The Emergence of the Book Glenn A. Anderson Archaeological discoveries during the past century provide documentary evidence for the ratio of rolls to codices during the first four centuries of our era. This ratio differs markedly from Christian to Jewish and pagan writings, suggesting that our book form may initially have been a Christian strategy to distinguish Christian from other writings and that this format, when its physical advantages became evident, was then adopted by the larger culture. Using this evidence, C. H. Roberts has suggested two historical reconstructions of the first use of the codex form.

he role of utility in cultural tary developments of paper and printing change is often assumed to be and their momentous effects on the his­ primary: why else would a new tory of the book have fed a literature thaf technology be adopted but for has spilled over into the popular level. its increased utility? Scholarship based on Few librarians or scholars are puzzled this assumption tends to confine the deci­ by references to Gutenberg or moveable sions that precede change within the type. One may infer, therefore, that this boundaries of utility. Such efforts are sup­ aspect of Western history is part of our ported by, and probably reflect, frequent general knowledge. Similarly, contempo­ attempts by scholars to locate the stimulus rary usage of computer technology for in­ for historical initiative in economic or so­ formation storage and retrieval has also cial necessity. be~n the subject of an expanding This article presents a review of an im­ literature-much of it at the popular level. portant but obscure historical event-the This literature can claim a kind of squat­ adoption of the codex or book form. The ter's rights in the consciousness of even victory of the codex over the once presti­ the most bookish scholar. The equally mo­ gious roll has been widely regarded as a mentous replacement of the roll by the co­ triumph of practicality and economic good dex form, however, has only the most sense. Recent archaeological discoveries, marginal place in the general knowledge however, have provided evidence that of those who work with books. Perhaps supports a different understanding of the this is as it should be for a development origin of what we call the book, an under­ that is almost two thousand years old and standing that does not banish utility com­ obscured by highly technical descriptions pletely as a factor but stresses the role of and vague, fragmented data. Nonethe­ other factors in this fundamental change. less, the centrality of the book form within This account of the emergence of our Western civilization lends a natural inter­ book form also provides a condensed his­ est to speculations about its origins. torical review for librarians and scholars The adoption of the codex form exhib­ who may overestimate the obscurity of the ited the following pattern: issues surrounding the adoption of the co­ dex form and regard them as specialist's "The codex owed its existence to the substitu­ turf. In comparison to the change to the tion of vellum [parchment] for papyrus as the codex form, the study of the complemen- common writing material for Greek and Latin

Glenn A. Anderson is Humanities Reference Librarian, Auburn University, Auburn, Alabama 36849.

111 112 College & Research Libraries March 1988 literature; vellum was a tough material capable Luxor (also in Egypt), and along the west of being inscribed on both sides, and the leaves shore of the Dead Sea. Although the Dead could be stitched and bound in a form similar to 1 Sea Scrolls and Nag Hammadi codices are books of modem times." more famous, the immense papyrus col­ lection discovered at Oxyrhynchus be­ Two elements in this description deserve tween 1887 and 1928 is important for its attention: fragments of classical literature, gospels, 1. the inference that the change in writ­ apocrypha, patristic texts, and commer­ ing material from papyrus to parchment cial and civil items. led to the change from roll to codex form, The classification and listing of the vari­ and ous manuscripts has left a concrete record 2. the assumption that the physical of early forms of writing. While these ex­ shortcomings of the roll led to the over­ tant records offer only a tiny sampling of throw of papyrus as the scribes' chosen ancient writings, similarities between dis­ material (see figure 1). coveries suggest that these samples are To claim that the change from papyrus representative. Extant documents indi­ to parchment caused, or was the same as, cate that papyrus and parchment were the change from the roll to the codex form used interchangeably in rolls and codices. is a misunderstanding. Such a claim does Because parchment rolls and papyrus not take into account the substantial evi­ books remained in use for centuries after dence provided by extant manuscripts the adoption of the codex form, there is no from the first four centuries of our era: reason to attribute that adoption to the these manuscripts are prizes from the material used in the roll or codex.2 stream of archaeological discoveries made The second portion of the explanation in the last one hundred years. Since 1897, quoted above implies that parchment has large manuscript collections have been a toughness, durability, and versatility, discovered at Oxyrhynchus (south of because both sides can be written on. This Cairo in Egypt), Antinoe (only one hun­ made papyrus second rate. In fact, extant dred miles. from Oxyrhynchus), north of papyruses are sometimes inscribed on.

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Similarities between the early codex and the roll are considerable. The s.ame narrow columns of text were used in the codex-as many as four columns appeared on a single page.

FIGURE 1 Roll and Codex The Emergence of the Book 113 both sides, as the existence of a technical term-opisthograph-for a roll written on 11 both sides indicates. The popular vision of • • • among Greek literary manu­ papyrus as a thin, fragile material, dried to scripts, the codex form gained a dom­ brittleness, is a misconception. Papyrus is inant position between the fourth sturdy, durable, and flexible. 3 and fifth centuries, almost three hun­ The existence of storage facilities for dred years after the first use of the co­ rolls in papyrus libraries and the use of dex form.'' papyrus for many forms of writing long af­ ter parchment was widely available illus­ trate that papyrus was regarded as satis- · factory for archival purposes. Other cent of the extant manuscripts are codi­ factors, e.g., ease of use, ease in marking ces, one's place, safety of storage, and cost, • in the second century, only two percent have also been cited as reasons for adopt­ of the extant manuscripts are codices, ing the codex. However, they describe ad­ • in the third century, seventeen percent vantages that are imaginary, inaccurate, are codices, and or inadequately demonstrated. Another • by the beginning of the fifth century, factor, the prestige of the roll, is impos­ ninety percent of the extant manu­ sible to weigh. Yet the formidable power scripts are codices. 4 of prestige and habit that the roll enjoyed This pattern indicates that among Greek among scribes ensured for the codex a literary manuscripts, the codex form long-time status as poor cousin. The ex­ gained a dominant position between the tant documents present a pattern in which fourth and fifth centuries, almost three the roll was used for most writings while hundred years after the first use of th.e co­ the codex was only occasionally used. dex form (see table 1). The Greek literary manuscripts that Christian biblical manuscripts from the have survived from the first four centuries first four centuries present a remarkably of our era provide a chart of the number of 'different pattern from that of the Greek lit­ rolls produced as compared to codices. erary manuscripts. Among 172 extant Assuming that these manuscripts repre­ papyrus and parchment Christian biblical sent the usual proportion between rolls texts written before A.D. 400, 158 are codi­ and codices, the following pattern of use ces and only 14 are rolls. 5 Of the 14 rolls, emerges: several have a biblical text written on the • in the first century, less than one per- other side of an already used roll so that

TABLE 1 ROLLS AND CODICES AMONG GREEK LITERARY MANUSCRIPTS

Century Rolls Codices Percenta~e of Codices 1 353 3 Less than 1% * (252) (1) 2 1132 24 2% (857) (4) 3 607 126 17% (406) (93) 4 66 158 70% (36) (99) 5 14 122 90% ~eginning of centu!Y} {11} {88}

• To nearest 1/2% . Note: These data are presented using a statistical method offered by Will' .A.-l:Y_illis in "A Census of the Literary Papyri from Egypt," Greek, Roman, and Byzantine Studies, 9:205-41 (1968). illiS 1v1 es manuscripts that have been suggested as spanning two cen­ turies equally between the centuries in question. Parenthetical figures indicate manuscripts that have been firmly dated. 114 College & Research Libraries March 1988 the roll format seems determined by the the roll was secure, further magnifies this available material. 6 Several others are difference between Greek literary and probably of Jewish origin, and only one Christian biblical manuscripts (see figures roll, a text of Isaiah, has a Christian biblical 2 and 3). text on a roll when the codex form could Parallels between the emergence of the presumably have been used as easily. codex form and the spread of Christianity Taken as a body, Christian biblical writ­ have been often noted. Just as the census ings before the year 400 are almost invari­ of extant codex manuscripts shows ably in codex form. This represents a growth in the third century and domi­ marked contrast to the high percentage of nance over the roll in the fourth century, Greek literary manuscripts on rolls during the spread of Christianity followed a pat­ the same time. tern of rapid growth in the third century A similar study of the earliest stratum of followed by official acceptance at the be­ Christian biblical writings emphasizes this ginning of the fourth century. But the ex­ pronounced difference from Greek liter­ tant manuscript evidence clearly indicates ary writings. Of the 172 Christian biblical a much earlier adoption of the codex for manuscripts from the first four centuries, Christian writings. If the fourth century 11 can be assigned to the second century. 7 adoption of the book form by a more Compared with Greek literary manu­ markedly Christian culture may be ex­ scripts, only one and one-half percent of plained by a combination of increased which were in codex form during the sec­ Christian influence on the larger culture ond century, all of the earliest existing and a growing awareness of the physical Christian biblical texts are in codex form. advantages of the codex form, the reason All are also on papyrus. Despite vagaries for the much earlier Christian adoption of in dating documents of such age and the the book form remains a major puzzle in uncertainty of definition for key terms, the history of the codex form. e.g., biblical, the earliest versions of the In what has long been regarded as a Christian Bible are always in codex form. standard treatment of the topic, C.H. Rob­ That each of these codex manuscripts was erts suggests that the book form was discovered in Egypt, where the place of adopted by Christians in Rome when the

Greek Literary Manuscripts Christian Literary Manuscripts Rolls (8.1%) Codices (8.9%)

Rolls (91.1%) Codices (91.9%) FIGURE2 First through Fourth Century The Emergence of the Book 115

Greek Literary Manuscripts Christian Literary Manuscripts

Cod ices (2 . 1%) Rolls (0 . 0 %)

Ro 11 s (97. 9%) Cod ices ( 100.0 %) FIGURE 3 Second Century evangelist Mark, using one of the parch­ law passed on by Jesus, a large school of ment notebooks common in Rome for le­ scribes and scholars developed. The gal or official business, wrote the events scribes occupied by these tasks develo~ed that the Apostle Peter had recounted to the first codex no later than A.D. 100. In him. According to this thesis, Mark's Gos­ the case of both theses, the codex form pel, the first to appear in written form, was adopted primarily to differentiate its was later rec_opied in Alexandria, associ­ Christian users from both Jewish and pa­ ated with Mark by an ancient tradition, on gan writers. papyrus. This format then acquired the While Roberts' theses cannot be proved, weight of a precedent as well as symbolic he presents differing speculations that value as a manifestation of Christianity's help to explain much of the available doc­ break with the roll, which had a close asso­ umentary evidence. Part of the attractive­ ciation with Jewish law and with paganlit­ ness of these historical reconstructions is erature.8 First-century Alexandria's place their specificity-and this in a subject in Christianity is, however, clouded by an where questions, gaps, and caution are far almost total lack of evidence, and because the likelihood that either Alexandrian practice or Mark's Gospel, which is very infrequently cited in early Christian litera­ ture, carried such weight in primitive "Like the new publishing forms in Christianity is problematic, Roberts later our own time, any major change revised this hypothesis. tempts those affected by it to regard it The adoption of the codex by Christians in revolutionary terms-to stress dif­ probably occurred, not in Rome, but in Je­ ferences and discontinuities rather rusalem or Antioch, where Greek manu­ than to search for the deeper continu­ scripts were needed for the Gentile mis­ ities that characterize cultural sion. The large Jewish community, either change.'' in Jerusalem or Antioch, used waxed tab­ lets and papyrus tablets. To record the oral 116 College & Research Libraries March 1988 more common than concrete assertion. If, itself. Rather, the codex played a small as Roberts suggests, the adoption of the part in a larger vision. The supporters of book form was intimately bound to the the roll, lacking any larger perspective rise of Christianity and occurred in the against which change could be seen as a first century, our understanding of the natural development of their past, found emergence of the codex form merits revi­ themselves defending stasis and regard­ sion. Of considerable interest in its own ing the threat of change in terms of rup­ right, this revised view also admits specu­ ture, divorce, or discontinuity. Like the lation about the nature of change and the new publishing forms in our own time, psychology of those who bring change. In any major change tempts those affected the case of the early Christians, a group by it to regard it in revolutionary terms-to that was in many ways inflexible initiated stress differences and discontinuities a change that was resisted by the more rather than to search for the deeper conti­ flexible Greek culture. The Christians, nuities that characterize cultural change. possessing a vision in which change was Utility was not the strongest factor in the seen as a necessary bridge between the adoption of the codex form. Indeed, it past and the organic fulfillment of that might be suggested that a utilitarian em­ past, seem never to hav,e regarded the phasis is likely to mask the more impor­ adoption of the codex form as an issue in tant factors in any cultural change.

REFERENCES AND NOTES

1. Bookman's Glossary, 6th ed., ed. Jean Peters (New York: Bowker, 1983), p.53-54. 2. E. G. Turner, in Greek Papyri (Oxford: Clarendon, 1968), p.42-53, devotes a chapter to the geo­ graphical distribution of archaeological finds. Roger A. Pack, Greek and Latin Literary Texts from Greco-Roman Egypt, 2d. ed. (Ann Arbor, Mich.: Univ. of Michigan Pr., 1965), indicates a propor­ tion of rolls to codices similar to that found in the first edition of his work (Ann Arbor, Mich.: Univ. of Michigan Pr ., 1952). Similarly, Colin H. Roberts, in ''The Codex,'' Proceedings of the British Acad­ emy, 40 (1954), reports statistics similar to those of Pack and to those of the later Roberts and T.C. Skeat, Birth of the Codex (London: Oxford Univ. Pr., 1983). 3. Naphtali Lewis, Papyrus in Classical Antiquity (London: Oxford Univ. Pr., 1974), p.60-61. 4. For other than Christian texts, data are supplied by Roger A. Pack, Greek and Latin Literary Texts from Greco-Roman Egypt, 2d ed.; brought up to 1970 by F. Eubel, "Literarische Texte unter Aussch­ luss der Christlichen," Archiv fii.r Papyrusforschung, 21:170-82 (1971). For codices, data from E. G. Turner, The Typology of the Early Codex (Philadelphia: Univ. bf Pennsylvania Pr., 1977) are very helpful. Roberts and Skeat, Birth of the Codex, p.37, evaluate and accept the data provided by Pack, Eubel, and Turner. 5. The data for Christian papyruses are presented by Kurt Aland, Repertorium der Grieschischen Christlichen Papyri (New York: DeGruyter, 1976) and Joseph van Haelst, Catalogue des Papyrus Lit­ teraires ]uifs et Cretians (Paris: Publications of the Sorbonne, 1976); supplemented by Kurt Treu, "Christliche Papyri," Archiv fii.r Papyrusforschung, 26;149-59 (1978) and 27:251-58 (1980). Roberts and Skeat, Birth of the Codex, present the data provided by Aland, van Haelst, and Treu. 6. The catalog numbers of these fourteen rolls in van Haelst (Catalogue des Papyrus Litteraires ]uifs et Cretians) are 14, 44 and 559, 48, 104, 109, 133, 148, 167, 174, 286, 300, 319, 459, and 537. 7. This is the conclusion of Roberts and Skeat, Birth of the Codex, p.40-41. There is substantial agree­ ment among scholars about several of these items (and unanimity about five of them). Some scholars would include other items on the list; others would exclude items from it. Ten of the eleven codices listed by Roberts and Skeat are listed by Turner, Typology of the Early Codex, and in van Haelst, Catalogue des Papyrus Litteraires Juifs et Cretians. Complete agreement among scholars does not exist in this matter. 8. Colin H. Roberts, "The Codex," Proceedings of the British Academy, 40:169-204 (1954). 9. Roberts and Skeat, The Birth of the Codex, p.54-61.