysimachus as a lion-slayer in ancient literary sources.26 None of these authors date near the

26 Several literary sources exist that either mention or discuss Lysimachus’ encounter with the lion (in roughly chronological order): Valerius Maximus, Latin writer and collector of historical anecdotes (V. Max. Facta et Dicta Memorabilia 9.3(ext).1); Seneca, Latin philosopher (Sen. De Ira 3.17.2, De Clementia 1.25.1); Pliny the Elder, Latin writer, philosopher and naturalist (Plin. Naturalis Historia 8.21); Curtius, Latin historian (Curt.

reigns of the Successors; instead, most of the available sources were written hundreds of years later. Given this fact, we cannot assume with any certainty that Lysimachus actually did defeat a lion. However, given the large number of authors who relate their own versions of Lysimachus’ Heraclean deeds, an association between Lysimachus and lion-slaying existed, but the creation date of this association remains a mystery. Plutarch emphasizes the importance of lion-slaying in relation to kingship. Alexander, Plutarch says, saw that his companions were becoming lazy, and warned them not to make the mistakes of those who had been conquered. He led by example, throwing himself into hunts and military expeditions.27 Plutarch continues by telling how a Spartan ambassador approached Alexander after the young Macedonian had defeated a lion and said: ‘καλῶς γε, Ἀλέξανδρε, πρὸς τὸν λέοντα ἠγώνισαι περὶ τᾶς βασιλείας.’ (“… How well, Alexander, have you fought the lion for the kingdom”).28 I interpret this to mean that by defeating the king of the beasts, Alexander inspired others to follow his leadership and to behave with courage.29 This implies that killing a lion was not only a mark of skill and strength, but also a direct indication of one’s right to rule a kingdom. If lion-slaying was a mark of prestige during Lysimachus’ lifetime, and not a literary creation of Plutarch, then Lysimachus may have used the association to his advantage. Lund (1992: 160) believes that

Historiae Alexandri Magni 8.1.11-19); Plutarch, Greek historian, biographer (Plut. Demetrius 27.3); Pausanias, Greek geographer (Paus. Description of Greece 1.9.5); and Justin, Latin historian (Just. Epitome of the Philippic History of Pompeius Trogus 15.3.6-9. Valerius Maximus is thought to have composed his work sometime during the first few decades of the 1st century C.E., and is the earliest extant mention of Lysimachus and the lion. The writings of Curtius, Seneca, and Pliny the Elder all occur within a few decades of each other in the mid-1st century C.E., followed by the works of Plutarch and Pausanias in the early 2nd century C.E. The tale offered by Justin is the latest, dating to the 4th century C.E. 27 Plut. Alex. 40.1-3. 28 Plut. Alex. 40.3. 29 A point that Plutarch also makes (Plut. Alex. 41.1).

Lysimachus was aware of the symbolic implications of lion slaying and capitalized on them, arguing that the lion-protome, which occurs on some of his coinage, is in fact Lysimachus’ personal insignia. If so, then perhaps the descriptions of Lysimachus’ lion slaying in literary sources, like his tetradrachm design, were just another piece of propaganda designed to predict Lysimachus’ right to rule. In the latest iteration of the tale, Lysimachus angers Alexander and is subsequently shut in a cage with a lion. The 4th- century historian Justin30 tells the following version (Just. 15.3.6-9, trans. by Yardley, J.C.): Then Lysimachus, who listened to Callisthenes as a teacher and used to ask him advice on moral issues, felt pity for this great man who was being punished not for a crime, but for speaking his mind, and gave him poisoning to relieve his sufferings. Alexander bore so much anger against this, that he ordered him thrown to a wild lion. But when the lion, made furious by his appearance, rapidly attacked, Lysimachus wrapped his hand in his cloak, plunged it into the lion’s mouth and dragging out the beast’s tongue killed it. When that was reported to the king, his admiration took the place of the penalty, and considered him beloved on account of so much steadiness of strength.

In this tale, Lysimachus directly defies his human king, and then is forced to face the king of beasts. Like Alexander, he defeats the lion, showing courage, ingenuity, and physical strength. Seneca and Pausanius also agree with Justin that Lysimachus somehow angerd Alexander and was thrown to a lion as a result, though their

30 For in depth discussion of the dating of Justin, see especially Syme 1988; for mention of the death of Alexander’s legitimate son Alexander IV, see Grainger 2007: 116, 118 and Waterfield 2011: 129-31.

versions differ in the minutiae.31 I suggest that these tales reflect Lysimachus in a more positive light than Alexander, who is depicted as an angry, unreasonable despot. Another version of events is given by Curtius,32 who states that Lysimachus’ battle with a great lion occurred in the context of a hunt somewhere in Syria, not as a punishment from Alexander. This version depicts Lysimachus as a devoted but somewhat foolhardy bodyguard to Alexander, who had previously defeated a lion and attempted to protect Alexander from another one. Curtius’ version of events focuses more on Lysimachus in his role of bodyguard to the headstrong Alexander, instead of on Lysimachus’ strength and bravery in the face of a tyrant king, which is emphasized in Justin’s narrative. It is also interesting to note Curtius’ last comment, that this event is the plausible cause for the spawning of the tale of Lysimachus being shut in a cage by Alexander. Curtius’ remark demonstrates how a potentially real event could be told and retold until it sparks a whole new tale that is completely different from its progenitor, the same issue we face in trying to draw any conclusions about Lysimachus’ deeds from these semi- mythological retellings written well after Lysimachus’ lifetime. Whether or not this encounter occurred, the literary sources and Lysimachus’ own protome suggest that he utilized the story of his victory over the lion as a mark of his right to rule; he had accomplished a feat equal to one of Heracles’ labors, emphasizing his prowess and courage. If the tale of Lysimachus’ battle against the lion was often retold in his lifetime, then this literary association helps us to connect the leonine anastolé to Lysimachus as reference not to Alexander’s greatness, but Lysimachus’ own. The depiction of the anastolé allowed Lysimachus to incorporate the lion slayer motif into his coinage as a mark of royalty. The leonine hairstyle allows Lysimachus to depict Alexander without a headdress, thus creating room for the incorporation of additional divine attributes on his obverse predicting his future reign, while simultaneously referring to one of his only triumphs before the Battle of Ipsus. The connection

31 Seneca De Ira 3.17.2; Paus. 1.9.5. 32 Curt. VIII.1.13-17.

between Alexander’s anastolé and Lysimachus’ mythos as a lion- slayer demonstrates the importance of the multiple forms of propaganda Lysimachus needed to successfully spread his message. The depiction of Alexander with divine attributes is equally important for understanding Lysimachus’ iconography. The lack of a headdress on Lysimachus’ Alexander makes the royal fillet and ram’s horns of Zeus Ammon highly visible. I suggest that these two attributes demonstrate how Lysimachus utilized prophecies, both his own and those of Alexander the Great, to reinforce his right to rule Alexander’s empire. The realistically proportioned ram’s horns that emerge from Alexander’s anastolé and curves down over his ear is a divine attribute of Zeus Ammon (fig. II.3), and a direct reference to Alexander’s divine heritage. Lysimachus’ incorporation of the horns of Zeus Ammon in a portrait of Alexander was not a new creation on his part, since the tetradrachm of Ptolemy (fig. III.5), which predates the Lysimachean tetradrachm, also depicts the horns of Zeus Ammon. However these horns do not seem to hold the same iconographic importance for Ptolemy, since they are miniscule and hardly visible under the elephant skin headdress. In contrast to the tetradrachm of Ptolemy, the tetradrachm of Seleucus (fig. II.4) does not depict Alexander with the horns of Zeus Ammon, but instead portrays him with the horns of a bull. Dionysus was long associated with the bull, Plutarch says, since “Among the Argives there is an epithet of Dionysos, Bougenes (‘born of an ox.’)”33 In the 5th century B.C.E., Stesimbrotos of Thasos states: οἱ µὲν Διόνυξον αὐτὸν ὀνοµάζουσιν, ὅτι σὺν κέρασι γεννώµενος ἔνυξε τὸν Διὸς µηρὸν… (Some call him Dionysus, since, having been born with horns, he pricked Zeus’ thigh…).34 Since the bull horns on Seleucus’ tetradrachm may refer to Dionysus, perhaps the horns of Zeus Ammon held either no political importance (in Seleucus’ case) or just enough importance to be included but not emphasized (as in the case of Ptolemy). The role of Zeus Ammon in Alexander’s propaganda

33 FGrH 310 F 2 (Plut. De Iside 35.364F) trans. by Machado, D. 34 FGrH 107 F 13 (Stesimbrotos of Thasos, Etymologicum Magnum 277.35).

program helps us understand why Lysimachus, as king of Thrace and the Hellespont (after Ipsus), would choose such an Egyptian symbol as the most prominent feature on his obverse, while his fellows scorned its significance. The evidence suggests that the horns of Zeus Ammon are associated with the prophecy Alexander received at Siwah in 332/31 B.C.E., when he made an expedition into the desert in order to inquire about his true parentage.35 The 4th century Roman historian Justin gives one account of this visit, in which Alexander is informed that he would be granted victory in all his wars, as well as possession of the entire world.36 Justin further states that the oracle’s answers “…served to increase the king’s vanity and swell his pride to a startling degree...”37, but Plutarch insists that “…Alexander himself was not foolishly affected or puffed up by the belief in his divinity, but used it for the subjugation of others.”38 Plutarch is not always historically accurate, but the identification of Zeus Ammon as Alexander’s divine father may have been a masterful piece of propaganda of which Alexander took full advantage. After his visit to Siwah, Alexander could associate himself directly with Zeus and Heracles, possibly lending divine support to his desire for conquest and a prediction of certain victory with which to encourage his troops. The prophecy of Siwah was the origin of Alexander’s claim to divine parentage and the prediction of his eventual conquest of the world. I suggest that if Alexander utilized oracles to further his own goals, it is likely that Lysimachus’ use of prophetic iconography to reinforce his right to rule was an imitation of Alexander’s own propaganda. Two reasons suggest themselves for Lysimachus’ use of the horns of Zeus Ammon on his Alexander portrait. On the one hand, Lysimachus is connecting himself through Alexander to Zeus, king of all of the gods, by depicting Alexander in his capacity as the son of Zeus. On the other hand, I

35 For a discussion of the literary tradition of the visit to Siwah, see Howe 2013. 36 Just. 11.11.2-11. 37 Just. 11.11.12 trans. by Yardley, J. C. 38 Plut. Alex. 28.3 trans. by Perrin, B.

propose that the horns of Zeus Ammon also signify Lysimachus’ future intent to expand his kingdom. Alexander sets the precedent for this interpretation: Pausanias tells us that in 336 B.C.E. Alexander’s father Philip II of Macedon asked the Delphic oracle whether he would become king of the Persians. The answer given was vague: “Wreathed is the bull. All is done. There is also the one who will smite him.”39 Diodorus, writing in the late 1st century B.C.E. says Philip interpreted the oracular response as favorable to himself, that the Persians would be slain. But Philip died without fulfilling this prophecy.40 Instead, Ernst Fredricksmeyer reasons that Alexander was able to adopt the prophecy for himself, arguing that it was he, not Philip II, who would conquer the Persians.41 If Fredricksmeyer’s hypothesis that another individual could adopt an uncompleted prophecy is correct, Lysimachus could use the ram’s horns in the same manner. Lysimachus adopted the Siwah prophecy of Eastern conquest for himself, and therefore the horns of Zeus Ammon may have reminded the coin’s recipients of a prophetic victory that Alexander did not obtain before his death, which would now be fulfilled. The inclusion of the ram’s horns of Zeus Ammon suggest that Lysimachus may have appropriated Alexander’s propaganda program in order to express his future intent to fulfill the Siwah prophecy. The evidence suggests that Lysimachus’ iconography skillfully co-opts the numismatic propaganda of Alexander’s coinage and modifies it to support his own contention of prophetic rule. The anastolé of Lysimachus’ Alexander, when combined with the stories of him as a lion-slayer, functions the same way as the Nemean lion headdress on Alexander’s tetradrachm. Lysimachus is implying that he will surpass Alexander’s achievements just as Alexander surpassed Heracles before him. In the same way, the depiction of the ram’s horns of Zeus Ammon takes the oracle at Siwah and applies it to Lysimachus himself, since Alexander’s early

39 Paus. 8.7.6 trans. by Fredricksmeyer, E.; an identical form of this oracle occurs in Diod. 16.91.2. 40 Diod. 16.91.3. 41 Fredricksmeyer 1991:202 cf. Walbank 1950.

death could have implied that he was not the true recipient of the prophecy of conquest. Lysimachus did not need to rely solely on the prophecies of Alexander to support his right to rule; there is some literary evidence that he had his own prophecies to use. Lysimachus’ tetradrachm suggests his intent to expand his territory and regain Alexander’s empire through the prominent placement of the royal fillet on the obverse of his tetradrachm. The fillet does not appear on the tetradrachms of Seleucus (fig. II.4), and is, like the horns of Zeus Ammon, hardly visible on Ptolemy’s tetradrachm (fig. III.5); but it is prominently placed on the Lysimachean tetradrachm. There is debate over whether the fillet is a mitra of Dionysus or a royal diadema that Alexander had adopted from the Persians.42 I contend that, like the horns of Zeus Ammon, it can be interpreted as both a reference to the god and a sign of Lysimachus’ future reign, especially when one considers Dionysus’ dual nature. First, the fillet could be the royal diadema, which Alexander adopted from the Persians, along with other elements of their royal costume.43 This was Alexander’s crown, which Lysimachus and the other Successors put on when they adopted their kingships. Its use on Lysimachus’ obverse portrays Alexander as the divine King of Kings, the son of Zeus Ammon, conqueror of the East. Appian and Justin, among others, suggest that Lysimachus’ reign was itself prophesied through Alexander’s royal diadema. This prophesy was acquired by the direct bestowal of the diadema by Alexander to Lysimachus, which Appian says occurred during the Syrian Wars (App. Syr. 10.64 trans. White, H.)44: I have heard that Lysimachus, who was one of the armor-bearers of Alexander, was once running by his side for a long distance, and, being fatigued, took hold of the tail of the king’s horse and continued

42 Collins 2012: 383f. 43 For primary source description of Alexander’s costume, see FGrH 126 F 5 (=Athen. XII p. 537 E—538 B). For secondary source discussion, see Collins 2012. 44 See also Just. 15.3.13-15 for a more elaborate version of events.

to run; that he was struck in the forehead by the point of the king’s spear, which opened one of his veins from which the blood flowed profusely; that Alexander, for want of a bandage, bound up the wound with his own diadem which was thus saturated with blood; and that Aristandrus, Alexander’s soothsayer, when he saw Lysimachus carried away wounded in this manner, said, “That man will be a king, but he will reign with toil and trouble.” This tale was composed in the late 1st/ early 2nd century C.E., so it is definitely a retrospective account. There is no real evidence that this event occurred. However, Lysimachus was not the only one whose rule was predicted by the diadema. In contrast to Appian’s tale, a similar story from Arrian’s Anabasis makes Seleucus the recipient of the diadema and the kingship. In this version of events, Alexander’s diadema is knocked from his head into the water, and Seleucus dives in to save it. This act became the basis of Seleucus’ power, according to Arrian (Arr. An. 7.22.5): καὶ τοῦτο τῷ τε Ἀλεξάνδρῳ σηµῆναι τὴν τελευτὴν καὶ τῷ Σελεύκῳ τὴν βασιλείαν τὴν µεγάλην. Σέλευκον γὰρ µέγιστον τῶν µετὰ Ἀλέξανδρον διαδεξαµένων τὴν ἀρχὴν βασιλέα γενέσθαι τήν τε γνώµην βασιλικώτατον καὶ πλείστης γῆς ἐπάρξαι µετά γε αὐτὸν Ἀλέξανδρον οὔ µοι δοκε ἰέναι ἐς ἀµφίλογον.

But there are some who say it was Seleucus, and that this was an omen to Alexander of his death and to Seleucus

of his great kingdom. For that of all those who became king after Alexander, Seleucus became the greatest king, was the most kingly in mind, and ruled over the greatest extent of the land after Alexander himself does not seem to me to admit question. We can infer from Appian, Arrian, and Justin’s tales that the concept of validating one’s rule through prophetic encounters with Alexander was seen as a basis for the Successors’ power, so perhaps the Lysimachean fillet is a royal diadema referencing Lysimachus’ prophesied endorsement as Alexander’s heir. This interpretation is further supported by the practically imperceptible diadema the Ptolemaic Alexander wears under his elephant skin headdress: no extent sources suggest that Ptolemy had such a narrative to use. However this interpretation of the fillet as a royal diadema is brought into question by its absence from the tetradrachm of Seleucus. Seleucus doesn’t incorporate Alexander’s diadema into his coinage as a prediction of his future reign, which may be related to Arian’s assertion in the same passage that the retriever of the diadema was a sailor, which further affects the veracity of the tale. The fillet is also identified as the mitra of Dionysus, which the god wears to prevent headaches when drinking.45 Dionysus’ connections to the East were well known: the 4th century B.C.E. ethnographer Megasthenes stated that Dionysus founded India, the

45 Diod. 4.4.4.

heart of the East.46 In addition, Arrian says that the city of Nysa, which he considered to be Dionysus’ childhood home, was at the very eastern edge of Dionysus’ campaign.47 Perhaps this did not matter to Ptolemy: although the barely visible fillet on his tetradrachm must be a reference to the Dionysian mitra, since Dionysus was the mythological progenitor of the Ptolemaic dynasty, it is not being emphasized.48 However, Lysimachus’ use of the Dionysian mitra in such a prominent manner expresses a message beyond a simple reference to the wine god. Since Lysimachus hadn’t achieved any significant military victories beyond the Battle of Ipsus, I propose that the Dionysian mitra could function as a statement of Lysimachus’ intent to surpass Alexander. In his Anabasis, Arrian speaks of Alexander’s desire to surpass the deeds of Dionysus: “He also thought that the Macedonians would not decline still to share his labors if he advanced further, from a desire to surpass the achievements of Dionysus.”49 One possible way for Alexander to surpass Dionysus was to expand his empire beyond Dionysus’ area of influence.50 Lysimachus’ mitra may serve the same purpose which the Nemean

46 FGrH 715 F 12 (Arrian, Indika 7.5, 7.8): Διόνυσον δὲ ἐλθόντα, ὡς καρτερὸς ἐγένετο ᾽Ινδῶν, πόληάς τε οἰκίσαι καὶ νόµους θέσθαι τῆισι πόλεσιν, οἴνου τε δοτῆρα ᾽Ινδοῖς γενέσθαι κατάπερ ῞Ελλησι… καὶ θεοὺς σέβειν ὅτι ἐδίδαξε Διόνυσος ἄλλους τε καὶ µάλιστα δὴ ἑωυτὸν… (“When Dionysus came and became the possessor of India, he founded cities, established laws in the cities, dispersed wine to the Indians just as to the Greeks… Dionysus also taught them to honor various gods, himself most of all…”) 47 Arr. An. 5.2.1 trans. Chinnock, E.J.: “All this was very pleasant to Alexander to hear; for he wished that the legend about the wandering of Dionysus should be believed, as well as that Nysa owed its foundation to that deity, since he had himself reached the place where Dionysus came, and had even advanced beyond the limits of the latter’s march...” 48 FGrH 631 F 1 =Theophil. Ad Autol. 2, 7. 49 Arr. An. 5.2.1 trans. Chinnock, E.J.; See also Strab. 16.1.11. 50 See footnote 46.

lion headdress of Heracles had served for Alexander: to express Lysimachus’ intention to take up the fillet of Alexander and surpass his accomplishments. By including the Dionysian mitra on his obverse, Lysimachus indicates his future intent to fill Alexander’s position (and by extension Dionysus’) as ruler of the East, not to emphasize previously accomplished victories. The strength of the fillet on Lysimachus’ coin, then, is that it allows a multitude of interpretations, all of which cast a positive light on Lysimachus. To a soldier in Lysimachus’ army, this fillet might bring to mind the royal diadema, and the kingly qualities of both Alexander himself and Lysimachus as his prophesied heir. On the other hand, he might be reminded of the god Dionysus’ mitra and his Eastern origins, which in turn summons up the memory of Alexander’s successful campaigns and his desire to equal the gods. Either interpretation would have served Lysimachus’ purposes, and the uncertainty of the fillet’s identification is exactly what makes it such a useful piece of iconography. In summary, the obverse of the Lysimachean tetradrachm depicts a bareheaded Alexander, whose anastolé hairstyle conjures up images of lion manes. The extant literature describes Lysimachus as a lion-slayer, a man destined to rule. By successfully depicting Alexander without a headdress, Lysimachus is able to depict the ram’s horn of Zeus Ammon to reference the oracle of Siwah, where Alexander was predicted to rule Asia. But since Alexander died before fulfilling the prophecy, Lysimachus may have co-opted the prophecy as his own. In addition, the literary evidence suggests that Lysimachus may not have needed to rely on Alexander’s prophecies to express his inevitable inheritance of Alexander’s empire: the interpretation of the fillet as a diadema may be related to Appian’s prediction of Lysimachus’ rule. The alternate interpretation of the fillet as a mitra of Dionysus may also express Lysimachus’ desire to equal the deeds of Alexander.

The Reverses The reverse of Lysimachus’ coin is just as successful as the obverse at simultaneously presenting the traditional elements of the Alexander III tetradrachm and creating new themes to support his rule. The coin features Athena, who only appears on the reverses

of the Successors’ coins, not Alexander’s. However, Athena’s pose is reminiscent of Alexander’s Zeus (fig. I.1). Lysimachus also incorporates the simple image of Nike to emphasize his universal victory as it has been received from Alexander. Philip III Arrhidaeus, stater, Babylon. (fig. V.10). Obv.: Helmeted head of Athena, right. Rev.: ΒΑΣΙΛΕΩΣ-ΦΙΛΙΠΠΟΥ. Nike standing, left, holding stylis and wreath.

Alexander III, stater, Salamis. (fig. IV.7) Obv.: Helmeted head of Athena, right. Rev.: ΑΛΕΞΑΝΔΡΟΥ. Nike standing, left, holding stylis and wreath. Bird standing at the base of her feet, possibly an eagle.

Ptolemy I, stater, Cyrenaica. (fig. IV.8). Obv.: ΚΥΡΑΝΑΙ[ΟΙ]. Helmeted Athena, right. Rev.: Nike standing, right.

Agathocles, tetradrachm, Syracuse. (fig. III.6) Obv.: Kore head, right. Rev.: Nike standing, right, with hammer and nail erecting trophy.

Seleucus I, tetradrachm, Seleucia. (Fig. V.9). Obv.: Head of young Heracles in lion scalp, right. Rev.: ΒΑΣΙΛΕΩ[Σ] ΣΕΛΕΥΚΟΥ. Zeus seated to left, holds in left hand a staff, right hand holds Nike reaching out to crown him, monogram below throne and in left field.

Mazaeus, stater. Tarsus. (fig. I.2)51

51 Transliteration and translation of Aramaic inscription courtesy of the American Numismatic Society.

Obv.: BLTRZ (Aramaic BLTRZ =Ba'altars). Baaltars seated to left, holds in his right hand a staff with a bird (possibly an eagle) perched on top. In left field monogram, a bunch of grapes. Rev.: MZDI ZI'L'BRNH RAWHLK (Aramaic= Mazaios Governor of Transeuphrates and Cilicia). Lion attacking bull above two lines of city walls.

The introduction of the title βασιλεύς on the Successors’ coins hints at the political upheaval that occurred after Alexander’s death, which Justin points out when referring to the Successors’ refusal to call themselves βασιλεύς until after the death of Alexander’s heirs.52 This restraint also shows on the Successor’s coins, since most of them waited until after the Battle of Ipsus to introduce any major change in the iconography of their coins, and instead maintained the coin types Alexander had created.53 The Successors may not have been motivated by selflessness and respect for lineal inheritance: Brown 1981 argues in particular that Lysimachus maintained the previous coin types out of a sense of caution and uncertainty in the strength of his rule, rather than out of respect for the young Alexander IV’s authority.54 By 305 B.C.E., all of the Successors but Cassander had officially adopted the title βασιλεύς with the support of their subjects.55 The mass-adoption

52 Just. XV.2.13-14. 53 With the exception of Ptolemy I, who modified his coinage closer to 320 B.C.E. (For a discussion of the dating of the coinage of Ptolemy I see Zervos 1967), and Philip III Arrhidaeus, Alexander’s half-brother through Philip II, who as the next oldest member of Alexander’s blood family was within his rights to title himself βασιλεύς on his coinage (see fig. V.10). 54 Conversely Meeus 2009: 247, Lund 1992: 163, and Stewart 1993: 264 all argue that the coin types were maintained before 301 B.C.E. as a way of maintaining a sense of continuity between their rules and that of Alexander. 55 Bosworth 2002:269 observes that the Successor assuming the kingship needed to have sufficient power and respect to be recognized as

of the title βασιλεύς fundamentally changed the political reality of Alexander’s former empire: it was no longer possible for the Successors to pretend they served as custodians of Alexander’s empire until the rightful heir came of age. The struggle to solidify themselves as viable heirs of Alexander is observable in the style of the Successors’ coinage, since The Alexander III type coins minted after 306 B.C.E. shared the same iconography as those minted before 306 B.C.E. The only tangible change is the presence of βασιλεύς now on the reverses of the coins. In this regard Lysimachus’ tetradrachm does not differ from the coinage of the other Successors: he includes the legend βασιλεύς in order to emphasize his new royal status while still maintaining his connections to Alexander. Lysimachus’ use of the title βασιλεύς on his coinage is not atypical, but it could be argued that his use of the title was more optimistic than realistic, since his adoption of the title occurred before the Battle of Ipsus. Although Lysimachus’ position had improved slightly when he began minting his coins, he placed Athena, goddess of military tactics and wisdom, on his tetradrachm’s reverse, perhaps as another reference to his future. Athena was “…the incarnation of metis (cunning), a metis that permeates all aspects of life, and she is willing to offer it to those who worship her…” (Karanika 2001:288). Lysimachus’ depiction of Athena is nothing if not cunning: she is seated on a throne, wearing a flowing robe, a Corinthian helmet, and her shield depicting a gorgon head leans against her seat, in a style that Antonia Faita (2001: 172) points out “…appears for the first time in the 297/6 BC on the reverse of coins issued by Lysimachus.” The link between Lysimachus and Athena is not discussed in any of our primary sources, but Lysimachus may have had a relationship with Athens through one

βασιλεύς by his allies and foes. Chamoux 2003: 52; Grainger 2007: 128 points out that Cassander was the only one who did not officially title himself βασιλεύς, but still placed βασιλεύς on his coinage. This could reflect a desire to appear equal to the other Successors, while in reality Cassander was too weak to validly support a claim to the throne.

of his friends, Philippides. On this point Plutarch says: ἦν δὲ ὁ Φιλιππίδης Λυσιµάχου φίλος, καὶ πολλὰ δἰ αὐτὸν ὁ δῆµος εὖ ἔπαθεν ὑπὸ τοῦ βασιλέως (“Philippides was a friend of Lysimachus, and for his sake the king bestowed many favors on the Athenian people”).56 If Lysimachus had an active relationship with Athens, he would know the link between Athena and Zeus as partners in the bestowal of victory, in war and in competitions.57 On the other hand, I suggest that Lysimachus’ Athena was inspired by the Zeus on Alexander’s tetradrachm (fig. I.1), which he in turn adopted from the Persians. Athena takes the place of Zeus as Lysimachus’ divine protector, and her physical resemblance to Zeus means she also literally takes his place. The composition of Lysimachus’ Athena and the Zeus of Alexander’s tetradrachm (fig. I.1) is strikingly similar. This similarity implies that Lysimachus’ Athena derives from Alexander’s Zeus. As the king of the gods and Alexander’s ancestor, Zeus was a perfect choice as his divine protector (Fredricksmeyer 1991: 204). Zeus holds a scepter similar to the one Alexander adopted from the Persians, emphasizing Alexander’s position as the king of the Persian Empire, and reinforces his divine heritage.58 The depiction of Zeus is not original to Alexander’s coin, but is derivative of a Persian coin. When Alexander gained control of Tarsus in 333 B.C.E., the Persian satrap Mazaeus was already minting “Baaltar” type staters. If we compare the Alexander tetradrachm with a stater of Mazaeus, the depiction of Zeus is remarkably similar to that of Baal.59 Some aspects (such as the positioning of the arms and what is being held in each hand) differ, but the formal qualities of Baal and Zeus are otherwise similar. Zeus and Athena are posed in the same manner, both stretching out their right hand in offering (Zeus holds an eagle, and Athena holds a Nike). The positioning of Athena’s left

56 Plut. Demetr. XII.5 trans. by Bernadotte, P. 57 Neils 2001: 226. 58 For discussion the royal costume Alexander adopted from the Persians, see Collins 2012: 395; Fredricksmeyer 1991: 204. 59 Le Rider 2007: 11-15.

hand, however, is more similar to that of Baal on the coin of Mazaeus (fig. I.2). Athena is at rest; she is not actively engaged in battle. The depiction gives a sense of security to the coin’s overall iconography. Lysimachus, Athena seems to say, is secure in his right to rule, and the prophecies promised on the obverse will come to pass without any doubt. In contrast, the Athena depicted on the Ptolemy I tetradrachm (fig. III.5) is active and on the defensive.60 She stands with her spear and shield raised, and is occupied with protecting the eagle at her feet. Elsie Mathiopoulos (2001: 200) argues that this Athena is Archaistic in style, because her helmet is decorated with snakes, a feature that occurred in the Archaic period (800-480 B.C.E.). She posits that this representation of Athena is heavily influenced by Egyptian culture. The reverse of Ptolemy’s coin also depicts him as receiving the blessing of Athena but, unlike Lysimachus, Ptolemy still has to fight for his victory. Perhaps Athena is engaged with protecting Ptolemy from Perdiccas and the other Successors after Ptolemy stole Alexander’s remains and buried them in Egypt in 322 B.C.E., which corresponds to the dating of the coin.61 The fighting Athena is a warning, but the message is not as strong as the promise of Lysimachus’ resting Athena. For Lysimachus, the battle is won; there is no threat that will avert his destiny. The Successors added the legend βασιλεύς to their coinage in response to their adoption of the kingship in 305 B.C.E. Lysimachus’ use of the title was more optimistic than realistic, since he had only just gained more territory through the Battle of Ipsus. He felt secure enough to present a completely new Athena on his reverse, instead of the Zeus of Alexander’s tetradrachm. The replacement of Zeus by Athena is not only a figurative change of patron deity, but also a literal replacement. Athena is very similar in form to Alexander’s Zeus, and an examination of the stater of Mazaeus demonstrates that Alexander also borrowed iconography from others. Ptolemy also depicted Athena on his reverse, but his

60 For a discussion of the identification of Ptolemy’s Athena, see Havelock 1980. 61 Aelian VH XII.64. See Zervos 1967.

goddess is in the act of defending, while Lysimachus’ Athena is at rest. Athena is perfectly suited to the cunning iconography of Lysimachus. In addition to her role as Lysimachus’ protector, Athena also functions as an agent of victory. The following section will discuss the depiction of Nike on Lysimachus’ tetradrachm, to demonstrate her role in Lysimachus’ prophetic iconography. A crucial element of Lysimachus’ coins is the tiny Nike that Athena holds out before her. Given the date of the tetradrachm’s initial minting, this Nike must be a reference to Lysimachus’ victory at the Battle of Ipsus in 301 B.C.E.62 The use of Nike on any of the Successor’s coins seems presumptuous, especially the early mintings when the Successors had yet to obtain victories of their own. In his discussion of the use of Nike on the coins of Philip III Arrhidaeus, Bellinger makes the following argument, which I believe applies to all of the Successors (Bellinger 1962: 23): “No fortune or quality… could entitle him to lay claim to Nike as his. So far as his name beside her is appropriate at all, it is because his great forerunner [Alexander the Great] had made her the expected symbol of royalty.” Bellinger explains that the Successors’ used Nike to commemorate specific events as opposed to utilizing Alexander’s Nike as an overarching statement of victory. Not one of the Successors had matched Alexander’s conquest yet they competed for Alexander’s empire. While they could declare themselves kings in their own small political arenas, it was another matter entirely to denote (even on a coin) that any one of them reigned supreme over the others as Alexander had done. Only Lysimachus dared to present himself as a recipient of Alexander’s all-encompassing victory. I suggest that Lysimachus’ Nike had to demonstrate the inevitable inheritance of Alexander’s empire which he conveyed on the coin’s obverse. Lysimachus imitated the iconography of the coins of Alexander and the other Successors, especially in the case of this Nike. This section of the thesis will examine the three potential derivations that may have informed the creation of

62 Battle of Ipsus: Plut. Demetr. XXIX.2-5; cf. Diod. XXI.1. Description of opposing forces: Plut. Demetr. XXVIII.3. For secondary source commentary on Ipsus, see especially Bennett 2009: 101-14.

Lysimachus’ Nike: Nike holding out a wreath but not crowning anything (now referred to as the Crowning Nike, for brevity’s sake), Nike erecting a trophy, and a miniature Nike crowning Zeus. The first of these, the Crowning Nike, occurs on the coins of Alexander the Great. The tetradrachm coin of Alexander (Fig. I.1) does not feature Nike; instead she appears on Alexander's gold stater coin (Fig. IV.7) known as the Nike Stater.63 She is depicted on the stater’s reverse carrying a stylus and a wreath, which she holds outstretched before her. The coin was minted in response to a specific military victory,64 but Nike is not directly conferring victory onto anything. Instead she holds her wreath out to the empty space before her. Given the lack of a recipient, I suggest that the Nike on Alexander’s stater may not necessarily commemorate a specific victory, but rather a Nike with a more universal connotation.65 The Crowning Nike is a victory composed of all of Alexander’s achievements, not just one military triumph. Once the Successors began changing their coinage, a second type of Nike appears. Nike is no longer the Crowning Nike of Alexander, bestowing victory on all she sees; instead she is shown in the process of bestowing victory onto specific conquests through the depiction of trophies. The earliest incarnation of this type of Nike occurs around 310 B.C.E., on a tetradrachm (Fig. III.6) of Agathocles, the Tyrant of Sicily, which features a bare-breasted Nike in the process of erecting trophy on its reverse. The tetradrachm of Seleucus celebrating his victory at Ipsus (Fig. II.4) depicts a Nike that is similar in form to that of Agathocles; the difference is that while Agathocles’ Nike is bare-breasted, Seleucus’ is clothed. Both rulers present Nike actively bestowing victory upon singular conquests. The third type of Nike is the most similar to Lysimachus’, and occurs on the tetradrachms of Antigonus I and Seleucus I

63 Nike Stater is the name assigned to this coin type in Brill’s New Pauly; see Stumpf 2014. This same Nike appears on a stater of Ptolemy (fig. IV.8). 64 In this case Alexander’ conquest of Egypt: see Plut. Alex. 25.3-4; Curt. IV.i.27-30. 65 Bellinger 1962: 21.

(Fig.V.9). On both coins, the iconography of Alexander’s tetradrachm is preserved, with one major alteration: instead of depicting Zeus holding an eagle, both Successors depict Zeus holding a miniature Nike in the process of crowning him.66 Both of these coin types were short lived: Antigonus’, celebrating his son Demetrius’ defeat of Ptolemy at Salamis,67 was only minted between 306-303 B.C.E., and Seleucus’ was only minted between 300-295 B.C.E.68 to commemorate his victory at the Battle of Ipsus. Instead of depicting a Nike that had grown stale from overuse, Lysimachus’ Nike combines all of the best elements of his contemporaries’ coins. From the tetradrachms of Antigonus I and Seleucus I (Fig.V.9), Lysimachus takes the miniature Nike being held out by a divine being (in Lysimachus’ case Athena), while he derives the Nike who actively bestows victory for a specific event onto a trophy From Seleucus I and Agathocles (Pls. II.4 and III.6). Like the tetradrachms of Seleucus and Antigonus (Fig. V.9), the Lysimachus reverse utilizes the tetradrachm of Alexander as a template, replacing Zeus with Athena and the eagle with Nike. Lysimachus combines all of these elements into the simple and powerful depiction of a miniature Nike standing on Athena’s outstretched palm, crowning the “Λ” of Lysimachus’ name. In this depiction, Nike is both the agent of Athena and also a bestower of victory in her own right. She crowns Lysimachus’ name, not a trophy, in a manner reminiscent of Alexander’s Nike. When the relaxed Athena is combined with Nike, the overall implication of Lysimachus’ reverse implies that he has already won, despite the lack of victories he possessed when the coin was first minted in 297 B.C.E. Lysimachus once again uses the iconography of his coinage to imply his future reign, as the prophesied heir of Alexander. As Plutarch’s account of the Battle of Ipsus shows,69 it is the

66 Coin of Seleucus fig. V.9; image of Antigonus I’s tetradrachm not available. 67 Diod. 20.49.1-52.6; Plut. Demetr. 15.3-17.1; App. Syr. 54b; Paus. 1.6.6; Polyaen. 4.7.7; Just. 15.2.6; Hieron. Chron. 1712; Oros 2.23.39. 68 Houghton and Lorber 2002: 8. 69 Plut. Demetr. 29.1.

watchword “Alexander and Victory” that brings success and divine favor. Without the presence of Nike and the will of Alexander, a Successor would never succeed; however Lysimachus’ tetradrachm intimates that he has both. Nike crowns Lysimachus himself, not the “Λ” of his name, and the message is clear: the divine favor and victories granted to Alexander in his lifetime are now transferred to his prophesied heir Lysimachus.

Conclusion The obverse and reverse iconography of Lysimachus’ tetradrachm innovatively expresses Lysimachus’ right to rule as Alexander’s heir. While the coinage of the other Successors possesses iconography similar to the Lysimachean tetradrachm, the connotations of the imagery they use are focused decidedly on past and present victories. Seleucus and Ptolemy depict Alexander on their obverses as either specific references to one of his conquests or as commemorations of one of their own. Likewise, the reverses of the coins praise victories that were completed already. But Lysimachus’ tetradrachm does not follow this pattern. Instead, all aspects of the coin’s iconography focus on Lysimachus’ future reign as Alexander’s heir. By utilizing prophetic imagery such as the horns of Zeus Ammon and the direct transfer of universal victory from Alexander to Lysimachus himself, Lysimachus compensates for a present lack of military victory by implying that his victories have yet to come. The Lysimachean tetradrachm looks to the future, towards Lysimachus’ prophesied reign as the next Alexander the Great, the rightful βασιλεύς βασιλέων. The importance of the Lysimachus tetradrachm did not lessen after his death. While the propaganda’s personal benefit to Lysimachus was obviously lost, his tetradrachm served as both an ‘internationally’ accepted coinage (at least in the Black Sea region)70 and a means of expressing new propagandistic messages. This was accomplished by the minting of posthumous tetradrachms

70 Mørkholm 1991: 147-48 argues that only the Alexander tetradrachm was a truly ‘international’ coin, whereas the Lysimachus tetradrachm was ‘international’ only in the Black Sea area and its approaches.

(referred to as Lysimachi tetradrachms) which were authorized and minted by individual cities throughout his former kingdom, but most especially around the Bosporus Strait.71 In particular the use of Lysimachi as international coinage and propaganda is visible in the sister cities of Byzantium and Chalcedon,72 which had the largest (and longest) outpouring of Lysimachi tetradrachms. Roughly speaking, Byzantium minted Lysimachi from ca. 260s B.C.E.- ca. 80/75 B.C.E., while Chalcedon began minting roughly the same time (sometime in the 260s B.C.E.) and continued production until ca. 150 B.C.E.73 Constantin Marinescu (1996: 406) argues that Byzantium and Chalcedon’s adoption of the Lysimachus tetradrachm as a coin type is partially meant as a ‘statement of anti-Seleucid policy.’74 Lysimachus and Seleucus were rivals in life, so the use of Lysimachus’ coin type to express anti- Seleucid sentiment is not an impossible conclusion. However, as Marinescu argues, although the selection of the Lysimachus tetradrachm may have been partially politically and propagandistically motivated, it was, above all, a financial decision. The Lysimachi tetradrachms were of Attic weight, a universally

71 Thompson et al. 1973’s Inventory of Greek Coin Hoards notes several instances of these Lysimachi tetradrachms. The Propontic and Pontic cities which minted the Lysimachi in these hoards are: Sardes, Amphipolis, Aenus, Lampsacus, Pergamum, Smyrna, Ephesus, Magnesia, Cius, Byzantium, Chalcedon, Cyzicus, Perinthus, Parium, Lysimacheia, Tenedos, and Clazomenae. For further details of the hoard contents see Thompson et al. 1973: nos. 163, 175, 181, 332, 867, 1299, 1302, 1303, 1369, 1450, 1537, 1772, and 1774. 72 Byzantium (modern Constantinople) was situated on the Western side of the Bosporus, while Chalcedon was opposite, on the Eastern bank. 73 For production dating, see: Marinescu 1996: 328. For interruptions in production, see especially Mørkholm 1991: 145-48. 74 Immediately following Lysimachus’ death in 281 B.C.E., Byzantium, Chalcedon, and a few additional cities had united to form the Northern League, which was formed as a mutual-protection agreement to maintain their independence from Seleucid rule.

accepted coinage system, and were therefore readily accepted in the region as a trusted form of currency.75 The history of the Lysimachi is irrevocably intertwined with the politics and finances of the Bosporus Strait, the Black Sea, and their inhabitants, and is too lengthy to discuss further here.76 However, I can say with confidence that by using the trusted and well-valued Lysimachus tetradrachm as a model, the minters of the Lysimachi coinage were able to create their own universally accepted coinage in order to do business with the inhabitants of the region. In the case of Byzantium and Chalcedon, the Lysimachus tetradrachm provided a dual opportunity both to mint a trusted form of money, as well as to thumb their noses as would-be conquerors. Lysimachus’ tetradrachm with its carefully expressed prophetic iconography never seemed to lose its popularity as a currency nor as an iconographic program. This innovative coin was minted in one form or another from its inception in 297 B.C.E., until Byzantium finally ceased its production of Lysimachi with the defeat of Mithridates VI of Pontus by Lucius Cornelius Sulla in 88 B.C.E., and the subsequent founding of the Roman province of Asia. If, as has been argued, the Lysimachean tetradrachm looks to the future and Lysimachus’ role as the rightful successor to Alexander the Great, then the respect and value given to the Lysimachi coinage for over two hundred years after his death demonstrate that Lysimachus’ hopes for future glory were not mistaken.

75 Marinescu 1996: 406-7; cf. Mørkholm 1991: 145-48 states that the production of the Lysimachi was in response to a particular demand for the coinage from Greek trading partners in southern Russia and the Crimea. The Lysimachi also served as inspiration for the coinage of several rulers in the area surrounding the Black Sea: Marinescu 1996: 6; 426-27. 76 For a full discussion of the complex history of Lysimachi coinage minted by Byzantium and Chalcedon, see especially Marinescu 1996.

Plate I

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Plate II

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Plate III

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Plate IV

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Plate V

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List of Plates

Pl. I.1: Alexander III, lifetime tetradrachm, Babylon. 17.17 g, unknown diameter. 325-323 B.C.E. Obv.: Head of young Heracles, right, in lion scalp. – Rev.: ΑΛΕΞΑΝΔΡΟΥ. Zeus seated to left, holds in left hand a staff, right hand has an eagle perched on it, monogram below throne and in left field. Photograph © The Trustees of the British Museum. Ref.: British Museum Registration no. 1886,0610.6. Pl. I.2: Mazaeus, stater, Tarsus. 10.705 g, 23 mm. 361- 333 B.C.E. Obv.: BLTRZ (Aramaic =Ba'altars). Baaltars seated to left, holds in his right hand a staff with a bird (possibly an eagle) perched on top. In left field monogram, a bunch of grapes. – Rev.: MZDI ZI'L'BRNH RAWHLK (Aramaic= Mazaios Governor of Transeuphrates and Cilicia). Lion attacking bull above two lines of city walls. Photograph © American Numismatic Society. Ref.: ANS 1947.81.4. Pl. II.3: Lysimachus, lifetime tetradrachm, Pergamum. 17.15 g, unknown diameter. 297-281 B.C.E. Obv.: Head of Alexander III, right, with horns of Zeus Ammon, wearing royal diadem. – Rev.: ΒΑΣΙΛΕΩΣ – ΛΥΣΙΜΑΧΟΥ. Athena with Corinthian helmet seated left, holds in right hand Nike. Spear pointed downwards behind Athena, round shield with Gorgon depicted leans against throne. In left field monogram, crescent; monogram under throne. Photograph © The Trustees of the British Museum. Ref.: British Museum Registration no. 1896,0703.84. Pl. II.4: Seleucus I, tetradrachm, Susa. 16.8 g, 26 mm. 312- 280 B.C.E. Obv.: Head of (deified) Alexander III, right, wearing panther helmet, with bull horn and ear. Rev.: ΒΑΣΙΛΕΩΣ – ΣΕΛΕΥΚΟΥ. Winged Nike, right, crowning war trophy.

Monograms in the lower left range and at the base of the trophy. Photograph © American Numismatic Society. Ref.: ANS no. 1944.100.74108. Pl. III.5: Ptolemy I, Alexander head/Athena tetradrachm, Alexandria. 15.73 g, 28 mm. 310- 295 B.C.E. Obv.: Head of Alexander III, right, with horn of Zeus Ammon, elephant scalp headdress, and scaled aegis. Dotted border. – Rev.: AΛEΞANΔPOY. Athena (either Athena Alkidemos or Athena Promachos), right, with shield and spear. In the right field is an eagle holding a lightning bolt in its claws; a Corinthian-style helmet is above the eagle. Monogram between Athena and the eagle. Photograph © American Numismatic Society. Ref.: ANS no. 1944.100.75576. Pl.III.6: Agathocles, Nike and Trophy tetradrachm, Syracuse. 17.05 g, 28mm. 310-308 B.C.E. Obv.: Kore head, right. – Rev.: Nike standing, right, with hammer and nail erecting trophy. Monograms in the lower right range and between Nike and the trophy. Photograph © American Numismatic Society. Ref.: ANS no. 1997.9.95. Pl.IV.7: Alexander III, lifetime stater, Salamis. 8.554 g, unknown diameter. 332- c.323 B.C.E. Obv.: Helmeted head of Athena, right. –Rev.: ΑΛΕΞΑΝΔΡΟΥ. Nike standing, left, holding stylis and wreath. Bird standing at the base of her feet, possibly an eagle. Photograph © The Trustees of the British Museum. Ref.: British Museum Registration no. 1885,0606.29. Pl.IV.8: Ptolemy I, stater, Cyrenaica. 4.25 g, 15 mm. 305-285 B.C.E. Obv.: ΚΥΡΑΝΑΙ[ΟΙ]. Helmeted Athena, right. –Rev.: Nike standing, right. Photograph © American Numismatic Society. Ref.: ANS no. 1965.217.10. Pl.V.9: Seleucus I, tetradrachm, Seleucia. 17.09 g, diameter unknown. 306-? B.C.E. Obv.: Head of young Heracles, right, in lion scalp. – Rev.: ΒΑΣΙΛΕΩ[Σ] ΣΕΛΕΥΚΟΥ. Zeus seated to left, holds in left hand a staff, right hand holds Nike reaching out to crown him, monogram below throne and in left field. Photograph © The Trustees of the British Museum. Ref.: British Museum Registration no.

2002,0101.1310. Pl.V.10: Philip III Arrhidaeus, stater, Babylon. 8.55 g, diameter unknown. 323- 317 B.C.E. Obv.: Helmeted head of Athena, right. – Rev.: ΒΑΣΙΛΕΩΣ-ΦΙΛΙΠΠΟΥ. Nike standing, left, holding stylis and wreath. Photograph © The Trustees of the British Museum. Ref.: British Museum Registration no. 1949,0411.287.

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The Rise of the Department Store in Paris: A Reflection of the Times through Zola’s Naturalistic Approach in Au Bonheur des Dames I. Naturalism and Haussmannization When one first gazes upon a map of Paris, the eye immediately goes towards the uniqueness of the monuments and follows the lines of roads to their destinations. One begins to make connections between the roads, becoming cognizant of the symmetry and design of the city: the circular perimeter, the interconnectedness by way of grand boulevards, and the comprehension that Paris was deliberately designed. The Paris of today was in large part constructed during the nineteenth century through Haussmannization and the Second Empire. In 1851, Napoleon III instigated a coup d’état replacing a republic with his empire. One of his primary goals was to create a capital city that rivaled the other major European cities in terms of economic, political, and cultural power. He brought on Baron Haussmann as his Prefect of the Seine in order to fulfill his dreams of rebuilding Paris. Together, they destroyed old Paris and developed the new Paris with specific objectives; namely political stability, increased commerce, and aesthetic superiority. Emile Zola lived during this period, experiencing the political oscillations between republics and empires while also encountering the advent of Realism and scientific Naturalism. For Zola, the Second Empire became the ideal environment in which to explore human nature and the forces that influence it through the particular medium of the novel. His Rougon-Macquart series follows a single family during the Second Empire and utilizes the experimental method of the sciences, making this series Zola’s experiment with literary Naturalism. Zola hopes that individuals, by reading his experimental novels, will have the power to consciously construct society instead of being unconsciously manipulated. The eleventh novel, Au Bonheur des Dames, takes place at the height of the Second Empire within a department store, an economic phenomenon born of the nineteenth century. In order to grasp what Zola is trying to do with his naturalistic theory of the novel, one must delve into the historical environment that made

the theory possible. For Zola, like many authors of the nineteenth century, ideas function within a historical framework, and can only exist and be understood with that framework. I will establish the framework of the Second Empire in order to identify the context that Zola found to be absolutely essential to grasping human nature both on an individual and a social level. In Au Bonheur des Dames, Zola performs a microscopic experiment that mirrors the macroscopic experiment performed by Napoleon III and Baron Haussmann in which individuals harness the external forces at work to produce new material phenomena, constructing a world of their own design that both adheres to and manipulates external forces. Through an investigation of the historical atmosphere of the second Empire and the literary context of Emile Zola and the Rougon-Macquart series, I aim to understand the connections between and the effects of the time period that led to the creation of department stores and their subsequent relationship to the economy and society. In order to understand the effect of the Second Empire, it is necessary to look at both the Emperor Napoleon III and Baron Haussmann: the individuals who, in the cycle of continual material transformation, ushered in their societal reforms, by replacing the ancient architecture of Paris with new and deliberate phenomena. The Baron and the Emperor, acutely aware of London’s growth and modern changes, wanted to usher Paris into the modern age in an effort to compete with England’s industrious nature. Moreover, Napoleon III desired to create a lasting empire in light of the tumultuous nature of French politics at the time and, to do so, he believed that France needed its own Rome. As Rome was considered the “Capital of the World,” the Emperor wanted to bring France back as a major world power and influence with a new Paris as the “Capital of the Modern World.” However the current structure of Paris could not fulfill the Emperor’s goals: the city was not structured to work efficiently with its small roads, medieval buildings, poor sanitation, and lack of overall organization. Napoleon III came into power after the fall of the Second Republic and was aware of how quickly the political atmosphere of Paris could change his empire back into a republic.

So, while modernizing the city, he also wanted to protect himself and the government from insurrection. He saw the importance of satisfying the interests of the people, which he most notably achieved through steady employment in public works. At the height of building, almost 20% of the Parisian workforce was employed by this project.77 In this way, Napoleon III utilized what would later be called the trickle-down theory of Keynes, that is, believing that the economy would improve if one poured large amounts of money into it. Haussmann also pioneered this approach through his productive expenditure method in which one must spend large amounts of money now in order to create future profit. The biggest problem in Paris was movement. Before this project, there was extreme difficulty in transportation from north/south and east/west. In fact, to cross the Seine, there were few bridges and the main ones were toll bridges. There was public bus transportation but few workers used it because of the expense, and wealthier people considered the bus as too degrading. David Pinkney in his work, Napoleon III and the Rebuilding of Paris (1958), quotes Baron Haussmann’s experience of trying to walk to school every day:

Setting out at seven o’clock in the morning from the quarter of the Chaussée d’Antin, where I lived with my family, I reached first, after many detours, the Rue Montmartre and the Pointe Sainte- Eustache; I crossed the square of the Halles…then the rues des Lavandières, Saint- Honoré, and Saint-Denis…I crossed the old Point au Change …continuing my route by the Pont Saint-Michel…Finally I entered into the meanders of the Rue de la Harpe to ascend the Montagne Saint-Genviève…78

77 David H. Pinkney, Napoleon III and the Rebuilding of Paris, (Princeton: Princeton University Press, 1958), 6. All citations are from this edition. 78 Pinkney, 16.

Obviously, it was extremely difficult to get from one part of Paris to another, especially when crossing the river. At this time, most people stayed within a few blocks of their home for all of their life, and one imagines that the difficulty presented by movement across the city made the decision to stay near home all the more attractive. This same problem occurred for the transportation of goods, water, and sewage. Haussmann and Napoleon III’s solution to these problems was the boulevard. The boulevards were their new material phenomena, which swept out the old and created a new Paris. In Haussmann’s memoires, he describes this phenomenon with extreme gusto and yet also an odd sense of guilt: “I have the double fault to have disturbed the Paris population, by turning upside down, by ‘boulevarding’, almost all of the town’s quarters and to make them understand that soon they will see the same appearance in the same surrounding. After my departure, and only then, one will forgive me for it.”79 The boulevard becomes more than an idea; it becomes an action. The boulevards connect the city and facilitate movement of people and goods. Haussmann also sees boulevards as opening up new forms of business by facilitating access to land: “One must then direct successfully the large avenues from the center of the city towards the other parts of its border, covered with vacant, inaccessible, and valueless land, in order to change its use and attract the building industry, which is always on a quest for favorable lots for construction.”80 Like a

79 My translation. « J’ai le double tort d’avoir trop dérangé la Population de Paris, en bouleversant, en « boulevardisant » presque tous les quartiers de la ville, et de lui faire voir trop longtemps le même visage dans le même cadre. Après mon départ, et seulement alors, on me le pardonnera ! » G.E. Haussman, Mémoires du baron Haussmann, vol. II, Préfecture de la Seine : exposé de la situation en 1853, transformations de Paris, plan et système financier des grands travaux, résultats généraux en 1870, (Paris, 1868), II:19. All citations are from this edition. 80 My translation. « On devait ensuite diriger successivement de larges avenues, du centre de la ville, vers les autres parties de sa circonférence, couvertes de terrains vacants, inabordables et sans valeur, pour y changer la destination du sol, et attirer l’industrie du bâtiment, toujours en quête de lots favorables à la construction », Haussmann, II:33.

railroad, the boulevard connects and expands a city systematically through its planned nature, as well as commercially by widening the roads, facilitating the amount of traffic. In addition, many of the boulevards connect at railway stations whereby both people and commerce can move to even further ends of the city and of France. Napoleon III’s primary concerns at the outset of the project were the completion of the Rue de Rivoli and the Central Markets, both of which were started under Napoleon I. Pinkney views this decision in both a practical and a personal light: practical in that these projects were vital to his restructuring of Paris; personal in that he sees their completion as a symbol of Napoleonic action winning against the republican government.81 These two projects were a way to curry favor with the public in order to complete a successful coup d’état against the republican government.82 After Napoleon III’s coup d’état in December 1851, the progress of the project accelerated, because of his consolidation of power, and it grew into what became known as Haussmannization. Pinkney depicts Napoleon III’s mindset after his coup d’état as one focused on continuing and amplifying his plans for Paris: “He ordered all previously authorized work pushed forward rapidly, and having no longer to contend with a refractory national assembly he authorized by simple decree a succession of new projects.”83 In order to get the work done, Napoleon III needed someone with the willpower to push through all of the difficulties of the project since, as emperor, he lacked the time and knowledge to do so. That person was Haussmann. As Pinkney describes it, “Napoleon had a mind sufficiently enlightened to envisage the broad plan for transforming Paris and the standing to give it virtually unassailable political backing. Haussmann had the firmness and zeal to see the plan through to reality.”84 It is interesting to note that Napoleon III and Haussmann created a commission to discuss the project, which met exactly one time. After that meeting, both of them agreed that the project would

81 Pinkney, 37. 82 Pinkney, 50. 83 Pinkney, 52. 84 Pinkney, 40.

only truly come into fruition if the decisions stayed between them.85 In fact, Haussmann was seen by others as a sort of extension of the Emperor, since he had the Emperor’s approval to make all decisions that he deemed necessary. As with the change in government from a republic to an empire, centralizing the decision- making power within as few as individuals as possible made the work move faster and with fewer issues because there were no dissenting opinions or debates, that is to say that the cycle of societal transformation moves more quickly when its power is centralized into specific individuals. One of Haussmann’s most important unilateral decisions was his adoption of new forms of credit. In a recent article, “Fictitious Capital: Haussmannization and the (Un)making of Second-Empire Paris,” Niamh Sweeney makes important connections between capital building and capital generation. Haussmann believed that the way to rebuild Paris was through “productive expenditure,” that is, spending money on projects that would create money in the long run. During the rebuilding of Paris, Baron Haussmann had to discover new forms of finance to pay for this grand-scale transformation. He took on the Saint-Simonian ideas of debt-financing and credit, which are founded on the concept that one needs to mobilize the dormant capital that is tied to material land in order to procure the necessary amount of capital that an industry needs. This mobilization occurs by transferring value from land to credit, that is, moving value from the material to the abstract. Sweeney also connects this transfer of value with future speculation: “If land’s productive capacity can be optimized through investment by credit, it follows that its value might similarly appreciate through such ‘manipulation’ over time.”86 With credit, one is trusting that future streams of revenue from what one is building will pay off the debt accumulated during construction. As Haussmann put it, “This is no longer a question of money, it’s one

85 Haussmann, II:57. 86 Niamh Sweeney, “Fictitious Capital: Haussmannization and the (Un- )making of Second-Empire Paris,” L’Esprit créateur 55, no. 3 (2015): 102. All citations are from this edition.

of time.”87 Credit, which had historically been immobile through its connection to land, was now much more mobile and therefore both highly volatile and transitory. Though this was not the first time that France experimented with illusory forms of revenue. Sweeney comments on the use of assignats during the Revolutionary period and selling the biens communaux during the first Napoleonic Empire as precedents that partially explain Haussmann’s willingness to utilize mobile credit: “Within the context of a relatively underdeveloped domestic economy, conditions in early nineteenth-century France appeared primed for the emergence of modern lending institutions and the concomitant development of fictitious forms of capital.”88 When France experiences an unstable government and economy, unstable forms of revenue become attractive options since the “stable” forms are not producing a financially stable outcome. So, Haussmann had the perfect opportunity at the beginning of the Second Empire to utilize these unstable revenue streams. With mobile credit, Haussmann had the monetary stream to rebuild Paris, and, in doing so, created the modern understanding of national debt wherein a country accumulates a massive amount of debt in order to fund public projects. There were, of course, many people who saw this new form of capital as extremely dangerous. One outspoken opponent was Jules Ferry, a French politician who was actively opposed to the Second Empire regime and was later appointed to Haussmann’s position (Prefect of Paris). In his book Les comptes fantastiques d’Haussmann (1867), Ferry denounces these new economic principles and views mobile capital as binding rather than freeing: “It is necessary to recognize that one is, by the logic of the system, condemned to never finish; that one demolishes, not to transform, but to destroy; that, in order to maintain this regime of forced perpetual work, one needs to borrow…something like

87 My translation. « Ce n’est plus une question d’argent, c’est une question de temps », Haussmann, II: 594. 88 Sweeney, 103.

300 million [francs] every two years.”89 It creates an endless cycle of rebuilding, where one builds to make money to pay off previous construction, creating more debt, and the cycle repeats. In addition, the debt that one accumulates creates an unknown effect on the next generation, which is bound by a commitment to pay off the debt though they did not agree to it. This period of historical upheaval and transformation inspired the literary Naturalist movement. Beginning in nineteenth- century France as a reaction to Romanticism, it grew out of Realism. Zola is considered one of the main proponents of Naturalism and helped to define its very meaning and use. Like Realism, it was inspired by a Darwinian view of nature, in which the author acts as a scientist, impartially studying society as a competitive entity.90 The literary movements of Naturalism and Realism are evidently closely linked to the scientific “naturalists,” experts in understanding the natural or physical world who attempt to discover the laws that govern its movements.91 The Grand Robert defines Naturalism (literary) as, “the doctrine and school that proscribes all glorification of the real and insists principally on the aspects in man that come from nature and its laws.”92 In contrast to Realism, Naturalism looks to identify scientifically the forces that influence a subject’s actions.

89 My translation. « Il faut reconnaître que l’on est, par la logique du système, condamné à ne jamais finir; qu’on démolit, non pour transformer, mais pour démolir; que, pour soutenir ce régime de travaux forcés à perpétuité, on a besoin d’emprunter…quelque chose comme 300 millions tous les deux ans. » Sweeney, 108. 90Research made possible through the aid of the Nanovic Center for European Studies and their Summer Grants Program Encyclopædia Britannica Online, s.v. "naturalism," http://original.search.eb.com.proxy.library.nd.edu/eb/article-9055047 (accessed November 13, 2015). 91 OED Online, s.v. “naturalist.” Definitions 1.a and 2.a. 92 My translation. « Doctrine et école qui proscrit toute idéalisation du réel et insiste principalement sur les aspects qui dans l'homme relèvent de la nature et de ses lois » Le Grand Robert, mise à jour le 11 octobre 2013, s.v. « naturalisme, » http://gr.bvdep.com.proxy.library.nd.edu/version- 1/login_.asp. All citations are from this edition.

In Le roman expérimental (1880), Zola expresses his Naturalist theory and explains the role of a Naturalist writer as employing the experimental method that has been developed within the scientific world. He depicts the experimental novel as:

to posses a knowledge of the mechanism of the phenomena inherent in man, to show the machinery of his intellectual and sensory manifestations, under the influences of hereditary and environment, such as physiology shall give to us, and then finally to exhibit man living in social conditions produced by himself, which he modifies daily, and in the heart of which he himself experiences a continual transformation.93 The novel, like other sciences, should focus on understanding the “how” of things, not the “why.” So, Zola is interested in gaining knowledge of how people work and proposes that humans are affected by external forces that determine a person’s attitude, personality, and actions. Through studying humans as phenomena, one can gain knowledge of these forces’ effects and, therefore, obtain the ability to use this knowledge in order to control the forces and therefore control the outcome of human action, having the power to construct new social conditions. In terms of experimentation, the writer sets those “phenomena” into motion through what Zola called his “share of invention, of genius in the work.”94 While Realism merely observes, Naturalism experiments. By discovering forces such as the hereditary and social forces, one could understand the actions of the character; in this way, the Naturalist authors develop a deterministic outlook towards their characters in which, according to the Encyclopedia Britannica, “Individual characters were seen as helpless products of heredity

93 Emile Zola, The Experimental Novel, trans. Belle Sherman, (New York: The Cassell Publishing Company: 1893), 20-21. All citations are from this edition. 94 My translation.« part d’invention, de génie dans l’œuvre » Jessica Tanner, “Speculative Capital: Zola’s Repossession of Paris,” L’Esprit créateur 55, no. 3 (2015): 121.

and environment, motivated by strong instinctual drives from within and harassed by social and economic pressures from without. As such, they had little will or responsibility for their fates, and the prognosis for their ‘cases’ was pessimistic at the outset.”95 Just as naturalist scientists attempt to understand the laws that govern how the natural world functions as it does, so too does the naturalist writer try to grasp the mechanisms behind why people act the way that they do. However, Zola attempts to thwart this negative deterministic outlook. He utilizes Charles Bernard’s method of turning medicine into an experimental science to aid him in creating the experimental novel. Zola quotes Bernard’s explanation of determinism and fatalism in order to push against the negative deterministic outlook:

Fatalism assumes that the appearance of any phenomenon is necessary apart from its conditions, while determinism is just the condition essential for the appearance of any phenomenon and such appearance is never forced…The moment we can act, and that we do act, on the determining cause of phenomena – by modifying their surroundings, for example – we cease to be fatalists.96 In the act of experimentation, which adheres to set laws of nature, the experimenter attempts to use those laws to produce varying results. Through knowledge gained, the naturalist can change the outcome of human action. Zola, throughout his Rougon-Maquart series, experienced moments wherein he seemed to question the outcomes that arose from this deterministic outlook. While most of his novels end “unhappily,” he chooses to use Au Bonheur des Dames as an experiment to show the possibility of happiness. However,

95 Encyclopædia Britannica Online, s.v. "naturalism," accessed November 13, 2015, http://original.search.eb.com.proxy.library.nd.edu/eb/article- 9055047. 96 Emile Zola, The Experimental Novel, 29-30.

the final book in the series raises doubts about whether the characters in Au Bonheur des Dames stay happy or if the cycles at play inherently lead to a type of fall. The end of Darwin’s The Descent of Man (1871) also seems to promote this less optimistic outlook on the future of humanity in much the same way that Zola later comes to view his novels as pessimistic: “Man still bears in his bodily frame the indelible stamp of his lowly origin.”97 No matter what future progress an individual or society as a whole may achieve, the “stamp” of the past will influence the future in a likely negative way. Zola considered his role as a writer not merely one of observing the world around him but as creating narrative and breathing life into those observations, through understanding the familial heritage and the environment that make a character act in certain ways. He explains the difference between observation and experimentation in “Les Différences entre Balzac et moi”:

[Balzac’s] work wants to be the mirror of the contemporary society. My work, mine, will be something else entirely. The scope will be narrower. I don't want to describe contemporary society, but a single family, showing how race [i.e. familial traits] are modified by environment….My big task is to be strictly naturalist, strictly physiologist…Balzac says that he wants to paint men, women, and things. Me, in terms of men and women, I only need one, and while admitting differences between the natures of men and women, I submit women and men to things. 98

97 Charles Darwin, “The Descent of Man,” in Darwin: The Indelible Stamp, ed. James D. Watson (Philadelphia: Running Press, 2005), 1055. 98 My translation. « En un mot, son œuvre veut être le miroir de la société contemporaine. Mon œuvre, à moi, sera tout autre chose. Le cadre en sera plus restreint. Je ne veux pas peindre la société contemporaine, mais une seule famille, en montrant le jeu de la race modifiée par les milieux. Ma grande affaire est d'être purement naturaliste, purement physiologiste. Balzac dit qu'il veut peindre les hommes, les femmes et les choses. Moi,

In this way, Zola sounds like a scientist who observes specific test subjects to see how the environment affects their behavior, and material phenomena are the foundation of this environment. However, as discussed earlier, Zola does more than merely observe, he creates. He constructs the characters and the environment in which they live, and then lets them loose to see how they would react in situations of his creation. Zola elaborates on this experimental style in an attempt to answer potential objections to lack of objectivity in his method. He explains in Le roman expérimental that the writer has an experimental idea, a hypothesis, and creates the ideal experiment in which to see how this idea plays out. Once the experiment is complete, the writer becomes an observer, producing objective results. Zola describes the process as follows:

In fact, the whole operation consists in taking facts in nature, then in studying the mechanism of these facts, acting upon them, by the modification of circumstances and surroundings, without deviating from the laws of nature. Finally, you possess the knowledge of the man, scientific knowledge of him, in both his individual and social relations.99 Again, his process is one of both manipulation and adherence to the laws of nature. What is most striking about his approach is his emphasis on the individual. The interactions the individual has with the outside world harmonize with his or her unique character. For Zola, society is a direct consequence of the individual who is simultaneously influenced by past societal forces. As Zola phrases it, man lives “in social conditions produced by himself, which he modifies daily, and in the heart of which he himself experiences a des hommes et des femmes, je ne fais qu'un, en admettant cependant les différences de nature et je soumets les hommes et les femmes aux choses. » Emile Zola, Preparatory notes for the Rougon-Macquart series [1801-1900], NAF 10345, Department of Manuscripts, Bibliothèque nationale de France. 99 Emile Zola, The Experimental Novel, 9.

continual transformation.”100 Past society determines the individual who determines the new society who determines the next individuals and so on, in a cycle of “continual transformation.” Unlike Balzac, Zola focuses on individuals, taking a microscopic view of society and yet, in doing so, hopes to better understand the macroscopic social conditions that an individual experiences. In this cycle of society – individual – society, the only way to keep the forward momentum is through the changes that occur to the individual. A cycle with only society – society, cannot function because the influences of the older society must be grounded in physical phenomena in order to exist and individuals both are and create the material phenomena that represent the current society. Through the produced phenomena, individuals construct the new society, adhering to the laws of nature but manipulating them into a new social experiment. While Zola utilizes these questions of forces, cycles, and destruction that arise from the nineteenth century’s political and philosophical spheres and experiments with them in the Rougon- Macquart series, he performs a unique experiment in Au Bonheur des Dames: Zola chooses to be optimistic and gives this story a happy ending, suggesting the possibility of a positive resolution to the cycle. While the characters still follow the same pattern as in his previous novels, in which the characters’ flaws emerge, their flaws do not lead to their immediate downfall. For example, the hero, Octave Mouret, has the flaw of an extreme desire and love of women, yet he does not end up overpowered or destroyed by women no matter how many times other characters tell him that women will one day rise up against him. Instead, he wins Denise, and the store triumphantly enters into a utopian future that combines capitalism and socialism. Written from 1882 to 1883 and published in 1883, Au Bonheur des Dames both reflects and critiques contemporary mores, but ends with a positive outlook on the future of capitalism and consumerism. The department store, like Mouret, is a mid-nineteenth-century creation: as the mixture of the Rougon-Macquart family, the department store created by Mouret represents Second Empire ideals of empire building, credit, and

100 Emile Zola, The Experimental Novel, 21.

consumerism. By focusing on one particular store and the people who engage with it, Zola showcases the effect of these different forces through narrative structure. Unlike the other members of the Rougon-Macquart family, Mouret’s hereditary forces do not lead to his downfall because another force intervenes: Denise. Zola utilizes Mouret and Denise’s relationship as an analogy to the ideal department store: its future becomes one of hope and balance between consumerism and humanity. Both Mouret and his department store have flaws, yet Zola makes it possible for both to flourish through the character of Denise. At the end of the novel, Zola presents a utopian plan for the ideal department store through the lens of Fourierian and Darwinian thought. However, Zola ends the story somewhat ambivalently, leaving room to question whether this story ends happily or whether this summit of happiness will soon end in destruction, continuing the cycle of “progress,” and making this novel a failed experiment in the ability to promote a happy ending within his Naturalist theory. Au Bonheur des Dames is the eleventh novel within Zola’s Rougon-Macquart series. The subtitle of this series is telling: “The natural and social history of a family under the Second Empire.” In each novel, Zola follows a certain member of the Rougon- Macquart family and the story unfolds with that person’s tragic flaw leading to their inevitable downfall. The Rougon-Macquart family begins with Adélaïde Fouque who marries a Rougon; their son is Pierre Rougon. However, Adélaïde also has a lover, Macquart, with whom she has two children, Ursule and Antoine Macquart. The family tree ends up being split into three families, the Rougons, associated with Pierre; the Macquarts, with Antoine; and the Mourets, with Ursule. All three branches exhibit hereditary deficiencies associated with Adélaïde’s initial actions as well as deficiencies connected with the three different social classes that the branches fall into. The Rougons become the most successful members of the family, but exhibit drives for money, power, and excess. The Macquarts are lower class and fall into alcoholism, prostitution, and homicide. Finally, the Mourets are a mixture of

the two due to the marriage between Rougon-Macquart cousins, becoming members of the middle-class with various flaws.101 The first novel of the series, La fortune des Rougon (1871), begins with a preface in which Zola explains his work’s plan and goal:

I wish to show how a family, a small group of persons, comports itself amidst the surroundings in which it is placed, expanding and giving birth to ten, twenty individuals who appear at first sight extremely dissimilar, but who, on examination, will be found to be intimately connected with each other. Heredity, the same as gravity, is governed by certain laws. By resolving the double question of temperament and surroundings, I shall endeavor to discover and follow the thread which conducts mathematically one individual to another…I shall portray them in all the complex diversities of their efforts; and, at the same time, I shall analyze the sum of each individuals’ volition, and the general tendency of the whole.102 Here, one sees Zola’s Naturalist style in full force: there are laws that govern people’s actions. In following one family, he hopes to find the general concepts and laws that would apply to all persons. However, the word “portray” adds an interesting connotation. In the original French, Zola uses the words créer and agissant. Créer (to create) signifies, “to give existence to or to be the cause of” while agissant adds an additional implication to créer because it means “that which operates effectively, that which is manifested or active.”103 The naturalist novelist manifests what is already effecting an individual. The novelist does not invent the forces in themselves;

101 Encyclopædia Britannica Online, s.v. "Rougon-Macquart cycle," accessed November 14, 2015, http://original.search.eb.com.proxy.library.nd.edu/eb/article-9486460. 102 Emile Zola, The Fortune of the Rougons: A Realistic Novel, translated from the 24th French Edition, (London: Vizetelly & Co., 1886), v-vi. 103 My translation. Le Grand Robert, s.v. « créer » and « agissant. »

rather, he recognizes those forces in the world and maneuvers them, in the context of his novel, in order to experiment. Zola is both an active and passive participant wherein he controls the initial variables of his experiment but then passively records the results and accepts the laws of those forces. Zola makes this family and creates their personalities in order to fit his idea of hereditary laws. Yet, while he chose which time period in which to place his characters, he claims to have no control over how the time period would influence the characters. This emerges in the preface to La fortune des Rougon, where he discusses the necessity of the Second Empire’s fall: “I had been collecting documents for the vast work for about three years and the present volume [La fortune des Rougon] was, indeed, already written, when the fall of the Bonapartes – which was essential to complete my picture, and which, with a kind of fatality, always turned up at the end of the drama – came to my aid, though I had not dared to expect it so near, to supply the terrible and necessary issue of my work.”104 Through his research, he projected that the Empire would need to fall in order for his work to be complete. He ascribes this end as decided by fate, as something that had to be, and simultaneously something he could predict because of his study of social forces. Whether or not Zola actually predicted the downfall of the Empire in this way, it does help in understanding the mentality of Zola and the mentality of his characters, whose personal downfalls foreshadow the Empire’s, as microcosmic examples projected onto the macrocosmic political and economic sphere. In the novel Au Bonheur des Dames, Zola mirrors these nineteenth-century ideas of force and progress through his fictionalized portrayal of a department store, a material phenomenon which Zola views as a natural progression of the Second Empire. By choosing a department store and a single family, Zola employs his naturalistic style to engage with and attempts to understand the effects of this time period on the people living in it, while also postulating the effects of these mechanisms in the burgeoning form of capitalist society, highlighting both its advantages and its flaws. Through this

104 Emile Zola, Fortune, vi.

experimental method, the particular phenomena are the lens through which one is able to comprehend the whole system because, for Zola, the whole can only truly present itself in the individual and the expression of these outside forces occurs because the individual expresses it.

II. Emile Zola’s Au Bonheur des Dames: a Natural and Social History of the Department Store

Emile Zola’s novel Au Bonheur des Dames focuses on the rise of a fictional department store during the Second Empire. Even though this is a work of fiction, Zola spent countless hours in the real-life department store Au Bon Marché, taking diligent notes in order to create his fictionalized version. In Au Bonheur des Dames, Zola offers the readers an in-depth picture of a department store to highlight the underlying motives and mindsets that led to department stores’ creation and subsequent takeover of the commodity market during the years 1864 to 1869. The reader enters into this world alongside Denise, a young and recently orphaned woman from the provinces who moves to Paris to work for her uncle in order to provide for her younger brothers. While the novel itself is written in third-person narration, the reader quickly identifies with Denise as together they experience the department store for the first time and learn its inner workings. Denise’s uncle Baudu owns a small linen shop directly across the street from Le Bonheur des Dames, which serves as an example of the small shops that the department stores were destroying in the 1860s. She moves to Paris to work for him, but he cannot afford to hire her due to the financial pressures caused by the new department store, and so she ventures into the large store to apply for a job. Octave Mouret is the store’s innovative owner and Bourdoncle is his pragmatic right-hand man. The story unfolds with Denise learning the ways of the store and moving up within its hierarchy. There are various other characters associated with the store such as the workers, clients, and suppliers. In addition to the stories of the store’s inner-workings and politics, a “love” story emerges, which Zola utilizes as an analogy of capitalism and

socialism merging into the ideal store; Mouret becomes infatuated with Denise and attempts to win her over, but she initially refuses his advances, refusing to be bought like his clients. In the end, she succumbs to his seduction, while also adding a sense of humanity through socialist policies into this store where profits are king. Au Bonheur des Dames opens almost immediately with the attractive pull of the department store. Denise’s first impression of Paris is one of splendor, grandeur, and seduction; right after disembarking at the Gare Saint-Lazare from her native Normandy to the big city, she espies the displays of Le Bonheur des Dames: “It started high with woolens and linen items, merino, Cheviot, and flannelette, hanging down from the mezzanine floor, waving like flags, interrupted by white price tags….”105 The various displays overflow with decadence, and even seem to take on a life of their own with descriptions of “hanging on rails to show the forms of rounded calves” and “folded as if around a curving waist.”106 Even though Denise is the assumed protagonist, she disappears in the wake of this luxurious store. She becomes entranced by it, seduced by its vastness and the onslaught of colors, light, and glass. Like Denise, the ideal reader is captivated by the splendor of the store, overwhelmed in the descriptions of luxury. The narration encourages this abandonment in that the first pages are comprised mostly of detailed descriptions of the store, from the outer façade and window dressings to the displays of each department:

She stood and admired it, rooted to the spot. At the back, a large, expensive scarf in Bruges lace

105 Emile Zola, The Ladies’ Delight, ed. and trans. Robin Buss, (London: Penguin Books, 2001), 4-5. « Cela partait de haut, des pièces de lainage et de draperie, mérinos, cheviottes, molletons, tombaient de l’entresol, flottantes comme des drapeaux, et dont les tons neutres, gris ardoise, bleu marine, vert olive, étaient coupés par les pancartes blanches des étiquettes. » Emile Zola, « Au Bonheur des Dames, » in Les Rougon- Macquart, (Paris : Fasquelle et Gallimard, 1964), 390. All citations are from these editions. 106 Zola, 5. « Dessous, des bas de soie, pendus à des triangles, montraient des profils arrondis de mollets » et « plissées comme autour d’une taille qui se cambre » Zola, 391.

was spread out like an altar cloth, its two wings extended, in white tinged with red. There were garlands scattered around, made of flounces of Alençon lace; and then, by armfuls, a cascade of every kind of lace: Mechlin, Valenciennes, Venetian, and appliqué from Brussels, like falling snow. To right and left, lengths of cloth rose in dark columns, which had the effect of thrusting the altar back, and all around, in this chapel dedicated to the worship of womanly charms, were the clothes….107 The accumulation of visual detail is meant to pull the reader into this world. The imagination is overwhelmed with images, colors, and fabrics, almost to the point where one forgets that Denise is even there. Zola connects this material seduction to a religious ceremony as well as to images of nature. Metaphors connect the fabrics with the ideas of reverence, wonder, awe, and, oddly enough, purity. Cascades of material run down the displays, falling like snow, filling one with wonder at how material could look so alive and natural. The whiteness of the lace emphasizes the unspoiled nature of what has yet to be bought. Following the idea of whiteness, the image of a white altar cloth evokes the concept of purity, while the dark columns highlight the constructive and theatrical aspect of the displays. At this chapel of “womanly charms,” the clients worship the things that they believe will

107 Zola, 6. « Et jamais elle n’avait vu cela, une admiration la clouait sur le trottoir. Au fond, une grande écharpe en dentelle de Bruges, d’un prix considérable, élargissait un voile d’autel, deux ailes déployées, d’une blancheur rousse ; des volants de point d’Alençon se trouvaient jetés en guirlandes ; puis, c’était à pleines mains, un ruissellement de toutes les dentelles, les malines, les valenciennes, les applications de Bruxelles, les points de Venise, comme une tombée de neige. A droite et à gauche, des pièces de drap dressaient des colonnes sombres, qui reculaient encore ce lointain de tabernacle. Et les confections étaient là, dans cette chapelle élevée au culte des grâces de la femme ; occupant le centre, un article hors ligne, un manteau de velours, avec des garnitures de renard argenté » Zola, 392.

transform them into better versions of themselves, taking on an unspoiled, pure nature, which is ironically presented in sensuous ways. Purity is being “sold” in the same way that the female customers are being “bought,” bringing together the contradictory ideas of virginity and prostitution. This onslaught of images, fabrics, and clothes make Denise literally stand still, unable to process it. Like Denise, the ideal reader is expected to remain rooted to the spot, unable to continue with the plot until the narrator decides to move on: “Uncle Baudu was forgotten. Even Pépé, not letting go his sister’s hand, was staring wide-eyed. A carriage obliged all three of them to move from the middle of the square and, mechanically, they started up the Rue Neuve-Saint-Augustin, walking alongside the windows and pausing afresh at each new display.”108 Even as they try to reach their uncle’s shop, they mechanically follow the route, their minds completely absorbed in the window displays. They end up lost, ask for directions, and must then retrace their steps back towards the department store, where they again fall into looking at the displays. Denise is the one who finally remembers their reason for being there: “‘What about our uncle?’ Denise said suddenly, as though waking up with a start.”109 The department store is meant to seem unreal, a sort of daydream that interrupts one’s daily life. Yet, this moment says something very important about the traits Zola has endowed on Denise: she wakes up; she has the mental fortitude to withstand the power of the store, even after being seduced by it. Only after Denise awakens does the story continue. In this way, Denise is no longer depicted as a flâneuse, strolling along the streets, unattached to any particular sight, but

108 Zola, 5. « L’oncle Baudu était oublié. Pépé lui-même, qui ne lâchait pas la main de sa sœur, ouvrait des yeux énormes. Une voiture les força tous trois à quitter le milieu de la place; et, machinalement, ils prirent la rue Neuve-Saint-Augustin, ils suivirent les vitrines, s’arrêtant de nouveau devant chaque étalage. » Zola, 391. 109 Zola, 7. « Et l’oncle ? fit remarquer brusquement Denise, comme éveillée en sursaut. » Zola, 392.

rather she becomes a sort of gawker, or as Victor Fournel describes it, a badaud:

The simple flâneur observes and reflects…He is always in full possession of his individuality. By contrast, the individuality of the badaud disappears, absorbed by the outside world, which ravishes him, which moves him to drunkenness and ecstasy. Under the influence of the spectacle, the badaud becomes an impersonal creature; he is no longer a man, he is the public, he is the crowd.110 The loss of individuality and assimilation into larger entities that mark the badaud are central to understanding the use of image and reflection in the novel. At the end of the first chapter, Denise, as the badaud, succumbs to the store’s allure and is passively pulled into the store by what Zola calls the “fear that completed her seduction.”111 However, she does have a moment of self- awakening: this allows the potential for her to become the flâneuse later in the novel, embracing her individuality and, in doing so, transforming the store. Zola describes, in detail, the design of the nineteenth- century department store, highlighting the conscious psychological and economic decisions made in order to invite clients in, with most of his examples coming from the real-life Bon Marché. One such design is the window dressings, which Zola depicts to stress the allure and enticement for a passerby such as Denise. Denise experiences this enticement when she first lays eyes on the store: “But Denise was still contemplating the display at the main door.

110 My translation. « Le simple flâneur observe et réfléchit…Il est toujours en pleine possession de son individualité. Celle du badaud disparaît, au contraire, absorbée par le monde extérieur qui le ravit à lui-même, qui le frappe jusqu’à l’environnent et l’extase. Le badaud, sous l’influence du spectacle, devient un être impersonnel ; c’est n’est plus un homme, il est public, il est foule. » Victor Fournel, Ce qu’on voit dans les rues de Paris, (Paris: E. Dentu, 1867), 270. 111 Zola, 16. « Il y avait, dans son désir d’y pénétrer, une peur vague qui achevait de la séduire. » Zola, 403.

Out in the open, even on the pavement, an avalanche of cheap goods had spilled out – the bait at the doorway, the bargains which halted the customer as she went past.”112 The store consciously places the bargain items in direct view of passersby; even more, the items are an “avalanche,” sweeping the unsuspecting passerby with an onslaught of images, colors, and textures. The shock and awe tactics, both in terms of the low prices and the overflowing of items are meant to convince one to enter the store. Later in the work, Zola shows Mouret designing a window with the same intent of overpowering and shocking potential clients:

He picked up the pieces and was throwing them around, crumpling them, to make startling combinations of colors. Everyone agreed, the boss was the finest display artist in Paris, a revolutionary indeed, who had introduced the brutal and the colossal into the science of window-dressing. He wanted landslides of cloth tumbling as though it had been accidently spilled out of boxes, blazing with the most intense colors, each striking sparks from its neighbors. When they left the store, he would say, his customers ought to have eye strains.113 These “revolutionary” tactics are designed explicitly to overpower, disorient, and startle customers so that they will be in a way swept

112 Zola, 4. « Mais Denise demeurait absorbée, devant l’étalage de la porte centrale. Il y avait là, au plein air de la rue, sur le trottoir même, un éboulement de marchandises à bon marché, la tentation de la porte, les occasions qui arrêtaient les clientes au passage » Zola, 390. 113 Zola, 48. « Il avait pris les pièces, il les jetait, les froissait, en tirait des gammes éclatantes. Tous en convenaient, le patron était le premier étalagiste de Paris, un étalagiste révolutionnaire à la vérité, qui avait fondé l’école du brutal et du colossal dans la science de l’étalage. Il voulait des écroulements, comme tombés au hasard des casiers éventrés, et il les voulait flambants des couleurs les plus ardentes, s’avivant l’un par l’autre. En sortant du magasin, disait-il, les clientes devaient avoir mal aux yeux » Zola, 434.

into the store, like a landslide. Once they are in the store, they will be continually tempted and swept into buying. The use of the term “revolutionary” has very specific connotations within a French context. During the Second Empire, an empire built off of the ruins of the previous republic, being a revolutionary would be dangerous because revolutionaries create instability and competition. Within a department store, the qualities of instability and competition breed success, while also breeding shock and even a sense of morbid curiosity similar to crowds who stood transfixed at public hangings, who are shocked yet passively accepting the actions that unfold before it. As Zola describes the situation, Mouret’s customers are not in control; he is. The customers are all badauds, passively accepting the fashion trends that Mouret controls. He wants to influence their every purchase, and even maneuvers them to follow certain paths so that they hit multiple departments on the way to whatever they originally wanted to buy. Mouret comes to this realization right before the big winter sale. He sees that he placed the departments too logically and so he moves all of the departments around. At first, the workers, especially Bourdoncle, do not understand Mouret’s reasoning until he “condescends” to explain himself: “First of all, the constant movement to and fro of customers spreads the customers around, multiplies them and makes them lose their heads…And thirdly, they are obliged to go through departments where they would not otherwise have set foot, where there are temptations to catch them as they go by, and they succumb.”114 That is, all of the customers become badauds, gawkers, swept away by overpowering forces, “losing their heads” in the sheer vastness of buying opportunities and temptations. Other new commercial practices represented in Zola’s novel include newspaper ads and company vans. Within the novel,

114 Zola, 234. « Tenez ! Bourdoncle, écoutez les résultats…Premièrement, ce va-et-vient continuel de clientes les disperse un peu partout, les multiplie et leur fait perdre la tête…troisièmement, elles sont n’auraient pas mis les pieds, les tentations les y accrochent au passage, et elles succombent » Zola, 615.

Mme Desforges and her female companions start a conversation about the Bonheur des Dames after reading about the new silk line in the papers: “‘Your silk, your Paris-Bonheur, which all the newspapers are talking about?’ Madame Marty said impatiently…Since the publicity for it had started, this silk had played a considerable role in their daily lives.”115 The narration shows women learning about the new items through the newspapers ads and reinforces the advertisements’ effectiveness by stating that the silk plays “a considerable role” in their lives. It implies that these ads are constantly changing, promoting the current novelty that will take Paris by storm. In, La Publicité en France. Guide practique. Annuaire pour 1878, précédé de notices historiques sur les différents modes de publicité en usage en France (1878), Emile Mermet discusses nineteenth-century forms of advertisement. Mermet added an appendix at the end with various examples of advertisements during this time period. For example, one store named the Maison du Petit Saint-Thomas put out an advertisement in March 1878 in the form of a letter to the female clients informing them of the new changes and inviting them to come see the new merchandise. In the letter, the new owners speak directly to the female clients, assuring them that the change in ownership will have no negative effect on the store. It simultaneously connects the old tradition of kindness and politeness with future endeavors:

A kindness without bounds and a politeness full of propriety are, as you know, Madame, the tradition of the Maison du Petit Saint-Thomas and we will continue the habits of our predecessors. In order to inaugurate our opening and to have a future of entirely new fabrics, we are going to sell

115 Zola, 78. « Votre soie, votre Paris-Bonheur, dont tous les journaux parlent ? reprit Mme Marty, impatiente…Cette soie, depuis que les réclames étaient lancées, occupait dans leur vie quotidienne une place considérable » Zola, 463.

all of the merchandise originating from our predecessors with discounts…116 This letter mixes personal psychology with business tactics. It flatters women while also convincing them to come to the store to buy off the old merchandise, which, it claims, is a necessary step to change the store’s inventory: out with the old, in with the new! Of course, selling off the old merchandise is equally beneficial for the new owners who need to empty their current stock in order to restock with the newest and current fashion, which will lead to increased turnover and profits. Mouret ingeniously comes up with other forms of advertisement that blend fashion and utility with advertisement. It is also interesting to note that the new silk line is named Paris- Bonheur. The item itself becomes a form of advertisement as women wear it and tell others about it. This same kind of double purpose occurs with the store’s vans. The vans are used to deliver mail-ordered packages within Paris and its suburbs. At the same

116 My translation. « Madame, Nous venons de nous rendre acquéreurs de la Maison du Petit Saint-Thomas, que nous favorisez depuis longtemps de votre Clientèle. Ce changement, nous nous hâtons de vous l’apprendre n’apportera aucune altération aux principes qui ont précidé à la fondation de la Maison et dont l’application sévère l’a placée au premier rang parmi les plus honorables. Une complaisance sans bornes et une politesse pleine de convenance sont, vous le savez, Madame, de tradition dans la Maison du Petit Saint-Thomas nous continuerons les habitudes de nos prédécesseurs. Pour inaugurer notre prise de possession et n’avoir à l’avenir que des Etoffes entièrement nouvelles, nous allons vendre toutes les Marchandises provenant de l’ancienne Société, avec les rabais qui viennent de nous être faits à l’inventaire, c’est à dire aux prix mêmes de l’expertise. Nous serons heureuse, Madame, de vous voir profiter de ces avantages, et sollicitons l’honneur de votre visite. Veuillez agréer, Madame, nos très respectueuses salutations, » Emile Mermet, La Publicité en France. Guide pratique. Annuaire pour 1878, précédé de notices historiques sur les différents modes de publicité en usage en France.., (Paris: A. Charx et Cie., 1878), 149.

time, they serve as advertisement since they were covered in the store’s name and had placards stating that day’s sale.117 At one point in his practical guide to publicity, Mermet describes the conscious decision of storeowners to influence their customers:

The storekeeper’s principal goal is first to attract visitors into his store. The simply curious will become the impulse buyers. Look at the seasonal exhibits put on by the department stores, how many women do not plan to go there yet due to idleness, and without having the intention to buy, who nevertheless return home with useless thing and objects of all varieties, which they did not imagine to find in stores.118 To attract customers, the nineteenth-century department stores transform curiosity into impulse buying: a new mode of consumerism. Then they bombard the customers with sales, displays, and an abundance of choices. In terms of the objects themselves, these grand department stores have many types of objects; all of these options make the temptation all the stronger. The stores show customers objects that they did not even know they wanted: they create unnecessary “needs” out of passing whims. For this reason, the department stores were and are designed so that one must pass different types of items while on

117 Zola, 85-86. « …des voitures à fond vert, rechampies de jaune et de rouge, et dont les panneaux fortement vernis prenaient au soleil des éclats d’or et de pourpre. Celle-là, avec son bariolage tout neuf, écartelée du nom de la maison sur chacune de ses faces, et surmontée en outre d’une pancarte où la mise en vente du jour était annoncée, finit par s’éloigner au trot d’un cheval superbe… » Zola, 470. 118 My translation. « Le principal but du commerçant est d’attirer d’abord des visiteurs dans ses magasins. Les simples curieux deviendront des acheteurs à l’occasion. Voyez les expositions de saisons faites par les grandes maisons de nouveautés, combien de femmes n’y vont-elles pas par désœuvrement et sans avoir l’intention d’acheter, qui rentrent chargées d’inutilités et d’objets de toute espèce qu’elles ne s’imaginaient pas trouver dans les magasins. » Mermet, 10.

the way to another. Paralleling the city boulevards, the stores create a flow of movement both physically with the customers and materially with the turnover of commodities. These nineteenth-century innovations are in direct contrast and in reaction to the previous form of selling as depicted through the Baudu shop. Robin Buss, the editor and translator of the Penguin Classics edition of Au Bonheur des Dames, describes the old forms of selling in the Introduction: “Retail trade in France had been strictly controlled under the ancien régime, and during the first half of the nineteenth century the typical outlet was still the boutique, specializing in only one variety of product and with no fixed prices: bargaining was the rule.”119 This previous mode of consumerism thrived on creating a barrier between the customers and the product. Customers had to fight for the product by bargaining so they would need to be actively engaged in buying a product. With the nineteenth-century changes in consumerism, customers become the passive participants in choosing and buying products, while still thinking that they have an active role due to the freedom of information concerning prices. Before the 1850s, shops focused on production, but the department store featured by Zola focuses on consumption. The old philosophy, as Columban, Baudu’s assistant, puts it, was “not to sell a lot, but to sell it dear,”120 while Mouret’s philosophy is the exact opposite: sell a lot and sell it cheap: “We concentrate on getting rid of the merchandise we have bought very fast, allowing us to replace it with more goods, so that capital earns interest every time.”121 In order to sell off merchandise quickly, there must be customers willing to buy it. This new model creates an interdependent relationship between the store and its clientele. How do you keep up the demand so that the store actually makes a

119 Robin Buss, “Introduction,” in The Ladies’ Delight, (London: Penguin Books, 2001), vii-xxiv, xiii. 120 Zola, 23. « L’art n’était pas de vendre beaucoup, mas de vendre cher » Zola, 409. 121 Zola, 73. « Notre effort unique est de nous débarrasser très vite de la marchandise achetée, pour la remplacer par d’autre, ce qui fait rendre au capital autant de fois son intérêt » Zola, 458.

profit? The answer is: seduction. The consumer is the primary target of both the employees’ and managers’ actions, with seduction being their form of persuasion. This idea permeates the entire work. Even the store itself is described as being founded on the seduction of a woman; by marrying Mme. Hédouin, the original storeowner’s daughter, Mouret becomes the next owner. Mme Baudu tells Denise that the reason Mme Hédouin died was because of the store and Mouret: “He was the one who killed her, yes! With that building work of his! One morning, when she was looking around the site, she fell into a hole in the ground and three days later, she died.”122 In a macabre sense, the new store is seen to be built upon the death of a woman. Zola describes Baudu’s shop in direct contrast with Le Bonheur des Dames, highlighting the dichotomy between the past inertia and the future progress of mercantile marketing. In general, Baudu’s shop is styled as low, black, dusty, and dark:

But what struck Denise most forcibly in this bare frontage, her eyes still dazzled by the bright displays at Le Bonheur des Dames, was the ground-floor shop, with bays like prison windows, in a half-circle. Woodwork, in the same color as the sign, a bottle green that wind and rain had streaked with ochre and pitch, framed two deep- set shop windows to right and left, black, dusty, behind which one could faintly make out piles of materials.123

122 Zola, 22. « Et c’est lui qui l’a tuée. Oui, dans ses constructions ! Un matin, en visitant les travaux, elle est tombée dans un trou. Trois jours après, elle mourait » Zola, 408. 123 Zola, 7. « Mais, dans ce nudité, ce qui frappa surtout Denise, dont les yeux, restaient pleins des clairs étalages du Bonheur des Dames, ce fut la boutique de rez-de-chaussée, écrasée de plafond, surmontée d’un entresol très bas, aux baies de prison, en demi-lune. Une boiserie, de la couleur de l’enseigne, d’un vert bouteille que le temps avait nuancé d’ocre et de bitume, ménageait, à droite et à gauche, deux vitrines profondes, noires,

The Baudu shop has few windows and those that it has are small and let in little light because they are unwashed. The coloring itself is dark with green paint as well as “ochre” and “pitch”: ochre varies in color from yellow to brown; pitch is black. The passerby would be unable to see the materials for sale, and one assumes that she would thus be disinclined, by the dark and dirty atmosphere, to enter the store. Denise feels oppressed in this shop and yearns for the light and life of the department store. It is interesting to note that Zola presents the description of the Baudu shop, through Denise’s perspective, after her view of the department store. In fact, she is still “dazzled” by the store and so her ensuing commentary is influenced by it. While the Baudu shop is low, the department store is high, one is dark, the other light. This dichotomy highlights the connection between light and modernity, which dates back to the rhetoric of eighteenth-century philosophes. “Light” represents much more that how well one can see: it includes ideas of purity, cleanliness, enlightenment, and progress. Especially in France, light is directly associated with the lighting of one’s mind, i.e. knowledge and progress towards a better future, an enlightenment. Here, the department store is seen as a positive progression from the old, dark, and dirty shop mentality. However, it is important to understand that this image of the small shops is from Denise’s point of view, i.e. the point of view of the younger generation. For others, the dark and private windows, the merchandise placed away from the windows, and the small size of the shops may have created a feeling of intimacy and privacy. During this time period, most people stayed within their neighborhood, which meant that one knew everyone and therefore one’s affairs could easily be publicly known within the neighborhood. With shops that promoted privacy, one could keep one’s affairs, especially one’s monetary situation, private. In addition, this type of atmosphere allowed one to have a more personal relationship with shop owners since they too were a part of the neighborhood community. In contrast, Zola describes the poussiéreuses, où l’on distinguait vaguement des pièces d’étoffe entassées » Zola, 393-394.

department store as translucent; it reveals one’s business to all. Yet, they also seem to retain a sense of anonymity in that the size of the clientele is much larger and from many different parts of Paris and even of France. However, this sense of anonymity can be lost, as seen in the shoplifter episode at the end of the novel. Mme de Boves, a member of the elite, an intimate of Mouret’s former mistress Mme Desforges, and one of the recurrent customers at le Bonheur des Dames, is continually described as the woman who refuses to succumb to the seduction of the store, only buying what she needs, never purchasing out of fancy. Then, during the Great White Sale, she is caught stealing merchandise. Zola describes her reason for stealing as one being, “driven by a wild, irresistible need.”124 However, when she is confronted for stealing, in front of the whole store, she denies it. Bourdoncle quickly moves her out of public sight and tells her their procedure for shoplifters:

We are happy, Madame, to hush up this unfortunate business, out of consideration for your family. But first of all you must sign a declaration to this effect: ‘I stole some lace from Le Bonheur des Dames,’ then details of the lace and the date. Moreover, I shall return this paper to you, as soon as you bring me two thousand francs for the poor.125 By doing so, Mme de Boves would save her reputation and be able to resume her anonymity within the store. However, she continues to deny that she stole anything. Bourdoncle responds with the threat of police involvement, which eventually sways her to write the statement. What is interesting to note is that both the thieving

124 Zola, 411. « ravagée d’un besoin furieux, irrésistible, » Zola, 793. 125 Zola, 412. « Nous voulons bien, madame, étouffer cette fâcheuse affaire, par égard pour votre famille. Mais, auparavant, vous allez signer un papier ainsi conçu : ‘J’ai volé des dentelles au Bonheur des Dames,’ et le détail des dentelles, et la date du jour…Du reste, je vous rendrai ce papier, dès que vous m’apporterez deux mille francs pour les pauvres. » Zola, 793.

client and the store want this incident to be hushed up without police intervention. If the theft is reported then the store becomes associated with destroying a client’s reputation and the atmosphere of seduction is broken by a fear for one’s privacy. Denise recognizes early on that the department store is the future of shopping while Baudu’s is a relic of the past, slowly dying. Yet, the old stores refuse to go down without a fight. The owners attempt to form an alliance and there are manufacturers willing to work with them because they too are negatively influenced by department stores’ monopoly power. Gaujean, a silk merchant, explains the manufacturers’ plight: “He was accusing the large stores of ruining the French silk industry: three or four of them (large stores) dictated to him and dominated the market.”126 Since nineteenth-century department stores bought in bulk, from a limited number of producers, they were the largest purchasers for the silk manufacturers, and thus were controlled by their profits. If the silk weavers lost their business, they would be ruined, but the stores demanded lower prices and so the manufacturers lost money. The stores both financed and destroyed the industry. Evidently, Zola sees a connection between these stubborn shop owners, as represented by Baudu, and the image of the badaud. According to the Grand Robert a badaud is a, “person who lingers to watch and observe that which he does not know, especially, someone who lingers to watch the street spectacle.”127 The word comes from the provincial word badar, which signifies “to watch with one’s mouth open,” that is, to be dumbstruck. In the first glimpse of Baudu, Zola shows him standing outside of his shop, staring at the department store, “raging inside himself at the window displays,” yet unable to look away.128 Later, during the dinner between the Baudu family and Denise, Baudu talks about

126 Zola, 18. « Lui, accusait les grands magasins de ruiner la fabrication française ; trois ou quatre lui faisaient la loi, régnaient en maîtres sur le marché » Zola, 404. 127 My translation. « Personne qui s'attarde à regarder, à observer ce qu'il ne connaît pas et, spécialt, qui s'attarde à regarder le spectacle de la rue ». Le Grand Robert, s.v. « badaud. » 128 Zola, 7. « Il était là, le sang aux yeux, la bouche contractée, mis hors de lui par les étalages du Bonheur des Dames… » Zola, 393.

the department store in a way that signifies his obsession with it: “Though he was addressing Denise, he was really talking for his own benefit, going over and over the story that obsessed him, with a feverish need for satisfaction.”129 In his fight against the overpowering department store, Baudu loses himself and his family. Yet, he cannot stop himself from watching, from both gazing and glaring at the store. He and his store linger there, unable to change or to leave, in part, out of a perverse fascination with the department store. Both seduced and repelled by it, he is caught between conflicting emotions, similar to the baduads who passively witnessed public executions performed by the guillotine. While Denise has, at first, a positive image of the department store, it is just that: an image. Once one enters the store, the tensions between seller/ buyer, image/ reality, seducer/ seduced start to emerge. At the Bon Marché (Zola’s template for Bonheur des Dames), the tension between the image of a beneficent, familial atmosphere and one of hardship and inhumanity can be seen through publications from the store itself and from worker organizations. In a Bon Marché souvenir pamphlet (1892), the image of the store as one of beneficence and productivity promote an ideal representation, which one should accept with some skepticism since the pamphlet was produced by the store itself and made to attract tourists and potential buyers. In this way, the store’s image can be interpreted as one of artificial construction through which the storeowners render a skewed reality to the customers as a form of manipulation. Aristide Boucicaut took over the small novelty shop, le Bon Marché, in 1853. As the son of a family that ran a small hat shop where he eventually worked, Boucicaut was seen as an ally of the “working man.” Under his direction, the small novelty store became a grand magasin, a store filled with various departments, including women’s wear, fabrics, bonnet, children’s, and rugs, encompassing two blocks of the Rue des Sèvres. During this expansion, he implemented what were considered “revolutionary” practices for

129 Zola, 23. « Il s’adressait à Denise, mais il parlait pour lui, remâchant, par un besoin fiévreux de se satisfaire, cette histoire qui le hantait » Zola, 408-409.

his employees. He created a system of hierarchy for advancement based on the length of employment and performance, with rewards and the expectation that, like him, other employees could work their way up to become the head of the store. More importantly, he recognized that in order to have productive employees, one needs healthy, happy employees. According to the pamphlet,

The welfare of his employees was always the object of his particular preoccupation and as the progress of house allowed him, he improved their food and lodgings, diminished their working hours, which were excessive, increased their salaries and accorded them an individual interest in their sales.130 While some might suspect that his motives lacked altruism and that his sole drive was productivity, M. Boucicaut did establish institutions within the store to promote a more familial and humane atmosphere. The new building, completed in 1872, included a library, art gallery, and classrooms for the workers. In 1876, he created a “provident fund” that paid out, not from workers’ salaries but rather from a portion of profits, a pension at the end of 10-15 years of employment. However, there exist contrary reports of M. Boucicaut and the Bon Marché. In La Question ouvrière [the worker’s plight] (1894), Pierre du Maroussem, a nineteenth/twentieth-century jurist and a specialist in social ethnography, highlights the injustices caused by the department store and the difference between le grand magasin que l’on voit and celui que l’on ne voit pas (the department store one sees and the one that one does not see). He describes the mechanical actions of the workers, similar to those that Zola describes in le Bonheur des Dames, in a harsh light:

One saves on command; one sings on command; one dances on command. In truth, this first insight [into the store] rather reminds one of the

130 Aristide Boucicaut, Souvenir of the Bon Marché, Paris, founded by Aristide Boucicaut, (Paris, 1892), 3.

well-ordered plantations of the former Saint- Domingue [later Haiti], which foreshadows the beginning of future organizations, spared by the progress of the twentieth-century.131 The author connects the department store workers with slaves on a plantation. The added specificity of a Saint-Domingue plantation lends itself to other layers of interpretation. Saint-Domingue was one of the most profitable French colonies, providing staples such as sugar to the French mainland. However, France lost it in 1804 when the slaves revolted and declared the state of Haiti. While the author is critiquing the inhumane aspect of the store, there is also the implication that the workers will overthrow their bosses as the slaves did to their masters. Yet, there is a very ironic tone to the word “progress”, implying that the “progress” of the nineteenth and twentieth centuries is just as fake as the façade of department stores, and that the slavery that was supposedly abolished has just found another form of expression in wage laborers, turning the idea of progress into a vicious cycle of using people as commodities. The employees of Bonheur des Dames are described in mechanical and dehumanizing terms not only by Mouret but by the clients too. In chapter five, Zola narrates Denise’s work experience at the store. After discussing the personal lives of the employees, he ends with a depiction of the relationships between workers wherein employees rarely thought of each other as human because of the overwhelming atmosphere of the store: “Even if the continual battle for money had not abolished all idea of gender, the constant rushing to-and-fro would have been enough to kill desire,

131 My translation. « On épargne par ordre ; on chante par ordre ; on danse par ordre. En vérité, ce premier aperçu rappelle plutôt les plantations bien ordonnées de l’ancien Saint-Domingue, qu’il n’annonce le germe des organisations futures, ménagés par le progrès du XX siècle » Pierre Du Maroussem, La Question ouvrière, Vol. III. Le jouet parisien: grands magasins, "Sweating-system," (Paris, 1894), III: 254.

occupying the mind and exhausting the limbs.”132 Employees are no longer people, but rather competition or something that one does not have the energy to think about. This paragraph ends with an even more shocking image of the employees: “They were mere cogs, carried along by the march of the machine, abdicating their personalities and simply adding their individual strength to the raw sum of the phalanstery.”133 In terms of the store itself, the employees are reduced to facilitators of capitalistic power that the employer holds. Within a machine, the cogs are the, “series of teeth or projections on the circumference of a wheel, which, by engaging with corresponding projections on another wheel, transmit or receive motion.”134 They are one of the smallest pieces within a machine and only transmit, not create. Moreover, the individuality and importance of the employees is lost just as all cogs are easily replaceable by another cog, even though they are an essential part of a well-functioning machine. During a sale with Mme Desforges, her sales clerk, Mignot, attempts to add a layer of sensuousness to their encounter in order to sell more. However, Mme Desforges does not regard Mignot as a man: “Half-lying on the counter, he held her hand and took her fingers one by one, sliding the glove on with a well-rehearsed caress, land and emphatic…He was not a man; she employed him for these intimate tasks with her usual scorn for servants, without even looking at him.”135 Even though seduction is vital to the art of selling, the sales clerks do not provide the seduction for the clients.

132 Zola, 131. « Si la bataille continuelle de l’argent n’avait effacé les sexes, il aurait suffi, pour tuer le désir, de la bousculade de chaque minute, qui occupait la tête et rompait les membres. » Zola, 516. 133 Zola, 132. « Tous n’étaient plus que des rouages, se trouvaient emportés par la branle de la machine, abdiquant les personnalité, additionnant simplement leurs forces, dans ce total banal et puissant de phalanstère. » Zola, 516. 134 OED Online, s.v. “cog.” 135 Zola, 99. « A demi couché sur le comptoir, il lui tentait la main, prenait les doigts un à un, faisant glisser le gant d’une caresse longue, reprise et appuyée… Il n’était pas un homme, elle l’employait aux usages intimes avec son dédain familier des gens à son service, sans le regarder même. » Zola, 484.

The clients view the clerks as the intermediary between themselves and the objects that do seduce them: the commodities. In direct contrast to the dehumanizing of the employees, the objects for sale and the fabrics come to life in an organic sense:

There was a sort of cascade of material, a frothy sheet falling from above and spreading out as it descended towards the floor. First of all, a spring of light satins and soft silks: royal satins, renaissance satins, with pearly shades of spring water; and featherweight silks, crystal clear, Nile green, sky blue, blush pink, Danube blue…And down below the heaviest stuffs reposed as though in a basin…its shimmering patches forming a motionless lake in which reflections of landscapes and skies seemed to dance.136 This luscious fabric display forms into an image of a waterfall cascading in various hues into a basin that forms a lake, where the “reflections” dance. This constructed, fake image of nature somehow is more alive and real to the customers than the employees. Furthermore, this display and vivacity of the fabrics entice the customers into wanting to purchase them: “Women, pale with longing, leaned over as though to see their own reflections in it.”137 Zola shows the consumers wanting to become a part of the display. They desire to reflect that same naturalness and vivacity that the fabrics exude, and they are apparently unaware of the irony involved in the preference for artifice over nature.

136 Zola, 102. « Comme un ruissellement d’étoffe, une nappe bouillonnée tombant de haut et s’élargissant jusqu’au parquet. Des satins clairs et des soies tendres jaillissaient d’abord : les satins à la reine, les satins renaissance, aux tons nacrés d’eau de source ; les soies légères aux transparences de cristal, vert Nil, ciel indien, rose de mai, bleu Danube… Et, en bas, ainsi que dans une vasque, dormaient les étoffes lourdes… creusant aves leurs taches mouvantes un lac immobile où semblaient danser des reflets de ciel et de paysage. » Zola, 487. 137 Zola, 102. « Des femmes, pâles de désirs, se penchaient comme pour se voir. » Zola, 487.

Denise has a similar experience when she caters to Mme Desforges, but Denise is seen as an intermediate hindrance between Mme Desforges and Mouret. Denise is turned into a mannequin through which Mme Desforges critiques the clothing and undermines Denise. Contrary to the Mignot episode, Zola depicts Denise’s reaction to being treated this way, highlighting her awareness of the store’s potential to alienate or manipulate the individual’s sense of self-worth: “She felt ashamed at being turned into a machine which they felt free to scrutinize and laugh at.”138 As an employee, Denise becomes dehumanized and characterized as a machine. Here, she is a machine that is brutally used by others in order to facilitate their needs and desires. Mme Desforges wants Mouret, so she uses this moment to mock Denise as a bonding moment between her and Mouret. When Mouret responds positively to her and engages in the mockery, Denise is absolutely mortified: “She felt as though she had been raped, stripped bare, left defenseless.”139 Through Denise, Zola highlights the injustices and dehumanization of this system of constant utilization and commodification. These new selling techniques create questions concerning human relationships, most notably the relationship between buyer and seller, male and female, and one to oneself. Interestingly, the relationship between buyer and seller is intimately linked with the one between male and female. As seen throughout this discussion, seduction is key to selling large quantities of interchangeable goods. When one object is replaceable with another, novelty and seduction techniques influence customers to purchase one over the other. Critic Rachel Bowlby describes this process in her work, Just Looking (1985): “The use of distinctive brand names, display techniques, and other means of advertising implied new methods of marketing aimed at selling the “image” of a product along with,

138 Zola, 112. « Une honte la prenait, d’être ainsi changée en une machine qu’on examinait et dont on plaisantait librement. » Zola, 497. 139 Zola, 113. « Elle se sentait violentée, mise à nu, sans défense. » Zola, 498.

or as part of, the thing itself.”140 This dichotomy between a product in and of itself and its projected image is also experienced within the customer. As seen in the beginning pages of the novel, Denise regards the displays in the windows and notices the headless mannequins:

The material swelled across the round bosoms of the tailor’s dummies, broad hips emphasized their slender waists and where the head should be, there was a large price tag, stuck into the red flannel of the neck with a pin; and mirrors on either side of the display were carefully positioned to reflect the dummies and multiply them endlessly, peopling the street with these beautiful women, all for sale, who bore their prices in the fat figures in place of heads.141 Windows are both receptive and projective in that one can view something on the other side of the window while simultaneously seeing a reflected image of the outside. With the displays, headless mannequins allow one to blur this twofold aspect into one image: one in which the onlooker views herself as having the body of the mannequin with all of its new fashion items. However, this image is not yet reality; the onlooker must enter the store to purchase this fantasy image in order to make that blended image a reality. In her analysis of self-identity in relationship to the rise of consumerism, Bowlby situates this tension within selling techniques: “Commodities were put on show in an attractive guise, becoming unreal in that they were images set apart from everyday things, and

140 Rachel Bowlby, Just Looking, (New York: Methuen, 1985), 18. All citations are from this edition. 141 Zola, 6. « La gorge ronde des mannequins gonflait l’étoffe, les hanches fortes exagéraient la finesse de la taille, la tête absente était remplacée par une grande étiquette, piquée avec une épingle dans le molleton rouge du col ; tandis que les glaces, aux deux côtés de la vitrine, par un jeu calculé, les reflétaient et les multipliaient sans fin, peuplaient la rue de ces belles femmes à vendre, et portant des prix en gros chiffres, à la places des têtes. » Zola, 392.

real in that they were there to be bought and taken home to enhance the ordinary environment.”142 What makes this image all the more bizarre is that it was never really the onlooker’s choice. The commodities were “put on show” by someone, that is, by the store or, in the case of the novel, by Mouret. Like the mannequins, the female clients have “lost their heads” i.e. lost their ability to think for themselves. With this blending of the individual with an external image provided by a male source, the women are seen as “all for sale,” as prostituting themselves to the man who decides what current image or fashion they should buy into. The person has now become intimately linked with the objects that he or she consumes. Bowlby, quoting Jean Baudrillard, a French sociologist and philosopher associated with postmodernism, expresses this human objectification: “Everyone has to be up-to-date and recycle himself annually, monthly, seasonally in his clothes, his things, his car. If he doesn’t, he is not a true citizen of consumer society.”143 One now continually changes one’s self-identity through the changes in one’s owned commodities. In this way, the customer is just as saleable as the objects she buys, and therefore just as disposable. To put this in another way, the buyers, especially women, prostitute themselves, making themselves sellable and therefore implicitly buyable. Mouret exemplifies this disposability of women. For him, women are like wrapping paper, pretty but distracting for only a moment, really only hindering him from getting to the actual present i.e. profit.

III. The Nature of Capitalism and Progress For all of these negative effects of nineteenth-century consumerism, Zola sees the possibility of a positive outcome as seen in the progress of Denise. Denise experiences all of these negative effects: gossip, dehumanization, objectification, sexualization, and cutthroat competition, yet she never lets these effects change her. She does not engage in any of these activities but also does not throw blame onto those who do. In doing so, she

142 Bowlby, 2. 143 Bowbly, 26.

gains the respect of her fellow employees and actually starts to earn promotions within the store. In the end, her humanizing touch extends into the store and into Mouret. She convinces Mouret to install a system of leave instead of immediate dismissals and even promoted the creation of a society that guaranteed retirement pensions, which Zola describes as, “the seed of the vast trade unions of the twentieth century.”144 He sees in Denise’s actions the beginnings of a new type of store: a store that protects and nurtures its employees. However, Zola does not make any changes to the store’s relationship to its customers. While Denise is influencing Mouret on behalf of the workers, the novel ends with the Great White Sale, during which the female customers are just as feverish with desire as the Great White Sale that occurs at the beginning of the novel. Briefly, Denise does enact revenge on behalf of the female clients. Mouret becomes so consumed with desire that he, in a sense, “loses his head” just as Mouret does to his customers. For the first time, he is the seduced not the seducer. The more that Denise rejects Mouret, the more he loses sight of the store and all interest in its progress. Only by succumbing to his desire will he be able to take back his self control and control of the store. So, Denise (unknowingly on her part) influences him into marriage because he sees no other way of ending his own suffering. Yet, the novel ends with Mouret forcing Denise to confront her feelings for him and accepting the marriage proposal. The last lines feed into the idea that Mouret wins the day: “…and that he would then come to fetch her himself, to bring her back from there on his arm, all- powerful.”145 Denise was the woman who made Mouret suffer, but he does not succumb to this fate: he will keep the store and win Denise. While this ending can most definitely be seen as a triumph of men over women, Denise is more than a passive recipient of Mouret’s affections. Even though she is still a part of the overall system, she takes on the bolder act of improving the store from

144 Zola, 349. « C’était l’embryon des vastes sociétés ouvrières du vingtième siècle. » Zola, 728. 145 Zola, 421. « Et qu’il irait ensuite l’y chercher lui-même, pour l’en ramener à son bras, toute puissante. » Zola, 803.

within instead of trying to fight against it from the outside, like Baudu. Mouret and the department store are the future, but Denise wants to make it a future wherein people retain their dignity as human beings. Humanity, progress, and profit can work hand-in- hand. Zola uses Denise to implement his version of the Fourierian phalanstery: a utopian community that functions autonomously within an urban atmosphere. Within the novel, he makes several references to Fourier and his phalanstery but does so in a way that changes Fourier’s initial phalansterian design. The word is never spoken by one of the characters but rather the narrator, and therefore Zola, himself, seems to be saying something about the future of the department store. Moreover, the term phalanstery is only spoken of in connection to the store itself and is almost exclusively mentioned at the end of the novel. To understand Zola’s use of the phalanstery model, it is necessary to contextualize the model within Fourier himself. For Charles Fourier, the beginning of the nineteenth century was a low point in the progress of humanity; this era of “civilization” perpetuated and worsened social evils including “poverty, unemployment, thriving dishonesty, maritime piracy, commercial monopolies, and the abduction of slaves.”146 While his major work, The Theory of the Four Movements, was first published in 1808, it gained major notice in the 1830s and 40s leading to an 1841 edition with extended new material. The major premise of this work was that he saw the perpetuation of social evils, even though so many different systems and philosophies had attempted to end them. He questioned the necessity of civilization and sought a source of improvement through the domestic and industrial sphere. His solution was the theory of passionate attraction and the study of the general system of Nature through social, animal, organic, and material movements. Passionate attraction underlined all of the movements as their guiding force. Within the social movement (where he develops his phalanstery idea), the way to

146 Charles Fourier, The Theory of the Four Movements, ed. Gareth Stedman Jones and Ian Patterson, trans. Ian Patterson, (New York: Cambridge University Press, 1996), 7. All citations are from this edition.

bring people into association is to “appeal to the passions common to everybody, and seduce them with the allurements of profit and sensual pleasure.”147 However, the only way to harmonize the passions instead of forming chaos is through the organization of group series, which come together to form a phalanstery. Fourier wants to make it abundantly clear that the passions should not be suppressed but rather the series, “change their [the passions’] course without altering their nature.”148 This adherence to the nature of passion while also modifying it for the betterment of society echoes Zola’s understanding of the experimental method as modifying the laws of nature. Evolutionary theory’s ideas of progression without progress and external forces that move humanity towards continual change are manifested during the nineteenth century in theories such as Fourier’s and Zola’s, both of whom saw external forces at work on human individuals and society and attempted to both understand and grasp those forces. Both Zola and Fourier attempt to understand nature as well as its effects and applications on human structures: Zola through Naturalism and Fourier through his theory of passionate attraction. Fourier wants to “decipher the book of nature” and to study the laws of nature instead of dictating them.149 As discussed earlier, Zola see himself as experimenting to discover the forces that move people to act as they do. Both are focused on movements and forces that come from nature. Fourier believes that he has discovered the true movements of the universe and that his system is the one that people need to adhere to in order to attain the ideal human society. He views all past attempts to understand the forces at work as incorrect and sees the burgeoning capitalist society as a failed experiment in following the forces. Zola takes on a somewhat humbler stance: he hopes that by experimenting with forces and their effects he can gain knowledge that others, such as state leaders, can use to create a new society that produces people with the character that they desire. Of course, the hope is that these leaders desire to create a better society and

147 Fourier, 12. 148 Fourier, 13. 149 Fourier, 16 and 21.

that they do not use their power for personal gain. Zola’s understanding of forces is in constant flux contrary to Fourier’s absolute stance. For Zola, while the forces may continue to act on a subject in the same way, the idea is to change which forces are influencing an individual by changing the society an individual lives in. Yet, for all of Fourier’s dissent from civilization and the desire to create a new system of association, his phalanstery system lends itself well to being interpreted in a capitalist/ consumerist light because the movements that he sees at work are the same ones that Zola sees within the department store. For Zola, Denise is the ideal leader who comes to understand the mechanisms at work and utilizes that knowledge to adjust the forces to produce a better outcome. Instead of trying to dismantle the forces of competition and self-interest, she adjusts them towards a goal that improves both the worker’s well-being and the store’s productivity. She is the flâneuse who observes and reflects the forces at play to then actively use them. While Denise’s actions, from the reader’s point of view, bring human aspects into the store, she does not see them in that light: “She pleaded the case of the cogs in the machine, not for sentimental reasons, but with arguments that rested on the interests of the owners. When you want a reliable machine, you use good iron.”150 The workers are still “cogs in the machine” but she highlights the importance of taking care of the cogs in order to have a well-functioning machine. The machine is not something to destroy like the small shop owners want, but rather the machine can improve until it becomes, “the ideal store, the phalanstery of trade.”151 Like in a phalanstery, self-interest, profit, and competition are necessary for the harmonious working of the machine. In order to unite varying self- interests, the phalanstery employs the “lure of wealth and pleasure”

150 Zola, 348. « Et elle plaidait la cause des rouages de la machine, non par les raisons sentimentales, mais par des arguments tirés de l’intérêt même des patrons. Quand on veut une machine solide, on emploie du bon fer. » Zola, 728. 151 Zola, 348. « L’immense bazar idéal, le phalanstère du négoce. » Zola, 728.

to incentivize people into harmony.152 In this way, Mouret is the one who “released passions, made opposing forces confront another, allowed the big fish to swallow up the small and grew fat on this rivalry.”153 At the beginning of the novel, Mouret is the one who is growing “fat on this rivalry” while the workers struggle for survival. With the introduction of Denise as a person of power, workers also receive more benefits and profit from the store. Denise creates an orchestra, game rooms, evening classes, a library, and brings in a resident doctor.154 At first glance, these additions to the store seem superfluous to its actual running, but Denise sees the importance of having “well oiled” cogs in the machine that then generate more productivity. Denise’s goal is to make the store completely self-sufficient, like a phalanstery:

All life was there, everything was to be had without leaving the building: study, food, bed, and clothing. Au Bonheur des Dames was sufficient to its own pleasures and its own needs in the midst of the great city, full of the racket made by this city of work, which was thriving on the dung heap of old streets, open at last to the full light of day.155 This ideal store, this city of work, has conquered the old streets of Paris and come into the light of the future. While the store is self- sufficient in terms of its running, it is not cut off from the exterior world and its forces. The store may run on its own, but the only way for it to continue to do so is if people come and buy its products. Zola’s phalanstery store engages with the world while

152 Fourier, 12. 153 Zola, 35. « Il lâchait les passions, mettait les forces en présence, laissait les gros manger les petits, et s’engraissait de cette bataille des intérêts. » Zola, 421. 154 Zola, 349. Zola, 728-729. 155 Zola, 349. « Toute la vie était là, on avait tout sans sortir, l’étude, la table, le lit, le vêtement. Le Bonheur des Dames se suffisait, plaisirs et besoins, au milieu du grand Paris, occupé de ce tintamarre, de cette cité du travail qui poussait si largement dans le fumier des vieilles rues, ouvertes enfin au plein soleil. » Zola, 729.

Fourier’s attempts to live outside of it, essentially rendering the phalanstery outside of the forces that created it, cutting it off from its energy source. It is living, growing, and prospering on the ruins of the old way of selling merchandise, “thriving on the dung heap of old streets.” The store needs the old to fuel its forward motion into the “full light of day.” While somewhat morbid, Denise sees this development as the natural development of progress, leading to a better way of life. Progress, by definition, builds upon the past progress, simultaneously destroying and creating. Zola appears to adhere to this concept in the character Mme Hédouin who, while representing the old Au Bonheur des Dames store, falls into the foundation of the new store, her blood integrating into the foundation, and, in a sense, acting as the sacrifice. The old store becomes the foundation of Mouret’s new one through its own destruction. For Zola, the ideal seems to be coming into fruition with the wedding of Mouret and Denise, of capitalism and socialism. With the happy ending, the store has reached its pinnacle of perfection. Yet, from the ideas of forces and progress inherent in this system, the natural progression would appear to be another upheaval of the norm (now the department store) by some new way of selling. The department store will become, like Mme. Hédouin, the ruins onto which the new system will build itself. The old should embrace this process as the necessary next step in development, yet Mouret could easily end up becoming like Baudu, the old refusing to succumb to the new and being devoured anyway. Like cogs in the machine, if one cog breaks, the machine keeps turning unaffected by the show of resistance. The force of progress that consumerism and capitalism is founded upon will not be denied and the only way to survive as an individual is to change along with this force. Throughout the work, Zola seems somewhat ambivalent to the department store’s actions, discussing both the advantages and disadvantages. However, Zola may have recognized the cyclical process of destruction and construction as seen in Mme Hédouin’s death and in the brief moments when he mentions Mouret and Denise in the final book of the series, Le Docteur Pascal (1893). In the novel, Zola brings up Mouret’s success: he still owns the store,

is extremely wealthy, and married to Denise. Even Zola recognizes Denise as more than a passive recipient of Mouret’s affections:

[Mouret] lived in smiling scorn of woman until the day when a little girl, the avenger of her sex, the innocent and wise Denise, vanquished him and held him captive at her feet, groaning with anguish, until she did him the favor, she who was so poor, to marry him in the midst of the apotheosis of his Louvre, under the golden shower of his receipts.156 She is the avenger of all the women Mouret has used to gain his profit and she deigned to marry him. Yet, as an avenger, she does not destroy Mouret’s profits gained through this exploitation of women. Instead, she marries him at the height of his power. In doing so, she, in a sense, “tames” the beast into promoting more humane practices in his store of womanly delights. However, the story of Mouret and Denise ends on a foreboding note:

Octave Mouret, proprietor of the great establishment Le Bonheur des Dames, whose colossal fortune still continued increasing, had had, toward the end of the winter, a third child by his wife Denise Baudu, whom he adored, although his mind was beginning to be deranged again.157 The beast of commercial destruction and construction may soon break from the bonds that Denise placed. In this way, Zola seems to have realized that his Naturalist theory promotes the cyclical progress of construction and destruction even when he attempts to thwart this outcome. Mouret may have reached his apotheosis at the end of Au Bonheur des Dames, but he feels the force of change pushing him to reinvent himself and his store again in order to

156 Emile Zola, Doctor Pascal, trans. Mary Serrano, (New York: International Association of Newspapers and Authors, 1901), 112. All citations are from this edition. 157 Emile Zola, Doctor Pascal, 118.

stave off the falling out of relevance that occurs after reaching the summit. Zola, in his notes about Au Bonheur des Dames, expresses this feeling of continual action and sees it with a positive outlook:

A complete change in philosophy, no more pessimism. Don’t conclude that life is stupid and sad; on the contrary, conclude that it is constantly at work, that is bringing to birth is powerful and joyful. In a word, go with the century, express the century, which is a century of action and conquest.158 Here, Zola seems to be fighting against a tendency that he finds within his Rougon-Macquart series: the characters, in adhering to external forces, fall and are destroyed. When writing Au Bonheur des Dames, he seems to want to take on a more active role in his experiment. He becomes both naturalist novelist and the social leader who uses what he learned to improve a society because he no longer desire to see that these forces lead to such awful conclusions. Yet, in his final novel, he shows signs of doubt towards his new optimistic outlook; that maybe this century of work and action only thrives on the stratification of past progress and to create, one must indiscriminately destroy what already exists. This cycle of construction and destruction not only applies to the economy, but to all facets of society, most notably politics. Zola is acutely aware of the unstable nature of politics, experiencing multiple regime changes within his own life. The seemingly endless cycle of republic, empire, and monarchy fit in with the understanding of forces and the cycle of destruction and construction. Yet, one could make the argument that these changes in regime are not leading to some better future through progress, but rather highlights the never-ending change that oscillates between extremes, never settling and never improving. As mentioned in the discussion of Naturalism and the Rougon-Macquart series, Zola begins the first novel explaining his mode of thinking and the necessity of the Second Empire’s fall, “which was essential

158 Robin Buss, in the “Introduction,” xii.

to complete my picture, and which, with a kind of fatality, always turned up at the end of the drama.”159 He seems to be aware of where these external forces are leading: to a never-ending cycle of change in which plus ça change, plus c’est la même chose. Even Denise and her socialist attitudes cannot stop Mouret and his capitalism from breaking out in order to destroy so that they can create anew. Zola reveals the nature of capitalism as one of unsustainability, in which the cycle can only sustain itself through perpetual motion and self-cannibalization; and so Mouret and the department store must destroy themselves to keep the very system that created them from imploding.

159 Emile Zola, Fortune, vi.

Bibliography Boucicaut, Aristide. Souvenir of the Bon Marché, Paris, founded by Aristide Boucicaut. Paris, 1892. Bowlby, Rachel. Just Looking. New York: Methuen, 1985. Darwin, Charles. “The Descent of Man.” In Darwin: The Indelible Stamp, edited by James D. Watson. 607-1055. Philadelphia: Running Press, 2005. Du Maroussem, Pierre. La Question ouvrière. Vol. III. Le jouet parisien: grands magasins, "Sweating-system." Paris, 1894. Encyclopædia Britannica Online. http://original.search.eb.com.proxy.library.nd.edu/eb/arti cle-9055047. Fourier, Charles. The Theory of the Four Movements. Edited by Gareth Stedman Jones and Ian Patterson. Translated by Ian Patterson. New York: Cambridge University Press, 1996. Fournel, Victor. Ce qu’on voit dans les rues de Paris. Paris: E. Dentu, 1867. Le Grand Robert de la langue française, en ligne. Mise à jour le 11 octobre 2013. http://gr.bvdep.com.proxy.library.nd.edu/version- 1/login_.asp. Haussman, G.E. Mémoires du baron Haussmann. Vol. II, Préfecture de la Seine : exposé de la situation en 1853, transformations de Paris, plan et système financier des grands travaux, résultats généraux en 1870. Paris, 1868. Mermet, Emile. La Publicité en France. Guide pratique. Annuaire pour 1878, précédé de notices historiques sur les différents modes de publicité en usage en France.., Paris: A. Charx et Cie., 1878. Oxford English Dictionary Online. http://www.oed.com.proxy.library.nd.edu. Pinkney, David H. Napoleon III and the Rebuilding of Paris. Princeton: Princeton University Press, 1958. Sweeney, Niamh. “Fictitious Capital: Haussmannization and the (Un-)making of Second-Empire Paris.” L’Esprit créateur 55, no. 3 (2015): 100-113. Tanner, Jessica. “Speculative Capital: Zola’s Repossession of Paris.” L’Esprit créateur 55, no. 3 (2015): 114-126.

Zola, Emile. « Au Bonheur des Dames ». In Les Rougon-Macquart. Paris : Fasquelle et Gallimard, 1964. -----Doctor Pascal. Translated by Mary Serrano. New York: International Association of Newspapers and Authors, 1901. ----- The Experimental Novel. Translated by Belle Sherman. New York: The Cassell Publishing Company: 1893. -----The Fortune of the Rougons: A Realistic Novel. Translated from the 24th French Edition. London: Vizetelly & Co., 1886. ----- The Ladies’ Delight. Edited and translated by Robin Buss. London: Penguin Books, 2001. -----Preparatory notes for the Rougon-Macquart series. Department of Manuscripts. Bibliothèque nationale de France.

“As a teacher, what are you supposed to do?”: Teacher Preparation and Perceptions of Student Gang Involvement

Abstract The academic community has long researched youth gangs and the significant social problems they create; only recently, however, have studies focused on how gang involvement affects school achievement, and how educators may mitigate these effects. Novice teachers continue to enter schools with at-risk, gang- involved student populations without adequate preparation, and to date, research has neglected to examine both the teachers’ extent of preparation and their perceptions of gang-involved students. This study examines to what extent teachers felt prepared to address the needs of their gang-involved students, teachers’ perceptions of gang-involved students, as well as teachers’ suggestions for moving forward in this work. Surveys were distributed to teachers at a public high school in a mid-sized Midwestern city (n=48), and interviews were conducted with several teachers at the same school (n=7). Findings indicate that the sample of teachers felt significantly less influential, confident, and obligated when teaching their gang-involved students as opposed to their non-gang- involved peers. These data also indicate that participants felt significantly less prepared by their preservice education to address the needs of their gang-involved students. Additionally, participants identified various themes as prevalent to the conversation when talking about gang-involved youth, such as influences in the classroom, tracking/academic achievement, race/ethnicity, poverty/socio-economic effects, home influences, parental involvement, disciplinary approaches, student-teacher relationships, and teacher/administrator collaboration. Hopefully, this study acts as an impetus for change to improve the existing, inadequate curricula of preservice teacher education programs.

Difficulties arise when trying to measure the number of youth involved in gangs, or the extent of their influence on our communities in the US today. It is widely agreed upon, however, that the number of youth joining gangs, as well as the number of distinct gangs, is increasing. In 2007, more than one-fifth of students aged 12 to 18 indicated gang presence at their schools in the School Supplement to the National Crime Victimization Survey (NCVS; Robers, Zhang, & Truman, 2010). Though definitions of gangs vary, most states have substantial commonalities in theirs. For example, California state regulations define a street gang as:

Any ongoing organization, association, or group of three or more persons, whether formal or informal, having as its primary activities the commission of one or more… criminal acts… having a common name or common identifying … symbol, and whose members individually or collectively engage in or have engaged in a pattern of criminal gang activity (California Penal Code, 2010, î186.22f).

Social scientific knowledge and research surrounding youth gangs and how their members vary from non-gang youth are limited and controversial at best (Dukes, Martinez, & Stein, 1997). Despite a recent surge of academic focus on gangs and their members, many gaps still exist in the literature, especially regarding their etiology. More research is emerging, however, regarding the negative academic repercussions of youth gang involvement. Unable to deny the very real existence of youth gangs and the significant effect that membership has over a student’s academic career, there are some who argue that schools and teachers are in a unique position to intervene on the gang-related behavior (Sharkey, Shekhtmeyster, Chavez-Lopez, Norris, & Sass, 2011). As gang involvement continues to rise, and high teacher turnover rates in urban areas persist, however, it is becoming increasingly clear that teachers are unprepared for the reality they experience in the classroom with gang-involved students. And yet, very few studies have looked into how these teachers are taught to approach at-risk youth.

In addition, while research has shown the importance of teachers’ perceptions in the classroom, no studies have focused solely on gang-involved students and their teachers’ perceptions of them. Through surveys and interviews, the present study addresses this need by analyzing teachers’ perceptions of gang-involved students, as well as of themselves as educators, to discover if their self-perceptions are affected by their student’s gang status. The study identifies common themes that surround teaching gang- involved students, including trends, challenges, and how those are best combated. The findings of this study, coupled with the utter dearth of preparation the educators received on teaching, supporting, or disciplining gang-involved students before their service, serve to encourage institutions of preservice teacher education - that is, those that are providing education and training to teachers before they have taken on any teaching - to alter curricula to be more responsive to teachers’ needs regarding at-risk, gang-involved youth.

Gang-Involvement and Its In-School Effects Most research available on gangs today focuses on their involvement with the law and their criminological effects. This narrow conceptualization, however, gives the erroneous impression that gangs and their members are confined to the domains of crime and victimization (Pyrooz, 2014). Researchers go to great lengths to avoid this trap. Some do so by adopting broader conceptualizations of gang membership, like Moffitt in his snares framework, as reviewed by Pyrooz (2014). According to Pyrooz (2014), this consists of viewing the joining of a gang as a “snare in the life course” (p. 57), as it impedes the progress toward a conventional lifestyle and isolates the individual from societal institutions. In the case of gang members, the main institution from which they are isolated would be that of education: schools. According to Hirschi’s (1969) psychosocial control theory, one of the most influential and empirically supported theories on crime and delinquency, an individual who becomes detached from social institutions is more likely to engage in delinquent behaviors than one who is fully integrated. In fact, Decker and Van Winkle (1996) studied just this relationship in their research and concluded that

gangs both directly and indirectly socially isolate their members from conventional institutions such as schools. But one does not have to create new conceptualizations or theories to see that gangs and their influences work their ways into classrooms; one only has to look at empirical evidence to comprehend the interaction between the two. Gang-involved youth typically have more behavioral problems in the classroom than their non-involved peers (Vigil, 1999). When Smith and Smith (2009) asked novice teachers placed in urban schools what was most difficult about their first year in the classroom, they gave answers such as, “Not knowing how to deal with druggies and gangbangers” (p. 342), and “Street smarts that are gang related” (p. 344). Some even simply observed the realities present to them with statements such as, “a problem on the street becomes a problem in your room” (p. 344), and “the streets speak louder than we do” (p. 342). These straightforward claims, together with a growing base of empirical evidence, make it nearly impossible to admit that gangs and their influences remain distinct from the classroom and school environment (Dukes et al., 1997; Levitt & Venkatesh, 2001; Pyrooz, 2014; Smith & Smith, 2009; Vigil, 1999). Not only does a student’s membership to a gang enter the classroom, but there is substantial evidence to show that it both indirectly and directly affects said member’s educational achievement. For instance, Dukes et al. (1997) found that low student-perceived academic ability appears to be related to the student’s joining of a gang. When examining the students’ self- concepts of academic ability, highest scores belonged to non- members, whereas the lowest scores belonged to those who were members of a gang. Over a 12-year longitudinal study, Pyrooz (2014) was able to determine that gang membership exercises both proximal and lasting effects on members’ educational attainment. He found that gang youth were 30% less likely to graduate from high school than their non-gang counterparts, and 58% less likely to obtain a 4-year degree. These effects were observable within one year of gang membership and accumulated in magnitude over time (Pyrooz, 2014). Levitt and Venkatesh (2001), as well, looked at educational attainment as it is dependent upon gang membership in a longitudinal design. They found that gang membership

decreased the probability of future employment by 20%, as well as significantly increased the probability of illegal future employment and incarceration. Faced with ample literature exposing the deleterious relationship between gang involvement and academic achievement, one can no longer remain ignorant to the stark academic disadvantages our gang-involved youth experience. Moreover, there is limited evidence to support those who believe gang members can compensate for earlier academic setbacks. In Pyrooz’s (2014) study, those students who joined gangs continued to progress in academic achievement, but a gap between them and their non-gang counterparts always remained, with non-members performing higher. In other words, they struggled to “catch up” with their peers, often remaining the equivalent of a whole semester behind (Pyrooz, 2014). That semester could be – and for many is – the difference between graduating high school or dropping out. While the relationships explored above are not causal, they do strongly suggest that gang membership has long- term consequences, many of which play out in the educational sphere.

Teacher Perceptions and Preparation While treatments for preventing gang involvement have been largely unsuccessful, those for intervening on gang involvement have been even less so. Moreover, the interventions that do exist exclude schools’ potential responsibility and capacity. Sharkey et al. (2011) argue that schools are in a unique position to meet the needs of at-risk youth “as they hold the greatest time and programmatic responsibility for school-age children and youth outside the family” (p. 50). Specifically, “gang-aware” school staff that engage students and develop relationships with them can provide some of the needs that youth are seeking in gangs. Recent research has shown that youth on probation have reported that teachers who seemed to truly care – by investing time in their education, treating them fairly, and recognizing their effort – made the biggest difference in interrupting their delinquent behavior (Sander, Sharkey, Olivarri, Tanigawa, & Mauseth, 2010). Conversely, ineffective classroom management (i.e., inconsistent

discipline, unclear expectations, etc.) and poor student-teacher relationships (i.e., characterized by a lack of warmth, high levels of conflict, etc.) have been found to alienate at-risk youth, likely acting to promote rather than prevent gang involvement (Sharkey et al., 2011). Educators are aware, however, of the importance of student-teacher relationships. Easter, Shultz, Neyhart, and Reck (1999) found that preservice teachers often view “nurturing and interpersonal aspects” of teaching as more important than the academic functions of a teacher’s role (p. 214). Many researchers agree that such views and beliefs held by teachers influence the way they interpret teaching, as well as student behavior (Easter et al., 1999). Ladson-Billings (1994) has found that teachers’ perceptions and attitudes have significant weight in the classroom, especially in regard to student diversity and their projected success. Research shows that if a teacher believes his/her student cannot learn or improve, the student will fail to make progress (Drake, 1993). It is frightening, then, that even experienced teachers often seem unaware of their own beliefs and attitudes, lacking the language to describe or label them (Kagan, 1992). Perhaps more importantly, they are unaware of how these might affect a student’s performance in the classroom (Smith & Smith, 2009). While similarities exist between positions regarding what makes an effective teacher (i.e., fairness, belief in one’s students, good student-teacher relationships) (Smith & Smith, 2009), it is unfortunately clear that our schools of education are failing to prepare our preservice teachers to realize this result with all students. For example, in one study (Smith & Smith, 2009), more than three-quarters of teachers (78%) reported that they felt “not at all” or only “somewhat” prepared for the position of working with low-income, urban students (p. 340), much less those involved in gangs. In a study of 80 preservice teachers, it was discovered that 96% of them believed they could teach effectively in a classroom of diverse students in spite of the fact that only 22% had any “life experience” in an urban environment (Easter et al., 1999). It stands to reason that teachers are probably best at creating relationships with students of similar backgrounds as their own, as shared experiences are more commonly found. With the very few,

if any, ex-gang members that one can imagine becoming teachers, without the proper preparation, we are allowing for a sizable dearth in readily available student-teacher relationships for those students involved in gangs. Other research, too, reveals a missing link in educating our future teachers. According to Grant and Gillette (2006), “more than one quarter (29%) of teachers leave after only 3 years, and 39% leave after teaching 5 years’’ (p. 292). This turnover rate is higher than any other profession, and highest in urban school districts (Smith & Smith, 2009), where gang involvement is most dense. These figures clearly indicate that better preparation for teachers in urban, at-risk settings is needed. High rates of turnover “help create a lack of continuity in urban schools” and ultimately “result in students being (repeatedly) taught by novice teachers” (Smith & Smith, 2009, p. 336). As Nicklin’s (1991) research concluded, the teacher turnover rates in urban districts have forced college and university teacher educators to rethink existing curricula.

Current Study But at the time when Grant and Gillette’s (2006) study was conducted, 15 years had passed since Nicklin’s (1991) research, and these turnover rates still persist today. As long as at-risk youth remain in unstable, unprepared, and inexperienced classrooms, gang involvement in these student populations will continue to go un-checked by educators. This study sets out to answer various questions related to gang-involved students. Do teachers receive any preservice education on teaching, disciplining, or otherwise supporting gang-involved or at-risk students? Do they have different attitudes and perceptions toward teaching non-gang- involved students versus gang-involved youth? What are some of the biggest challenges when teaching gang-involved students? Have they found any strategies or pedagogies to be especially effective when teaching, supporting, or disciplining gang-involved students? What do teachers need moving forward to feel better equipped in teaching this student population? Teacher perceptions and attitudes were accumulated through various survey measures, as well as through interviews.

Although some change to teacher preparation curricula has taken place, ‘‘very few teacher education programs have successfully tackled the challenging task of preparing teachers to meet the needs” of gang-involved youth in urban, diverse, and at- risk populations (Watson, Charner-Laird, Kirkpatrick, Szczesiul, & Gordon, 2006). Ultimately, the hope is that the current research will provide for the creation of better teacher preparation programs and curricula.

Method Participants This study was conducted at a public high school in a mid- sized city (population of ~100,000) in the Midwest. The school holds just under 1,800 students (43% white, 29% black, 16% Hispanic, 2% Asian, 9% multiracial, 1% other), and serves a diverse student body in which nearly half (49%) receives free meals, with another 9% receiving reduced-price meals; this diversity is due, in part, to the variety of programs offered, including IB magnet and ENL tracks. All participants in this study were teachers during the 2015-2016 school year. A total of 48 teachers were surveyed (n=48; 27 females; 43 white, 1 black, 1 Asian, 1 Hispanic, 2 multiracial). At the time of the survey, the teachers had anywhere from 0 to 49 years of experience teaching (M=16.6, SD=13.5). More specifically, the participants had a range of 0-40 years of teaching experience at this specific high school (M=7.6, SD=7.9). Participants across the sample taught all four high school grade levels and academic tracks, along with most content areas offered at the school. Seven teachers were chosen, based on criteria described below, for a semi-structured interview (n=7; 5 females; 7 white). These teachers had taught anywhere from 5-15 years (M=9.1, SD=4.0), with a range of 2-11 years of experience at this high school (M=5.9, SD=3.3).

Measures Several different measures were used in this study. Most of these measures were included in a survey, which first asked the participants for their demographics. A short questionnaire adapted

from the Perception of Students Questionnaire, developed by Wolfe, Ray, and Harris (2004) was used in order to assess teacher perceptions of the extent that certain adverse student behaviors/factors affect their classrooms. The resulting Adapted Perception of Students Questionnaire (APSQ) consists of an 18- item survey measured on a 4-point Likert scale. (See Appendix A.) To be more methodologically sound, the scale was designed in such a way to be unipolar, meaning it ranged from “not at all” to “to a very high degree”, rather than extremely one thing to extremely another. Additionally, the participants were presented with two sets of the same six questions to assess their attitudes toward teaching gang-involved versus non-gang-involved students. For the first set of questions, the participants were instructed to answer the questions only in regards to their students whom they knew, or presumed, to not be involved in gang activity. For the repeat set of questions, the participants were asked to answer only in regards to their students whom they knew, or presumed, to be involved in gang activity. (A preliminary meeting with the school principal posited that teachers can tell with reasonable confidence whether or not a student is gang-involved, due to use of colors, signs, and behavior associated with specific gangs.) For example, for the first time through, the question “How influential do you feel in the academic lives of your students?” would be answered only concerning the participant’s non-gang-involved students. The second time through, the question would be read as “How influential do you feel in the academic lives of your gang-involved students?”. The questions were meant to be mutually exclusive in this manner. These were also measured on a 4-point Likert scale. (See Appendix B.) Each scale was designed to be interrogative to avoid acquiescence bias. Lastly, a semi-structured interview was conducted with seven teachers to analyze their experience with and knowledge of gang-involved students. (See Appendix C.)

Procedure The principal of the school was initially told of the design and purpose of the study, which is to assess teachers’ attitudes toward, knowledge of, and experience with gang-involved students.

The principal agreed to let the researcher attend a faculty meeting in which approximately 50 faculty members were present. The teachers were given a survey and consent form upon their arrival to the meeting, with instruction to not begin until the meeting had commenced. They received a short explanation of the researcher’s interest in designing such a study, and were encouraged to ask the researcher directly if they had any questions about the survey. They were also prompted to complete the survey immediately. Some did this and returned it in person to the researcher; others completed it at a later time/date and returned it to the front office, where the researcher collected them. As part of the survey, teachers were asked if they knew anything about gang-involved students. Several teachers were invited to participate in interviews based upon their demonstration of at least some experience with gang-involved students, as indicated on the surveys; additional teachers were suggested by the principal. The researcher emailed these participants, inviting them to participate in a semi-structured interview on the topic. Interviews were aimed at understanding the educators’ knowledge and/or experience of gang-involved students, how prepared they feel to teach these students, and what they would need to better serve this population. These interviews were recorded and transcribed for coding purposes. Participants were offered a copy of the final paper, hopefully providing a talking point to stimulate conversation around this topic within the school faculty, administrators, and students.

Analytic Plan Two-tailed Pearson’s correlations were run on the APSQ items to analyze possible relationships between the many student behaviors/factors that affect the classroom. With regards to the two sets of questions aimed at understanding teachers’ attitudes as they are dependent upon student type (non-gang-involved vs. gang- involved), paired-sample t-tests (2-tailed) were used to analyze the means, standard deviations, and significance of the participants’ Likert scale scores to each question individually, as well as a composite score. In analyzing the interview transcripts, Nolen’s

(2001) style for coding is emulated by reading the interview transcripts, looking for themes that appear as a result of the questions asked, creating codes based on such themes, and applying them across the interviews.

Results The findings of this study are organized by the measure in which they were gathered. The results of the teacher surveys are listed first, including descriptive statistics, and the data gathered from the correlations and t-tests run. These are followed by the findings taken from the teacher interviews. By transcribing and coding these interviews, various themes emerged as participants discussed their experience with gang-involved students. A table displaying these results succinctly can be found in Appendix D, and are expounded upon under Teacher Interviews.

Teacher Surveys The participants’ teaching experience in general, as well as teaching experience within this particular high school, are listed in the “Participants” section, along with their respective means and standard deviations. When asked if they had ever received any preservice education and/or professional development on gangs, only 23% of teachers surveyed replied “yes,” with the other 77% never having received formal instruction on the topic. Seventy-one percent of the participants reported that this topic needed to be addressed in their school, 19% stating it was not needed, and another 10% chose to not respond to the question. The means and standard deviations for the APSQ can be found in Table 1, allowing one to see which factors and student behaviors teachers reported affecting their classrooms the most. To determine whether educators’ attitudes changed a significant amount when teaching gang-involved students as opposed to non-gang-involved students, the means and standard deviations of their Likert scale responses were evaluated. These are listed alongside an abbreviated form of each question in Table 3. For the full questions, see Appendix B.

Table 1 Means and Standard Deviations for Adapted Perception of Students Questionnaire (APSQ)

Factor M SD Student tardiness 2.35 0.70 Student absenteeism/cutting class 2.96* 0.77 Physical conflicts among students 2.13 0.98 Robbery or theft 1.85 0.99 Student pregnancy 1.69 0.80 Student use of alcohol 1.67 0.86 Student drug use 1.98 0.96 Student possession of weapons 1.58 0.92 Student gang involvement 1.96 1.07 Student disrespect for teacher 2.87* 0.94 Student drop out 2.38 0.82 Student apathy 2.92* 1.09 Lack of parental involvement 2.94* 0.81 Poverty/SES effects 2.85 1.07 Students come to school unprepared to learn 3.13* 0.96 Poor student health 2.21 0.74 Conflict of cultures 2.40 0.96 Note. Participants were asked to rate to what extent each matter affected their classrooms by choosing from 1 = not at all to 4 = to a very high degree. * Signifies the top five most prevalent factors affecting classrooms.

Correlations were run between APSQ items to find which other student behaviors/factors had a relationship with student gang involvement, as perceived by the teaching faculty (see Table 2). As can be seen in Table 2, weak to moderate positive relationships were found between student gang involvement and student pregnancy, student drug abuse, student possession of weapons, student disrespect for teachers, student drop out, student apathy, lack of parental involvement, poverty/SES (socio-

economic status) effects, and students’ unpreparedness to learn. In other words, teachers reported that the asterisked factors and behaviors were associated with a student’s gang involvement. To test the hypothesis that students’ involvement in a gang does affect teachers’ attitudes – namely, their perceived influence, preparation, ability, and confidence to teach them – the teachers were asked to answer the same set of questions twice: once for their non-gang-involved students, and once for their gang-involved students. The average scores for each question were compared across the two conditions, and a composite score was also calculated for each participant’s overall attitude toward each student group. The means, standard deviations, t-values, and p- values are reported in Table 3. As shown in Table 3, participants’ attitudes and self-perceptions toward teaching non-gang-involved students and gang-involved students were significantly different for all six items, in addition to the composite score. These data were analyzed using paired samples t-tests; these t-tests suggest that the difference in teachers’ responses is actually due to the students’ gang status, and not simply due to chance. For all six items, as well as the composite score, teachers on average reported higher levels of influence, preparation, ability, confidence, and obligation when teaching their non-gang-involved students.

Table 2: Correlations Between Gang involvement and Other Classroom Factors (APSQ) Student gang involvement Student tardiness 0.16 Student absenteeism/cutting class 0.08 Physical conflicts among students 0.13 Robbery or theft 0.16 Student pregnancy 0.38** Student use of alcohol 0.19 Student drug abuse 0.29* Student possession of weapons 0.35* Student disrespect for teachers 0.33* Student drop out 0.29* Student apathy 0.31*

Lack of parental involvement 0.37* Poverty/SES effects 0.37* Students come to school unprepared to learn 0.36* Poor student health 0.17 Conflict of cultures 0.16 Note. * Correlation is significant at p < .05 (2-tailed). ** Correlation is significant at 0 < .01 (2-tailed).

Table 3: T-test Analysis Results T-Test Analysis Results: Means, Standard Deviations, t-scores, and Significance Students Non-gang- Gang- t Sig. involved involved Q1: Influence in academic 3.14 2.48 lives of students (0.63) (0.97) 4.01 0.000* Q2: Influence in students’ lives 2.45 1.91 outside classroom (0.63) (0.85) 3.88 0.000* Q3: Preparation offered by 2.02 1.43 preservice (0.79) (0.84) 5.21 0.000* Q4: Confidence in teaching 3.48 2.67 approach (0.74) (1.19) 4.93 0.000* Q5: Confidence in ability to 3.23 2.65 assist struggling students (0.86) (1.10) 3.19 0.003* Q6: Extent of obligation to 2.77 2.26 students (0.75) (1.11) 3.44 0.001* Overall (composite) 2.85 2.23 4.72 0.000* (0.45) (0.84) Note. Responses to questions were available on a scale that ranged from 1 = not at all to 4 = to a very high degree. For full questions, see Appendix B. *Values are significant at p < .01 (2-tailed). Standard deviations appear in italicized parentheses below means. The df for all tests is 47.

Teacher Interviews Interviews were conducted with seven teachers at the high school, aimed at understanding how teachers conceived of gang involvement amongst their students: how it manifested itself in the classroom, what challenges it brought to teaching these students, what teachers found to be most effective, and what they may need moving forward. While answering these questions, teachers shared various attitudes, stories, perceptions, and experiences. From these arose several common themes, listed concisely in Table 4. These comments are organized by theme and expounded upon below.

Influences in the Classroom When asked how their students’ gang status influenced their classrooms, teachers often referenced small, seemingly insignificant activities that became charged as a result of gang involvement, collectively referred to by one teacher as “the chaos [gangs] bring into the classroom”. With two rival gangs present at the school, some students refuse to accept a certain folder because of its gang-affiliated color, or they may complete a drawing assignment using gang symbols or colors to promote their own allegiances. While some teachers spoke of preventing or intervening in physical fights, these did not seem too common. More often than not, teachers spoke of small behaviors or attitudes that escalated into issues of insubordination or distraction. For instance, one teacher recalled a day when students came to school wearing gang colors – something that is explicitly forbidden – and were pulled out of class during a test to address the issue, which duly affected their ability to perform well in the class. Teachers also reported the ways in which gang-involved students can cause others to fear being in the same space as them (i.e. a classroom, a hallway). One participant in particular told of how multiple students have come to her to rearrange their schedules; they felt that by remaining in class with the gang- involved students, they would either have to “be jumped into” (i.e., join) the gang, or fight to “defend their honor”. Last year, following the gang-related death of a student, the school building was tagged with graffiti, leaving students and faculty alike fearful.

Attendance problems were another common theme that teachers mentioned when reflecting on their gang-involved students, with one commenting that “attendance is a chronic problem”. Another participant stated that gang-involved students tend to be absent more often, either “because somebody’s died, or they’re laying low, or a drug involvement”. One teacher posited that because some gang-involved students feel they are not academically capable of completing in-classroom work, they might use avoidance techniques and misbehave to evade doing the assignment, providing a distraction to the other students until they are kicked out of the classroom. Yet another participant simply stated that gang-involved students are “never in class long enough to attempt learning”. With this in mind, teachers looked for changes in behavior to indicate gang involvement. They see a decreased attention to schoolwork and an increased sense of apathy with gang involvement; they struggled to convince the student, then, that there is a valuable and worthwhile outcome to his/her studies. One teacher suspected that her student had become involved in a gang when he became “disinterested and just flat failed”; she later confirmed it with him. She stated that he “withdrew from everything, didn’t want to talk… and didn’t want to participate… nothing”. The above-mentioned behaviors support the survey data gathered that showed correlations between gang involvement and apathy, as well as an unpreparedness to learn. Overall, as articulated by one participant, it appears that gang involvement really is “something that impacts the quality of education that [the students] are willing to receive in a classroom”.

Tracking/Academic Performance While teachers noted the behavioral influences gang involvement brings into the classroom, they also saw their students’ academic performance and “track” as correlates of gang involvement. Every teacher interviewed mentioned the low academic performance and/or low track which their gang-involved students occupied. The high school had different academic tracks offered, such as English as a New Language (ENL), Regular, Advanced/Honors, and Pre-IB/IB. While one teacher had gang-

involved students in his Honors class, the vast majority, as reported by the teachers, were enrolled in Regular, ENL, and/or Special Education courses. Participants who had taught gang-involved students in the past, but were currently teaching Advanced/Honors or pre-IB/IB classes commented that gang activity was no longer a problem in their classroom. One teacher simply stated that student gang involvement “exists in a larger form than IB or Honors teachers can imagine”. Participants who taught Regular or ENL courses supported this correlation by commenting that “[they] have always had a gang presence” in their classes. Yet another participant admitted that it appeared as if student gang leaders often recruited their peers who were enrolled in Special Education. While the direction of the effect remains unclear, the participants’ narratives strongly suggest that student gang involvement is correlated with low academic performance and/or a low academic track.

Race/Ethnicity Yet another interesting finding was that most teachers interviewed connected the students’ race/ethnicity with gang activity, on a variety of levels. For one, they noted that black and Hispanic students are more often involved in gangs – and more often assumed or suspected to be in gangs – than their white counterparts, although the educators themselves tried not to assume a student’s involvement in this way. For instance, one ENL teacher reported that many fingers get pointed at her students, “whether they are involved or not, just because of the color of their skin,” while yet another participant stated that “just because they are of one race, doesn’t mean [she will] assume that they are in a gang”. Teachers also acknowledged that minority students receive detentions, suspensions, and expulsions at higher rates than their white peers. One teacher noticed how white parents seem to advocate more for their children, implying that this could contribute to the racial gap present in disciplinary outcomes. Another participant saw racial difference as impeding her ability to connect with some of her gang-involved students. She claimed that some have approached her with comments like, “You know what? You’re too white to understand.” While participants connected the

student’s race/ethnicity to gang involvement in various ways (i.e. discipline, student-teacher relationships), all supplied these connections without any sort of prompting from the researcher, thus strengthening the suggestion that race/ethnicity is in someway related to student gang involvement.

Poverty/Socio-Economic Status (SES) Just as readily as teachers reported connections between race/ethnicity and gang involvement, so did they with gang involvement and student poverty/SES levels. Educators seemed to draw connections between low academic achievement, low SES, and gang involvement. One teacher stated explicitly that he had worked with lower-achieving students who tended to be of a lower SES background, and that “kids of a lower SES background have a higher chance of being involved in a gang,” in his experience. Another participant commented about her time serving at a different school, mentioning that “there weren’t a whole lot of…problems [there],” because it was mostly middle-upper class students. Additionally, teachers interviewed saw the harsh realities of poverty compounding with gang involvement to even further distract their students from their academic responsibilities. Such participants shared thoughts such as, “it’s hard to [dream about other things] when they’re so worried about what’s happening today,” as a result of their poverty. This same sentiment was echoed by another teacher when she was asked how we might better prepare teachers for the realities of teaching gang-involved students. She replied that “it’s about understanding poverty, because that’s where most of these [gang-involved] kids come from… Students in a gang don’t see beyond today”. When students are anxious about unresolved stressors as a result of poverty, it is understandably difficult for them to respond to academic demands. Researchers have found time and time again that poverty significantly affects the resources available to students, and it is due to this lack of resources that students of low SES backgrounds struggle to reach the same academic achievement as their higher SES counterparts (Lacour & Tissington, 2011). As the teachers’ above comments suggested, focus on schoolwork falls

away when food insecurity or financial instability encroaches. The teachers implied that the necessary attention for the “here and now” brought about by poverty prevents progression in academic achievement, as well as promotes gang involvement as a way of responding to or enacting one’s low SES level. All these comments shared in interviews support the survey results that revealed a correlation between student gang involvement and poverty/SES effects.

Home Influences All teachers interviewed touched upon the influence that their students’ home lives have on their gang involvement and consequent academic engagement. Many expressed some amount of resignation and/or defeatism with regards to the home environment. Teachers told stories of a “whole other world” that gang-involved students belong to, one in which gang colors are worn by babies and grandparents alike at funerals, and one that teachers cannot change. Many noted that they only have so much time with the students in class, and then they return to their neighborhoods and homes. Participants were not sure how to make a difference in the child’s home environment when the influences outside the classroom are often stronger than those within it. Neighborhoods and families alike were cited as sources of gang involvement from which their students inherit gang affiliations that are largely outside their control. One teacher mentioned that many gang-involved students do not listen to what their teachers say. Instead, they look to “what their tios (uncles) are in, what their fathers are in, their cousins,” and these family influences are “stronger than anything [teachers] say”. Other participants made reference to a “huge disconnect” between school and home for many students, and others noted how it was often out of the youth’s control. A couple teachers referenced a small number of students who were able to exert agency over their lives, however, one decided to leave gangs behind and graduate high school after a friend of his had died in a gang- related shooting; another left his gang so to care for his little brother, as his two parents had recently been “busted with meth.” While both of these youth have exerted some decision-making

ability over their situations, it is clear that both were still subject to events and influences outside of their control.

Parental Involvement Almost all teachers interviewed mentioned the role that parental involvement – or the lack thereof – plays in the lives of their gang-involved students. Several commented on parents’ ability to advocate for their child within the school. One teacher recounted how a young Latina student wanted to change out of one of her classes because she felt she could not learn in such a chaotic, disorganized atmosphere. The teacher told the student that her mother had to come into the school to advocate, despite the fact that she could not speak English, because the registrar probably would not heed the student’s request alone. This teacher then continued to explain that many gang-involved students are of a minority race/ethnicity, and that these parents do not advocate as much for their children as white parents. Other participants remarked on the lack of parental involvement that often comes with a child’s gang involvement, and while some teachers seemed to think that parents could keep their child off the streets, others did not seem so hopeful. For instance, one participant stated, “If I can get ahold of somebody at home, they might be able to do something, but probably not,” while another claimed that especially the immigrant parents of his Latino students “have no tolerance for that [gang] stuff”. This supported the survey results that showed a correlation between gang involvement and a lack of parental involvement. That being said, overall, teachers interviewed still felt parental contact was important. Some teachers made it a point to call home with a good report on a student’s behavior rather than to deliver bad news. One participant commented on calling home as a point of contact that “parents deserve to have”. It did appear, however that all parental involvement or contact with parents that the teachers spoke of was initiated by the teacher, a frustrating and time-consuming reality for the educators.

Disciplinary Approach

When asked about how they discipline their students, many teachers mentioned that although traditional forms (write- ups, detentions, interaction with the school-assigned police officer, time spent in the Juvenile Justice Center (JJC)) worked for some students, they really preferred to not rely on these methods. Some cited them as ineffective, as they often do not address the root of the behavior, while others saw them as time-consuming for the teacher. A few participants mentioned the lengthy and “ridiculous” district-wide infraction system by which teachers are supposed to abide; one teacher saw the excessive time spent complying with this infraction system as directly taking away from the time he would rather spend lesson planning and grading. In reference to gang- involved students, another participant mentioned that “sometimes, teachers don’t ask why [the students’] behavior is the way it is.” Others acknowledged a delicate balance between assisting the misbehaving student and providing a conducive learning environment for their other students. For instance, while dismissing a student that may be acting out to avoid doing work he cannot complete only puts him further behind in class material, keeping him in class acts as a distraction to the other students. One teacher explained, “I have to give the best quality education I can to all the students in my classroom”. Some mentioned rewarding positive behavior as a preventative measure against negative behavior. Overall, there was a preference expressed for handling issues in-class before administration became involved, as well as for discovering the “why” behind the troublesome behavior. Teachers often accomplished this through one-on-one conversations with the student in question, coming “alongside” them, “as opposed to confronting” them, as one teacher articulated.

Student-Teacher Relationships Every single teacher being interviewed mentioned student- teacher relationships and their importance in teaching, disciplining, and supporting their gang-involved students. They highlighted the integral roles held by respect, trust, and care in student-teacher relationships. One teacher commented, “The number one thing that I hope my [students] say about me is that I care.” Another

participant thought that by listening to students, teachers “can learn way more than any other thing,” and so he truly strives to listen to his own students and “take what they say to heart.” When asked what sort of pedagogies she had developed to work with gang- involved students, one teacher replied that she relied more upon getting the students’ respect “by treating them with respect in the beginning.” She said that it “starts there and whatever you do pedagogically afterwards” does not matter so much. Many participants saw student-teacher relationships as able to fulfill what students may be seeking in gangs. Some drew parallels between the respect shared between gang members and the respect shared in the classroom. “It’s like winning their trust,” one teacher said, “because it’s kind of like the same thing as being in a gang… You just have to prove [to them] you’re worthy.” Another felt that teachers have to care for their students and “let them know that [they] care,” because students often join gangs “for that family feeling of safety or security”. One even mentioned that “tough love” can be helpful in disciplining a child, but better “a little bit late than right at first.” Participants also expressed common themes of being involved and in-tune with their students’ lives. One commented that she does not simply “let [the students] come and go and not get involved,” but instead, “speak[s] with them any chance that [she] get[s]”. Another participant chronicled the path of a student who failed her class last year, but approached her this year to ask for help switching out of a class with a multitude of gang members. The teacher arranged it so that the student was switched into her class, but only after she made him promise to work harder than the previous year. The teacher commented that the year before, she “pushed him and pushed him,” and “didn’t let him have any leeway.” She was pleasantly surprised to report that he was doing exceptionally well in her class at the time of this study. Overall, teachers felt it was important to establish lines of communication and relationships built on mutual trust and care with their gang- involved students, ideally before problems arise.

Teacher/Administrator Collaboration

All the teachers interviewed reported that they felt supported by the administration at their schools when it came to dealing with gang-involved students. Many claimed they had no qualms going to administration when their own attempts to resolve a situation fell short, and one commented that they have a good support team to “combat [gang involvement] as much as [they] can”. Several teachers compared their current administration with past administration at this school or a different school, stating that a supportive team can help teachers more readily handle adverse situations. Teachers interviewed also stressed the importance of teacher collaboration within the school, something they felt does not always readily happen at their high school. They felt that it was extremely helpful to talk with other teachers and share information about certain students so as to better teach and reach them. “If somebody is ill, we need to be made aware of it,” commented one teacher. She continued, saying, “[Gang involvement] is the same sort of thing – it’s a social illness instead of a physical one.”

Preservice Education/Preparation All seven teachers interviewed reported that they never received any sort of preservice education that addressed teaching gang-involved or even at-risk students. One teacher mentioned that in her preservice education, “at-risk” kids were always portrayed to be those in Special Education, and not those that may be engaging in delinquent behavior. Others shared that Ruby Payne’s A Framework for Understanding Poverty was the closest that they got to approaching influences of “the street” in their preservice education. They also expressed that preservice education hardly mentioned disciplinary strategies or how to go about creating meaningful student-teacher relationships; teachers stated that they had to learn all of those skills “on the job.” One participant expressed a desire for an “in-service or something that would talk about [effective student discipline]... especially for first- year teachers,” because he had to learn all he knows through trial- and-error. Others commented on the lack of training they received on how to motivate at-risk or gang-involved students to want to learn, with one stating that she was “unsuccessful in a lot of ways” until she learned how to do so. Another teacher reported that such

topics were not even covered in her years obtaining a Masters of Education. “None of that [preservice education] prepares you for the stuff that you go through here,” explained one participant, “none of it.”

Moving Forward When the interviewees were asked if they thought the topic of gang involvement needed to be addressed at their high school, the responses were mixed. One teacher who taught largely minority race/ethnicity students was fearful that a school-wide conversation would bring a lot of unwarranted blame and attention on her students; she thought the school was doing the best they could as is. Another teacher was not sure there was a need for specific gang education, but stated that the school “definitely [has] students who don’t see the point of coming to school,” which was a “really big concern for all [teachers].” The others expressed the desire and need for more information and/or guidance from the police department, experienced teachers, or the students themselves. Professional developments (PDs) were suggested, with recommendations of having a panel discussion with in-school educators that had been successful in teaching these students, allowing for personalization in teacher approach, and listening to one another attentively. When speaking of moving forward in the interviews, teachers’ emotional responses almost inevitably surfaced. In regards to the futures of gang-involved students, some teachers were consistently more pessimistic, defeatist, and discouraged. “You know, as a teacher, what are you supposed to do?” one participant commented, giving inspiration for this paper’s title. She continued, saying, “I kept thinking we could fix it, but I don’t think we can.” Another mentioned that “once kids get involved with the wrong crowd, it’s nearly impossible to intervene.” Other participants leaned more toward optimism and activism, believing that with more information, they could make a change. “I’d like more strategies,” stated one participant concisely. When recommending more responsive strategies, one teacher gave an especially empathetic response, suggesting that teachers need to ask themselves questions like, “‘How can we relate more?’ and ‘How

can we be sympathetic to want to start that dialogue [with our students]?’ So that when they are like, ‘You’re a white person, you don’t get it,’ we can say, ‘Yeah I do. Yeah I do.’” Here, the participant conflated - as perhaps the students do - her white identity with a perceived lack of familiarity with inner city- or gang- related knowledge. She expressed the desire to know more about these students’ lives outside the classroom so as to become less ignorant and therefore more relatable. She, like the majority of teachers interviewed, viewed student-teacher relationships as the foundation for being able to adequately support gang-involved students. Still other participants oscillated between the two extremes of emotional response within the same interview. What was clear was the total lack of preparation teachers received in their preservice education, and the desire for more information, strategies, etc. on teaching, supporting, and disciplining gang- involved students. Some called for policy changes in the district that would allow for more PDs, and thus more time to collaborate. Another mentioned the need for increased resources and funding to place in youth mentoring, after-school, and career-/college- minded programs. “Without additional funding from the state,” commented one teacher, “we can’t make the changes we want to make. That’s the bottom line.”

Discussion Both the teacher surveys and the teacher interviews were used to more fully understand the educator’s experience teaching, disciplining, and supporting gang-involved students, an especially vulnerable and at-risk student population. Do teachers receive any preservice education on gang-involved or at-risk students? Do they have different attitudes and perceptions toward teaching non-gang- involved students versus gang-involved youth? What are some of the biggest challenges when teaching gang-involved students? Have they found any strategies or pedagogies to be especially effective? What do teachers need moving forward to feel more equipped in teaching this student population? Here, the findings of the current study are more fully expatiated upon, as well as put into conversation with existing research.

In the current study, 77% of participants had never received formal preparation for working with gang-involved students, and on average, they felt significantly more prepared to teach their non-gang-involved youth. These findings support those of Smith and Smith (2009) when they found that 78% of teachers felt “not at all” or only “somewhat” prepared for the position of working with low-income, urban students (p. 340). The 77% of the current study, however, includes those who may have received professional development on the topic and not preservice education, so the count could be even fewer. None of the interviewees received any preservice education on the topic, including the participant who has completed her Masters in Education. Teachers especially commented on the lack of – and yet the dire need for – instruction on how to effectively discipline such students, as well as create meaningful student-teacher relationships with them. One teacher strikingly claimed, “None of that [preservice education] prepares you for the stuff that you go through here. None of it.” Such comments offered by teachers in the interviews reflected the survey data when teachers were questioned as to how well they believed their preservice education prepared them for the challenges presented by their students. When prompted to respond in reference to their non-gang-involved students, the average score on the Likert scale was 2.02, where 2 = “to a very low degree.” When asked how prepared they felt to respond to challenges presented by their gang-involved students, teachers reported a mean of 1.43, meaning that on average, they felt their preservice education prepared them “to a very low degree,” or “not at all.” While teachers felt significantly more prepared to serve their non-gang-involved students than those who were gang- involved, there was still an overall lack of preparation toward teaching either student type that teachers felt they received in their preservice education. Out of 48, there was only one participant who reported a significantly higher composite score for gang- involved students, meaning he felt more influential, confident, prepared, and obligated when teaching them. His response was even more noteworthy due to the fact that he received none of his training or preparation during preservice education, but rather

through training offered during his years working at the Juvenile Justice Center (JJC). When asked about the biggest challenges of teaching, disciplining, and supporting gang-involved students, the participants of this study had much to say. Just as a teacher from Smith and Smith’s (2009) study reported that “A problem on the street becomes a problem in your room” (p. 344), the teachers interviewed at this high school also found gang involvement and its effects to trickle into their classrooms. With the litany of small insubordinations, attendance problems, and class distractions that the participants offered, these findings work to support those of Vigil (1999), more specifically, that gang-involved youth typically have more behavioral problems in the classroom than their non- involved peers. One participant mentioned how some gang- involved students may act out until they are asked to leave the classroom, an effective ploy to escape doing work they feel they cannot complete. This lends support to a study that found that low student-perceived academic ability appeared to be related to the student’s joining of a gang, with gang-members reporting the lowest levels of perceived academic ability (Dukes et al., 1997). Additionally, participants in this study often connected low academic performance and/or lower tracks with gang involvement, which supports the already existing literature on the topic (Pyrooz, 2014; Levitt & Venkatesh, 2001). When asked what pedagogies they found to be most effective for teaching these gang-involved youth, all interviewees readily dismissed the idea that a certain pedagogy might be useful to them. Or if they did not dismiss a specific pedagogy’s influence, they at least placed it second in importance to student-teacher relationships. Moreover, without ever explicitly using the term “warm demanders,” many participants displayed behaviors and tendencies characteristic of this teaching style, originally coined by Kleinfeld (1975) in her work with Alaskan Indian and Eskimo students. Kleinfeld (1975) describes these individuals as having a “personal warmth” about them (as opposed to a “professional distance”), but also as actively demanding high-quality performance from their students (p. 329). This type of teacher spends a substantial amount of time or energy, especially in the beginning of

the year, building and developing relationships with students. Only after this rapport has been established do these teachers become demanding, pushing their students academically while simultaneously supporting and encouraging them. Many teachers interviewed in the current study displayed “warm demander” tendencies as they commented on the importance of listening to students, as well as taking a personal interest in them. They highlighted the integral roles held by respect, trust, listening, and care in student-teacher relationships. Collectively, they mentioned important qualities and behaviors like having “tough love” for their students and “treating them with respect in the beginning” so that anything they did pedagogically came out of that. The teacher who told of the student who switched into her class to avoid gang influence “pushed him and pushed him,” and “didn’t let him have any leeway.” And at the time of this study, the student had improved substantially, both emotionally and academically. This teacher, perhaps more than the others, seemed to emulate most closely the characteristics of “personal warmth” and “active demandingness” with the students; this teacher also told more “success” stories of gang-involved students than the other participants.

Implications The findings of this study lead us to draw several conclusions: the most straightforward being that preservice education needs to better address teaching approaches specific to gang-involved students for our future teachers. This is supported by the fact that teachers reported real, negative manifestations of gang involvement in the classroom, as well as their absolute dearth of preparation in preservice education, and their desire for more information even now in their career. Previous studies have suggested that improvement is needed for preservice education training in regards to teaching diverse and/or at-risk youth (Nicklin, 1991; Phillion and Connelly, 2004), and this study lends support to that view. Among many other consequences, research has established that gang members are more likely to be viewed negatively by teachers (Jenson & Howard, 1998). On average, the teachers surveyed in this study felt significantly more influential in

their students’ lives – both in- and outside the classroom – felt better prepared by their preservice education, felt more confident, and more obligated to their students, given that they were non- gang-involved. Especially knowing how influential teachers’ perceptions and beliefs can be in the classroom (Ladson-Billings, 1994), the findings of this study showing significant differences in teachers’ attitudes dependent on the gang status of their student suggest that these findings should not be taken lightly. Given these data, preservice teacher education for at-risk and/or gang-involved youth could be improved by changing the curricula used, as it appears that novice teachers are currently sent into schools feeling almost wholly unprepared to face the challenges before them. As Table 1 shows the means and standard deviations of each subscale on the APSQ, one can see that student gang involvement at this high school was not rated among the top five most frequently reported factors presenting as problems in the classroom. Interestingly, 71% of participants still said that these matters should be addressed. As mentioned above, several participants suggested policy reforms that allow for more collaboration and resources being available to teachers. It appears that teachers are longing for the information and training they did not receive in their preservice education, and as one participant suggested, “if gang involvement is affecting our ability to teach and reach students, then it needs to be addressed.” If institutions of preservice education were to alter curricula to include methods for teaching gang-involved students, the implications could change the fate of our gang-affected schools and this most vulnerable student population.

Limitations and Future Directions There were several limitations present in the current study. While the sample size (n=48) was respectable, one might be able to draw stronger conclusions from a larger sample size. Additionally, the sample itself acted as a limitation in some ways. The school in question did not actually have a very large gang presence. In fact, there were two other public high schools in the same district that had larger gang populations. With a four-month time frame that

came with this study, however, the researcher was not successful in gaining contact with the other schools. Lastly, efforts should have been made to assure that the two sets of questions that assessed teachers’ perceptions as dependent upon student type were mutually exclusive. For instance, there were several participants who simply wrote that they did not have any gang-involved students and therefore could not answer the questions. Their data was not included. It is plausible, however, that other participants without gang-involved students simply answered the questions anyway, potentially skewing the results. One goal of future research should be to gather which institutions of preservice education have altered their curricula in the last decade to include subject matter dealing with gang-involved and/or at-risk youth. Studies should be conducted with their novice teachers to see if the changed curricula proved helpful in preparing these educators. Additionally, as characteristics of Kleinfeld’s “warm demanders” arose in the current study’s participants, this concept should be explored as it is implemented with gang-involved students. Although the purpose of this study was to examine the teachers’ perceptions, it would be extremely interesting and potentially helpful to also examine the students’ perceptions of gang involvement in the classroom, and see if/where they differ from the perceptions of their teachers. Recent research has shown that youth on probation have reported that teachers who seemed to truly care – by investing time in their education, treating them fairly, recognizing their effort – made the biggest difference in interrupting their delinquent behavior (Sander et al., 2010). Future studies may also examine if students’ perceptions of teachers correlate with the students’ gang involvement. In Smith and Smith’s (2009) study, when surveyed about a rewarding but difficult aspect of the job, a novice teacher replied, “The stakes are high – failure means dropping out or incarceration.” (p. 346). Educators teaching gang-involved students are not oblivious to the realities both they and their students face in- and outside the classroom, as shown in this study. They are aware of the weighty importance education holds in our society today, and that these youth in particular absolutely must

benefit from what goes on in the classroom. These findings indicate that a student’s gang involvement does negatively alter the teacher’s perceived influence, preparation, ability, confidence, and obligation toward teaching that student. In general, educators in the sample felt largely unprepared by their preservice education to handle the challenges presented by their non-gang-involved students, much less by their gang-involved ones. There is hope, however, in the fact that teachers in the study did show a desire to learn more so as to better serve these at-risk youth. By demanding more of our preservice teacher education today, we can further the lives of many at-risk, gang-involved youth in the future. More research in this area is required to bolster this claim and convince schools of preservice teacher education to take a critical look at their current programming. As shown in the above-mentioned teacher’s comment (Smith & Smith, 2009), educators realize the gravity of the situation at hand – it is about time that their educators do the same.

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